how to develop theoretical framework for research paper

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  

Researcher.Life is a subscription-based platform that unifies the best AI tools and services designed to speed up, simplify, and streamline every step of a researcher’s journey. The Researcher.Life All Access Pack is a one-of-a-kind subscription that unlocks full access to an AI writing assistant, literature recommender, journal finder, scientific illustration tool, and exclusive discounts on professional publication services from Editage.  

Based on 21+ years of experience in academia, Researcher.Life All Access empowers researchers to put their best research forward and move closer to success. Explore our top AI Tools pack, AI Tools + Publication Services pack, or Build Your Own Plan. Find everything a researcher needs to succeed, all in one place –  Get All Access now starting at just $17 a month !    

Related Posts

Essay Writing Basics: Strategies for PhD Success 

Streamlining the Research Funding Journey With Researcher.Life’s GrantDesk

• Privacy Policy

Buy Me a Coffee

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

You may also like

How to Cite Research Paper – All Formats and...

Data Collection – Methods Types and Examples

Delimitations in Research – Types, Examples and...

Research Paper Format – Types, Examples and...

Research Process – Steps, Examples and Tips

Research Design – Types, Methods and Examples

• USC Libraries
• Research Guides

Organizing Your Social Sciences Research Paper

• Theoretical Framework
• Purpose of Guide
• Design Flaws to Avoid
• Independent and Dependent Variables
• Glossary of Research Terms
• Reading Research Effectively
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• Research Process Video Series
• Executive Summary
• The C.A.R.S. Model
• Background Information
• The Research Problem/Question
• Citation Tracking
• Content Alert Services
• Evaluating Sources
• Primary Sources
• Secondary Sources
• Tiertiary Sources
• Scholarly vs. Popular Publications
• Qualitative Methods
• Quantitative Methods
• Insiderness
• Using Non-Textual Elements
• Limitations of the Study
• Common Grammar Mistakes
• Writing Concisely
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
• Generative AI and Writing
• USC Libraries Tutorials and Other Guides
• Bibliography

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.

• << Previous: The Research Problem/Question
• Next: 5. The Literature Review >>
• Last Updated: Apr 5, 2024 1:38 PM
• URL: https://libguides.usc.edu/writingguide

Have a language expert improve your writing

Run a free plagiarism check in 10 minutes, generate accurate citations for free.

• Knowledge Base
• Dissertation

Theoretical Framework Example for a Thesis or Dissertation

Published on October 14, 2015 by Sarah Vinz . Revised on July 18, 2023 by Tegan George.

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

A strong theoretical framework gives your research direction. It allows you to convincingly interpret, explain, and generalize from your findings and show the relevance of your thesis or dissertation topic in your field.

Instantly correct all language mistakes in your text

Upload your document to correct all your mistakes in minutes

Table of contents

Sample problem statement and research questions, sample theoretical framework, your theoretical framework, other interesting articles.

Your theoretical framework is based on:

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

A new boutique downtown is struggling with the fact that many of their online customers do not return to make subsequent purchases. This is a big issue for the otherwise fast-growing store.Management wants to increase customer loyalty. They believe that improved customer satisfaction will play a major role in achieving their goal of increased return customers.

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

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

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

Some sub-questions could include:

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

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

Prevent plagiarism. Run a free check.

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

Customer satisfaction

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

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

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

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

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

Thomassen’s Customer Satisfaction Model

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

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

Figure 1 Customer satisfaction creation 

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

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!

Research bias

• Anchoring bias
• Halo effect
• The Baader–Meinhof phenomenon
• The placebo effect
• Nonresponse bias
• Deep learning
• Generative AI
• Machine learning
• Reinforcement learning
• Supervised vs. unsupervised learning

 (AI) Tools

• Grammar Checker
• Paraphrasing Tool
• Text Summarizer
• AI Detector
• Plagiarism Checker
• Citation Generator

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, July 18). Theoretical Framework Example for a Thesis or Dissertation. Scribbr. Retrieved April 7, 2024, from https://www.scribbr.com/dissertation/theoretical-framework-example/

Is this article helpful?

Sarah's academic background includes a Master of Arts in English, a Master of International Affairs degree, and a Bachelor of Arts in Political Science. She loves the challenge of finding the perfect formulation or wording and derives much satisfaction from helping students take their academic writing up a notch.

Other students also liked

What is a theoretical framework | guide to organizing, how to write a literature review | guide, examples, & templates, what is a research methodology | steps & tips, unlimited academic ai-proofreading.

✔ Document error-free in 5minutes ✔ Unlimited document corrections ✔ Specialized in correcting academic texts

404 Not found

Want to create or adapt books like this? Learn more about how Pressbooks supports open publishing practices.

5.5 Developing a theoretical framework

Social work researchers develop theoretical frameworks based on social science theories and empirical literature. A study’s theory describes the theoretical foundations of the research and consists of the big-T theory(ies) that guide the investigation. It provides overarching perspectives, explanations, and predictions about the social problem and research topic.

In deductive research (e.g., quantitative research), researchers create a theoretical framework to explain the thought process behind the study’s research questions and hypotheses. The theoretical framework includes the constructs of interest in the study and the associations the researchers expect to find. These constructs and their relations are based on the broader theory, but likely do not entail all the components of the theory.  The theoretical framework is specific to a particular study or analysis and provides the rationale for the research question(s). In inductive studies such as grounded theory, a theoretical framework can be the final result of the research.  In this case, the theoretical framework is also a combination of concepts and their associations, but it is derived from the data collected during the research. This contrasts to theoretical frameworks in deductive research, which are created before collecting data and derive from theories and other empirical findings.

In Chapter 8, we will develop your quantitative theoretical framework further, identifying associations or causal relations in a research question. Developing a quantitative theoretical framework is also instructive for revising and clarifying your working research question and identifying concepts that serve as keywords for additional literature searching. But first, we will consider identifying your theory. The greater clarity you have with your theoretical perspective, the easier each subsequent step in the research process will be. Getting acquainted with the important theoretical concepts in a new area can be challenging. While social work education provides a broad overview of social theory, you will find much greater fulfillment out of reading about the theories related to your topic area. We discussed some strategies for finding theoretical information in Chapter 3 as part of literature searching. To extend that conversation a bit, some strategies for searching for theories in the literature include:

• Consider searching for these keywords in the title or abstract, specifically
• Looking at the references and cited by links within theoretical articles and textbooks
• Looking at books, edited volumes, and textbooks that discuss theory
• Talking with a scholar on your topic, or asking a professor if they can help connect you to someone
• It is helpful when authors are clear about how they use theory to inform their research project, usually in the introduction and discussion section.
• For example, from the broad umbrella of systems theory, you might pick out family systems theory if you want to understand the effectiveness of a family counseling program.

It’s important to remember that knowledge arises within disciplines, and that disciplines have different theoretical frameworks for explaining the same topic. While it is certainly important for the social work perspective to be a part of your analysis, social workers benefit from searching across disciplines to come to a more comprehensive understanding of the topic. Reaching across disciplines can provide uncommon insights during conceptualization, and once the study is completed, a multidisciplinary researcher will be able to share results in a way that speaks to a variety of audiences. A study by An and colleagues (2015) [1] uses game theory from the discipline of economics to understand problems in the Temporary Assistance for Needy Families (TANF) program. In order to receive TANF benefits, mothers must cooperate with paternity and child support requirements unless they have “good cause,” as in cases of domestic violence, in which providing that information would put the mother at greater risk of violence. Game theory can help us understand how TANF recipients and caseworkers respond to the incentives in their environment, and highlight why the design of the “good cause” waiver program may not achieve its intended outcome of increasing access to benefits for survivors of family abuse.

Of course, there are natural limits on the depth with which student researchers can and should engage in a search for theory about their topic. At minimum, you should be able to draw connections across studies and be able to assess the relative importance of each theory within the literature. Just because you found one article applying your theory (like game theory, in our example above) does not mean it is important or often used in the domestic violence literature. Indeed, it would be much more common in the family violence literature to find psychological theories of trauma, feminist theories of power and control, and similar theoretical perspectives used to inform research projects rather than game theory, which is equally applicable to survivors of family violence as workers and bosses at a corporation. Consider using the Cited By feature to identify articles, books, and other sources of theoretical information that are seminal or well-cited in the literature. Similarly, by using the name of a theory in the keywords of a search query (along with keywords related to your topic), you can get a sense of how often the theory is used in your topic area. You should have a sense of what theories are commonly used to analyze your topic, even if you end up choosing a different one to inform your project.

Theories that are not cited or used as often are still immensely valuable. As we saw before with TANF and “good cause” waivers, using theories from other disciplines can produce uncommon insights and help you make a new contribution to the social work literature. Given the privileged position that the social work curriculum places on theories developed by white men, students may want to explore Afrocentricity as a social work practice theory (Pellebon, 2007) [2] or abolitionist social work (Jacobs et al., 2021) [3] when deciding on a theoretical framework for their research project that addresses concepts of racial justice. Start with your working question, and explain how each theory helps you answer your question. Some explanations are going to feel right, and some concepts will feel more salient to you than others. Keep in mind that this is an iterative process. Your theoretical framework will likely change as you continue to conceptualize your research project, revise your research question, and design your study.

By trying on many different theoretical explanations for your topic area, you can better clarify your own theoretical framework. Some of you may be fortunate enough to find theories that match perfectly with how you think about your topic, are used often in the literature, and are therefore relatively straightforward to apply. However, many of you may find that a combination of theoretical perspectives is most helpful for you to investigate your project. For example, maybe the group counseling program for which you are evaluating client outcomes draws from both motivational interviewing and cognitive behavioral therapy. In order to understand the change happening in the client population, you would need to know each theory separately as well as how they work in tandem with one another. Because theoretical explanations and even the definitions of concepts are debated by scientists, it may be helpful to find a specific social scientist or group of scientists whose perspective on the topic you find matches with your understanding of the topic. Of course, it is also perfectly acceptable to develop your own theoretical framework, though you should be able to articulate how your framework fills a gap within the literature.

Much like paradigm, theory plays a supporting role for the conceptualization of your research project. Recall the ice float from Figure 5.1. Theoretical explanations support the design and methods you use to answer your research question. In projects that lack a theoretical framework, you may see the biases and errors in reasoning that we discussed in Chapter 1 that get in the way of good social science. That’s because theories mark which concepts are important, provide a framework for understanding them, and measure their interrelationships. If research is missing this foundation, it may instead operate on informal observation, messages from authority, and other forms of unsystematic and unscientific thinking we reviewed in Chapter 1.

Theory-informed inquiry is incredibly helpful for identifying key concepts and how to measure them in your research project, but there is a risk in aligning research too closely with theory. The theory-ladenness of facts and observations produced by social science research means that we may be making our ideas real through research. This is a potential source of confirmation bias in social science. Moreover, as Tan (2016) [4] demonstrates, social science often proceeds by adopting as true the perspective of Western and Global North countries, and cross-cultural research is often when ethnocentric and biased ideas are most visible . In her example, a researcher from the West studying teacher-centric classrooms in China that rely partially on rote memorization may view them as less advanced than student-centered classrooms developed in a Western country simply because of Western philosophical assumptions about the importance of individualism and self-determination. Developing a clear theoretical framework is a way to guard against biased research, and it will establish a firm foundation on which you will develop the design and methods for your study.

Key Takeaways

• Just as empirical evidence is important for conceptualizing a research project, so too are the key concepts and relationships identified by social work theory.
• Using theory your theory textbook will provide you with a sense of the broad theoretical perspectives in social work that might be relevant to your project.
• Try to find small-t theories that are more specific to your topic area and relevant to your working question.

TRACK 1 (IF YOU ARE CREATING A RESEARCH PROPOSAL FOR THIS CLASS):

In Chapter 2, you developed a concept map for your proposal.

• Take a moment to revisit your concept map now as your theoretical framework is taking shape. Make any updates to the key concepts and relationships in your concept map.

If you need a refresher, we have embedded a short how-to video from the University of Guelph Library (CC-BY-NC-SA 4.0) that we also used in Chapter 2.

TRACK 2 (IF YOU AREN’T CREATING A RESEARCH PROPOSAL FOR THIS CLASS):

You are interested in researching bullying among school-aged children, and how this impacts students’ academic success.

• Find two theoretical frameworks that have been used in published articles on this topic. Identify similarities and differences between the frameworks.

5.6 Designing your project using theory and paradigm

Learning Objectives

Learners will be able to…

• Apply the assumptions of each paradigm to your project
• Summarize what aspects of your project stem from positivist, constructivist, or critical assumptions

In the previous sections, we reviewed the major paradigms and theories in social work research. In this section, we will provide an example of how to apply theory and paradigm in research. This process is depicted in Figure 5.2 below with some quick summary questions for each stage. Some questions in the figure below have example answers like designs (i.e., experimental, survey) and data analysis approaches (i.e., discourse analysis). These examples are arbitrary. There are a lot of options that are not listed. So, don’t feel like you have to memorize them or use them in your study.

This diagram (taken from an archived Open University (UK) course entitled E89 ​- Educational Inquiry ) ​ shows one way to visualize the research design process. While research is far from linear, in general, this is how research projects progress sequentially. Researchers begin with a working question, and through engaging with the literature, develop and refine those questions into research questions (a process we will finalize in Chapter 9). But in order to get to the part where you gather your sample, measure your participants, and analyze your data, you need to start with paradigm. Based on your work in section 5.3, you should have a sense of which paradigm or paradigms are best suited to answering your question. The approach taken will often reflect the nature of the research question; the kind of data it is possible to collect; and work previously done in the area under consideration. When evaluating paradigm and theory, it is important to look at what other authors have done previously and the framework used by studies that are similar to the one you are thinking of conducting.

Once you situate your project in a research paradigm, it becomes possible to start making concrete choices about methods. Depending on the project, this will involve choices about things like:

• What is my final research question?
• What are the key variables and concepts under investigation, and how will I measure them?
• How do I find a representative sample of people who experience the topic I’m studying?
• What design is most appropriate for my research question?
• How will I collect and analyze data?
• How do I determine whether my results describe real patterns in the world or are the result of bias or error?

The data collection phase can begin once these decisions are made. It can be very tempting to start collecting data as soon as possible in the research process as this gives a sense of progress. However, it is usually worth getting things exactly right before collecting data as an error found in your approach further down the line can be harder to correct or recalibrate around.

Designing a study using paradigm and theory: An example

Paradigm and theory have the potential to turn some people off since there is a lot of abstract terminology and thinking about real-world social work practice contexts. In this section, I’ll use an example from my own research, and I hope it will illustrate a few things. First, it will show that paradigms are really just philosophical statements about things you already understand and think about normally. It will also show that no project neatly sits in one paradigm and that a social work researcher should use whichever paradigm or combination of paradigms suit their question the best. Finally, I hope it is one example of how to be a pragmatist and strategically use the strengths of different theories and paradigms to answering a research question. We will pick up the discussion of mixed methods in the next chapter.

Thinking as an expert: Positivism

In my undergraduate research methods class, I used an open textbook much like this one and wanted to study whether it improved student learning. You can read a copy of the article we wrote on based on our study . We’ll learn more about the specifics of experiments and evaluation research in Chapter 13, but you know enough to understand what evaluating an intervention might look like. My first thought was to conduct an experiment, which placed me firmly within the positivist or “expert” paradigm.

Experiments focus on isolating the relationship between cause and effect. For my study, this meant studying an open textbook (the cause, or intervention) and final grades (the effect, or outcome). Notice that my position as “expert” lets me assume many things in this process. First, it assumes that I can distill the many dimensions of student learning into one number—the final grade. Second, as the “expert,” I’ve determined what the intervention is: indeed, I created the book I was studying, and applied a theory from experts in the field that explains how and why it should impact student learning.

Theory is part of applying all paradigms, but I’ll discuss its impact within positivism first. Theories grounded in positivism help explain why one thing causes another. More specifically, these theories isolate a causal relationship between two (or more) concepts while holding constant the effects of other variables that might confound the relationship between the key variables. That is why experimental design is so common in positivist research. The researcher isolates the environment from anything that might impact or bias the cause and effect relationship they want to investigate.

But in order for one thing to lead to change in something else, there must be some logical, rational reason why it would do so. In open education, there are a few hypotheses (though no full-fledged theories) on why students might perform better using open textbooks. The most common is the access hypothesis , which states that students who cannot afford expensive textbooks or wouldn’t buy them anyway can access open textbooks because they are free, which will improve their grades. It’s important to note that I held this theory prior to starting the experiment, as in positivist research you spell out your hypotheses in advance and design an experiment to support or refute that hypothesis.

Notice that the hypothesis here applies not only to the people in my experiment, but to any student in higher education. Positivism seeks generalizable truth, or what is true for everyone. The results of my study should provide evidence that  anyone  who uses an open textbook would achieve similar outcomes. Of course, there were a number of limitations as it was difficult to tightly control the study. I could not randomly assign students or prevent them from sharing resources with one another, for example. So, while this study had many positivist elements, it was far from a perfect positivist study because I was forced to adapt to the pragmatic limitations of my research context (e.g., I cannot randomly assign students to classes) that made it difficult to establish an objective, generalizable truth.

Thinking like an empathizer: constructivism

One of the things that did not sit right with me about the study was the reliance on final grades to signify everything that was going on with students. I added another quantitative measure that measured research knowledge, but this was still too simplistic. I wanted to understand how students used the book and what they thought about it. I could create survey questions that ask about these things, but to get at the subjective truths here, I thought it best to use focus groups in which students would talk to one another with a researcher moderating the discussion and guiding it using predetermined questions. You will learn more about focus groups in Chapter 18.

Researchers spoke with small groups of students during the last class of the semester. They prompted people to talk about aspects of the textbook they liked and didn’t like, compare it to textbooks from other classes, describe how they used it, and so forth. It was this focus on  understanding and subjective experience that brought us into the constructivist paradigm. Alongside other researchers, I created the focus group questions but encouraged researchers who moderated the focus groups to allow the conversation to flow organically.

We originally started out with the assumption, for which there is support in the literature, that students would be angry with the high-cost textbook that we used prior to the free one, and this cost shock might play a role in students’ negative attitudes about research. But unlike the hypotheses in positivism, these are merely a place to start and are open to revision throughout the research process. This is because the researchers are not the experts, the participants are! Just like your clients are the experts on their lives, so were the students in my study. Our job as researchers was to create a group in which they would reveal their informed thoughts about the issue, coming to consensus around a few key themes.

When we initially analyzed the focus groups, we uncovered themes that seemed to fit the data. But the overall picture was murky. How were themes related to each other? And how could we distill these themes and relationships into something meaningful? We went back to the data again. We could do this because there isn’t one truth, as in positivism, but multiple truths and multiple ways of interpreting the data. When we looked again, we focused on some of the effects of having a textbook customized to the course. It was that customization process that helped make the language more approachable, engaging, and relevant to social work practice.

Ultimately, our data revealed differences in how students perceived a free textbook versus a free textbook that is customized to the class. When we went to interpret this finding, the remix  hypothesis of open textbook was helpful in understanding that relationship. It states that the more faculty incorporate editing and creating into the course, the better student learning will be. Our study helped flesh out that theory by discussing the customization process and how students made sense of a customized resource.

In this way, theoretical analysis operates differently in constructivist research. While positivist research tests existing theories, constructivist research creates theories based on the stories of research participants. However, it is difficult to say if this theory was totally emergent in the dataset or if my prior knowledge of the remix hypothesis influenced my thinking about the data. Constructivist researchers are encouraged to put a box around their previous experiences and beliefs, acknowledging them, but trying to approach the data with fresh eyes. Constructivists know that this is never perfectly possible, though, as we are always influenced by our previous experiences when interpreting data and conducting scientific research projects.

Thinking like an activist: Critical

Although adding focus groups helped ease my concern about reducing student learning down to just final grades by providing a more rich set of conversations to analyze. However, my role as researcher and “expert” was still an important part of the analysis. As someone who has been out of school for a while, and indeed has taught this course for years, I have lost touch with what it is like to be a student taking research methods for the first time. How could I accurately interpret or understand what students were saying? Perhaps I would overlook things that reflected poorly on my teaching or my book. I brought other faculty researchers on board to help me analyze the data, but this still didn’t feel like enough.

By luck, an undergraduate student approached me about wanting to work together on a research project. I asked her if she would like to collaborate on evaluating the textbook with me. Over the next year, she assisted me with conceptualizing the project, creating research questions, as well as conducting and analyzing the focus groups. Not only would she provide an “insider” perspective on coding the data, steeped in her lived experience as a student, but she would serve as a check on my power through the process.

Including people from the group you are measuring as part of your research team is a common component of critical research. Ultimately, critical theorists would find my study to be inadequate in many ways. I still developed the research question, created the intervention, and wrote up the results for publication, which privileges my voice and role as “expert.” Instead, critical theorists would emphasize the role of students (community members) in identifying research questions, choosing the best intervention to used, and so forth. But collaborating with students as part of a research team did address some of the power imbalances in the research process.

Critical research projects also aim to have an impact on the people and systems involved in research. No students or researchers had profound personal realizations as a result of my study, nor did it lessen the impact of oppressive structures in society. I can claim some small victory that my department switched to using my textbook after the study was complete (changing a system), though this was likely the result of factors other than the study (my advocacy for open textbooks).

Social work research is almost always designed to create change for people or systems. To that end, every social work project is at least somewhat critical. However, the additional steps of conducting research with people rather than on people reveal a depth to the critical paradigm. By bringing students on board the research team, study had student perspectives represented in conceptualization, data collection, and analysis. That said, there was much to critique about this study from a critical perspective. I retained a lot of the power in the research process, and students did not have the ability to determine the research question or purpose of the project. For example, students might likely have said that textbook costs and the quality of their research methods textbook were less important than student debt, racism, or other potential issues experienced by students in my class. Instead of a ground-up research process based in community engagement, my research included some important participation by students on project created and led by faculty.

Designing research is an iterative process

I hope this conversation was useful in applying paradigms to a research project. While my example discusses education research, the same would apply for social work research about social welfare programs, clinical interventions, or other topics. Paradigm and theory are covered at the beginning of the project because these assumptions will structure the rest of the project. Each of the research steps that occur after this chapter (e.g., forming a question, choosing a design) rely upon philosophical and theoretical assumptions. As you continue designing a project, you may find yourself shifting between paradigms. That is normal, as conceptualization is not a linear process. As you move through the next steps of conceptualizing and designing a project, you’ll find philosophies and theories that best match how you want to study your topic.

Viewing theoretical and empirical arguments through this lens is one of the true gifts of the social work approach to research. The multi-paradigmatic perspective is a hallmark of social work research and one that helps us contribute something unique on research teams and in practice.

• Multi-paradigmatic research is a distinguishing hallmark of social work research. Understanding the limitations and strengths of each paradigm will help you justify your research approach and strategically choose elements from one or more paradigms to answer your question.
• Paradigmatic assumptions help you understand the “blind spots” in your research project and how to adjust and address these areas. Keep in mind, it is not necessary to address all of your blind spots, as all projects have limitations.

Post-awareness check (Emotion)

Of the introduced social science paradigms, which would you say aligns with your current perspective on your research topic?

• Sketch out which paradigm applies best to your project. Second, building on your answer to the exercise in section 6.3, identify how the theory you chose and the paradigm in which you find yourself are consistent or are in conflict with one another. For example, if you are using systems theory in a positivist framework, you might talk about how they both rely on a deterministic approach to human behavior with a focus on the status-quo and social order.
• Select one paradigm and one theoretical framework. How does your selected theoretical framework align with your paradigm? How could the theory and paradigm together inform the overall research design?
• An, S., Yoo, J., & Nackerud, L. G. (2015). Using game theory to understand screening for domestic violence under the TANF family violence option.  Advances in Social Work ,  16 (2), 338-357. ↵
• Pellebon, D. A. (2007). An analysis of Afrocentricity as theory for social work practice.  Advances in Social Work ,  8 (1), 169-183. ↵
• Jacobs, L. A., Kim, M. E., Whitfield, D. L., Gartner, R. E., Panichelli, M., Kattari, S. K., ... & Mountz, S. E. (2021). Defund the police: Moving towards an anti-carceral social work.  Journal of Progressive Human Services ,  32 (1), 37-62. ↵
• Tan, C. (2016). Investigator bias and theory-ladenness in cross-cultural research: Insights from Wittgenstein. Current Issues in Comparative Education ,  18 (1), 83-95. ↵

a network of linked concepts that together provide a rationale for a research project or analysis; theoretical frameworks are based in theory and empirical literature

Doctoral Research Methods in Social Work Copyright © by Mavs Open Press. All Rights Reserved.

Share This Book

info This is a space for the teal alert bar.

notifications This is a space for the yellow alert bar.

Research Process

• Brainstorming
• Explore Google This link opens in a new window
• Explore Web Resources
• Explore Background Information
• Explore Books
• Explore Scholarly Articles
• Narrowing a Topic
• Primary and Secondary Resources
• Academic, Popular & Trade Publications
• Scholarly and Peer-Reviewed Journals
• Grey Literature
• Clinical Trials
• Evidence Based Treatment
• Scholarly Research
• Database Research Log
• Search Limits
• Keyword Searching
• Boolean Operators
• Phrase Searching
• Truncation & Wildcard Symbols
• Proximity Searching
• Field Codes
• Subject Terms and Database Thesauri
• Reading a Scientific Article
• Website Evaluation
• Article Keywords and Subject Terms
• Cited References
• Citing Articles
• Related Results
• Search Within Publication
• Database Alerts & RSS Feeds
• Personal Database Accounts
• Persistent URLs
• Literature Gap and Future Research
• Web of Knowledge
• Annual Reviews
• Systematic Reviews & Meta-Analyses
• Finding Seminal Works
• Exhausting the Literature
• Finding Dissertations
• Researching Theoretical Frameworks
• Research Methodology & Design
• Tests and Measurements
• Organizing Research & Citations This link opens in a new window
• Scholarly Publication
• Learn the Library This link opens in a new window

Learn Frameworks via Email

Over the course of 7 days, you will receive bite-sized lessons in your email about researching theoretical and conceptual frameworks. 

• Click on the link below.
• Complete the very short registration form.
• Check your email!
• Theoretical & Conceptual Frameworks - email series

Additional Guidance

• Organizing Your Social Sciences Research Paper: Theoretical Framework University of Southern California
• The Research Planning Process: Theoretical Framework (video)
• Theoretical Framework (video)
• Understanding, selecting, and integrating a Theoretical framework in dissertation research: Creating the blueprint for your “house” Grant, C., & Osanloo, A. (2014). Understanding, Selecting, and Integrating a Theoretical Framework in Dissertation Research: Creating the Blueprint for Your "House". Administrative Issues Journal: Connecting Education, Practice, And Research, 4(2), 12-26.
• What is a Theoretical Framework? Merriam, S. B., & Tisdell, E. J. (2015). Qualitative research: A guide to design and implementation. John Wiley & Sons.

NU Dissertation Center

If you are looking for a document in the Dissertation Center or Applied Doctoral Center and can't find it please contact your Chair or The Center for Teaching and Learning at [email protected]

• NCU Dissertation Center Find valuable resources and support materials to help you through your doctoral journey.
• Applied Doctoral Center Collection of resources to support students in completing their project/dissertation-in-practice as part of the Applied Doctoral Experience (ADE).

Theoretical Frameworks

Theoretical frameworks provide a particular perspective, or lens, through which to examine a topic. There are many different lenses, such as psychological theories, social theories, organizational theories and economic theories, which may be used to define concepts and explain phenomena. Sometimes these frameworks may come from an area outside of your immediate academic discipline. Using a theoretical framework for your dissertation can help you to better analyze past events by providing a particular set of questions to ask, and a particular perspective to use when examining your topic.

Traditionally, Ph.D. and Applied Degree research must include relevant theoretical framework(s) to frame, or inform, every aspect of the dissertation. Further, Ph.D. dissertations should make an original contribution to the field by adding support for the theory, or, conversely, demonstrating ways in which the theory may not be as explanatory as originally thought. You can learn more about the theoretical framework requirements in the NU Dissertation Center .

It can be difficult to find scholarly work that takes a particular theoretical approach because articles, books, and book chapters are typically described according to the topics they tackle rather than the methods they use to tackle them. Further, there is no single database or search technique for locating theoretical information. However, the suggestions below provide techniques for locating possible theoretical frameworks and theorists in the Library databases. In addition to your Library research, you should discuss possible theories your Dissertation Chair to ensure they align with your study. Also, keep in mind that you will probably find and discard several potential theoretical frameworks before one is finally chosen.

• The Theoretical Framework Guide from the NU Center for Teaching and Learning
• Theoretical Frameworks Entry from the The SAGE Encyclopedia of Qualitative Research Methods
• Theoretical Frameworks in Qualitative Research Book effectively explains, through discussion and example, what a theoretical framework is, how it is used in qualitative research, and the effects it has on the research process.

Conceptual Frameworks

A conceptual framework provides the concept or set of related concepts supporting the basis or foundation of a study. It creates a conceptual model for possible strategies or courses of action identified as important for researching a particular problem or issue. While a conceptual framework is often referred to interchangeably with a theoretical framework, it maintains a distinct purpose. A conceptual framework is used to clarify concepts, organize ideas, and identify relationships with which to frame a study. Concepts are logically developed and organized to support an overall framework and often exhibited graphically within dissertation research. Note that a dissertation may include both a theoretical framework and a conceptual framework.

The suggestions below provide techniques for locating possible conceptual frameworks in the Library databases. Note when examples may use the term "theoretical framework," you may change your search terms to "conceptual framework." In addition to your Library research, you should discuss possible frameworks your Dissertation Chair to ensure they align with your study. Also, keep in mind that you will probably find and discard several potential conceptual frameworks before one is finally chosen.

• The Conceptual Framework Guide from the NU Center for Teaching and Learning
• Conceptual Framework Entry from the SAGE Encyclopedia of Educational Research, Measurement, and Evaluation

Researching Theoretical & Conceptual Frameworks Workshop

This workshop presents search techniques for researching theoretical and conceptual frameworks both online and in the NU Library.

• E-Book Databases
• ProQuest Dissertations & Theses
• NavigatorSearch
• SAGE Research Methods
• Web of Science

Content: A reference database useful for accessing scholarly definitions, background and contextual information. Subjects covered include art, biography, business, economics, education, history, literature, music, psychology, religion, and science and technology.

Purpose: An excellent starting point for brainstorming a research topic and building out your initial search terms list.

Special Features: Mindmap; related articles; image search

Content: Ebooks with coverage across all academic disciplines. The collection offers a critical mass of more than 150,000 foundational scholarly ebooks with balanced quantity and quality to improve teaching, learning and research workflow and outcomes.

Purpose: Provides access to multidisciplinary ebooks for download or to be read online.

Special Features: Browse by subject option; highlight and take notes in text.

Help using this database.

Content : Books, chapters, and peer-reviewed content about a diverse range of topics.

Purpose: Users may access full text, and authoritative information about many topics.

Special Features: Users may explore topics and subjects.

Use the Library’s e-book databases to gather background information on a particular theory or theorist. Since the e-book databases will contain fewer resources than a database containing thousands of scholarly journal articles, it is best to keep your search terms a little more broad.

For example, a search for education theory in the Ebook Central database results in many relevant e-books, as shown below. Expanding the Table of Contents will provide additional details about the e-book.

Encyclopedias and handbooks will also provide reliable background information on particular theories. For example, a search for cognitive developmental theory in the Credo Reference database results in a number of reference entries which discuss the history of the theory, identify relevant theorists, and cite seminal research studies.

You may search for theorists and theoretical information using Google and Google Scholar , as well. However, please keep in mind that you will need to be more discriminating when it comes to using material found on open access websites. We recommend reviewing the Website Evaluation guidelines when considering online sources.

One method that may be used in Google is limiting your search by a particular domain name. If a website ends in .org, .gov, or .edu, it is more likely to be a scholarly source. If it ends in .com or .net it is less likely to be a scholarly source. In the search below, for example, we have limited our search for "leadership theories" to just those websites ending with .edu. You may also find this domain limiter under Tools>Advanced Search.

Note: Limiting to a particular domain is not necessary in Google Scholar, as all results in Google Scholar may be considered scholarly. This may include articles, theses, books, abstracts and court opinions, material from academic publishers, professional societies, online repositories, universities and other web sites.

For additional information, see the following:

• Google for School LibGuide
• Google Scholar Quick Tutorial Video A short video demonstration of using Google Scholar for academic research.
• Limit By Domain FAQ

Content: National University & NCU student dissertations and literature reviews.

Purpose: Use for foundational research, to locate test instruments and data, and more. 

Special Features: Search by advisor (chair), degree, degree level, or department. Includes a read-aloud feature.

Content: Global student dissertations and literature reviews.

Special Features: Search by advisor (chair), degree, degree level, or department. Includes a read-aloud feature

The ProQuest Dissertations & Theses database (PQDT) is the world's most comprehensive collection of dissertations and theses. It is the database of record for graduate research, with over 2.3 million dissertations and theses included from around the world.

Since most doctoral research requires a theoretical framework, looking at completed dissertations related to your topic is an effective way to identify relevant theories and theorists. ProQuest Dissertations & Theses Global provides access to over 3 million full text doctoral dissertations and graduate theses. You may limit your search to only doctoral dissertations by using the Advanced Search screen. Look at the table of contents or abstract for reference to theoretical framework, as shown below. The dissertation’s references/bibliography will have a full citation to the original theorist’s research.

Content: Scholarly journals, e-books, videos and more. 

Purpose: A key multidisciplinary database for most topics. It is one of the library’s main search engines and the most comprehensive single search. 

Note: Certain library databases and publisher content are not searchable in NavigatorSearch, and individual databases may need to be searched to retrieve information due to unique content. NavigatorSearch can be found at https://resources.nu.edu .

On the NavigatorSearchscreen, include theor* as one your search terms, as shown below. It will retrieve results that include one of the following keywords: theory, theories, theoretical, theorist, or theorists . It is important to keep in mind, however, that this is not a foolproof method for locating theoretical frameworks. Scholars will often cite theory or theorists in order to refute them, or because they are saying something that's tangentially related, or they may even just refer to theory briefly in passing. In our example, we have selected the field for AB Abstract because if theory is mentioned within the abstract, the study is more likely to take a theoretical approach.  

As shown below, results from our example search clearly include articles which apply theory to the topic of curriculum design.  

Remember to look past the article title. Theoretical information may be mentioned in a subheading, or referred to elsewhere in the document. Use the FIND feature in your PDF viewer or internet browser to scan the document for terms such as theor*  (to pull up theory, theorist, theoretical), framework, conceptual, perspective , etc., as shown below.

Content: Books, reference works, journal articles, and instructional videos on research methods and design. 

Purpose: Use to learn more about qualitative, quantitative, and mixed methods research. 

Special Features: Includes a methods map, project planner, and "which stats" test

SAGE Research Methods  is a multimedia database containing more than 1,000 books, reference works, journal articles, and instructional videos covering every step of the research process. It includes e-books and e-book chapters which may help you better understand the theoretical framework aspect of your research study. A selection of resources is included below:

Searching in SAGE Research Methods

Use the main search bar to locate information about theoretical frameworks. Search the general phrase "theoretical frameworks," or the name of a specific theoretical framework like "social cognitive theory," in quotation marks to yield results with that specific phrase. See the example below.

You may also browse content in this database by Discipline . Select  Browse  on the top navigation to view a list of key topics.

• Anfara, V. (2008). Theoretical frameworks. In L. M. Given (Ed.), The SAGE Encyclopedia of Qualitative Research Methods. (pp. 870-874). Thousand Oaks, CA: SAGE Publications, Inc.
• Anfara, V. A., & Mertz, N. T. (Eds.). (2006). Theoretical frameworks in qualitative research. Thousand Oaks, CA: SAGE Publications, Inc.
• Theoretical framework. (2014). In Walker, R., & Solvason, C. Success with your early years research project (pp. 21-32). London: SAGE Publications Ltd.

Content: Citations and articles in multi-disciplines not found through a NavigatorSearch.

Purpose: Used to conduct topic searches as well as find additional resources that have cited a specific resource (citation network).

You may conduct a Cited Reference Search in Web of Science to find articles that cite a primary theorist in your area. These articles are likely to tackle your topic through your theoretical lens, or will point you toward another article that does. To access Web of Knowledge, go to A-Z Databases from the Library’s home page.

On the Web of Science home page, click on Cited Reference Search  to search for articles that cite a person's work. 

Enter the name of a key theorist in your area (in our example, John Dewey) in the format they specify (in this case Dewey J*), as shown below, and press "Search."

On the results screen, select the appropriate Web of Science category under Refine Results. For example, we could select “Education Educational Research” and then click “Refine.” You may wish to further refine by Document Type, Research Area, Author, etc. (also located on the left hand menu). Sorting your results by “Times Cited - Oldest to Newest"  is an effective way to discover the most frequently cited works. 

• 12Manage Global knowledge platform on management and business administration, including descriptions of frameworks. Requires free email sign up.
• Academic Theories Includes alphabetical listing of theories, as well as grouping by type.
• Communication Theories Provides list of communication theories grouped according to topic.
• Psychological Theories Browse alphabetically or use the clusters feature to view theories grouped by similar topics or approaches.
• Theories Used in Information Systems (IS) Research Click on a linked theory name to find details about the theory, some examples of IS papers using the theory, and links to related sites.

Was this resource helpful?

• << Previous: Finding Dissertations
• Next: Research Methodology & Design >>
• Last Updated: Mar 31, 2024 4:57 PM
• URL: https://resources.nu.edu/researchprocess

© Copyright 2024 National University. All Rights Reserved.

Privacy Policy | Consumer Information

Have a language expert improve your writing

Run a free plagiarism check in 10 minutes, automatically generate references for free.

• Knowledge Base
• Dissertation

Example Theoretical Framework of a Dissertation or Thesis

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

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

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

Instantly correct all language mistakes in your text

Be assured that you'll submit flawless writing. Upload your document to correct all your mistakes.

Table of contents

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

Your theoretical framework is based on:

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

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

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

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

Some sub-questions could include:

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

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

The only proofreading tool specialized in correcting academic writing

The academic proofreading tool has been trained on 1000s of academic texts and by native English editors. Making it the most accurate and reliable proofreading tool for students.

Correct my document today

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

Customer satisfaction

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

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

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

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

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

Thomassen’s Customer Satisfaction Model

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

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

Figure 1 Customer satisfaction creation 

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

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

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

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

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 Reference Generator.

Vinz, S. (2022, October 10). Example Theoretical Framework of a Dissertation or Thesis. Scribbr. Retrieved 2 April 2024, from https://www.scribbr.co.uk/thesis-dissertation/example-theoretical-framework/

Is this article helpful?

Sarah's academic background includes a Master of Arts in English, a Master of International Affairs degree, and a Bachelor of Arts in Political Science. She loves the challenge of finding the perfect formulation or wording and derives much satisfaction from helping students take their academic writing up a notch.

Other students also liked

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

Organizing Academic Research Papers: Theoretical Framework

• Purpose of Guide
• Design Flaws to Avoid
• Glossary of Research Terms
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• Executive Summary
• Background Information
• The Research Problem/Question
• Theoretical Framework
• Citation Tracking
• Content Alert Services
• Evaluating Sources
• Primary Sources
• Secondary Sources
• Tertiary Sources
• What Is Scholarly vs. Popular?
• Qualitative Methods
• Quantitative Methods
• Using Non-Textual Elements
• Limitations of the Study
• Common Grammar Mistakes
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
• Annotated Bibliography
• Dealing with Nervousness
• Using Visual Aids
• Grading Someone Else's Paper
• How to Manage Group Projects
• Multiple Book Review Essay
• Reviewing Collected Essays
• About Informed Consent
• Writing Field Notes
• Writing a Policy Memo
• Writing a Research Proposal
• Acknowledgements

Theories are formulated to explain, predict, and understand phenomena and, in many cases, to challenge and extend existing knowledge, within the limits of the critical bounding assumptions. The theoretical framework is the structure that can hold or support a theory of a research study. The theoretical framework introduces and describes the theory which explains why the research problem under study exists.

Importance of Theory

A theoretical framework consists of concepts, together with their definitions, and existing theory/theories that are 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 will relate it to the broader fields of knowledge in the class you are taking.

The theoretical framework is not something that is found readily available in the literature . You must review course readings and pertinent research literature 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 move from simply describing a phenomenon observed to generalizing about various aspects of that phenomenon.
• Having a theory helps you to identify the limits to those generalizations. A theoretical framework specifies which key variables influence a phenomenon of interest. It alerts you to examine how those key variables might differ and under what circumstances.

By virtue of its application nature, good theory in the social sciences is of value precisely because it fulfills one primary purpose: to explain the meaning, nature, and challenges of 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; Drafting an Argument . Writing@CSU. Colorado State University; Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006.

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 on 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 answers to your research question.
• List  the constructs and variables that might be relevant to your study. Group these variables into independent and dependent categories.
• Review the key social science theories that are introduced to you in your course readings and choose the theory or theories 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, understanding concepts and variables according to the given definitions, and building 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 the 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,
• Way of telling us that certain facts among the accumulated knowledge 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 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; 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, you are expected to test the validity of an 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 between 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 growing split between southern and northern Sudan that may likely lead 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 . Given this, it is perhaps easiest to understand the nature and function of a theoretical framework if it is viewed as the 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 could choose 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 .

In writing 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 . 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 framework you've chosen is the appropriate one.
• The present tense is used when writing about theory.
• 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 limitiations of the theoretical framework you've chosen [i.e., what parts of the research problem require further investigation because the theory does not explain 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); Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006.

Writing Tip

Borrowing Theoretical Constructs from Elsewhere

A growing and increasingly important trend in the social sciences is to think about and attempt to understand specific research problems from an interdisciplinary perspective. One way to do this is to not rely exclusively on the theories you've read about in a particular class, 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 incumbants 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 fully engaged in the research topic.

Another Writing Tip

Don't Undertheorize!

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

Still Another Writing Tip

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

The terms theory and hypothesis are often used interchangeably in everyday use. However, the difference between them 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 hypotheses that are widely accepted [e.g., rational choice theory; grounded 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 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.

• << Previous: The Research Problem/Question
• Next: 5. The Literature Review >>
• Last Updated: Jul 18, 2023 11:58 AM
• URL: https://library.sacredheart.edu/c.php?g=29803
• QuickSearch
• Library Catalog
• Databases A-Z
• Publication Finder
• Course Reserves
• Citation Linker
• Digital Commons
• Our Website

Research Support

• Ask a Librarian
• Appointments
• Interlibrary Loan (ILL)
• Research Guides
• Databases by Subject
• Citation Help

Using the Library

• Reserve a Group Study Room
• Renew Books
• Honors Study Rooms
• Off-Campus Access
• Library Policies
• Library Technology

User Information

• Grad Students
• Online Students
• COVID-19 Updates
• Staff Directory
• News & Announcements
• Library Newsletter

My Accounts

• Interlibrary Loan
• Staff Site Login

FIND US ON  

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

• Introduction and overview
• What is qualitative research?
• What is qualitative data?
• Examples of qualitative data
• Qualitative vs. quantitative research
• Mixed methods
• Qualitative research preparation
• Theoretical perspective
• Introduction

Strategies for developing the theoretical framework

• Literature reviews
• Research question
• Conceptual framework
• Conceptual vs. theoretical framework
• Data collection
• Qualitative research methods
• Focus groups
• Observational research
• Case studies
• Ethnographical research
• Ethical considerations
• Confidentiality and privacy
• Power dynamics
• Reflexivity

Theoretical framework

The theoretical perspective provides the broader lens or orientation through which the researcher views the research topic and guides their overall understanding and approach. The theoretical framework, on the other hand, is a more specific and focused framework that connects the theoretical perspective to the data analysis strategy through pre-established theory.

A useful theoretical framework provides a structure for organizing and interpreting the data collected during the research study. Theoretical frameworks provide a specific lens through which the data is examined, allowing the researcher to identify recurring patterns, themes, and categories related to your research inquiry based on relevant theory.

Let's explore the idea of the theoretical framework in greater detail by exploring its place in qualitative research, particularly how it is generated and how it contributes to and guides your research study.

Theoretical framework vs. theoretical perspective

While these two terms may sound similar, they play very distinct roles in qualitative research . A theoretical perspective refers to the philosophical stance informing the methodology and thus provides a context for the research process. These perspectives could be rooted in various schools of thought like postmodernism, constructivism, or positivism, which fundamentally shape how researchers perceive reality and construct knowledge.

On the other hand, the theoretical framework represents the structure that can hold or support a theory of a research study. It presents a logical structure of connected concepts that help the researcher understand, explain, and predict how phenomena are interrelated. The theoretical framework can pull together various theories or ideas from different perspectives to provide a comprehensive approach to addressing the research problem.

Moreover, theoretical frameworks provide useful guidance as to which research methods are appropriate for your research project. If the theoretical framework you employ is relevant to individual perspectives and beliefs, then interviews may be more suitable for your research. On the other hand, if you are utilizing an existing theory about a certain social behavior, then ethnographic observations can help you more ably capture data from social interactions.

Later in this guide, we will also discuss conceptual frameworks , which help you visualize the essential concepts and data points in the context you are studying. For now, it is important to emphasize that these are all related but ultimately different ideas.

Example of a theoretical framework

Let's look at a simple example of a theoretical framework used to address a social science research problem. Consider a study examining the impact of social media on body image among adolescents. The theoretical perspective might be rooted in social constructivism, based on the assumption that our understanding of reality is shaped by social interactions and cultural context.

The theoretical framework, then, could draw on one or several theories to provide a comprehensive structure for examining this issue. For instance, it might combine elements of "social comparison theory" (which suggests that individuals determine their own social and personal worth based on how they stack up against others), "self-perception theory" (which posits that individuals develop their attitudes by observing their own behavior and concluding what attitudes must have caused it), and "cultivation theory" (which suggests that long-term immersion in a media environment leads to "cultivation", or adopting the attitudes and beliefs portrayed in the media).

This framework would provide the structure to understand how social media exposure influences adolescents' perceptions of their bodies, how they compare themselves to images seen on social media, and how these influences may shape their attitudes toward their own bodies.

Put your theories into focus with ATLAS.ti

Powerful data analysis to turn your data into insights and theory. Download a free trial today.

Other examples of theoretical frameworks

Let's briefly look at examples in other fields to put the idea of "theoretical framework" in greater context.

Political science

In a study investigating the influence of lobbying on legislative decisions, the theoretical framework could be rooted in the "pluralist theory" and "elite theory".

Pluralist theory views politics as a competition among groups, each one pressing for its preferred policies, while elite theory suggests that a small, cohesive elite group makes the most important decisions in society. The framework could combine these theories to examine the power dynamics in legislative decisions and the role of lobbying groups in influencing these outcomes.

Educational research

An educational research study aiming to understand the impact of parental involvement on children's academic success could employ a theoretical framework based on Bronfenbrenner's ecological systems theory and Epstein's theory of overlapping spheres of influence.

The ecological systems theory emphasizes the importance of multiple environmental systems on child development, while Epstein's theory focuses on the partnership between family, school, and community. The intersection of these theories allows for a comprehensive examination of parental involvement both in and outside of the school context.

Health services research

In a health services study exploring factors affecting patient adherence to medication regimes, the theoretical framework could draw from the health belief model and social cognitive theory.

The health belief model posits that people's beliefs about health problems, perceived benefits of action and barriers to action, and self-efficacy explain engagement in health-promoting behavior.

The social cognitive theory emphasizes the role of observational learning, social experience, and reciprocal determinism in behavior change. The framework combining these theories provides a holistic understanding of both personal and social influences on patient medication adherence.

Developing a theoretical framework involves a multi-step process that begins with a thorough literature review . This allows you to understand the existing theories and research related to your topic and identify gaps or unresolved puzzles that your study can address.

1. Identify key concepts: These might be the phenomena you are studying, the attributes of these phenomena, or the relationships between them. Identifying these can help you define the relevant data points to analyze.

2. Find relevant theories: Conduct a literature review to search for existing theories in academic research papers that relate to your key concepts. These theories might explain the phenomena you are studying, provide context for it, or suggest how the phenomena might be related. You can build off of one theory or multiple theories, but what is most important is that the theory is aligned with the concepts and research problem you are studying.

3. Map relationships: Outline how the theories you have found relate to one another and to your key concepts. This might involve drawing a diagram or writing a narrative that explains these relationships.

4. Refine the framework: As you conduct your research, refine your theoretical framework. This might involve adding new concepts or theories, removing concepts or theories that do not fit your data, or changing how you conceptualize the relationships between theories.

Remember, the theoretical framework is not set in stone. At the same time, it may start with existing knowledge, it is important to develop your own framework as you gather more data and gain a deeper understanding of your research topic and context.

In the end, a good theoretical framework guides your research question and methods so that you can ultimately generate new knowledge and theory that meaningfully contributes to the existing conversation around a topic.

Visualize your theories and analysis with ATLAS.ti

From literature review to research paper, ATLAS.ti makes the research process easier and more efficient. See how with a free trial.

• school Campus Bookshelves
• menu_book Bookshelves
• perm_media Learning Objects
• login Login
• how_to_reg Request Instructor Account
• hub Instructor Commons
• Download Page (PDF)
• Download Full Book (PDF)
• Periodic Table
• Physics Constants
• Scientific Calculator
• Reference & Cite
• Tools expand_more
• Readability

selected template will load here

This action is not available.

7.4: Developing your theoretical framework

• Last updated
• Save as PDF
• Page ID 135121

• Matthew DeCarlo, Cory Cummings, & Kate Agnelli
• Open Social Work Education

Learning Objectives

Learners will be able to…

• Differentiate between theories that explain specific parts of the social world versus those that are more broad and sweeping in their conclusions
• Identify the theoretical perspectives that are relevant to your project and inform your thinking about it
• Define key concepts in your working question and develop a theoretical framework for how you understand your topic.

Much like paradigms, theories provide a way of looking at the world and of understanding human interaction. Paradigms are grounded in big assumptions about the world—what is real, how do we create knowledge—whereas theories describe more specific phenomena. Well, we are still oversimplifying a bit. Some theories try to explain the whole world, while others only try to explain a small part. Some theories can be grouped together based on common ideas but retain their own individual and unique features. Our goal is to help you find a theoretical framework that helps you understand your topic more deeply and answer your working question.

Theories: Big and small

In your human behavior and the social environment (HBSE) class, you were introduced to the major theoretical perspectives that are commonly used in social work. These are what we like to call big-T ‘T’heories. When you read about systems theory, you are actually reading a synthesis of decades of distinct, overlapping, and conflicting theories that can be broadly classified within systems theory. For example, within systems theory, some approaches focus more on family systems while others focus on environmental systems, though the core concepts remain similar.

Different theorists define concepts in their own way, and as a result, their theories may explore different relationships with those concepts. For example, Deci and Ryan’s (1985)\(^{34}\) self-determination theory discusses motivation and establishes that it is contingent on meeting one’s needs for autonomy, competency, and relatedness. By contrast, ecological self-determination theory, as written by Abery & Stancliffe (1996),\(^{35}\) argues that self-determination is the amount of control exercised by an individual over aspects of their lives they deem important across the micro, meso, and macro levels. If self-determination were an important concept in your study, you would need to figure out which of the many theories related to self-determination helps you address your working question.

Theories can provide a broad perspective on the key concepts and relationships in the world or more specific and applied concepts and perspectives. Table 7.2 summarizes two commonly used lists of big-T Theoretical perspectives in social work. See if you can locate some of the theories that might inform your project.

Table 7.2: Broad theoretical perspectives in social work

Competing theoretical explanations

Within each area of specialization in social work, there are many other theories that aim to explain more specific types of interactions. For example, within the study of sexual harassment, different theories posit different explanations for why harassment occurs.

One theory, first developed by criminologists, is called routine activities theory. It posits that sexual harassment is most likely to occur when a workplace lacks unified groups and when potentially vulnerable targets and motivated offenders are both present (DeCoster, Estes, & Mueller, 1999).\(^{38}\)

Other theories of sexual harassment, called relational theories, suggest that one’s existing relationships are the key to understanding why and how workplace sexual harassment occurs and how people will respond when it does occur (Morgan, 1999).\(^{39}\) Relational theories focus on the power that different social relationships provide (e.g., married people who have supportive partners at home might be more likely than those who lack support at home to report sexual harassment when it occurs).

Finally, feminist theories of sexual harassment take a different stance. These theories posit that the organization of our current gender system, wherein those who are the most masculine have the most power, best explains the occurrence of workplace sexual harassment (MacKinnon, 1979).\(^{40}\) As you might imagine, which theory a researcher uses to examine the topic of sexual harassment will shape the questions asked about harassment. It will also shape the explanations the researcher provides for why harassment occurs.

For a graduate student beginning their study of a new topic, it may be intimidating to learn that there are so many theories beyond what you’ve learned in your theory classes. What’s worse is that there is no central database of theories on your topic. However, as you review the literature in your area, you will learn more about the theories scientists have created to explain how your topic works in the real world. There are other good sources for theories, in addition to journal articles. Books often contain works of theoretical and philosophical importance that are beyond the scope of an academic journal. Do a search in your university library for books on your topic, and you are likely to find theorists talking about how to make sense of your topic. You don’t necessarily have to agree with the prevailing theories about your topic, but you do need to be aware of them so you can apply theoretical ideas to your project.

Applying big-T theories to your topic

The key to applying theories to your topic is learning the  key concepts  associated with that theory and the  relationships  between those concepts, or  propositions . Again, your HBSE class should have prepared you with some of the most important concepts from the theoretical perspectives listed in Table 7.2. For example, the conflict perspective sees the world as divided into dominant and oppressed groups who engage in conflict over resources. If you were applying these theoretical ideas to your project, you would need to identify which groups in your project are considered dominant or oppressed groups, and which resources they were struggling over. This is a very general example. Challenge yourself to find small-t theories about your topic that will help you understand it in much greater detail and specificity. If you have chosen a topic that is relevant to your life and future practice, you will be doing valuable work shaping your ideas towards social work practice.

Integrating theory into your project can be easy, or it can take a bit more effort. Some people have a strong and explicit theoretical perspective that they carry with them at all times. For me, you’ll probably see my work drawing from exchange and choice, social constructionist, and critical theory. Maybe you have theoretical perspectives you naturally employ, like Afrocentric theory or person-centered practice. If so, that’s a great place to start since you might already be using that theory (even subconsciously) to inform your understanding of your topic. But if you aren’t aware of whether you are using a theoretical perspective when you think about your topic, try writing a paragraph off the top of your head or talking with a friend explaining what you think about that topic. Try matching it with some of the ideas from the broad theoretical perspectives from Table 7.2. This can ground you as you search for more specific theories. Some studies are designed to test whether theories apply the real world while others are designed to create new theories or variations on existing theories. Consider which feels more appropriate for your project and what you want to know.

Another way to easily identify the theories associated with your topic is to look at the concepts in your working question. Are these concepts commonly found in any of the theoretical perspectives in Table 7.2? Take a look at the Payne and Hutchison texts and see if any of those look like the concepts and relationships in your working question or if any of them match with how you think about your topic. Even if they don’t possess the exact same wording, similar theories can help serve as a starting point to finding other theories that can inform your project. Remember, HBSE textbooks will give you not only the broad statements of theories but also sources from specific theorists and sub-theories that might be more applicable to your topic. Skim the references and suggestions for further reading once you find something that applies well.

Choose a theoretical perspective from Hutchison, Payne, or another theory textbook that is relevant to your project. Using their textbooks or other reputable sources, identify :

• At least five important concepts from the theory
• What relationships the theory establishes between these important concepts (e.g., as x increases, the y decreases)
• How you can use this theory to better understand the concepts and variables in your project?

Developing your own theoretical framework

Hutchison’s and Payne’s frameworks are helpful for surveying the whole body of literature relevant to social work, which is why they are so widely used. They are one framework, or way of thinking, about all of the theories social workers will encounter that are relevant to practice. Social work researchers should delve further and develop a theoretical or conceptual framework of their own based on their reading of the literature. In  Chapter 8 , we will develop your theoretical framework further, identifying the cause-and-effect relationships that answer your working question. Developing a theoretical framework is also instructive for revising and clarifying your working question and identifying concepts that serve as keywords for additional literature searching. The greater clarity you have with your theoretical perspective, the easier each subsequent step in the research process will be.

Getting acquainted with the important theoretical concepts in a new area can be challenging. While social work education provides a broad overview of social theory, you will find much greater fulfillment out of reading about the theories related to your topic area. We discussed some strategies for finding theoretical information in  Chapter 3  as part of literature searching. To extend that conversation a bit, some strategies for searching for theories in the literature include:

• Consider searching for these keywords in the title or abstract, specifically
• Looking at the references and cited by links within theoretical articles and textbooks
• Looking at books, edited volumes, and textbooks that discuss theory
• Talking with a scholar on your topic, or asking a professor if they can help connect you to someone
• Nice authors are clear about how they use theory to inform their research project, usually in the introduction and discussion section.
• For example, from the broad umbrella of systems theory, you might pick out family systems theory if you want to understand the effectiveness of a family counseling program.

It’s important to remember that knowledge arises within disciplines, and that disciplines have different theoretical frameworks for explaining the same topic. While it is certainly important for the social work perspective to be a part of your analysis, social workers benefit from searching across disciplines to come to a more comprehensive understanding of the topic. Reaching across disciplines can provide uncommon insights during conceptualization, and once the study is completed, a multidisciplinary researcher will be able to share results in a way that speaks to a variety of audiences. A  study by An and colleagues  (2015)\(^{41}\) uses game theory from the discipline of economics to understand problems in the Temporary Assistance for Needy Families (TANF) program. In order to receive TANF benefits, mothers must cooperate with paternity and child support requirements unless they have “good cause,” as in cases of domestic violence, in which providing that information would put the mother at greater risk of violence. Game theory can help us understand how TANF recipients and caseworkers respond to the incentives in their environment, and highlight why the design of the “good cause” waiver program may not achieve its intended outcome of increasing access to benefits for survivors of family abuse.

Of course, there are natural limits on the depth with which student researchers can and should engage in a search for theory about their topic. At minimum, you should be able to draw connections across studies and be able to assess the relative importance of each theory within the literature. Just because you found one article applying your theory (like game theory, in our example above) does not mean it is important or often used in the domestic violence literature. Indeed, it would be much more common in the family violence literature to find psychological theories of trauma, feminist theories of power and control, and similar theoretical perspectives used to inform research projects rather than game theory, which is equally applicable to survivors of family violence as workers and bosses at a corporation. Consider using the Cited By feature to identify articles, books, and other sources of theoretical information that are seminal or well-cited in the literature. Similarly, by using the name of a theory in the keywords of a search query (along with keywords related to your topic), you can get a sense of how often the theory is used in your topic area. You should have a sense of what theories are commonly used to analyze your topic, even if you end up choosing a different one to inform your project.

Theories that are not cited or used as often are still immensely valuable. As we saw before with TANF and “good cause” waivers, using theories from other disciplines can produce uncommon insights and help you make a new contribution to the social work literature. Given the privileged position that the social work curriculum places on theories developed by white men, students may want to explore  Afrocentricity as a social work practice theory  (Pellebon, 2007)\(^{42}\) or  abolitionist social work  (Jacobs et al., 2021)\(^{43}\) when deciding on a theoretical framework for their research project that addresses concepts of racial justice. Start with your working question, and explain how each theory helps you answer your question. Some explanations are going to feel right, and some concepts will feel more salient to you than others. Keep in mind that this is an iterative process. Your theoretical framework will likely change as you continue to conceptualize your research project, revise your research question, and design your study.

By trying on many different theoretical explanations for your topic area, you can better clarify your own theoretical framework. Some of you may be fortunate enough to find theories that match perfectly with how you think about your topic, are used often in the literature, and are therefore relatively straightforward to apply. However, many of you may find that a combination of theoretical perspectives is most helpful for you to investigate your project. For example, maybe the group counseling program for which you are evaluating client outcomes draws from both motivational interviewing and cognitive behavioral therapy. In order to understand the change happening in the client population, you would need to know each theory separately as well as how they work in tandem with one another. Because theoretical explanations and even the definitions of concepts are debated by scientists, it may be helpful to find a specific social scientist or group of scientists whose perspective on the topic you find matches with your understanding of the topic. Of course, it is also perfectly acceptable to develop your own theoretical framework, though you should be able to articulate how your framework fills a gap within the literature.

If you are adapting theoretical perspectives in your study, it is important to clarify the original authors’ definitions of each concept. Jabareen (2009)\(^{44}\) offers that  conceptual frameworks  are not merely collections of concepts but, rather, constructs in which each concept plays an integral role.\(^{45}\) A conceptual framework  is a network of linked concepts that together provide a comprehensive understanding of a phenomenon. Each concept in a conceptual framework plays an ontological or epistemological role in the framework, and it is important to assess whether the concepts and relationships in your framework make sense together. As your framework takes shape, you will find yourself integrating and grouping together concepts, thinking about the most important or least important concepts, and how each concept is causally related to others.

Much like paradigm, theory plays a supporting role for the conceptualization of your research project. Recall the ice float from Figure 7.1. Theoretical explanations support the design and methods you use to answer your research question. In student projects that lack a theoretical framework, I often see the biases and errors in reasoning that we discussed in  Chapter 1  that get in the way of good social science. That’s because theories mark which concepts are important, provide a framework for understanding them, and measure their interrelationships. If you are missing this foundation, you will operate on informal observation, messages from authority, and other forms of unsystematic and unscientific thinking we reviewed in  Chapter 1 .

Theory-informed inquiry is incredibly helpful for identifying key concepts and how to measure them in your research project, but there is a risk in aligning research too closely with theory. The theory-ladenness of facts and observations produced by social science research means that we may be making our ideas real through research. This is a potential source of confirmation bias in social science. Moreover, as Tan (2016)\(^{46}\) demonstrates, social science often proceeds by adopting as true the perspective of Western and Global North countries, and  cross-cultural research is often when ethnocentric and biased ideas are most visible . In her example, a researcher from the West studying teacher-centric classrooms in China that rely partially on rote memorization may view them as less advanced than student-centered classrooms developed in a Western country simply because of Western philosophical assumptions about the importance of individualism and self-determination. Developing a clear theoretical framework is a way to guard against biased research, and it will establish a firm foundation on which you will develop the design and methods for your study.

Key Takeaways

• Just as empirical evidence is important for conceptualizing a research project, so too are the key concepts and relationships identified by social work theory.
• Using theory your theory textbook will provide you with a sense of the broad theoretical perspectives in social work that might be relevant to your project.
• Try to find small-t theories that are more specific to your topic area and relevant to your working question.

In  Chapter 2 , you developed a concept map for your proposal. Take a moment to revisit your concept map now as your theoretical framework is taking shape. Make any updates to the key concepts and relationships in your concept map. . If you need a refresher, we have embedded a short how-to video from the  University of Guelph Library  (CC-BY-NC-SA 4.0) that we also used in  Chapter 2 .

Topic Guide - Developing Your Research Study

• Purpose of Guide
• Flaws to Avoid
• Independent and Dependent Variables
• Glossary of Research Terms
• Reading Research Effectively
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• APA 7th Edition
• Executive Summary
• The C.A.R.S. Model
• Background Information
• The Research Problem/Question
• Theoretical Framework

Importance of Theory

Strategies for developing the theoretical framework, structure and writing style, writing tip, another writing tip, yet another writing tip, still yet another writing tip.

• Citation Tracking
• Content Alert Services
• Evaluating Sources
• Primary Sources
• Secondary Sources
• Tiertiary Sources
• What Is Scholarly vs. Popular?
• Qualitative Methods
• Quantitative Methods
• Using Non-Textual Elements
• Limitations of the Study
• 10. Proofreading Your Paper
• Writing Concisely
• Common Grammar Mistakes
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
• Annotated Bibliography
• Types of Structured Group Activities
• Group Project Survival Skills
• Multiple Book Review Essay
• Reviewing Collected Works
• Writing a Case Study
• Writing a Research Proposal
• Bibliography

Theories are formulated to explain, predict, and understand phenomena and, in many cases, to challenge and extend existing knowledge within the limits of critical bounding assumptions. The theoretical framework is the structure that can hold or support a theory of a research study. The theoretical framework introduces and describes the theory that explains why the research problem under study exists.

Abend, Gabriel. "The Meaning of Theory." Sociological Theory 26 (June 2008): 173–199; Swanson, Richard A. Theory Building in Applied Disciplines . San Francisco, CA: Berrett-Koehler Publishers 2013.

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.

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; 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.

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.

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.

Borrowing Theoretical Constructs from Elsewhere

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.

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.

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 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.

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 may 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,
• The study reveals a finding that is significantly incongruent 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 [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.

• << Previous: The Research Problem/Question
• Next: 5. The Literature Review >>
• Last Updated: Mar 22, 2022 8:49 AM
• URL: https://leeuniversity.libguides.com/research_study_guide

An official website of the United States government

The .gov means it’s official. Federal government websites often end in .gov or .mil. Before sharing sensitive information, make sure you’re on a federal government site.

The site is secure. The https:// ensures that you are connecting to the official website and that any information you provide is encrypted and transmitted securely.

• Publications
• Account settings

Preview improvements coming to the PMC website in October 2024. Learn More or Try it out now .

• Advanced Search
• Journal List
• CBE Life Sci Educ
• v.21(3); Fall 2022

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

Julie a. luft.

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

Sophia Jeong

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

Robert Idsardi

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

Grant Gardner

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

Associated Data

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

INTRODUCTION

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

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

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

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

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

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

Comparison of literature reviews, theoretical frameworks, and conceptual reviews

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

LITERATURE REVIEWS

Purpose of a literature review.

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

Building Literature Reviews

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

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

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

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

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

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

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

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

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

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

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

Suggestions and Advice

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

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

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

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

THEORETICAL FRAMEWORKS

Purpose of theoretical frameworks.

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

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

Selecting Theoretical Frameworks

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

CONCEPTUAL FRAMEWORKS

Purpose of a conceptual framework.

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

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

Constructing Conceptual Frameworks

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

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

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

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

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

Conceptual framework from Sabel et al. (2017) .

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

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

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

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

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

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

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

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

CONCLUDING THOUGHTS

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

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

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

Supplementary Material

• Allee, V. (2000). Knowledge networks and communities of learning . OD Practitioner , 32 ( 4 ), 4–13. [ Google Scholar ]
• Allen, M. (2017). The Sage encyclopedia of communication research methods (Vols. 1–4 ). Los Angeles, CA: Sage. 10.4135/9781483381411 [ CrossRef ] [ Google Scholar ]
• American Association for the Advancement of Science. (2011). Vision and change in undergraduate biology education: A call to action . Washington, DC. [ Google Scholar ]
• Anfara, V. A., Mertz, N. T. (2014). Setting the stage . In Anfara, V. A., Mertz, N. T. (eds.), Theoretical frameworks in qualitative research (pp. 1–22). Sage. [ Google Scholar ]
• Barnes, M. E., Brownell, S. E. (2016). Practices and perspectives of college instructors on addressing religious beliefs when teaching evolution . CBE—Life Sciences Education , 15 ( 2 ), ar18. https://doi.org/10.1187/cbe.15-11-0243 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Boote, D. N., Beile, P. (2005). Scholars before researchers: On the centrality of the dissertation literature review in research preparation . Educational Researcher , 34 ( 6 ), 3–15. 10.3102/0013189x034006003 [ CrossRef ] [ Google Scholar ]
• Booth, A., Sutton, A., Papaioannou, D. (2016a). Systemic approaches to a successful literature review (2nd ed.). Los Angeles, CA: Sage. [ Google Scholar ]
• Booth, W. C., Colomb, G. G., Williams, J. M., Bizup, J., Fitzgerald, W. T. (2016b). The craft of research (4th ed.). Chicago, IL: University of Chicago Press. [ Google Scholar ]
• Brownell, S. E., Kloser, M. J. (2015). Toward a conceptual framework for measuring the effectiveness of course-based undergraduate research experiences in undergraduate biology . Studies in Higher Education , 40 ( 3 ), 525–544. https://doi.org/10.1080/03075079.2015.1004234 [ Google Scholar ]
• Connolly, M. R., Lee, Y. G., Savoy, J. N. (2018). The effects of doctoral teaching development on early-career STEM scholars’ college teaching self-efficacy . CBE—Life Sciences Education , 17 ( 1 ), ar14. https://doi.org/10.1187/cbe.17-02-0039 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Cooper, K. M., Blattman, J. N., Hendrix, T., Brownell, S. E. (2019). The impact of broadly relevant novel discoveries on student project ownership in a traditional lab course turned CURE . CBE—Life Sciences Education , 18 ( 4 ), ar57. https://doi.org/10.1187/cbe.19-06-0113 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Creswell, J. W. (2018). Research design: Qualitative, quantitative, and mixed methods approaches (5th ed.). Los Angeles, CA: Sage. [ Google Scholar ]
• DeHaan, R. L. (2011). Education research in the biological sciences: A nine decade review (Paper commissioned by the NAS/NRC Committee on the Status, Contributions, and Future Directions of Discipline Based Education Research) . Washington, DC: National Academies Press. Retrieved May 20, 2022, from www7.nationalacademies.org/bose/DBER_Mee ting2_commissioned_papers_page.html [ Google Scholar ]
• Ding, L. (2019). Theoretical perspectives of quantitative physics education research . Physical Review Physics Education Research , 15 ( 2 ), 020101. [ Google Scholar ]
• Dirks, C. (2011). The current status and future direction of biology education research . Paper presented at: Second Committee Meeting on the Status, Contributions, and Future Directions of Discipline-Based Education Research, 18–19 October (Washington, DC). Retrieved May 20, 2022, from http://sites.nationalacademies.org/DBASSE/BOSE/DBASSE_071087 [ Google Scholar ]
• Duran, R. P., Eisenhart, M. A., Erickson, F. D., Grant, C. A., Green, J. L., Hedges, L. V., Schneider, B. L. (2006). Standards for reporting on empirical social science research in AERA publications: American Educational Research Association . Educational Researcher , 35 ( 6 ), 33–40. [ Google Scholar ]
• Ebert-May, D., Derting, T. L., Henkel, T. P., Middlemis Maher, J., Momsen, J. L., Arnold, B., Passmore, H. A. (2015). Breaking the cycle: Future faculty begin teaching with learner-centered strategies after professional development . CBE—Life Sciences Education , 14 ( 2 ), ar22. https://doi.org/10.1187/cbe.14-12-0222 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Galvan, J. L., Galvan, M. C. (2017). Writing literature reviews: A guide for students of the social and behavioral sciences (7th ed.). New York, NY: Routledge. https://doi.org/10.4324/9781315229386 [ Google Scholar ]
• Gehrke, S., Kezar, A. (2017). The roles of STEM faculty communities of practice in institutional and departmental reform in higher education . American Educational Research Journal , 54 ( 5 ), 803–833. https://doi.org/10.3102/0002831217706736 [ Google Scholar ]
• Ghee, M., Keels, M., Collins, D., Neal-Spence, C., Baker, E. (2016). Fine-tuning summer research programs to promote underrepresented students’ persistence in the STEM pathway . CBE—Life Sciences Education , 15 ( 3 ), ar28. https://doi.org/10.1187/cbe.16-01-0046 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Institute of Education Sciences & National Science Foundation. (2013). Common guidelines for education research and development . Retrieved May 20, 2022, from www.nsf.gov/pubs/2013/nsf13126/nsf13126.pdf
• Jensen, J. L., Lawson, A. (2011). Effects of collaborative group composition and inquiry instruction on reasoning gains and achievement in undergraduate biology . CBE—Life Sciences Education , 10 ( 1 ), 64–73. https://doi.org/10.1187/cbe.19-05-0098 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Kolpikova, E. P., Chen, D. C., Doherty, J. H. (2019). Does the format of preclass reading quizzes matter? An evaluation of traditional and gamified, adaptive preclass reading quizzes . CBE—Life Sciences Education , 18 ( 4 ), ar52. https://doi.org/10.1187/cbe.19-05-0098 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Labov, J. B., Reid, A. H., Yamamoto, K. R. (2010). Integrated biology and undergraduate science education: A new biology education for the twenty-first century? CBE—Life Sciences Education , 9 ( 1 ), 10–16. https://doi.org/10.1187/cbe.09-12-0092 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Lane, T. B. (2016). Beyond academic and social integration: Understanding the impact of a STEM enrichment program on the retention and degree attainment of underrepresented students . CBE—Life Sciences Education , 15 ( 3 ), ar39. https://doi.org/10.1187/cbe.16-01-0070 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Lave, J. (1988). Cognition in practice: Mind, mathematics and culture in everyday life . New York, NY: Cambridge University Press. [ Google Scholar ]
• Lo, S. M., Gardner, G. E., Reid, J., Napoleon-Fanis, V., Carroll, P., Smith, E., Sato, B. K. (2019). Prevailing questions and methodologies in biology education research: A longitudinal analysis of research in CBE — Life Sciences Education and at the Society for the Advancement of Biology Education Research . CBE—Life Sciences Education , 18 ( 1 ), ar9. https://doi.org/10.1187/cbe.18-08-0164 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Lysaght, Z. (2011). Epistemological and paradigmatic ecumenism in “Pasteur’s quadrant:” Tales from doctoral research . In Official Conference Proceedings of the Third Asian Conference on Education in Osaka, Japan . Retrieved May 20, 2022, from http://iafor.org/ace2011_offprint/ACE2011_offprint_0254.pdf
• Maxwell, J. A. (2012). Qualitative research design: An interactive approach (3rd ed.). Los Angeles, CA: Sage. [ Google Scholar ]
• Miles, M. B., Huberman, A. M., Saldaña, J. (2014). Qualitative data analysis (3rd ed.). Los Angeles, CA: Sage. [ Google Scholar ]
• Nehm, R. (2019). Biology education research: Building integrative frameworks for teaching and learning about living systems . Disciplinary and Interdisciplinary Science Education Research , 1 , ar15. https://doi.org/10.1186/s43031-019-0017-6 [ Google Scholar ]
• Patton, M. Q. (2015). Qualitative research & evaluation methods: Integrating theory and practice . Los Angeles, CA: Sage. [ Google Scholar ]
• Perry, J., Meir, E., Herron, J. C., Maruca, S., Stal, D. (2008). Evaluating two approaches to helping college students understand evolutionary trees through diagramming tasks . CBE—Life Sciences Education , 7 ( 2 ), 193–201. https://doi.org/10.1187/cbe.07-01-0007 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Posner, G. J., Strike, K. A., Hewson, P. W., Gertzog, W. A. (1982). Accommodation of a scientific conception: Toward a theory of conceptual change . Science Education , 66 ( 2 ), 211–227. [ Google Scholar ]
• Ravitch, S. M., Riggan, M. (2016). Reason & rigor: How conceptual frameworks guide research . Los Angeles, CA: Sage. [ Google Scholar ]
• Reeves, T. D., Marbach-Ad, G., Miller, K. R., Ridgway, J., Gardner, G. E., Schussler, E. E., Wischusen, E. W. (2016). A conceptual framework for graduate teaching assistant professional development evaluation and research . CBE—Life Sciences Education , 15 ( 2 ), es2. https://doi.org/10.1187/cbe.15-10-0225 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Reynolds, J. A., Thaiss, C., Katkin, W., Thompson, R. J. Jr. (2012). Writing-to-learn in undergraduate science education: A community-based, conceptually driven approach . CBE—Life Sciences Education , 11 ( 1 ), 17–25. https://doi.org/10.1187/cbe.11-08-0064 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Rocco, T. S., Plakhotnik, M. S. (2009). Literature reviews, conceptual frameworks, and theoretical frameworks: Terms, functions, and distinctions . Human Resource Development Review , 8 ( 1 ), 120–130. https://doi.org/10.1177/1534484309332617 [ Google Scholar ]
• Rodrigo-Peiris, T., Xiang, L., Cassone, V. M. (2018). A low-intensity, hybrid design between a “traditional” and a “course-based” research experience yields positive outcomes for science undergraduate freshmen and shows potential for large-scale application . CBE—Life Sciences Education , 17 ( 4 ), ar53. https://doi.org/10.1187/cbe.17-11-0248 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Sabel, J. L., Dauer, J. T., Forbes, C. T. (2017). Introductory biology students’ use of enhanced answer keys and reflection questions to engage in metacognition and enhance understanding . CBE—Life Sciences Education , 16 ( 3 ), ar40. https://doi.org/10.1187/cbe.16-10-0298 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Sbeglia, G. C., Goodridge, J. A., Gordon, L. H., Nehm, R. H. (2021). Are faculty changing? How reform frameworks, sampling intensities, and instrument measures impact inferences about student-centered teaching practices . CBE—Life Sciences Education , 20 ( 3 ), ar39. https://doi.org/10.1187/cbe.20-11-0259 [ PMC free article ] [ PubMed ] [ Google Scholar ]
• Schwandt, T. A. (2000). Three epistemological stances for qualitative inquiry: Interpretivism, hermeneutics, and social constructionism . In Denzin, N. K., Lincoln, Y. S. (Eds.), Handbook of qualitative research (2nd ed., pp. 189–213). Los Angeles, CA: Sage. [ Google Scholar ]
• Sickel, A. J., Friedrichsen, P. (2013). Examining the evolution education literature with a focus on teachers: Major findings, goals for teacher preparation, and directions for future research . Evolution: Education and Outreach , 6 ( 1 ), 23. https://doi.org/10.1186/1936-6434-6-23 [ Google Scholar ]
• Singer, S. R., Nielsen, N. R., Schweingruber, H. A. (2012). Discipline-based education research: Understanding and improving learning in undergraduate science and engineering . Washington, DC: National Academies Press. [ Google Scholar ]
• Todd, A., Romine, W. L., Correa-Menendez, J. (2019). Modeling the transition from a phenotypic to genotypic conceptualization of genetics in a university-level introductory biology context . Research in Science Education , 49 ( 2 ), 569–589. https://doi.org/10.1007/s11165-017-9626-2 [ Google Scholar ]
• Vygotsky, L. S. (1978). Mind in society: The development of higher psychological processes . Cambridge, MA: Harvard University Press. [ Google Scholar ]
• Wenger, E. (1998). Communities of practice: Learning as a social system . Systems Thinker , 9 ( 5 ), 2–3. [ Google Scholar ]
• Ziadie, M. A., Andrews, T. C. (2018). Moving evolution education forward: A systematic analysis of literature to identify gaps in collective knowledge for teaching . CBE—Life Sciences Education , 17 ( 1 ), ar11. https://doi.org/10.1187/cbe.17-08-0190 [ PMC free article ] [ PubMed ] [ Google Scholar ]

• Customer Reviews
• Extended Essays
• IB Internal Assessment
• Theory of Knowledge
• Literature Review
• Dissertations
• Essay Writing
• Research Writing
• Assignment Help
• Capstone Projects
• College Application
• Online Class

Theoretical Framework in Research (What You Need to Know)

by  Antony W

December 13, 2021

This is the complete guide on the theoretical framework in research. Here you’ll learn what a theoretical framework is, how to structure it, and how to create one.

Researchers formulate theories to explain, understand, and predict phenomena with the intention to challenge and expand on the existing knowledge within the boundaries of their assumptions. By using a theoretical framework, researchers can easily introduce and explicitly explain why the research problem under investigation exists in the first place.

To be clear, a theoretical framework isn’t just a list of concepts, definitions, and existing theories. It must provide a clear demonstration that shows you understand the concepts and theories in relation to the field of study that you’re currently investigating.

What is a Theoretical Framework?

A theoretical framework is a compilation of all research findings used to explain the connected concepts developed from one or more theories. Ideally, the theoretical framework enables you to not only explain your theories but also present your research in a relevant academic debate.

The framework includes:

• Definition of terms: Definition of terms in the theoretical framework provides a point of reference for the reader, as it explains the meaning of common terms, words, or phrases used in your scientific document.
• Logical connections: Connects terms, theories, and ideas in a logical order so that a reader finds them easy to read and understand. A strong logical connection can go a long way to support the theories you make in the process of scientific questioning and testing.
• Explanation of theories: A theoretical framework can have one or more theories. You should provide a clear explanation for each and make sure your description shows how each of your theories relate to your research.

In thesis and dissertation writing, the framework can be part of the review of the existing literature or have its own chapter in the assignment. Having a separate section is particularly useful in the case where the research involves dealing with a number of complex theories.

Learning institutions don’t have fixed rules for creating a theoretical framework. All that matters is that you create a clear, logical structure that you can use for authentic and comprehensive research.

What Role Does Theoretical Framework Play in Research?

The primary goal of developing a theoretical framework is to have a structure that you can use to support your research and theories. It allows you to not only define terms and phrase but also to logically connect the ideas you already have.

The theoretical framework strengthens your research study in at least six significant ways.

• In addition to outlining significant variables that influence a phenomenon of interest, a theoretical framework make it easy to examine the variables under different circumstances in which they might differ.
• Having a theoretical framework gives you the opportunity to evaluate your assumptions critically.
• You can use a theoretical framework to organize complex documents into formats that are easy to read. Doing so makes it easy for you to coordinate the ideas that you have with supporting research.
• Since a theoretical framework includes a relevant theory, you can easily connect to the already existing knowledge and have a solid basis for your hypothesis as well as research methods you choose to use.
• A theoretical framework puts in a position where you have to address the questions of why and how. You not only describe a situation but also give the various aspect of that particular phenomenon.
• The framework makes it easy for you to explain how your theories align with existing studies as well as your own. With this structure, you have a foundation you can use to expand your research ideas, test additional theories, and disapprove or support hypothesis. 

In general, a theoretical framework is significant in research because it’s a useful mean, which you can identify and explain the meaning, nature, value, and challenges of experienced yet unexplained situation in the world in which you live. The knowledge you gain with the help of a theoretical framework is incredibly useful as it helps you to act in a more informed way.

How to Develop a Theoretical Framework

Developing a theoretical framework isn’t difficult, especially since there are no fixed rules to follow. You can do this by:

1. Defining Your Objective

Examining your thesis title and research problem, which anchors the study and forms the foundation necessary for developing the theoretical framework.

This is where you define the objective of your research and where you consider what you intend to achieve with your research. Your objective should be clear and concise, written in a way that readers can easily understand.

Follow this with a clear problem statement, which is the definition of the study and the problem you wish to address. The statement doesn’t have to be in-depth. Use simple words, sentences, and phrases to ex plain the purpose of the study.

Once you identify the research problem, construct a research question, which will be the basis of your theories or hypothesis. A research problem is important because it helps your readers to understand the information you seek and the purpose of your study.

2. Identify the Dependent and Independent Variables

Identify and brainstorm the most significant variables and determine the factors that are the likely contributors of the presumed effect.

3. Examine the Existing Literature

Look at the already existing literature. This will help you find sufficient answers to your research question. By looking at existing literature, it should become clear how other researchers defined and drew their connections of key concepts, and this is quite useful in the development of your theoretical framework.

Next, identify the constructs and variables relevant to your study, making sure you group them accordingly into dependent and independent variables.

Look at the primary theories taught in your course and choose the ones that can best explain the link between the dependent and independent variables in your study. Finalize by discussing the proposition of the theory, making sure you explain how relevant the theory is to your current research.

About the author 

Antony W is a professional writer and coach at Help for Assessment. He spends countless hours every day researching and writing great content filled with expert advice on how to write engaging essays, research papers, and assignments.

Log in using your username and password

• Search More Search for this keyword Advanced search
• Latest content
• Current issue
• Write for Us
• BMJ Journals More You are viewing from: Google Indexer

You are here

• Volume 24, Issue 2
• Five tips for developing useful literature summary tables for writing review articles
• Article Text
• Article info
• Citation Tools
• Rapid Responses
• Article metrics

• http://orcid.org/0000-0003-0157-5319 Ahtisham Younas 1 , 2 ,
• http://orcid.org/0000-0002-7839-8130 Parveen Ali 3 , 4
• 1 Memorial University of Newfoundland , St John's , Newfoundland , Canada
• 2 Swat College of Nursing , Pakistan
• 3 School of Nursing and Midwifery , University of Sheffield , Sheffield , South Yorkshire , UK
• 4 Sheffield University Interpersonal Violence Research Group , Sheffield University , Sheffield , UK
• Correspondence to Ahtisham Younas, Memorial University of Newfoundland, St John's, NL A1C 5C4, Canada; ay6133{at}mun.ca

https://doi.org/10.1136/ebnurs-2021-103417

Statistics from Altmetric.com

Request permissions.

If you wish to reuse any or all of this article please use the link below which will take you to the Copyright Clearance Center’s RightsLink service. You will be able to get a quick price and instant permission to reuse the content in many different ways.

Introduction

Literature reviews offer a critical synthesis of empirical and theoretical literature to assess the strength of evidence, develop guidelines for practice and policymaking, and identify areas for future research. 1 It is often essential and usually the first task in any research endeavour, particularly in masters or doctoral level education. For effective data extraction and rigorous synthesis in reviews, the use of literature summary tables is of utmost importance. A literature summary table provides a synopsis of an included article. It succinctly presents its purpose, methods, findings and other relevant information pertinent to the review. The aim of developing these literature summary tables is to provide the reader with the information at one glance. Since there are multiple types of reviews (eg, systematic, integrative, scoping, critical and mixed methods) with distinct purposes and techniques, 2 there could be various approaches for developing literature summary tables making it a complex task specialty for the novice researchers or reviewers. Here, we offer five tips for authors of the review articles, relevant to all types of reviews, for creating useful and relevant literature summary tables. We also provide examples from our published reviews to illustrate how useful literature summary tables can be developed and what sort of information should be provided.

Tip 1: provide detailed information about frameworks and methods

• Download figure
• Open in new tab
• Download powerpoint

Tabular literature summaries from a scoping review. Source: Rasheed et al . 3

The provision of information about conceptual and theoretical frameworks and methods is useful for several reasons. First, in quantitative (reviews synthesising the results of quantitative studies) and mixed reviews (reviews synthesising the results of both qualitative and quantitative studies to address a mixed review question), it allows the readers to assess the congruence of the core findings and methods with the adapted framework and tested assumptions. In qualitative reviews (reviews synthesising results of qualitative studies), this information is beneficial for readers to recognise the underlying philosophical and paradigmatic stance of the authors of the included articles. For example, imagine the authors of an article, included in a review, used phenomenological inquiry for their research. In that case, the review authors and the readers of the review need to know what kind of (transcendental or hermeneutic) philosophical stance guided the inquiry. Review authors should, therefore, include the philosophical stance in their literature summary for the particular article. Second, information about frameworks and methods enables review authors and readers to judge the quality of the research, which allows for discerning the strengths and limitations of the article. For example, if authors of an included article intended to develop a new scale and test its psychometric properties. To achieve this aim, they used a convenience sample of 150 participants and performed exploratory (EFA) and confirmatory factor analysis (CFA) on the same sample. Such an approach would indicate a flawed methodology because EFA and CFA should not be conducted on the same sample. The review authors must include this information in their summary table. Omitting this information from a summary could lead to the inclusion of a flawed article in the review, thereby jeopardising the review’s rigour.

Tip 2: include strengths and limitations for each article

Critical appraisal of individual articles included in a review is crucial for increasing the rigour of the review. Despite using various templates for critical appraisal, authors often do not provide detailed information about each reviewed article’s strengths and limitations. Merely noting the quality score based on standardised critical appraisal templates is not adequate because the readers should be able to identify the reasons for assigning a weak or moderate rating. Many recent critical appraisal checklists (eg, Mixed Methods Appraisal Tool) discourage review authors from assigning a quality score and recommend noting the main strengths and limitations of included studies. It is also vital that methodological and conceptual limitations and strengths of the articles included in the review are provided because not all review articles include empirical research papers. Rather some review synthesises the theoretical aspects of articles. Providing information about conceptual limitations is also important for readers to judge the quality of foundations of the research. For example, if you included a mixed-methods study in the review, reporting the methodological and conceptual limitations about ‘integration’ is critical for evaluating the study’s strength. Suppose the authors only collected qualitative and quantitative data and did not state the intent and timing of integration. In that case, the strength of the study is weak. Integration only occurred at the levels of data collection. However, integration may not have occurred at the analysis, interpretation and reporting levels.

Tip 3: write conceptual contribution of each reviewed article

While reading and evaluating review papers, we have observed that many review authors only provide core results of the article included in a review and do not explain the conceptual contribution offered by the included article. We refer to conceptual contribution as a description of how the article’s key results contribute towards the development of potential codes, themes or subthemes, or emerging patterns that are reported as the review findings. For example, the authors of a review article noted that one of the research articles included in their review demonstrated the usefulness of case studies and reflective logs as strategies for fostering compassion in nursing students. The conceptual contribution of this research article could be that experiential learning is one way to teach compassion to nursing students, as supported by case studies and reflective logs. This conceptual contribution of the article should be mentioned in the literature summary table. Delineating each reviewed article’s conceptual contribution is particularly beneficial in qualitative reviews, mixed-methods reviews, and critical reviews that often focus on developing models and describing or explaining various phenomena. Figure 2 offers an example of a literature summary table. 4

Tabular literature summaries from a critical review. Source: Younas and Maddigan. 4

Tip 4: compose potential themes from each article during summary writing

While developing literature summary tables, many authors use themes or subthemes reported in the given articles as the key results of their own review. Such an approach prevents the review authors from understanding the article’s conceptual contribution, developing rigorous synthesis and drawing reasonable interpretations of results from an individual article. Ultimately, it affects the generation of novel review findings. For example, one of the articles about women’s healthcare-seeking behaviours in developing countries reported a theme ‘social-cultural determinants of health as precursors of delays’. Instead of using this theme as one of the review findings, the reviewers should read and interpret beyond the given description in an article, compare and contrast themes, findings from one article with findings and themes from another article to find similarities and differences and to understand and explain bigger picture for their readers. Therefore, while developing literature summary tables, think twice before using the predeveloped themes. Including your themes in the summary tables (see figure 1 ) demonstrates to the readers that a robust method of data extraction and synthesis has been followed.

Tip 5: create your personalised template for literature summaries

Often templates are available for data extraction and development of literature summary tables. The available templates may be in the form of a table, chart or a structured framework that extracts some essential information about every article. The commonly used information may include authors, purpose, methods, key results and quality scores. While extracting all relevant information is important, such templates should be tailored to meet the needs of the individuals’ review. For example, for a review about the effectiveness of healthcare interventions, a literature summary table must include information about the intervention, its type, content timing, duration, setting, effectiveness, negative consequences, and receivers and implementers’ experiences of its usage. Similarly, literature summary tables for articles included in a meta-synthesis must include information about the participants’ characteristics, research context and conceptual contribution of each reviewed article so as to help the reader make an informed decision about the usefulness or lack of usefulness of the individual article in the review and the whole review.

In conclusion, narrative or systematic reviews are almost always conducted as a part of any educational project (thesis or dissertation) or academic or clinical research. Literature reviews are the foundation of research on a given topic. Robust and high-quality reviews play an instrumental role in guiding research, practice and policymaking. However, the quality of reviews is also contingent on rigorous data extraction and synthesis, which require developing literature summaries. We have outlined five tips that could enhance the quality of the data extraction and synthesis process by developing useful literature summaries.

• Aromataris E ,
• Rasheed SP ,

Twitter @Ahtisham04, @parveenazamali

Funding The authors have not declared a specific grant for this research from any funding agency in the public, commercial or not-for-profit sectors.

Competing interests None declared.

Patient consent for publication Not required.

Provenance and peer review Not commissioned; externally peer reviewed.

Read the full text or download the PDF:

Cultural nationalism and its effect on Chinese higher education: continuity and variation

• Open access
• Published: 06 April 2024

Cite this article

You have full access to this open access article

• Jason Cong Lin 1 &
• Yuting Shen   ORCID: orcid.org/0000-0002-2065-3653 2  

1 Altmetric

Since 1840, Chinese political leaders have struggled to draw effectively from Western culture without abandoning the Chinese essence in their design of higher education. In this paper, we use cultural nationalism as the theoretical framework to examine how Chinese political leaders have responded to this challenge. Our analysis shows that cultural nationalism closely links to politics, and although the form taken by cultural nationalism has varied throughout Chinese history, it has significantly influenced Chinese higher education. In particular, we identify a strong cultural nationalism in today’s China, which has already influenced teaching and research in Chinese higher education. Finally, we discuss the implications and limitations of this paper, and call for critical reflections of cultural nationalism and its impact on Chinese higher education.

Avoid common mistakes on your manuscript.

Introduction

Cultural nationalism is generally understood as a cultural pride that is based on three ideas: (1) that one culture is shared by all its members, (2) members should adhere to their distinctive and historically rooted way of life and sustain it for generations, and (3) certain actions are needed when the national culture is in danger (Smith, 2010 ). It is manifested in many parts of the world and is intertwined with politics, national identity, and culture wars, including the hostility in France toward immigrants and multiculturalism, the identity politics in Quebec, and Brexit. Cultural nationalism connects with a nation’s particular path toward modernization (Lin, 2023 ; Smith, 2010 ). In China, cultural nationalism closely links to the aspiration to modernize traditional culture to catch up and exceed the West (Guo, 2004 ). Extensive research has examined Chinese nationalism from ethnic and political perspectives before President Xi Jinping came to power in 2012 (Gries, 2004 ; Harrison, 2001 ; Hughes, 2006 ; Leibold, 2007 ; Zhao, 2004 ). However, little research has explored the nationalistic moves in today’s China by focusing on how “culture” is politicized to serve political leaders’ interests of nationalism, and how this is similar or different from the past (Harrison, 2001 ).

China’s higher education (HE) provides an interesting case for studying the impact of cultural nationalism in the context of modernization. The First Opium War (1840–1842) forced China to open its door to the world, and traditional Chinese higher learning encountered Western models of HE for the first time. From then on, a dilemma—represented by the question of “What and how can Chinese culture borrow from Western culture without destroying what is typically (if not exclusively) Chinese?”—has been associated with the development of China. The whole picture of the interplay between Western and Chinese cultures from the nineteenth century to the early twenty-first century was extremely complicated as China had struggled to transform from a traditional empire into a modern state, and several factors had further complicated the situation, including the political changes, wars, and ideological shifts (Zarrow, 2012 ; Zhang, 1987 ). Although previous studies have already mapped the complexity in terms of the development of Chinese HE and its relationship with nation-building (Hayhoe, 1996 ; Marginson, 2018 ; Mok & Marginson, 2021 ; Yang, 2013 ), how “culture” has been politicized by political leaders and how this has influenced Chinese HE, especially over the last two decades, remains a perspective that is rarely been deployed.

Moreover, the literature has not thoroughly examined how the government has responded to the above dilemma since President Xi Jinping came to power in 2012, and how this new government response could or has influenced the direction of China’s HE in the future. Cultural nationalism (i.e., “culture” is politicized to serve political leaders’ interests of nationalism) is becoming increasingly relevant in today’s China, given more and more illustrations (e.g., the recent emphasis on cultural self-confidence) are happening. As political leadership changes significantly affect society and HE, and the current government increasingly controls over HE and other areas of Chinese society, it is crucial to understand the dilemma of China’s state ideology and HE trajectory from the perspective of cultural nationalism.

Therefore, this paper aims to fill these research gaps, using cultural nationalism as an important and useful lens to foster a more comprehensive understanding of the evolvement of Chinese HE and its relationship with politics. We first introduce cultural nationalism as the theoretical framework and clarify the methodology employed in reviewing materials. We then trace the influence of cultural nationalism on Chinese HE from 1840 to 2021, focusing on how different Chinese political leaders have dealt with the dilemma of borrowing from Western culture while preserving Chinese culture, and how this affected Chinese HE. We show that various forms of cultural nationalism have underpinned the development of Chinese HE. In particular, we identify a strong cultural nationalism in today’s China. Finally, we discuss the implications and limitations of this paper.

• Cultural nationalism

Culture is multi-tiered, which ranges from easily observable things to those things that indicate people’s substantial differences and are crucial for people to construct their identity and sense of belonging (Lin, 2022a ). We take a more general approach and perceive culture as an umbrella term that contains beliefs, values, ways of life, norms, customs, social behavior, language, arts, and science and technology (ST), etc., of a group at a particular time. This understanding of culture is carried out throughout the paper, as it matches with the ambiguous nature and political usage of terms such as “Chinese culture” and “Western culture” in the review materials. The same principle is also applied to other terms that are intentionally used by the Chinese government and political figures in a vague way, such as “Chinese essence”, “Chinese tradition”, and “Chinese model”. We did not mean to deny the value of exploring the changing meanings of these concepts over time and distinguishing different components of them, but simply made this choice because this is not the focus of this paper.

Following this logic, we wanted to clarify that from our analysis, this paper would not be able to specify or answer questions such as “what is the distinctive Chinese approach to modernization?” or “what elements or perspectives on different Chinese culture (e.g., Confuciannism, Daoism, and Chinese Buddhism) are embodied in political leaders’ promotion of Chinese culture” because of two reasons. First, these terms were mainly used by the government and political figures as a political discourse/tool to gain public support and legitimize their governance; they never specified what these terms really mean and what they contain. Second, given that this study focuses on describing how Xi Jinping and other Chinese political leaders politicize culture and their nationalistic intentions of doing so, and that they often refer to Chinese culture/Western culture in a general way without specifiying what they mean by Chinese culture/Western culture, it would be unethical and infeasible for this short paper to guess what they specifically mean when using Chinese culture/Western culture on different occasions. Although these questions are not the focus of this paper, they are good questions worth further exploring.

Nationalism, as a distinctly modern phenomenon, has various forms (e.g., ethnic nationalism, civic nationalism, and cultural nationalism) that are primarily defined based on an imagined shared race, origin, history, or cultural ties of a nation (Anderson, 2016 ; Lin & Jackson, 2021 ; Smith, 2010 ). In general, nationalism is closely associated with a particular approach to constructing what a nation is like. However, different forms of nationalism are not always compatible. For example, how national culture is constructed could be different from how national ethnicity/race is constructed. Thus, it is necessary to distinguish cultural nationalism from other forms of nationalism; and treating cultural nationalism simply as nationalism would lose nuance and richness of nationalism.

Like other forms of nationalism, cultural nationalism has been a prominent, complex, and controversial phenomenon across the world (e.g., Malaysia, India, Taiwan, Korea, Russia, and the United States), and its applications varied across different contexts (Barnett, 2015 ; Daniels, 2005 ). It was manifested in Germany in the early nineteenth century as the understanding that “it is solely by means of the common [cultural] trait of Germanness that we can avert the downfall of our nation threatened by its confluence with foreign peoples and once more win back a self that is self-supporting and incapable of any form of dependency” (Fichte, 2008 , p. 11). A similar form of cultural nationalism that is closely tied to shared origins and culture, which indicated a closed membership, played a significant role in nationalist movements that established new nation-states in Europe such as Italy, Germany, and Ireland in the late 19th and early twentieth centuries (Kohn, 1967 ; Weller, 2021 ). Currently, cultural nationalism as a theoretical framework has been applied in various disciplines (e.g., political sciences and cultural studies) to examine how it is manifested in many recent movements across nation-states in the west, including the fundamental British values in the United Kingdom, the insistence of cultural unity in France, the white Christian Americans’ cultural supremacy in the United States, and the requirement of ethnic minorities’ cultural identification for social solidarity in Russia (Lin, 2023 ; Yusupova, 2018 ).

In the non-Western contexts, due to the colonial and humiliating history, cultural nationalism has often been associated with an aspiration to modernize traditional culture in order to catch up and exceed their Western counterparts (Hsiau, 2000 ; Lin, 2023 ). As Lin ( 2023 ) pointed out,

Unlike North America and Europe where modernity has been seriously challenged, many Asian nation-states still consider modernity a desirable goal that can advance and strengthen their nation. Their colonial and humiliating history has led them to experience complex feelings towards their traditional culture (e.g. pride and shame) and western culture (e.g. fear and worship), and this motivated them to emphasize inheriting and modernizing traditional culture for catching up and exceeding their western counterparts. (p. 85)

Cultural nationalism in China shares some characteristics with other non-Western societies, including an identification of distinctive cultural traits, a nationalistic sentiment, a cultural pride, and a certain degree of xenophobia (Guo, 2004 ). However, China is different from other non-Western societies in a way that many contradictory phenomena associated with cultural nationalism have been co-existing during the examined period, including cultural arrogance, cultural nihilism, anti-traditional culture, cultural fever, the socialization and ideologization of culture, and the marketization of culture. In this sense, Chinese culture has always been hybrid, containing self-contradictory elements (e.g., traditional and modern, and socialist and capitalist). As a result, contemporary Chinese culture is hybrid and too complex to define, including traditional, patriarchal, Western, socialist, capitalist, and many other elements; and cultural nationalism is a playing field wherein different stakeholders compete to define authentic Chineseness and promote their paths to modernization (Lin, 2023 ).

Unfortunately, despite the richness of cultural nationalism in China, very few studies have examined this topic. Guo ( 2004 ) is a pioneer in this field. Given that he focused on four groups of cultural nationalists’ (i.e., nationalist historians, Confucians, opponents of language reform and cultural linguists, and postcolonialists) construction of cultural nationalism from 1989 to 2004, he defined cultural nationalism as an unofficial nationalism that could sometimes be fundamentally against the ideology of the government. This perspective of understanding cultural nationalism is different from our understanding. In this paper, we focus on Chinese “official” cultural nationalism, of which the forms and content are designed and controlled by the government. In this sense, we found Lin’s ( 2023 ) definition of cultural nationalism particularly useful: “the ways that the government constructs and politicizes culture to serve Xi’s interests of nationalism”. In his research, Lin applied cultural nationalism in the fields of political sciences and China studies, and showed that

several nationalist rationales are embedded in Xi’s politisation of culture. … For Xi, who uses cultural nationalism to policitise culture and serve his nationalism, what is important is that there is a vague Chinese culture that can be referred to as a whole so that his rule can be maintained and strengthened; what happens to different concrete elements of Chinese culture is less significant…. Xi’s cultural nationalism is consistent with his other nationalistic initiatives. (Lin, 2023 , p. 98)

Lin’s research serves as a proof that his definition of cultural nationalism is a useful theoretical framework that can offer new insights in understanding China and its higher education.

To better serve the focal points of this paper, we extend Lin’s definition and define cultural nationalism as “the ways that different stakeholders (e.g., the emperors, scholar-officials, political leaders, and governments) construct and politicize culture to serve their interests of nationalism”. Although cultural nationalism often overlaps and connects with other forms of nationalism (e.g., ethnic nationalism), this definition argues that in certain circumstances, treating culture independently is useful in gaining a deeper understanding of cultural nationalism. This is particular the case for examining Chinese political leaders’ promotion of cultural nationalism, given that in their vague usage of culture, different elements of Chinese culture are not specifically and exclusively associated with any Chinese ethnic group. For example, Chinese political leaders always promote Confucianism as shared by all Chinese people, instead of specifically and exclusively belonging to ethnic-Han people.

Meanwhile, this definition recognizes that the cultural component has always been crucial in Chinese nationalism and connected with politics. Calhoun rightly observed that in authoritarian nation-states like China, nationalism can be understood as a discourse that refers to “the production of a cultural understanding and rhetoric which leads people to think and frame their aspirations in terms of the idea of nation and national identity” and an evaluation that denotes the “political and cultural ideologies that claim superiority for a particular nation” (Calhoun, 1997 , p. 6). Moreover, instead of perceiving Chinese cultural nationalism as a fixed concept, this definition allows it to be seen as a spectrum ranging from an arrogance that rejects Western culture, to selectively learning from the West to develop what is Chinese, and to discarding Chinese culture and comprehensively learning Western culture. The concrete forms that official cultural nationalism has taken across different periods since 1840 can be situated in different positions of the spectrum. Additionally, compared to the understandings of cultural nationalism in other societies, this definition better fits the Chinese context as it captures the special national conditions that since 1840, China has “faced strong shocks from the modern West and thus developed a defensive rhetoric of cultural nationalism to counteract [its perception of] inferiority” (Chen et al., 2020 , p. 26); and from then on, Chinese HE mainly depended on Western models and there was “no real equilibrium” between Chinese and Western ideas of HE (Yang, 2013 , p. 90).

This is essentially a conceptual paper, with evidence from different sources to support its theoretical arguments. To examine the different forms that cultural nationalism has taken from 1840 to 2021, and its effect on the development of Chinese HE, we reviewed multiple data sources published in this period, including historical texts, scholarly literature, government documents, and the speeches of political leaders (Bowen, 2009 ). Specifically, we applied different approaches in reviewing sources published in different periods. China went through dramatic political changes from 1840 to the early 2000s, the government’s various views on the topics mentioned are distributed throughout historical texts, edited books complied by departments of the government (e.g., the Compilation and Translation Bureau), and scholarly literature. As many first-hand resources in this period are lost and/or hard to obtain, plus this research aims to grasp the main tendencies during this period regarding cultural nationalism rather than doing a comprehensive historical study (which is far beyond a scope of a paper), we largely rely on second-hand resources (Snyder, 2019 ). However, this does not mean that we cherry-picked those materials that support our arguments only or sacrificed historical accuracy. We have reviewed different sources that represent diverse views, which will be presented in the next section. Although some historical contents presented in the next section may have been used in previous studies, this paper originally interprets them from a cultural nationalism perspective.

In Xi’s era, the government’s views on the subject of HE are reflected in his speeches and other documents on its official website ( http://www.gov.cn/ ). Given this is a relatively new period that has not been well-explored, we read each speech and document issued from “December 1, 2012 to December 31, 2021” one by one and focused on the content relevant to a substantive discussion of the following topics: (1) the government’s views on whether and how to borrow Western culture for developing Chinese HE; (2) the government’s views on the relationship between Chinese and Western cultures in Chinese HE; and (3) the government’s views on the status of Chinese culture and HE in the world (Franzosi, 2008 ; Lin & Jackson, 2021 ). Representative content has been translated and presented in the next section.

Cultural nationalism and its effect on Chinese higher education

We found that cultural nationalism has consistently been a driving force of reforms in Chinese HE during the period under study. The various forms of cultural nationalism have complicated the combination of Western and Chinese cultures in Chinese HE. We have divided the development of cultural nationalism in Chinese HE into five periods based on the events that have significantly influenced Chinese society and HE, as this reveals the continuity and variations of cultural nationalism in HE over time.

From 1840 to 1911: a declining sense of cultural superiority

From the Opium Wars (1840–1842) to the late Qing reforms (1901–1911), China underwent a shift from a general rejection of Western culture to a selective acceptance of Western culture, while maintaining the core status of Chinese culture. This period, therefore, witnessed the fall of the traditional Chinese higher learning system and marked the beginning of China’s transformation toward a global HE system led by the West. During the process of declining cultural superiority, China’s cultural pride endured with a strong adherence to keeping tradition and some reluctance to learn from the West. Culture was constructed and politicized during this period to serve different nationalist interests, including promoting Sinocentrism, preserving the traditional societal and political system, propagandizing nationalist thoughts, and maintaining the government’s rule.

Ancient China had already developed a higher learning system before the arrival of Western ideas of HE in China (Li, 2000 ). Before the Opium Wars, many Chinese emperors viewed Western culture as inferior and unworthy of learning due to various reasons, such as arrogancy or simply showing a political stance (Ding, 1994 ), though a few of them (e.g., Kangxi and Qianlong) were probably already aware of the existence of emerging power in the remote West (Harrison, 2001 ; Hostetler, 2001 ). This cultural pride, which influenced Chinese higher learning by largely downplaying the development of HE in the West, served the emperors’ interests of promoting Sinocentrism.

However, the First Opium War forced Chinese emperors and scholar-officials (the highest rank of government officials in imperial China) to recognize the strength of Western military power. Some then argued that Western ST had originated from ancient China, and that this meant it could be selectively learned (Ding, 1994 ). For example, in 1842, Wei Yuan, a comparatively open-minded scholar-official, forcefully suggested that China should learn the powerful techniques of the barbarians [the West], and do so to control them (Wei, 2011 ). China’s defeat in the Second Opium War (1856–1869) elicited more support from Chinese scholar-officials for introducing Western ST while maintaining traditional Chinese culture as the basis of Chinese society. In 1861, a government official named Feng ( 2002 ) put forward an influential statement, emphasizing that “the essential basis of Chinese society is moral principles and Confucian ethical codes, supplemented by other countries’ techniques, to achieve prosperity” (p. 57). In the second half of the nineteenth century, this idea was adopted and further developed by Zhang ( 1998 ), a top government official of the late Qing dynasty, as the doctrine—“traditional learning as the essence, new-style learning for its usefulness” (p. 121).

The above ideas expressed by Chinese emperors and scholar-officials clearly served their interests of preserving the traditional system and promoting the following nationalist thoughts to the public: that certain aspects of Chinese culture are necessary for China’s development, a skepticism about learning Western culture, and an insistence on keeping Chineseness. This construction and politicization of culture affected the development of Chinese higher learning by fostering the government to adopt a dual approach to higher learning: Western culture can be learned in an effort to strengthen China, but the influence of the West must be controlled strictly. In 1861, officials founded the Self-Strengthening Movement, which imported ST subjects from the West into Chinese HE (Luo, 1999 ). However, these officials nevertheless advocated that the Confucian classics were an irreplaceably important basis of China’s cultural and moral standards (Zhang, 1987 ); they neither understood nor wished to establish modern HE in the Western sense. The imperial examination system did not change, as it continued to prioritize the Confucian classics and neglect ST (Guan, 2017 ).

During the final two decades of the late Qing dynasty, the emphasis on incorporating Western knowledge and a reduction in the focus on traditional knowledge within higher learning institutions was also motivated by an attempt to sustain the government’s rule. China’s defeat in the First Sino–Japanese War (1894–1895) was the first major blow to its sense of cultural superiority (Bays, 1978 ). Numerous progressives called for reforms of China’s education system, which led to the establishment of the first Western-style universities approved by the Guangxu Emperor: National Beiyang University (now Tianjin University) in 1895, with Western ST as its main focus; and Peking University in 1898. Both were significantly influenced by Western ideas and models. After the invasion of China by the Eight-Nation Alliance in 1900–1901, the Qing government decreased its emphasis on Chinese cultural superiority, as it sought to save the nation from extinction by implementing sweeping reforms (Zhang, 1987 ). In particular, in 1904 the government abolished the imperial examination system, thereby encouraging Chinese people to learn the Western knowledge system and to pay greater attention to ST (Yuan et al., 1904 ). The government decided to build a modern HE system structured around scientific disciplines borrowed from the West (Zhang et al., 1993 ), but retained the Chinese essence as its core. For instance, traditional knowledge was not fully adapted to the discipline-based Western knowledge system, and the continued priority status of the Confucian classics meant that ST subjects were not given equal importance. However, these reforms ended when the Qing dynasty collapsed in 1911. From the perspective of cultural nationalism, this leaning toward learning more from Western knowledge while keeping less Chinese aspects was a temporary strategy to save the nation so that the government’s rule could be maintained.

From 1911 to 1949: enduring westernization to save the nation

As the Republican period began, culture was constructed and politicized by different governments and parties to serve their nationalist interests of securing the legitimacy of governance, promoting the path for modernization, and winning the public. This cultural nationalism significantly influenced the development of Chinese HE, as the government’s willingness to experience hardship to restore China’s greatness led it to support extensive institutional Westernization (Levenson, 1965 ; Luo & Ge, 1998 ). Chinese HE thus became more closely modeled on the HE of Western societies (Luo & Ge, 1998 ; Zhou, 1991 ).

It is worth clarifying that although we see “enduring Westernization to save the nation” as a common thread running through the period, we do not mean to suggest that it was totally smooth without ups and downs or to oversimplify the history of the Republic. Instead, we acknowledge that this period was highly dynamic and complex as different political powers, including warlords, various sections of the Kuomintang (KMT), and the Chinese Communist Party (CCP), were active and significantly influenced the central government for a period (Fenby, 2009 ). Despite the drastic political upheaval, one phenomenon in Chinese HE was particularly prominent during the period: different legitimate governments initiated a series of reforms designed to borrow Western ideas of HE and construct a modern Chinese HE system, as demonstrated by three typical examples.

First, the debates and movements related to China’s response to the West had a profound influence on Chinese HE when the Beiyang government was in power. In 1912, the Beiyang government started to directly learn from the West. In 1919, students gathered together to protest against the government’s weak response to the Treaty of Versailles, which is called the May Fourth movement. The movement promoted a suspicious attitude toward traditional Chinese culture and encouraged a full embrace of Western ideas such as Democracy and Science, and accelerated the emergence of many political leaders of the next coming decades, including those of the CCP (Mitter, 2004 ). From 1912 to 1922, a German model that features academic freedom and autonomy served as the most influential template for establishing modern HEIs in China (Xiong, 1983 ). In 1922, the government promoted a U.S.-style HE system that understates the separation between theoretical and applied disciplines and highlights social responsibility, which met the pragmatic need of Chinese society (Hayhoe, 1996 ). The reforms on HEIs were good examples of how managing cultural relationships between China and the West was politicized to secure the legitimacy of the government’s governance and win the public.

The second example is that to ensure Western models of HE were used to save and rebuild China, the nationalist government made numerous attempts in the 1930s and 1940s to strengthen the identity-related components of Chinese HE. During the Second Sino–Japanese War began in 1937, the Nationalist government emphasized that learning from the West must not be done at the cost of forgetting Chinese culture and losing Chineseness. Accordingly, the head of the government Chiang Kai-shek started the New Life Movement, which aimed to promote a civilized Chinese life that was to be guided by four traditional Chinese virtues: li (ritual); yi (rightness or duty); lian (integrity or honesty); and chi (sense of shame). The government considered these four virtues as being of primary importance to save and rebuild the nation, and that Western knowledge and techniques were of secondary importance (Chiang, 1934 ). Based on the belief that “people need knowledge and techniques because they want to do good. Otherwise, knowledge and techniques can only be instruments of dishonorable deeds”, Chiang stated:

only people who hold on to these virtues can use advanced Western knowledge and techniques to save and rebuild the nation, and those who do not have these Chinese virtues will only utilize Western knowledge and techniques to destroy the nation and serve their personal interests. (Chiang, 1934 )

Here, culture was reconstructed and politicized by Chiang and his nationalist government to provide legitimacy of his governance, promote his path for modernization, and win the public.

Accordingly, the movement sought to promote moral education and character development in students, with a focus on cultivating a sense of national pride and loyalty to the government. This resulted in changes to the curriculum, with courses on subjects such as ethics, Chinese literature, and history being emphasized. Specifically, the government used censorship to ensure that HE curricula heightened students’ national spirit. In the humanities, there was much emphasis on using national history to shape students’ Chinese identity (Qian, 1989 ). Many subjects in the social sciences (e.g., sociology) that were imported from Western countries were also Sinicized to serve national interests (Wu, 2010 ).

The third example is the CCP’s construction and politicization of culture and its application in Chinese HE during the 1930s and 1940s, a period when KMT was still considered the governing party, and the CCP’s influence was growing. As mentioned, several founders (e.g., Li Dazhao and Chen Duxiu) and important figures (e.g., Zhou Enlai) of the CCP went through or were the leaders of the May Forth Movement. They were suspicious of traditional Chinese culture, considered it as old and elitism and was harmful to the mass, and believed that some Western ideas (Marxism and communism in particular) and radical political actions (e.g., revolution) and attitudes were what China needs (Leibold, 2007 ). This attitude contrasted with Chiang Kaishek’s skeptical attitude toward Western ideas and his efforts on preserving traditional Chinese culture and values, as manifested by the New Life Movement.

Accordingly, the CCP established some universities that follow its attitude toward Chinese and Western cultures to serve its purposes, including winning peasants and workers over and starting a Communist revolution. For example, the CCP founded China Red Army School in 1931 in Jiangxi. This school was renamed China Red Army College in 1933 and Counter-Japanese University of the Red Army in 1937. Given the political consideration behind the establishment of those universities, the party leaders used Western ideas including Marxism and communism as guiding ideologies, and focused on politicizing Western and Chinese cultures.

From 1949 to 1978: developing the nation through a politicized view on culture

When the CCP came to power and established the People’s Republic of China in 1949, Soviet influence inspired the Chinese government to tighten its leadership and control over all HE sectors and highly politicize them. In relation, political missions including socialist transformation and nation-building became the main themes of HE (Xiong, 1983 ). As the political environment and Chairman Mao’s thoughts changed significantly during this period, cultural nationalism was manifested as a pragmatically and strategically borrowing whatever useful elements of Western and Chinese cultures to serve different political priorities and purposes (e.g., seeking the legitimacy of the CCP and building a new socialist country).

Mao Zedong’s cultural nationalism adopted “critique and inheritance” to deal with the interaction between Western and traditional Chinese cultures (PEP, 2008 ). As the main concern for him was ideological differences, he did not provide a clear definition of Western and Chinese cultures, nor did he offer specific answers to questions such as the definition of cultural pride, the essence of Chinese culture, the fundamental elements of Western culture, or the meaning of Chineseness. Instead, he took a political and strategic stance to selectively and strategically define what elements of Western and traditional Chinese culture can be borrowed: anything that does not challenge the political ideology or the legitimacy of the CCP and can serve China’s development. Notably, his approach to (re)constructing and politicizing culture was shaped by his different priorities of nationalist interests, influenced by China’s domestic crises (e.g., the Cultural Revolution) and international relations.

Mao’s cultural nationalism had significant consequences for his design of HE. As he believed that ST subjects were the most useful in developing a socialist nation and criticized humanities and social sciences (HSS) subjects for promoting capitalist values and Western models for HEIs (Li, 2005 ; PEP, 2008 ). Accordingly, HEIs established numerous subjects in the fields of technology and engineering, such as steel, geology, aviation, mining, and hydraulic engineering (Song, 2010 ). In contrast, HSS subjects were criticized for their hidden bourgeois ideas, and some were banned (Song, 2010 ). Academics in the HSS considered bourgeoisie by the government were involved in the early 1950s campaign aimed at uniting, educating, and reforming academics under the guidance of Marxism-Leninism (Fu, 1993 ). Meanwhile, to ensure Chinese HE did not follow a Western model (e.g., the U.S. model), he required HEIs and academics to show loyalty to the Party and its leader, promote state ideology, and adopt a Chinese socialist approach to HE (Hayhoe, 1996 ; Li, 2005 ; Shi, 2016 ). This demonization of Western culture and the emphasis on Chinese socialist culture served his nationalist interest in justifying and securing his rule.

The numerous campaigns that he launched to denounce the parts of traditional Chinese culture that he considered old-fashioned and harmful, which could be considered as serving his nationalist interest of promoting his redefinition of what is good for China’s modernization, also affected Chinese HE. For example, during the Cultural Revolution (1966–1976), Mao required universities to emphasize social practice with roots in China’s reality instead of focusing on knowledge that was divorced from reality (Hayhoe, 1996 ). Based on Mao’s view that “the more knowledge you have, the more reactionary you are”, universities were required to stop regular enrollment through the national college entrance examination. Instead, the government initiated the Down to the Countryside Movement, in which “educated youths” in urban areas were sent to live and work in rural areas to be re-educated by the peasantry and to better understand Chinese society. During this period, numerous scholars were persecuted, and many talented students were denied admission to HEIs and forced to work in villages. The Cultural Revolution has had a long-lasting negative impact on Chinese HE, especially in terms of lost talent, scorn for knowledge, and a decline in the quality of HE (Deng, 2017 ).

From 1978 to 2012: omens of strong cultural nationalism

Between 1978 and 2012, China witnessed changes in political leadership from Deng Xiaoping to Jiang Zemin and then to Hu Jintao. Although their attitudes toward Western and Chinese cultures varied, they all showed resistance to capitalist ideology and an increasing emphasis on internationalization and Sinicization, which significantly influenced the government’s design of HE. This period was special because of the appearance of signals of strong cultural nationalism that emphasizes not only selectively learning Western culture to catch up to and exceed the West, but also China’s national culture and its contributions to the world. The omens of strong cultural nationalism have four aspects.

First, generally speaking, this period witnessed a government’s increasing emphasis on the Sinicization and export of political ideologies. Many dominant political ideologies (e.g., Marxist-Leninism and socialism) in China during this period were originally from the West, though they might have been Sinicized in the historical process and creatively embedded in China. Although Mao proposed the term “Sinicization of Marxism” in 1938, he mainly considered it as a political slogan and movement to arouse the public’s nationalistic sentiment to fight against capitalism and “the West”. It was not until Deng Xiaoping came to power that he and his successors started to (1) systematically incorporate the Sinicization of Marxism and socialism into policies and educational resources, and (2) highlight that the Sinicized Marxism and socialism are different from their original meanings because Chinese wisdom has been added (though they did not specify what Chinese wisdom meant), and that these innovative Chinese political ideologies should be exported because they can offer some insights to the world. It was under this background that the perplexing and seemingly self-contradictory political statements about Western and Chinese culture made by political leaders during this period can be better understood. More details about this point will be given below when discussing other three aspects.

Second, under the leadership of Deng Xiaoping, the government prioritized modernization and internationalization to ensure social stability and seek political legitimacy while culture was constructed and politicized to serve these nationalist interests. The Cultural Revolution ended with the death of Mao in 1976, and the government implemented a policy of reform and opening up in 1978. This policy featured a vigilant attitude toward the radical ideas of Mao’s period (Tang, 1995 ) and reintroduced Western culture to China (Deng, 1994a ). However, China’s wide-ranging learning from the West in the 1980s and 1990s was not a repeat of the overall Westernization of the Republic of China. Instead, with the focus during this period on further development rather than a desperate effort to save the nation, the government selectively borrowed elements of Western culture that were likely to complement a socialist path and would be integrated into Chinese culture (Deng, 1994a , 1994b ). Culture was constructed and politicized here to serve the government’s interest of promoting economic reform. The government took a pragmatic approach to developing the country so that the legitimacy of CCP can be consolidated and that ideological and psychological obstacles to market-oriented economic reform can be removed (Zhao, 2004 ).

Given the government’s attitude to culture, Chinese HE was rehabilitated and sought to catch up with its Western counterparts. The government increasingly abandoned the Soviet model and turned to Western Europe and North America for the inspiration needed to reshape Chinese HE. Previously, China’s approach to HEIs had centered on insulating China from Western capitalist countries, due to the influence of the Soviet Union and the emphasis on the ideological struggle against the non-Marxist, bourgeois political ideas. In 1977, the government reinstated the National College Entrance Examination and rebuilt the HE system (Deng, 1977 ; State Council, 1977 ). Deng also made many efforts to reduce the effects of the Soviet model so that the policy of reform and opening up can be truly carried out. In education, this orientation toward openness is reflected in his famous words in 1983: “Education should face modernization, the world and the future”. For example, he regarded reforming teaching methods and updating textbooks as requirements to enable China to gain the latest Western knowledge. At his instruction, textbooks and teaching materials for nearly all subjects were imported from the United States, the United Kingdom, West Germany, France, and other countries (MoE, 2019 ). University disciplines were reshaped to fit Western templates, and numerous social science subjects were re-established.

Yet Deng’s intention was not to follow the West but for China to Sinicize Western HE systems as a means of strengthening Chinese HE (Deng, 1994a ). This was particularly the case by the end of his term. Following the collapse of numerous Communist regimes worldwide in the late 1980s and early 1990s and China’s political turmoil in the late 1980s (e.g., the pro-democracy movement and the 1989 Tiananmen Square protests), Deng was increasingly aware of the potential risks of cultural erosion by the decadence of Western culture to the legitimacy of CCP, and thus tightened ideological and political control over education (Deng, 1994a ; Hayhoe, 1993 ; Lin, 2022b ; Zhao, 2004 ). This increasing skepticism of and resistance to certain elements of Western culture served Deng’s nationalist interest in maintaining the rule of CCP. Interestingly, although Marxism, socialism, and capitalism were all from the West, Deng considered them as helpful Western cultures to China’s development as long as they could be Sinicized and added the alleged “Chinese characteristics” (through what he meant by this term was unclear). Thus, these "Western cultures” were often promoted in education during his leadership.

Third, Jiang Zemin, the successor of Deng, further politicized culture to serve the nationalist interest of maintaining the CCP’s rule and the current political system while advocating for learning from the West. This has had a significant impact on the acquisition and dissemination of Chinese and Western knowledge through HE, which represents the typical form of cultural nationalism trends in recent decades. Similar to Deng, Jiang warned that “the purpose of learning and borrowing from others is to make our own national culture grow. If we lose this and worship or copy the values of Western capitalism, we will only follow suit and become their vassals” (LROCPCCC, 1999 , p. 2152). He repeatedly highlighted the importance of adopting a “scientific” attitude toward traditional Chinese culture and Western culture:

Under the guidance of Marxism, we strive to inherit and develop all outstanding cultural traditions of the Chinese nation, learn and absorb all outstanding cultural achievements of foreign countries, and constantly create and promote a socialist culture with Chinese characteristics. (Jiang, 2001 )

As mentioned, Marxism and socialism were seen as originally from the West by Chinese people. Interestingly, here Jiang considered Marxism as something beyond traditional Chinese culture and Western culture and can be equated to a scientific attitude toward them. In this sense, it reflected that Jiang continued Deng’s pragmatic approach to culture instead of Mao’s “all about politics” approach, and that he further downplayed the importance of “political conflict” in judging whether certain elements of Western culture can be learned to develop China.

Although Jiang paid great attention to ideological and political differences between China and the West, he also adopted many policies to encourage China to learn from the West. Two contexts of this seemingly self-contradictory gesture should be noted: (1) the Western countries opposed China’s harsh crackdown in Tiananmen Square after 1989, so he was keen to pose a more friendly gesture toward the Western world; and (2) China was trying very hard to get into WTO and win the chance to hold the Olympic Games. This self-contradictory attitude affected China’s HE in the following ways.

On the one hand, Jiang advocated for the adoption of Western knowledge and practices at both the institutional and individual levels in HE. In the Outline of China’s Education Reform and Development , Jiang clearly stated that ST was a primary productive force and that Chinese HEIs should take advantage of advanced Western ST to contribute to the nation’s development (CCCPC & SC, 1993 ). He promoted the importing of textbooks and teaching materials from Western countries and used bilingual education as a criterion to assess the quality of HE (MoE, 2001 ). Jiang also established the China Scholarship Council to regulate policies regarding studying abroad and overseas returnees. In particular, Jiang increased government funding for Chinese students to study abroad to gain advanced knowledge, and instituted policies to persuade students studying abroad to return to China and use their knowledge and skills to contribute to China’s development (Zhu & Zhang, 2017 ).

On the other hand, Jiang had to make extra efforts to reconstruct and politicize culture in a way of maintaining the legitimacy of CCP, securing social stability, and appeasing the public in response to many domestic crises in the society throughout the 1990s, such as “the widespread demise of communist ideology and ‘three crises of faith’: a crisis of faith in socialism, in Marxism, and in the Party”(Zhao, 2004 , p. 211). For example, he used the patriotic education campaign to foster national self-esteem and pride, enhance the nation’s spirit and cohesion, and build socialism with Chinese characteristics (Wang, 2008 ). In relation, he called for HE to promote traditional Chinese culture under the guidance of socialist ideology (Jiang, 2006 ), stating “teaching and research must be guided by Marxism and the theory of building socialism with Chinese characteristics” (CCCPC & SC, 1993 ). Again, he never specified what the “Chinese characteristics” were or which traditional Chinese culture should be promoted. His another move in HE was initiating a strategy of globalizing HE, including establishing Confucius Institutes and encouraging scholars to publish internationally (Lu, 2019 ; Sun, 2003 ). This move was conducted in the name of countering Western cultural hegemony and enhancing the influence and appeal of Chinese culture. Yet, it was also used as a political strategy to legitimize the Party’s power within China, by projecting an image of rising China on the international stage, in contrast to the weak China which suffered a century of humiliation (Zhao, 2004 ).

Fourth, during the Hu Jintao period from 2004 to 2012, the government maintained and promoted Jiang’s policy of politicizing culture to serve its nationalist interests. The seemingly stable policies fostered the strong cultural nationalism of the next period. Like his predecessors, Hu was cautious about the erosion of Western culture in people’s minds and emphasized national culture to continuously secure political legitimacy. Notably, Western political thoughts (including socialism) are crucial in his construction of national culture, though some may argue that they have been Sinicized and thus are not Western anymore. For example, he stated:

We must be fully aware that international hostile forces are stepping up efforts to implement their strategies of Westernizing and dividing China, with ideology and culture being key areas of their long-term infiltration. We must develop a national, scientific, and popular socialist culture geared toward modernization, the world, and the future. We must cultivate a high degree of cultural self-awareness and self-confidence, raise the cultural level of the whole nation, increase the country’s cultural soft power, advance and enrich Chinese culture, and strive to build a country with a strong socialist culture. (Hu, 2012a , pp. 3–4)

For political concerns (e.g., convincing Chinese citizens that China is not a “Sick Man” anymore), Hu highlighted the importance of expanding China’s global influence through cultural exports, which had a major effect on Chinese HE. He required HE to emphasize China’s historical and cultural traditions and disseminate them to society and the world (Hu, 2012b ). He went further than his predecessors in highlighting the “Sinicization of HE” and the internationalization of HE (Hu, 2012b ). During this era, the government implemented numerous policies designed to build a HE system with “Chinese characteristics”, a “Chinese style” and “an imposing Chinese manner”. The relevant publications were the Outline of the National Medium- and Long-Term Program for Education Reform and Development (2010–2020) , Opinions on Accelerating the Construction of Philosophy and Social Sciences with Chinese Characteristics (2004), and Opinions on the Quality Improvement of Philosophy and Social Sciences Research in Higher Education Institutions (2006). These policies emphasized the combination of outstanding overseas educational resources and China’s HE system, Sino–foreign cooperation in education, and Chinese HEIs’ establishment of overseas campuses (Yang, 2010 ). Unfortunately, from the political discourse in these policies, it remained unclear what a HE system with “Chinese characteristics”, a “Chinese style” or “an imposing Chinese manner” really mean.

Since 2012: strong cultural nationalism

Today, China features a strong cultural nationalism that places less emphasis on learning from the West, and more emphasis on cultural confidence, the Chinese dream of the rejuvenation of the nation, and building a Chinese model of HE (Douglass, 2021 ; Lin, 2023 ). This form of cultural nationalism has been reflected in many nationalistic homilies and actions promoted during Xi’s tenure, such as “being confident in the Chinese socialist path, theory, system and culture” (Xi, 2016b ), the strengthening of “Chinese discourse power” and “cultural soft power” (Xi, 2014a ), a stricter control over the internet, and an increasing control and censorship over using textbooks written by Western authors in HEIs.

Notably, this cultural nationalism is different from the form in the previous period because since Xi Jinping became the president, he has been centralizing power and, to some extent, departing from the collective leadership practices of his post-Mao predecessors; and he largely shifted the pragmatic approach to culture back to the “it-is-all-about-politics” approach (Lee, 2017 ). In this sense, cultural nationalism in this period is more like the form in Mao’s period because (1) they all prioritize the importance of political struggle in judging which elements of Western and Chinese culture can be used to develop China. and (2) like the strong Mao’s personal feature associated with cultural nationalism in his period, cultural nationalism since 2012 has a strong Xi’s personal feature. For example, he has changed the constitution and could be “president for life”. Various channels related to culture, including school textbooks, media, and cultural and artistic works, have also been required to praise and promote Xi and his thoughts (Lin, 2023 ). However, cultural nationalism in Xi’s period is different from Mao’s period because unlike Mao who largely isolated China from the world, Xi aims to more significantly influence the world.

Since Xi came to power in 2012, the government’s emphasis on national culture and a Chinese model of HE reached new heights. In his report to the 19th National Congress of the CCP, Xi ( 2017 ) emphasized the need to strengthen cultural self-confidence and promote Chinese socialist culture, which he regarded as the cornerstone of a great rejuvenation of the Chinese nation. In relation, Xi summarized his vision for the direction of Chinese HE:

The Party’s and nation’s needs for higher education to serve their development are more urgent than ever. The world-class universities we want to build are first-class universities of socialism with Chinese characteristics. China’s higher education should be based on an overall strategy to rejuvenate the Chinese nation, and on promoting the country’s prosperity and development. (Xi, 2021a )

To what extent Xi’s discourse and moves are out of political concerns and truly reflect cultural confidence is controversial, and that his usage of terms such as first-class universities of socialism with Chinese characteristics was extremely vague and hard to decipher, but one thing is certain: his nationalistic vision has been implemented in various government policies and has had a significant influence on the orientation of Chinese HE, especially in terms of its anti-Western sentiment, scholarly publications, university ranking and evaluation, discipline construction, curriculum development, and enhanced global influence.

Specifically, the anti-Western sentiment was clearly exemplified by the government’s Opinions on Strengthening and Improving Ideological and Political Work in The New Era , issued in 2021. This policy stated that HEIs should fight against “corrosive” Western values and ideologies to protect the socialist nature of Chinese HE. It clarified that the leadership of the government and guiding ideology in HE should be strengthened, the criteria used in selecting, managing, and evaluating researchers and teachers should include their political mindset, and that ideological and political education should be further integrated into all academic disciplines (MoE, 2021 ).

Regarding scholarly publications, after Xi came to power in 2012, the government began to warn against the prioritization of Western standards, including the prioritization of journals indexed by international citation indices like the Sciences Citation Index and Social Sciences Citation Index (MoE & MoST, 2020 ; Xu, 2021 ), and to view Western influence on Chinese HE as a threat to cultural self-confidence. This shift in policy is a response to past programs aimed at encouraging academics to publish in international journals, and using academics’ numbers of international publications as a key criterion for university evaluation and academic promotion. Accordingly, recent policies underline the importance of publishing in domestic journals and of having a demonstrable effect on China’s society, economy, and national security (GOSC, 2021 ; MoE, 2020 ; MoE & MoST, 2020 ). For example, Opinions on Promoting the Prosperity of Academic Journals states that “academic research should be based on China’s reality and respond to practical concerns. Papers should be written on the Motherland and closely serve the Party and nation’s central works and strategic tasks” (PD, MoE, & MoST, 2021 ). In Opinions on Eliminating the Unhealthy “Paper-Only” Orientation in the Evaluation of Humanities and Social Sciences Research in Higher Education Institutions , the government opposed Chinese researchers who “deliberately dwarf or vilify China” or “damage national sovereignty, security, and national interests” in pursuit of international publication (MoE, 2020 ). However, the government nevertheless regards international publication as a crucial way of showing cultural confidence, and thus encourages researchers to publish studies that focus on the good sides of Chinese culture as a means of conveying the Chinese voice to the world. This reflects the self-contradictory nature of Xi’s cultural nationalism.

As to university ranking and evaluation, the government has made it clear that Chinese HE needs to establish its own ranking and evaluation system, rather than following the West. During his visit to the Renmin University of China in 2022, Xi stated that

China has a unique history, a unique culture, and a unique national condition, the construction of world-class universities with Chinese characteristics cannot follow behind and copy others or simply take foreign universities as the standard and model, but take root in the land of China and start a new road. (Xinhuanet, 2022 )

Coincidentally, soon after his visit, three leading Chinese HEIs (i.e., Nanjing University, Renmin University, and Lanzhou University) decided to no longer participate in international league tables and rankings systems. It is anticipated that more universities will follow suit due to the political environment and the increasing nationalistic tendency in China.

In terms of discipline construction, the government is encouraging Chinese HEIs to develop a Chinese approach for both HSS and ST subjects to show the advantages of such an approach to the world. For example, the government has emphasized the urgency of constructing philosophy and social sciences programs with Chinese characteristics in HE (CCCPC, 2017 ; Xi, 2016a ), and similar guidance has been provided for ST subjects. In Xi’s vision, building a strong nation with world-class ST is central to the development of cultural confidence and the rejuvenation of the nation (Xi, 2021b ). Thus, Xi has stated on many occasions (such as at scientific symposia) that Chinese ST subjects cannot rely on second-hand Western knowledge and become what he calls “technical vassals” of Western countries; rather, they must have Chinese characteristics and take control of core technology (Xi, 2013 , 2014b ). However, this faces serious challenges in reality. For example, although some national think tanks have been formed to figure out how to construct philosophy and social sciences programs with Chinese characteristics in HE, no concrete program has been put forward because what are truly “Chinese characteristics” remains disputable.

In terms of curriculum development, the government requires HEIs to closely monitor the use of Western curricula and to reject the promotion of Western values (Beijing Daily, 2015 ). The government has also sought to enhance education in traditional Chinese culture and values through the curricula used at both the undergraduate and postgraduate levels, aiming to nurture students who are proud of their Chinese identity and are alert to Western values. For example, HEIs have been required to deepen education on socialism with Chinese characteristics, traditional Chinese culture, socialist core values and the “Chinese dream” for students, and to inculcate “Xi Jinping thought” in students’ minds through textbooks and teaching. However, in reality, this often remains a political slogan/declaration because no specific guidance was provided by the government and many HEIs do not know how to carry it out except by simply adding more patriotic and political education content.

Finally, the government expects HE to increase its global influence by promoting Chinese culture, opening overseas campuses, and exporting the Chinese experiences of HE. For example, the government regards the “going global” of HSS as a key approach to improving China’s discursive power (Gao & Zheng, 2020 ; Xi, 2016a ; Xu, 2019 ). The government has also implemented several policies to encourage Chinese HEIs to open overseas campuses to enhance their global reputation and influence and to demonstrate the achievements and effectiveness of the Chinese model of HE. Relevant policies can be found in publications including Opinions on Further Strengthening the Quality Assurance of Chinese-Foreign Cooperation in Running Higher Education Institutions (2013) and Opinions on Doing a Good Job in Opening up Education to the Outside World in the New Period (2016). This move is by no means non-controversial and smooth. In fact, the success of opening overseas campuses (e.g., Xiamen University Malaysia) and Confucius Institutes is limited. Many of them have encountered challenges and criticisms, such as host countries’ suspicion of their hidden intentions and political considerations, them being China’s overseas propaganda tools and a means of advancing China’s soft power internationally, their censorship of content taught (e.g., topics related to freedom, democracy, Taiwan, Tibet, and Xinjiang), the possibility of industrial espionage, and the conflicts between the Institutes and the host government’s policies (e.g., during the Covid-19 pandemic) (Cohen, 2016 ; Perez-Garcia & Nierga, 2021 ).

Along with these nationalistic moves, some features of the current Chinese HE remain largely Western, which could be the obstacles to establishing a Chinese model of HE from the government’s view. For example, the current push toward creating “world-class universities” (or “first-class universities”) still adopts the metrics that are very largely Western. According to the nationalistic trend happening in the last ten years, it is likely that these “Western evil legacies” would be the next focal points of the reform of Chinese HE, that is, being removed or Sinicized in the near future.

Discussion and conclusion

Our analysis demonstrated that cultural nationalism closely links to politics, and although the form taken by cultural nationalism has varied throughout Chinese history, it has continuously and significantly influenced Chinese HE. Specifically, the first continuity across the identified five periods lies in the insistence of maintaining and strengthening the so-called “Chinese core” by absorbing what is useful from the West. Although there are significant variations regarding why the core should be maintained, what the “Chinese core” is, and which Western elements should be adsorbed to develop the core, this “core” business never goes away. The second continuity is that because of the inevitable interaction between China and the West, what is typically (if not exclusively) Chinese and what is purely Western in the cultural domain becomes increasingly difficult (if not impossible) to decipher. Any attempt to do so would risk inviting criticisms from diverse stakeholders and sides or even dividing the nation and losing control. This was partially responsible for the ambiguous usage of terms such as “Chinese characteristics” in political leaders’ discourse, because they wanted to use these terms in a general way so that the majority of people of the nation can be united and follow their governance. The fundamental reasons underpinning the continuities are that (1) different political leaders all constructed the Chinese nation as if it is a homogenous nation that has a core significantly different from other nations, and that (2) globalization and global migration have increasingly made the task of finding this core difficult, not just for China, but also for many other nations.

Despite the vague expressions in political discourse, some significant variations have been identified. In general, we identified two approaches to culture that guided political leaders’ different answers regarding why the Chinese core should be maintained, what the “Chinese core” is, and how to develop the Chinese core by absorbing Western elements: a more practical approach and a more “all-about-politics” approach. The five period witnessed a general shift from a more “all-about-politics” approach to a more practical approach, then shifting back to an “all-about-politics” approach. The fundamental reasons underpinning the variations are (1) the situations that China faced in different periods were very different, such as in danger of extinction, turmoil, and relatively stable; and (2) political leaders in different periods often had diverse nationalistic interests, such as saving the nation from extinction, consolidating the nation’s independence, and projecting China influencing global to legitimize political decisions and strengthen personal rule.

This paper thus has three contributions. First, it contributes to the literature by adding a cultural perspective to the discussion of nationalism in the educational field (Hammond, 2016 ; Kim & Jung, 2019 ). This paper demonstrates that cultural nationalism is a useful perspective from which to examine the development of Chinese HE. According to Anderson ( 2016 ), nationalism and the state are closely intertwined. The state often considers cultivating and promoting national identity and other nationalistic ideologies through education as a significant part of the nation-state building project and crucial for the establishment of a unified nation-state. Our analysis shows that this is particularly true in China. We confirm that certain benign aspects of cultural nationalism could or have played a positive role in enhancing the solidarity of national community and strengthening national identity (Gans, 2000 ). In China, the discourse such as developing cultural self-confidence, maintaining Chinese characteristics, and exporting Chinese culture becomes a necessary strategy for the government to maintain political legitimacy and win public support (Wang, 2014 ).

We also reflect on the malignant aspects of cultural nationalism. Critics have criticized cultural nationalism for promoting inward looking and nationalistic sentiment and actions that are, to some extent, xenophobic and in contrast to the cultivation of the cosmopolitan and multicultural citizenry (Barnett, 2015 ; Daniels, 2005 ; Lin, 2022a , 2023 ); in many cases cultural nationalism promotes a homogenous national identity, cultural superiority, and an idea that a culture is exclusiveness shared by national members, as illustrated by the situation in Japan (Yoshino, 1992 ). China once perceived itself as the center of the world, but was defeated several times by the West and suffered a century of humiliation. This history has made China struggle with a complex combination of cultural arrogance and cultural cringe. In recent decades, the rapid economic development and population growth make China emerge as a major power again (Cheung, 2014 ), how to rationally and appropriately treat its own culture and other cultures has become an urgent yet tricky issue.

Second, this paper explores the government’s politicization of culture and its complicated impact on HE, which is closely tied to the tension between adopting Western and traditional Chinese culture, a common thread that runs through those examined periods. The findings highlight that cultural nationalism is a political project, as national traditions and cultures are “invented” by people in power to legitimize their governance, promote nationalist doctrines, and distract attention from domestic crises (Breuilly, 1993 ; Hobsbawm & Ranger, 2013 ). In this context, the dynamics of Chinese HE have been influenced in a top-down way. We remind readers that what the government claims in public may not reflect its real political agenda. While the party-state and political leaders often emphasize their adherence to traditional Chinese culture and values, their definitions of “Chinese characteristics” always are selective and prioritize certain elements that reinforce their authority, legitimacy, and policy objectives. For example, elements that can help strengthen the hierarchy and their governance often receive the most attention, such as the emphasis on the importance of education, filial piety, respect for elders, teachers, and authority, the maintenance of strong family relationships and collectivism, and allegiance. This selective and partial embrace of Sinic tradition in Chinese HE has puzzled and created numerous dilemmas for stakeholders (e.g., policymakers, university leaders, teachers, and students) in terms of aspects such as teacher-student relations (a more equal relationship as promoted in Western philosophy or a more hierarchical relationship as in Sinic tradition?), pedagogical methods (indoctrination or critical inquiry?), definitions of knowledge (Chinese traditional emphasis on practical knowledge or Western distinction between pure and applied knowledge?), notions of leadership (decentralization of authority or centralization?), and university autonomy (controlled by politics or independent from politics?). In this sense, the nationalistic moves of the government and their impact on Chinese HE are highly complicated and deserve more critical and careful examinations in the future.

We highlight that the cultural nationalism is somehow self-contradictory as it contains two competing directions simultaneously, which relates to the politicization of culture and reflects the transition between a globally emerging China and an emerged China: (1) cutting China’s links to the world and relying on what is Chinese to develop the nation, and (2) actively participating in the world affairs, being truly confident about Chinese culture, and believing that the interaction of Chinese and Western cultures would only test and strengthen Chinese culture rather than destroying it. The cultural nationalism and its dilemma have also significantly influenced the field of Chinese HE, as shown by HEIs’ self-contradictory focus on developing a Chinese model of HE (i.e., HE with Chinese characteristics) and creating “world-class universities” that follow the metrics for which are very largely Western (Marginson, 2017 ; Zhu & Li, 2018 ). The disparity between the need of the government discourse and the reality of lacking such social, cultural, and political foundations should be responsible for the self-contradictory situations in the construction of cultural nationalism and the development of Chinese HE. In particular, truly cultural self-confidence has not been well-established, as it requires China to go beyond cultural arrogance or cultural cringe and treat both Chinese and Western cultures in an equal and open-minded way (Ong & Chan, 2012 ). So far, such a phenomenon reflects the transitional phase between an emerging China with global ambitions and a fully established China. Of course, we recognize that looking globally, this could be a political dillema for any nation that wants to become the best country even without inputs from other cultures and at the same time, wants other countries to follow its lead.

Third, although it has been recognized as a tradition that the Chinese governments have been trying to retain the so-called Chinese core and absorb what is useful from the West in more than 100 years, the nuance across different periods should not be overlooked. Also, how this tradition has influenced Chinese HE, especially in the periods of Jiang Zemin, Hu Jintao, and Xi Jinping, is underexplored. This paper fills these gaps by offering a nuanced and updated picture. We do not mean to suggest that cultural nationalism is a fully established or fixed concept that can explain every aspect of Chinese HE, but aims to initiate a conversation about its controversies and political usage. In particular, the paper gives rich data on how the latest government in the Xi Jinping era constructs and politicizes culture to serve its nationalist interests, and how this has impacted and could influence the direction of China’s HE in the future. We view today’s strong cultural nationalism in China as a result of the government’s deep-rooted cultural pride and its long-standing quest of maintaining its political legitimacy. Consequently, current Chinese HE and most (if not all) Chinese HEIs are, to some extent, highly politicized and required to show loyalty to the government and follow its nationalistic path. We predict that the government will further strengthen its nationalistic approach to developing Chinese HE in the near future.

Given that the strong cultural nationalism has significantly affected many sectors in Chinese HEIs, its influence is likely to increase. The state exercises substantial control and influence over HEIs, including setting priorities, goals, and policies that shape the curriculum, research agendas, and academic appointments. For instance, the state’s developmentalist approach may prioritize fields and disciplines that align with national strategic objectives, such as science, technology, and engineering. Another example is that one the one hand, to contribute to the state’s economy (arguably, it has, to some extent, become capitalist economy), HEIs are encouraged to collaborate with industries, engage in applied research instead of simply creating pure knowledge, and promote entrepreneurship and innovation that requires critical thinking. On the other hand, the strong cultural nationalism may bring back Sinic tradition that emphasizes respect for authority and hierarchical relationships; prefers rote learning, memorization, and the mastery of classics, while downplaying critical thinking; and challenges the Western distinction between pure and applied knowledge. It is evident that the impacts of the selective and partial embrace of Sinic tradition within the strong cultural nationalism and its application in HE are multifaceted; thus, additional research is needed to delve deeper into these specific areas.

This paper is not without limitations and is in need of further extensions. Conceptually, we acknowledge that some terms (e.g., Marxism, communism, socialism, and Chinese model of HE) in this paper are vague (as the government intends to do so) and their meanings evolve over time, which we do not have enough space to fully elaborate on. There remains no clear and simple answer to what cultural self-confidence really means, what elements of Chinese culture should China inherit, or what exactly should China borrow from the West. In addition, this paper focuses only on the government’s perspective; we are calling for research on the debates about cultural nationalism and its reflection in HE over time from the perspectives of other stakeholders, such as scholars, activists, educators, and the public. We also encourage various stakeholders (e.g., educators and researchers) to critically take account of the government’s nationalistic expectations of them (e.g., to revive the nation and its culture), to be aware of the way cultural nationalism affects their teaching and research (in terms of what and how to teach and study), and to rethink their response to the changes in Chinese HE. Future research could also examine the effects on stakeholders of today’s strong cultural nationalism, especially in terms of academic freedom, international cooperation, and other issues.

Overall, this paper provides insights into the nationalist trends and tensions in the development of the Chinese HE system from a cultural nationalism perspective. We believe that cultural nationalism can be a useful lens that offers fresh perspectives on how culture and politics are interconnected in Chinese HE. This study offers a valuable theoretical foundation for further research on cultural nationalism and its influence on HE systems in other countries.

Anderson, B. (2016). Imagined communities: Reflections on the origin and spread of nationalism . Verso.

Google Scholar  

Barnett, M. R. (2015). The politics of cultural nationalism in South India . Princeton University Press.

Book   Google Scholar  

Bays, D. H. (1978). China enters the twentieth century: Chang Chih-tung and the issues of a new age, 1895–1909 . University of Michigan Press.

Beijing Daily. (2015, January 30). Ministry of Education: Must prevent using textbooks which disseminate Western values in class. Beijing Daily . http://politics.people.com.cn/n/2015/0130/c70731-26480304.html

Bowen, G. A. (2009). Document analysis as a qualitative research method. Qualitative Research Journal, 9 (2), 27–40.

Article   Google Scholar  

Breuilly, J. (1993). Nationalism and the state . University of Chicago Press.

Calhoun, C. (1997). Nationalism . University of Minneapolis Press.

Central Committee of the Communist Party of China. (2017, May 16). Opinions on accelerating the construction of philosophy and social sciences with Chinese characteristics. http://www.gov.cn/zhengce/2017-05/16/content_5194467.htm

Central Committee of the Communist Party of China & State Council. (1993, February 13). The outline of China’s education reform and development. http://www.moe.gov.cn/jyb_sjzl/moe_177/tnull_2484.html

Chen, Z., Wei, Z., Liu, Z., & Tang, Y. (2020). Disaggregating nationalism: A comparative analysis of Chinese economic and cultural nationalisms. China: An International Journal, 18 (3), 22–40.

Cheung, C. K. (2014). China’s rise and the international politics of East Asia: The development of Chinese IR theory. China: An International Journal, 12 (2), 31–45.

Chiang, K. S. (1934). Essentials of the New Life movement. http://afe.easia.columbia.edu/ps/cup/chiang_kaishek_new_life.pdf

Cohen, H. (2016, October 14). Australian universities the latest battleground in Chinese soft power offensive. https://www.abc.net.au/news/2016-10-14/universities-latest-battleground-in-chinese-soft-power-offensive/7931958

Daniels, T. P. (2005). Building cultural nationalism in Malaysia identity, representation, and citizenship . Routledge.

Deng, W. D. (2017). The abolition of national college entrance examinations during the cultural revolution and its harm. Education and Examinations, 1 , 1–13.

Deng, X. P. (1977). Speech: Respect knowledge, respect talent . Ministry of Education of the People’s Republic of China. http://www.moe.gov.cn/jyb_xwfb/xw_zt/moe_357/s3579/moe_90/tnull_3105.html

Deng, X. P. (1994a). Selected works of Deng Xiaoping (Vol. II). People’s Publishing House.

Deng, X. P. (1994b). Selected works of Deng Xiaoping (Vol. III). People’s Publishing House.

Ding, W. (1994). The formation and development of “Chinese learning for ti and Western learning for yong” in the period of the foreign affairs movement. Social Sciences in China, 1 , 101–118.

Douglass, J. A. (2021). Neo-nationalism and universities: Populists, autocrats, and the future of higher education . Johns Hopkins University Press.

Fenby, J. (2009). The penguin history of modern China: The fall and rise of a great power, 1850 to 2008 . Penguin.

Feng, G. F. (2002). Policy recommendations written in Xiaobinlu . Shanghai Bookstore Publishing House.

Fichte, J. G. (2008). Addresses to the German nation . Cambridge University Press.

Franzosi, R. (2008). Content analysis . Sage.

Fu, Z. Y. (1993). Autocratic tradition and Chinese politics . Cambridge University Press.

Gans, C. (2000). The liberal foundations of cultural nationalism. Canadian Journal of Philosophy, 30 (3), 441–466.

Gao, X., & Zheng, Y. (2020). ‘Heavy mountains’ for Chinese humanities and social science academics in the quest for world-class universities. Compare: A Journal of Comparative and International Education, 50 (4), 554–572.

General Office of the State Council. (2021, July 16). Guidance of the General Office of the State Council on improving the evaluation mechanism for scientific and technological achievements. http://www.gov.cn/zhengce/content/2021-08/02/content_5628987.htm

Gries, P. H. (2004). China’s new nationalism pride, politics, and diplomacy . University of California Press.

Guan, X. H. (2017). Abolishment of the imperial examination and modern Chinese society . Social Sciences Academic Press.

Guo, Y. (2004). Cultural nationalism in contemporary China . Routledge.

Hammond, C. D. (2016). Internationalization, nationalism, and global competitiveness: A comparison of approaches to higher education in China and Japan. Asia Pacific Education Review, 17 , 555–566.

Harrison, H. (2001). China: Inventing the nation . Arnold.

Hayhoe, R. (1993). China’s universities since Tiananmen: A critical assessment. The China Quarterly, 134 , 291–309.

Hayhoe, R. (1996). China’s universities, 1895–1995: A century of cultural conflict . Garland Publishing.

Hobsbawm, E. J., & Ranger, T. O. (2013). The invention of tradition . Cambridge University Press.

Hostetler, L. (2001). Qing colonial enterprise: Ethnography and cartography in early modern China . University of Chicago Press.

Hsiau, A. (2000). Contemporary Taiwanese cultural nationalism . Routledge.

Hu, J. (2012a). Adhering to the socialist cultural development path with Chinese characteristics and striving to build a country with a strong socialist culture. Qiushi, 1 , 3–7.

Hu, J. (2012b, April 25). Hu Jintao’s speech at the conference to celebrate the 100th anniversary of Tsinghua University. http://zqb.cyol.com/html/2011-04/25/nw.D110000zgqnb_20110425_3-01.htm

Hughes, C. R. (2006). Chinese nationalism in the global era . Routledge.

Jiang, Z. M. (2001, July 2). Jiang Zemin’s speech at the congress to celebrate the 80th anniversary of the founding of the Party. People’s Daily . https://home.olemiss.edu/~gg/zi1liao4/Jiang017.htm

Jiang, Z. M. (2006). Selected works of Jiang Zemin . People’s Publishing House.

Kim, S., & Jung, D. J. (2019). Ideology, nationalism, and education: The case of education reforms in the two Koreas. Asia Pacific Education Review, 20 , 295–304.

Kohn, H. (1967). The idea of nationalism: A study in its origins and background . Collier Books.

Lee, S. (2017). An institutional analysis of Xi Jinping’s centralization of power. Journal of Contemporary China, 26 (105), 325–336.

Leibold, J. (2007). Reconfiguring Chinese nationalism: How the Qing frontier and its Indigenes became Chinese . Palgrave Macmillan.

Levenson, J. R. (1965). Confucianism and its modern fate . University of California Press.

Li, H. Q. (2000). Education in traditional China: A history . Brill.

Li, T. (2005). The impacts of the Soviet Union on higher education in mainland China from the perspective of the reorganization of colleges and departments in the 1950s. Twenty-First Century, 89 , 64–70.

Lin, C., & Jackson, L. (2021). Make China great again: The blood-based view of Chineseness in Hong Kong. Educational Philosophy and Theory, 53 (9), 907–919.

Lin, J. C. (2022a). Multiculturalism, Chinese identity, and education: Who are we? Routledge.

Lin, J. C. (2022b). Chinese patriotism: Inward and outward perspectives. Asia Pacific Education Review . https://doi.org/10.1007/s12564-022-09780-7

Lin, J. C. (2023). The rising China is not a ‘sick man’ anymore: Cultural nationalism in the Xi Jinping era. Journal of Contemporary China, 33 (145), 83–100.

Literature Research Office of the CPC Central Committee. (1999). Selection of important documents since the 14th National Congress (II) . People’s Publishing House.

Lu, J. (2019). Publish or perish in social science? Tension, challenges and opportunities for Chinese academics in the humanities and social sciences. Asian Journal of Social Science, 47 (4–5), 484–507.

Luo, Z. T. (1999). In shifts of power: Modern Chinese thought and society . Hubei People’s Press.

Luo, Z. T., & Ge, X. J. (1998). The east wind and the west wind . SDX Joint Publishing Company.

Marginson, S. (2017). The world-class multiversity: Global commonalities and national characteristics. Frontiers of Education in China, 12 (2), 233–260.

Marginson, S. (2018). National/global synergy in the development of higher education and science in China since 1978. Frontiers of Education in China, 13 (4), 486–512.

Ministry of Education. (2001, August 28). Some opinions on strengthening undergraduate teaching in colleges and universities and improving the quality of teaching. http://www.moe.gov.cn/s78/A08/gjs_left/s5664/moe_1623/201001/t20100129_88633.html

Ministry of Education. (2019). Mutual inclusiveness and mutual learning: The 70-year road of international educational exchange and cooperation in the new China. http://jsj.moe.gov.cn/n2/7001/12107/1357.shtml

Ministry of Education. (2020, December 10). Opinions on eliminating the unhealthy ‘paper-only’ orientation in the evaluation of humanities and social sciences research in higher education institutions. http://www.moe.gov.cn/srcsite/A13/moe_2557/s3103/202012/t20201215_505588.html

Ministry of Education. (2021, July 12). Opinions on strengthening and improving ideological and political work in the new era. http://www.xinhuanet.com/politics/2021-07/12/c_1127647536.htm

Ministry of Education & Ministry of Science and Technology. (2020, February 18). Opinions on regulating the use of relevant indicators of SCI in colleges and universities to establish a correct evaluation orientation. http://www.gov.cn/zhengce/zhengceku/2020-03/03/content_5486229.htm

Mitter, R. (2004). A bitter revolution: China’s struggle with the modern world . Oxford University Press.

Mok, K. H., & Marginson, S. (2021). Massification, diversification and internationalisation of higher education in China: Critical reflections of developments in the last two decades. International Journal of Educational Development, 84 , 102405.

Ong, K. C., & Chan, D. K. (2012). Transnational higher education and challenges for university governance in China. Higher Education Policy, 25 (2), 151–170.

People’s Education Press. (2008). Mao Zedong’s view of education . People's Education Press

Perez-Garcia, M., & Nierga, O. (2021). From soft power policy to academic diplomacy: The “Belt and Road Initiative” in EU–China internationalisation of the higher education system. China: an International Journal, 19 (4), 121–144.

Publicity Department, Ministry of Education, & Ministry of Science and Technology. (2021, May 18). Opinions on promoting the prosperity of academic journals. http://www.nppa.gov.cn/nppa/contents/279/76206.shtml

Qian, M. (1989). Outline of national history . Commercial Press.

Shi, Z. Y. (2016). Reconsideration on the heritage of educational thought of Mao Zedong. Peking University Education Review, 14 (3), 105–191.

Smith, A. D. (2010). Nationalism: Theory, ideology, history . Polity.

Snyder, H. (2019). Literature review as a research methodology: An overview and guidelines. Journal of Business Research, 104 , 333–339.

Song, N. (2010). Universities lost autonomous rights: A reflection on the reorganisation of colleges and departments in 1952. National Humanity History, 6 , 24–25.

State Council. (1977, October 12). An endorsement of opinions of the Ministry of Education on the enrolment work of colleges and universities in 1977. http://www.zgdazxw.com.cn/dagb/2014-10/16/content_70181.htm

Sun, J. Z. (2003). About cultural construction during strategic opportunity period. Literature & Art Studies, 1 , 5–16.

Tang, Y. J. (1995). Cultural fever’ and ‘national learning fever. Twenty-First Century, 31 , 32–35.

Wang, Z. (2008). National humiliation, history education, and the politics of historical memory: Patriotic education campaign in China. International Studies Quarterly, 52 (4), 783–806.

Wang, Z. (2014). The Chinese dream: Concept and context. Journal of Chinese Political Science, 19 (1), 1–13.

Wei, Y. (2011). Illustrated treatise on the maritime kingdoms . Yuelu Publishing House.

Weller, S. (2021). Samuel Beckett and cultural nationalism . Cambridge University Press.

Wu, W. Z. (2010). On the sinicization of sociology . Commercial Press.

Xi, J. P. (2013, March 4). Speech during the discussion of the 12th session of the CPPCC National Committee and the joint group of members of the scientific and technological community. https://fuwu.12371.cn/2016/12/13/ARTI1481594727823508.shtml

Xi, J. P. (2014a, January 1). Building a strong socialist cultural state and make efforts to improve the country’s cultural soft power. People’s Daily. http://politics.people.com.cn/n/2014/0101/c1001-23994334.html

Xi, J. P. (2014b, June 9). Speech at the 17th Congress of Academicians of the Chinese Academy of Sciences and the 12th Congress of Academicians of the Chinese Academy of Engineering. People’s Daily . http://cpc.people.com.cn/n/2014/0610/c64094-25125594.html

Xi, J. P. (2016a, May 17). Speech at a symposium on the work of philosophy and social sciences. http://www.xinhuanet.com/politics/2016-05/18/c_1118891128.htm

Xi, J. P. (2016b, July 1). Speech at a ceremony marking the 95th anniversary of the founding of the Communist Party of China. Qiushi. http://www.qstheory.cn/dukan/qs/2021-04/15/c_1127330615.htm

Xi, J. P. (2017, October 18). Secure a decisive victory in building a moderately prosperous society in all respects and strive for the great success of socialism with Chinese characteristics for a new era. http://www.chinadaily.com.cn/interface/flipboard/1142846/2017-11-06/cd_34188086.html

Xi, J. P. (2021a, April 19). During his visit to Tsinghua University, Xi stressed adhering to the direction of building a world-class university with Chinese characteristics, and contributing to the development of the Chinese country, nation, and people. http://www.xinhuanet.com/2021-04/19/c_1127348921.htm

Xi, J. P. (2021b, March 15). Strive to become the world’s leading scientific centre and innovation highland. http://www.xinhuanet.com/politics/leaders/2021-03/15/c_1127212833.htm

Xinhuanet. (2022, April 27). Building a world-class university with Chinese characteristics, Xi Jinping pointed out such a road. https://www.court.gov.cn/xinshidai-xiangqing-357091.html

Xiong, M. A. (1983). History of higher education in China . Chongqing Publishing House.

Xu, X. (2019). China ‘goes out’ in a centre–periphery world: Incentivizing international publications in the humanities and social sciences. Higher Education, 80 , 1–16.

Xu, X. (2021). A policy trajectory analysis of the internationalisation of Chinese humanities and social sciences research (1978–2020). International Journal of Educational Development, 84 , 102425.

Yang, R. (2010). Soft power and higher education: An examination of China’s Confucius Institutes. Globalisation, Societies and Education, 8 (2), 235–245.

Yang, R. (2013). Indigenizing the western concept of university: The Chinese experience. Asia Pacific Education Review, 14 (1), 85–92.

Yuan, S. K., Zhao, E. X., Zhang, Z. D., Zhou, F., Ceng, C. X., & Tuoteike, D. F. (1904). The petition of Yuan Shi-kai and others for the immediate abolition of the imperial examination for the expansion of schools. In X. Z. Wang & J. R. Guo (Eds.), Historical records of Peking University, 1898–1911 (pp. 36–38). Peking University Press.

Yusupova, G. (2018). Cultural nationalism and everyday resistance in an illiberal nationalising state: Ethnic minority nationalism in Russia. Nations and Nationalism, 24 (3), 624–647.

Yoshino, K. (1992). Cultural nationalism in contemporary Japan: A sociological enquiry . Routledge.

Zarrow, P. G. (2012). After empire: The conceptual transformation of the Chinese state, 1885–1924 . Stanford University Press.

Zhang, H. (1987). Chinese intellectuals in crisis: Search for order and meaning, 1890–1911 . University of California Press.

Zhang, Z. D. (1998). On learning . Zhongzhou Classics Publishing House.

Zhang, Z. D., Zhang, B. X., & Ezhuoer, R. Q. (1993). University regulations. In X. Z. Wang & J. R. Guo (Eds.), Historical records of Peking University, 1898–1911 (pp. 97–130). Peking University Press.

Zhao, S. (2004). A nation-state by construction: Dynamics of modern Chinese nationalism . Stanford University Press.

Zhou, M. Z. (1991). Hu Shi and choices of modern Chinese intellectuals . Sichuan People’s Publishing House.

Zhu, W., & Zhang, H. (2017). The review of internationalization policy in China’s higher education. Journal of Higher Education Management, 11 (2), 116–124.

Zhu, X., & Li, J. (2018). Conceptualizing the ontology of higher education with Chinese characteristics. Educational Philosophy and Theory, 50 (12), 1144–1156.

Download references

This work was supported by the [National Office for Philosophy and Social Sciences (Education) Youth Project] under Grant [Number CAA220305], and the [Start-up Research Grant] under Grant [Number RG 18/2023-2024R].

Author information

Authors and affiliations.

Department of International Education, The Education University of Hong Kong, Tai Po, Hong Kong

Jason Cong Lin

Faculty of Education, The Chinese University of Hong Kong, Sha Tin, Hong Kong

Yuting Shen

You can also search for this author in PubMed   Google Scholar

Corresponding author

Correspondence to Yuting Shen .

Ethics declarations

Conflict of interest.

The authors declare that there is no conflict of interest in relation to this study.

Additional information

Publisher's note.

Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.

Rights and permissions

Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/ .

Reprints and permissions

About this article

Lin, J.C., Shen, Y. Cultural nationalism and its effect on Chinese higher education: continuity and variation. Asia Pacific Educ. Rev. (2024). https://doi.org/10.1007/s12564-024-09943-8

Download citation

Received : 12 June 2023

Revised : 18 January 2024

Accepted : 28 January 2024

Published : 06 April 2024

DOI : https://doi.org/10.1007/s12564-024-09943-8

Share this article

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

• Higher education
• Chinese culture
• Western culture
• Find a journal
• Publish with us
• Track your research

• Reference Manager
• Simple TEXT file

People also looked at

Original research article, impact of industrial policy on urban green innovation: empirical evidence of china’s national high-tech zones based on double machine learning.

• College of Economics and Management, Taiyuan University of Technology, Taiyuan, China

Effective industrial policies need to be implemented, particularly aligning with environmental protection goals to drive the high-quality growth of China’s economy in the new era. Setting up national high-tech zones falls under the purview of both regional and industrial policies. Using panel data from 163 prefecture-level cities in China from 2007 to 2019, this paper empirically analyzes the impact of national high-tech zones on the level of urban green innovation and its underlying mechanisms. It utilizes the national high-tech zones as a quasi-natural experiment and employs a double machine learning model. The study findings reveal that the policy for national high-tech zones greatly enhances urban green innovation. This conclusion remains consistent even after adjusting the measurement method, empirical samples, and controlling for other policy interferences. The findings from the heterogeneity analysis reveal that the impact of the national high-tech zone policy on green innovation exhibits significant regional heterogeneity, with a particularly significant effect in the central and western regions. Among cities, there is a notable push for green innovation levels in second-tier, third-tier, and fourth-tier cities. The moderating effect results indicate that, at the current stage of development, transportation infrastructure primarily exerts a negative moderating effect on how the national high-tech zone policy impacts the level of urban green innovation. This research provides robust empirical evidence for informing the optimization of the industrial policy of China and the establishment of a future ecological civilization system.

1 Introduction

The Chinese economy currently focuses on high-quality development rather than quick growth. The traditional demographic and resource advantages gradually diminish, making the earlier crude development model reliant on excessive resource input and consumption unsustainable. Simultaneously, resource impoverishment, environmental pollution, and carbon emissions are growing more severe ( Wang F. et al., 2022 ). Consequently, pursuing a mutually beneficial equilibrium between the economy and the environment has emerged as a critical concern in China’s economic growth. Green innovation, the integration of innovation with sustainability development ideas, is progressively gaining significance within the framework of reshaping China’s economic development strategy and addressing the challenges associated with resource and environmental limitations. In light of the present circumstances, and with the objectives outlined in the “3060 Plan” for carbon peak and carbon neutral, the pursuit of a green and innovative development trajectory, emphasizing heightened innovation alongside environ-mental preservation, has emerged as a pivotal concern within the context of China’s contemporary economic progress.

Industrial policy is pivotal in government intervention within market-driven resource allocation and correcting structural disparities. The government orchestrates this initiative to bolster industrial expansion and operational effectiveness. In contrast to Western industrial policies, those in China are predominantly crafted within the administrative framework and promulgated through administrative regulations. Over an extended period, numerous industrial policies have been devised in response to regional disparities in industrial development. These policies aim to identify new growth opportunities in diverse regions, focusing on optimizing and upgrading industrial structures. These strategies have been implemented at various administrative levels, from the central government to local authorities ( Sun and Sun, 2015 ). As a distinctive regional economic policy in China, the national high-tech zone represents one of the foremost supportive measures a city can acquire at the national level. Its crucial role involves facilitating the dissemination and advancement of regional economic growth. Over more than three decades, it has evolved into the primary platform through which China executes its strategy of concentrating on high-tech industries and fostering development driven by innovation. Concurrently, the national high-tech zone, operating as a geographically focused policy customized for a specific region ( Cao, 2019 ), enhances the precision of policy support for the industries under its purview, covering a more limited range of municipalities, counties, and regions. Contrasting with conventional regional industrial policies, the industry-focused policy within national high-tech zones prioritizes comprehensive resource allocation advice and economic foundations to maximize synergy and promote the long-term sustainable growth of the regional economy, and this represents a significant paradigm shift in location-based policies within the framework of carrying out the new development idea. Its inception embodies a combination of central authorization, high-level strategic planning, local grassroots decision-making, and innovative system development. In recent years, driven by the objective of dual carbon, national high-tech have proactively promoted environmentally friendly innovation. Nevertheless, given the proliferation of new industrial policies and the escalating complexity of the policy framework, has the setting up of national high-tech zones genuinely elevated the level of urban green innovation in contrast to conventional regional industrial policies? What are the underlying mechanisms? Simultaneously, concerning the variations among different cities, have the industrial policy tools within the national high-tech zones been employed judiciously and adaptable? What are the concrete practical outcomes? Investigating these matters has emerged as a significant subject requiring resolution by government, industry and academia.

2 Literature review and research hypothesis

2.1 literature review.

When considering industrial policy, the setting up national high-tech zones embodies the intersection of regional and industrial policies. Domestic and international academic research concerning setting up national high-tech zones primarily centers on economic activities and innovation. Notably, the economic impact of national high-tech zones encompasses a wide range of factors, including their influence on total factor productivity ( Tan and Zhang, 2018 ; Wang and Liu, 2023 ), foreign trade ( Alder et al., 2016 ), industrial structure upgrades ( Yuan and Zhu, 2018 ), and economic growth ( Liu and Zhao, 2015 ; Huang and Fernández-Maldonado, 2016 ; Wang Z. et al., 2022 ). Regarding innovation, numerous researchers have confirmed the positive effects of national high-tech zones on company innovation ( Vásquez-Urriago et al., 2014 ; Díez-Vial and Fernández-Olmos, 2017 ; Wang and Xu, 2020 ); Nevertheless, a few scholars have disagreed on this matter ( Hong et al., 2016 ; Sosnovskikh, 2017 ). In general, the consensus among scholars is that setting up high-tech national zones fosters regional innovation significantly. This consensus is supported by various aspects of innovation, including innovation efficiency ( Park and Lee, 2004 ; Chandrashekar and Bala Subrahmanya, 2017 ), agglomeration effect ( De Beule and Van Beveren, 2012 ), innovation capability ( Yang and Guo, 2020 ), among other relevant dimensions. The existing literature predominantly delves into the correlation between the setting up of national high-tech zones, innovation, and economic significance. However, the rise of digital economic developments, notably industrial digitization, has accentuated the limitations of the traditional innovation paradigm. These shortcomings, such as the inadequate exploration of the social importance and sustainability of innovation, have become apparent in recent years. As the primary driver of sustainable development, green innovation represents a potent avenue for achieving economic benefits and environmental value ( Weber et al., 2014 ). Its distinctiveness from other innovation forms lies in its potential to facilitate the transformation of development modes, reshape economic structures, and address pollution prevention and control challenges. However, in the context of green innovation, based on the double-difference approach, Wang et al. (2020) has pointed out that national high-tech zones enhance the effectiveness of urban green innovation, but this is only significant in the eastern region.

Furthermore, scholars have also explored the mechanisms underlying the innovation effects of national high-tech. For example, Cattapan et al. (2012) focused on science parks in Italy. They found that green innovation represents a potent avenue for achieving economic benefits as the primary driver of sustainable development, and environmental value technology transfer services positively influence product innovation. Albahari et al. (2017) confirmed that higher education institutions’ involvement in advancing corporate innovation within technology and science parks has a beneficial moderating effect. Using the moderating effect of spatial agglomeration as a basis, Li WH. et al. (2022) found that industrial agglomeration has a significantly unfavorable moderating influence on the effectiveness of performance transformation in national high-tech zones. Multiple studies have examined the national high-tech zone industrial policy’s regulatory framework and urban innovation. However, in the age of rapidly expanding new infrastructure, infrastructure construction is concentrated on information technologies like blockchain, big data, cloud computing, artificial intelligence, and the Internet; Further research is needed to explore whether traditional infrastructure, particularly transportation infrastructure, can promote urban green innovation. Transportation infrastructure has consistently been vital in fostering economic expansion, integrating regional resources, and facilitating coordinated development ( Behrens et al., 2007 ; Zhang et al., 2018 ; Pokharel et al., 2021 ). Therefore, it is necessary to investigate whether transportation infrastructure can continue encouraging innovative urban green practices in the digital economy.

In summary, the existing literature has extensively examined the influence of national high-tech zones on economic growth and innovation from various levels and perspectives, establishing a solid foundation and offering valuable research insights for this study. Nonetheless, previous studies frequently overlooked the impact of national high-tech zones on urban green innovation levels, and a subsequent series of work in this paper aims to address this issue. Further exploration and expansion are needed to understand the industrial policy framework’s strategy for relating national high-tech zones to urban green innovation. Furthermore, there is a need for further improvement and refinement of the research model and methodology. Based on these, this paper aims to discuss the industrial policy effects of national high-tech zones from the perspective of urban green innovation to enrich and expand the existing research.

In contrast to earlier research, the marginal contribution of this paper is organized into three dimensions: 1) Most scholars have primarily focused on the effects of national high-tech zones on economic activity and innovation, with less emphasis on green innovation and rare studies according to the level of green innovation perspective. The study on national high-tech zones as an industrial policy that has already been done is enhanced by this work. 2) Regarding the research methodology, the Double Machine Learning (DML) approach is used to evaluate the policy effects of national high-tech zones, leveraging the advantages of machine learning algorithms for high-dimensional and non-parametric prediction. This approach circumvents the problems of model setting bias and the “curse of dimensionality” encountered in traditional econometric models ( Chernozhukov et al., 2018 ), enhancing the credibility of the research findings. 3) By introducing transportation infrastructure as a moderator variable, this study investigates the underlying mechanism of national high-tech zones on urban green innovation, offering suggestions for maximizing the influence of these zones on policy.

2.2 Theoretical analysis and hypotheses

2.2.1 national high-tech zones’ industrial policies and urban green innovation.

As one of the ways to land industrial policies at the national level, national high-tech zones serve as effective driving forces for enhancing China’s ability to innovate regionally and its contribution to economic growth ( Xu et al., 2022 ). Green innovation is a novel form of innovation activity that harmoniously balances the competing goals of environmental preservation and technological advancement, facilitating the superior expansion of the economy by alleviating the strain on resources and the environment ( Li, 2015 ). National high-tech zones mainly impact urban green innovation through three main aspects. Firstly, based on innovation compensation effects, national high-tech zones, established based on the government’s strategic planning, receive special treatment in areas such as land, taxation, financing, credit, and more, serving as pioneering special zones and experimental fields established by the government to promote high-quality regional development. When the government offers R&D subsidies to enterprises engaged in green innovation activities within the zones, enterprises are inclined to respond positively to the government’s policy support and enhance their level of green innovation as a means of seeking external legitimacy ( Fang et al., 2021 ), thereby contributing to the advancement of urban green innovation. Secondly, based on the industrial restructuring effect, strict regulation of businesses with high emissions, high energy consumption, and high pollution levels is another aspect of implementing the national high-tech zone program. Consequently, businesses with significant emissions and energy consumption are required to optimize their industrial structure to access various benefits within the park, resulting in the gradual transformation and upgrading of high-energy-consumption industries towards green practices, thereby further contributing to regional green innovation. Based on Porter’s hypothesis, the green and low-carbon requirements of the park policy increase the production costs for polluting industries, prompting polluting enterprises to upgrade their existing technology and adopt green innovation practices. Lastly, based on the theory of industrial agglomeration, the national high-tech zones’ industrial policy facilitates the concentration of innovative talents to a certain extent, resulting in intensified competition in the green innovation market. Increased competition fosters the sharing of knowledge, technology, and talent, stimulating a market environment where the survival of the fittest prevails ( Melitz and Ottaviano, 2008 ). These increase the effectiveness of urban green innovation, helping to propel urban green innovation forward. Furthermore, the infrastructure development within the national high-tech zones establishes a favorable physical environment for enterprises to engage in creative endeavors. Also, it enables the influx of high-quality innovation capital from foreign sources, complementing the inherent characteristics of national high-tech zones that attract such capital and concentrate green innovation resources, ultimately resulting in both environmental and economic benefits. Based on the above analysis, Hypothesis 1 is proposed:

Hypothesis 1. Implementing industrial policies in national high-tech zones enhances levels of urban green innovation.

2.2.2 Heterogeneity analysis

Given the variations in economic foundations, industrial statuses, and population distributions across different regions, development strategies in different regions are also influenced by these variations ( Chen and Zheng, 2008 ). Theoretically, when using administrative boundaries or geographic locations as benchmarks, the impact of national high-tech zone industrial policy on urban green innovation should be achieved through strategies like aligning with the region’s existing industrial structure. Compared to the western and central regions, the eastern region exhibits more incredible innovation and dynamism due to advantages such as a developed economy, good infrastructure, advanced management concepts, and technologies, combined with a relatively high initial level of green innovation factor endowment. Considering the diminishing marginal effect principle of green innovation, the industrial policy implementation in national high-tech zones favors an “icing on the cake” approach in the eastern region, contrasting with a “send carbon in the snow” approach in the central and western regions. In other words, the economic benefits of national high-tech zones for promoting urban green innovation may need to be more robust than their impact on the central and western regions. Literature confirms that establishing national high-tech zones yields a more beneficial technology agglomeration effect in the less developed central and western regions ( Liu and Zhao, 2015 ), leading to a more substantial impact on enhancing the level of urban green innovation.

Moreover, local governments consider economic development, industrial structure, and infrastructure levels when establishing national high-tech zones. These factors serve as the foundation for regional classification to address variations in regional quality and to compensate for gaps in theoretical research on the link between national high-tech zone industrial policy implementation and urban green innovation. Consequently, the execution of industrial policies in national high-tech zones relies on other vital factors influencing urban green innovation. Significant variations exist in economic development and infrastructure levels among cities of different grades ( Luo and Wang, 2023 ). Generally, cities with higher rankings exhibit strong economic growth and infrastructure, contrasting those with lower rankings. Consequently, the effect of establishing a national high-tech zone on green innovation may vary across different city grades. Thus, considering the disparities across city rankings, we delve deeper into identifying the underlying reasons for regional diversity in the green innovation outcomes of industrial policies implemented in national high-tech zones based on city grades. Based on the above analysis, Hypothesis 2 is proposed:

Hypothesis 2. There is regional heterogeneity and city-level heterogeneity in the impact of national high-tech zone policies on the level of urban green innovation.

2.2.3 The moderating effect of transportation infrastructure

Implementing industrial policies and facilitating the flow of innovation factors are closely intertwined with the role of transport infrastructure as carriers and linkages. Generally, enhanced transportation infrastructure facilitates the absorption of local factors and improves resource allocation efficiency, thereby influencing the spatial redistribution of production factors like labor, resources, and technology across cities. Enhanced transportation infrastructure fosters the development of more robust and advanced innovation networks ( Fritsch and Slavtchev, 2011 ). Banister and Berechman (2001) highlighted that transportation infrastructure exhibits network properties that are fundamental to its agglomeration or diffusion effects. From this perspective, robust infrastructure impacts various economic activities, including interregional labor mobility, factor agglomeration, and knowledge exchange among firms, thereby expediting the spillover effects of green technological innovations ( Yu et al., 2013 ). In turn, this could positively moderate the influence of national hi-tech zone policies on green innovation. On the other hand, while transportation infrastructure facilitates the growth of national high-tech zone policies, it also brings negative impacts, including high pollution, emissions, and ecological landscape fragmentation. Improving transportation infrastructure can also lead to the “relative congestion effect” in national high-tech zones. This phenomenon, observed in specific regions, refers to the excessive concentration of similar enterprises across different links of the same industrial chain, which exacerbates the competition for innovation resources among enterprises, making it challenging for enterprises in the region to allocate their limited innovation resources to technological research and development activities ( Li et al., 2015 ). As a result, there needs to be a higher green innovation level. Therefore, the impact of transportation infrastructure in the current stage of development will be more complex. When the level of transport infrastructure is moderate, adequate transport infrastructure supports the promotion of urban green innovation through national high-tech zone policies. However, the impact of transport infrastructure regulation may be harmful. Based on the above analysis, Hypothesis 3 is proposed:

Hypothesis 3. Transportation infrastructure moderates the relationship between national high-tech zones and levels of urban green invention.

3 Research design

3.1 model setting.

This research explores the impact of industrial policies of national high-tech zones on the level of urban green innovation. Many related studies utilize traditional causal inference models to assess the impact of these policies. However, these models have several limitations in their application. For instance, the commonly used double-difference model in the parallel trend test has stringent requirements for the sample data. Although the synthetic control approach can create a virtual control group that meets parallel trends’ needs, it is limited to addressing the ‘one-to-many’ problem and requires excluding groups with extreme values. The selection of matching variables in propensity score matching is subjective, among other limitations ( Zhang and Li, 2023 ). To address the limitations of conventional causal inference models, scholars have started to explore applying machine learning to infer causality ( Chernozhukov et al., 2018 ; Knittel and Stolper, 2021 ). Machine learning algorithms excel at an impartial assessment of the effect on the intended target variable for making accurate predictions.

In contrast to traditional machine learning algorithms, the formal proposal of DML was made in 2018 ( Chernozhukov et al., 2018 ). This approach offers a more robust approach to causal inference by mitigating bias through the incorporation of residual modeling. Currently, some scholars utilize DML to assess causality in economic phenomena. For instance, Hull and Grodecka-Messi (2022) examined the effects of local taxation, crime, education, and public services on migration using DML in the context of Swedish cities between 2010 and 2016. These existing research findings serve as valuable references for this study. Compared to traditional causal inference models, DML offers distinct advantages in variable selection and model estimation ( Zhang and Li, 2023 ). However, in promoting urban green innovation in China, there is a high probability of non-linear relationships between variables, and the traditional linear regression model may lead to bias and errors. Moreover, the double machine learning model can effectively avoid problems such as setting bias. Based on this, the present study employs a DML model to evaluate the policy implications of establishing a national high-tech zone.

3.1.1 Double machine learning framework

Prior to applying the DML algorithm, this paper refers to the practice of Chernozhukov et al. (2018) to construct a partially linear DML model, as depicted in Eq. 1 below:

where i represents the city, t represents the year, and l n G I i t represents the explained variable, which in this paper is the green innovation level of the city. Z o n e i t represents the disposition variable, which in this case is a national high-tech zone’s policy variable. It takes a value of 1 after the implementation of the pilot and 0 otherwise. θ 0 is the disposal factor that is the focus of this paper. X i t represents the set of high-dimensional control variables. Machine learning algorithms are utilized to estimate the specific form of g ^ X i t , whereas U i t , which has a conditional mean of 0, stands for the error term. n represents the sample size. Direct estimation of Eq. 1 provides an estimate for the coefficient of dispositions.

We can further explore the estimation bias by combining Eqs 1 , 2 as depicted in Eq. ( 3 ) below:

where a = 1 n ∑ i ∈ I , t ∈ T   Z o n e i t 2 − 1 1 n ∑ i ∈ I , t ∈ T   Z o n e i t U i t , by a normal distribution having 0 as the mean, b = 1 n ∑ i ∈ I , t ∈ T   Z o n e i t 2 − 1 1 n ∑ i ∈ I , t ∈ T   Z o n e i t g X i t − g ^ X i t . It is important to note that DML utilizes machine learning and a regularization algorithm to estimate a specific functional form g ^ X i t . The introduction of “canonical bias” is inevitable as it prevents the estimates from having excessive variance while maintaining their unbiasedness. Specifically, the convergence of g ^ X i t to g X i t , n −φg > n −1/2 , as n tends to infinity, b also tends to infinity, θ ^ 0 is difficult to converge to θ 0 . To expedite convergence and ensure unbiasedness of the disposal coefficient estimates with small samples, an auxiliary regression is constructed as follows:

where m X i t represents the disposition variable’s regression function on the high-dimensional control variable, this function also requires estimation using a machine learning algorithm in the specific form of m ^ X i t . Additionally, V i t represents the error term with a 0 conditional mean.

3.1.2 The test of the mediating effect within the DML framework

This study investigates how the national high-tech zone industrial policy influences the urban green innovation. It incorporates moderating variables within the DML framework, drawing on the testing procedure outlined by Jiang (2022) , and integrates it with the practice of He et al. (2022) , as outlined below:

Equation 5 is based on Eq. 1 with the addition of variables l n t r a i t and Z o n e i t * l n t r a i t .Where l n t r a i t represents the moderating variable, which in this paper is the transportation infrastructure. Z o n e i t * l n t r a i t represents the interaction term of the moderating variable and the disposition variable. The variables l n t r a i t and Z o n e i t are added to the high-dimensional control variables X i t , and the rest of the variables in Eq. 5 are identical to Eq. 1 . θ 1 represents the disposal factor to focus on.

3.2 Variable selection

3.2.1 dependent variable: level of urban green innovation (lngi).

Nowadays, many academics use indicators like the number of applications for patents or authorizations to assess the degree of urban innovation. To be more precise, the quantity of patent applications is a measure of technological innovation effort, while the number of patents authorized undergoes strict auditing and can provide a more direct reflection of the achievements and capacity of scientific and technological innovation. Thus, this paper refers to the studies of Zhou and Shen (2020) and Li X. et al. (2022) to utilize the count of authorized green invention patents in each prefecture-level city to indicate the level of green innovation. For the empirical study, the count of authorized green patents plus 1 is transformed using logarithm.

3.2.2 Disposal variable: dummy variables for national high-tech zones (Zone)

The national high-tech zone dummy variable’s value correlates with the city in which it is located and the list of national high-tech zones released by China’s Ministry of Science and Technology. If a national high-tech zone was established in the city by 2017, the value is set to 1 for the year the high-tech zone is established and subsequent years. Otherwise, it is set to 0.

3.2.3 Moderating variable: transportation infrastructure (lntra)

Previous studies have shown that China’s highway freight transport comprises 75% of the total freight transport ( Li and Tang, 2015 ). Highway transportation infrastructure has a significant influence on the evolution of the Chinese economy. The development and improvement of highway infrastructure are crucial for modern transportation. This paper uses the research methods of Wu (2019) and uses the roadway mileage (measured in kilometers) to population as a measure of the quality of the transportation system.

3.2.4 Control variables

(1) Foreign direct investment (lnfdi): There is general agreement among academics that foreign direct investment (FDI) significantly influences urban green innovation, as FDI provides expertise in management, human resources, and cutting-edge industrial technology ( Luo et al., 2021 ). Thus, it is necessary to consider and control the level of FDI. This paper uses the ratio of foreign investment to the local GDP in a million yuan.

(2) Financial development level (lnfd): Innovation in science and technology is greatly aided by finance. For the green innovation-driven strategy to advance, it is imperative that funding for science and technology innovation be strengthened. The amount of capital raised for innovation is strongly impacted by the state of urban financial development ( Zhou and Du, 2021 ). Thus, this paper uses the loan balance to GDP ratio as an indicator.

(3) Human capital (lnhum): Highly skilled human capital is essential for cities to drive green innovation. Generally, highly qualified human capital significantly boosts green innovation ( Ansaris et al., 2016 ). Therefore, a measure was employed: the proportion of people in the city who had completed their bachelor’s degree or above.

(4) Industrial structure (lnind): Generally, the secondary industry in China is the primary source of pollution, and there is a significant impact of industrial structure on green innovation ( Qiu et al., 2023 ). The metric used in this paper is the secondary industry-to-GDP ratio for the area.

(5) Regional economic development level (lnagdp): A region’s level of economic growth is indicative of the material foundation for urban green innovation and in-fluences the growth of green innovation in the region ( Bo et al., 2020 ). This research uses the annual gross domestic product per capita as a measurement.

3.3 Data source

By 2017, China had developed 157 national high-tech zones in total. In conjunction with the study’s objectives, this study performs sample adjustments and a screening process. The study’s sample period spans from 2007 to 2019. 57 national high-tech zones that were created prior to 2000 are omitted to lessen the impact on the test results of towns having high-tech zones founded before 2007. Due to the limitations of high-tech areas in cities at the county level in promoting urban green innovation, 8 high-tech zones located in county-level cities are excluded. And 4 high-tech zones with missing severe data are excluded. Among the list of established national high-tech zones, 88 high-tech zones are distributed across 83 prefecture-level cities due to multiple districts within a single city. As a result, 83 cities are selected as the experimental group for this study. Additionally, a control group of 80 cities was selected from among those that did not have high-tech zones by the end of 2019, resulting in a final sample size of 163 cities. This paper collects green patent data for each city from the China Green Patent Statistical Report published by the State Intellectual Property Office. The author compiled the list of national high-tech zones and the starting year of their establishment on the official government website. In addition, the remaining data in this paper primarily originated from the China Urban Statistical Yearbook (2007–2019), the EPS database, and the official websites of the respective city’s Bureau of Statistics. Missing values were addressed through linear interpolation. To address heteroskedasticity in the model, the study logarithmically transforms the variables, excluding the disposal variable. Table 1 shows the descriptive analysis of the variables.

Table 1 . Descriptive analysis.

4 Empirical analysis

4.1 national high-tech zones’ policy effects on urban green innovation.

This study utilizes the DML model to estimate the impact of industrial policies implemented in national high-tech zones at the level of urban green innovation. Following the approach of Zhang and Li (2023) , the sample is split in a ratio of 1:4, and the random forest algorithm is used to perform predictions and combine Eq. ( 1 ) with Eq. ( 4 ) for the regression. Table 2 presents the results with and without controlling for time and city effects. The results indicate that the treatment effect sizes for these four columns are 0.376, 0.293, 0.396, and 0.268, correspondingly, each of which was significant at a 1% level. Thus, Hypothesis 1 is supported.

Table 2 . Benchmark regression results.

4.2 Robustness tests

4.2.1 eliminate the influence of extreme values.

To reduce the impact of extreme values on the estimation outcomes, all variables on the benchmark regression, excluding the disposal variable, undergo a shrinkage process based on the upper and lower 1% and 5% quantiles. Values lower than the lowest and higher than the highest quantile are replaced accordingly. Regression analyses are conducted. Table 3 demonstrates that removing outliers did not substantially alter the findings of this study.

Table 3 . Extreme values removal results.

4.2.2 Considering province-time interaction fixed effects

Since provinces are critical administrative units in the governance system of the Chinese government, cities within the same province often share similarities in policy environment and location characteristics. Therefore, to account for the influence of temporal changes across different provinces, this study incorporates province-time interaction fixed effects based on the benchmark regression. Table 4 presents the individual regression results. Based on the regression results, after accounting for the correlation between different city characteristics within the same province, national high-tech zone policies continue to significantly influence urban green innovation, even at the 1% level.

Table 4 . The addition of province and time fixed effects interaction terms.

4.2.3 Excluding other policy disturbances

When analyzing how national high-tech zones affect strategy for urban green innovation, it is susceptible to the influence of concurrent policies. This study accounts for other comparable policies during the same period to ensure an accurate estimation of the policy effect. Since 2007, national high-tech zone policies have been successively implemented, including the development of “smart cities.” Therefore, this study incorporates a policy dummy variable for “smart cities” in the benchmark regression. The specific regression findings are shown in Table 5 . After controlling for the impact of concurrent policies, the importance of national high-tech zones’ policy impact remains consistent.

Table 5 . Results of removing the impact of parallel policies.

4.2.4 Resetting the DML model

To mitigate the potential bias introduced by the settings in the DML model on the conclusions, the purpose of this study is to assess the conclusions’ robustness using the following methods. First, the sample split ratio of the DML model is adjusted from 1:4 to 1:2 to examine the potential impact of the sample split ratio on the conclusions of this study. Second, the machine learning algorithm is substituted, replacing the random forest algorithm, which has been utilized as a prediction algorithm, with lasso regression, gradient boosting, and neural networks to investigate the potential influence of prediction algorithms on the conclusions of this study. Third, regarding benchmark regression, additional linear models were constructed and analyzed using DML, which involves subjective decisions regarding model form selection. Therefore, DML was employed to construct more comprehensive interactive models, aiming to assess the influence of model settings on the conclusions of this study. The main and auxiliary regressions utilized for the analysis were modified as follows:

Combining Eqs ( 7 ), ( 8 ) for the regression, the interactive model yielded estimated coefficients for the disposition effect:

The results of Eq. ( 9 ) are shown in column (5) of Table 6 . And all the regression results obtained from the modified DML model are presented in Table 6 .

Table 6 . Results of resetting the DML model.

The findings indicate that the sample split ratio in the DML model, the prediction algorithm used, or the model estimation approach does not impact the conclusion that the national high-tech zone policy raises urban areas’ level of green innovation. These factors only modify the magnitude of the policy effect to some degree.

4.3 Heterogeneity analysis

4.3.1 regional heterogeneity.

The sample cities were further divided into the east, central, and west regions based on the three major economic subregions to examine regional variations in national high-tech zone policies ' effects on urban green innovation, with the results presented in Table 7 . National high-tech zone policies do not statistically significantly affect urban green innovation in the eastern region. However, they have a considerable beneficial influence in the central and western areas. The lack of statistical significance may be explained by the possibility that the setting up of national high-tech zones in the eastern region will provide obstacles to the growth of urban green innovation, such as resource strain and environmental pollution. Given the central and western regions’ relatively underdeveloped economic status and industrial structure, coupled with the preceding theoretical analysis, establishing national high-tech zones is a crucial catalyst, significantly boosting urban green innovation levels. Furthermore, the central government emphasizes that setting high-tech national zones should consider regional resource endowments and local conditions, implementing tailored policies. The central and western regions possess unique geographic locations and natural conditions that make them well-suited for developing solar energy, wind energy, and other forms of green energy. Compared to the central region, the national high-tech zone initiative has a more pronounced impact on promoting urban green innovation in the western region. While further optimization is needed for the western region’s urban innovation environment, the policy on national high-tech zones has a more substantial incentive effect in this region due to its more significant development potential, positive transformation of industrial structure, and increased policy support from the state, including the development strategy for the western region.

Table 7 . Heterogeneity test results for different regions.

4.3.2 Urban hierarchical heterogeneity

The New Tier 1 Cities Institute’s ‘2020 City Business Charm Ranking’ is the basis for this study, with the sample cities categorized into Tier 1 (New Tier 1), Tier 2, Tier 3, Tier 4, and Tier 5. Table 8 presents the regression findings for each of the groups.

Table 8 . Heterogeneity test results for different classes of cities.

The results in Table 8 reveal significant heterogeneity at the city level regarding national high-tech zones’ effects on urban green innovation, confirming Hypothesis 2 . In particular, the coefficients for the first-tier cities are not statistically significant due to the small sample size, and the same applies to the fifth-tier cities. This could be attributed to the relatively weak economy and infrastructure development issues in the fifth-tier cities. Additionally, due to their limited level of development, the fifth-tier cities may have a relatively homogeneous industrial structure, with a dominance of traditional industries or agriculture and a need for a more diversified industrial layout. National high-tech zones have not greatly aided the development of green innovation in these cities. In contrast, national high-tech zone policies in second-tier, third-tier, and fourth-tier cities have a noteworthy favorable impact on green innovation, indicating their favorable influence on enhancing green innovation in these cities. Despite the lower level of economic development in fourth-tier cities compared to second-tier and third-tier cities, the fourth-tier cities’ national high-tech zones have the most pronounced impact on promoting green innovation. This could be attributed to the ongoing transformation of industries in fourth-tier cities, which are still in the technology diffusion and imitation stage, allowing these cities’ national high-tech zones to maintain a high marginal effect. Thus, Hypothesis 2 is supported.

5 Further analysis

According to the empirical findings, setting high-tech national zones significantly raises the bar for urban green innovation. Therefore, it is essential to understand the underlying factors and mechanisms that contribute to the positive correlation. This paper constructs a moderating effect test model using Eqs 5 , 6 and provides a detailed discussion by introducing transportation infrastructure as a moderating variable.

The empirical finding of the moderating impact of transportation infrastructure is shown in Table 9 . The dichotomous interaction term Zone*lntra is significantly negative at the 5% level, suggesting that the impact of national high-tech zone policies on the level of urban green innovation is negatively moderated by transportation infrastructure. This result deviates from the general expectation, but it aligns with the complexity of the role played by transportation infrastructure in the context of modern economic development, as discussed in the previous theoretical analysis. This could be attributed to the insufficient green innovation benefits generated by the policy on national high-tech zones at the current stage, which fails to compensate for the adverse effects of excessive resource consumption and environmental pollution caused by the construction of the zone. Furthermore, transportation infrastructure can lead to an excessive concentration of similar enterprises in the high-tech zones. This excessive concentration creates a relative crowding effect, intensifying competition among enterprises. It diminishes their inclination to engage in green innovation collaboration and investment and hinders their effective implementation of technological research and development activities. Moreover, the excessive clustering of similar enterprises implies a need for more diversity in green innovation activities among businesses located in national high-tech zones. This results in duplicated green innovation outputs and hinders the advancement of green innovation. Thus, Hypothesis 3 is supported.

Table 9 . Empirical results of moderating effects.

6 Conclusion and policy recommendations

6.1 conclusion.

Based on panel data from 163 prefecture-level cities in China from 2007 to 2019, the net effect of setting national high-tech zones on urban green innovation was analyzed using the double machine learning model. The results found that: firstly, the national high-tech zone policy significantly raises the degree of local green innovation, and these results remain robust even after accounting for various factors that could affect the estimation results. Secondly, in the central and western regions, the level of urban green innovation is positively impacted by the national high-tech zone policy; However, this impact is less significant in the eastern region. In the western region compared to the central region, the national high-tech zone initiative has a stronger impact on increasing the level of urban green innovation. Across different city levels, compared to second-tier and third-tier cities, the high-tech zone policy has a more substantial impact on increasing the level of green innovation in fourth-tier cities. Thirdly, based on the moderating effect mechanism test, the construction of transportation infrastructure weakens the promotional effect of national high-tech zones on urban green innovation.

6.2 Policy recommendations

In order that national high-tech zones can better promote China’s high-quality development, this paper proposes the following policy recommendations:

(1) Urban green innovation in China depends on accelerating the setting up of national high-tech zones and creating an atmosphere that supports innovation. Establishing national high-tech zones as testbeds for high-quality development and green innovation has significantly elevated urban green innovation. Thus, cities can efficiently foster urban green innovation by supporting the development of national high-tech zones. Cities that have already established national high-tech zones should further encourage enterprises within these zones to increase their investment in research and development. They should also proceed to foster the leadership of national high-tech zones for urban green innovation, assuming the role of pilot cities as models and leaders. Additionally, it is essential to establish mechanisms for cooperation and synergy between the pilot cities and their neighboring cities to promote collective green development in the region.

(2) Expanding the pilot program and implementing tailored policies based on local conditions are essential. Industrial policies about national high-tech zones have differing effects on urban green innovation. Regions should leverage their comparative advantages, consider urban development’s commonalities and unique aspects, and foster a stable and sustainable green innovation ecosystem. The western and central regions should prioritize constructing and enhancing new infrastructure and bolster support for the high-tech green industry. The western region should seize the opportunity presented by national policies that prioritize support, quicken the rate of environmental innovation, and progressively bridge the gap with the eastern and central regions in various aspects. Furthermore, second-tier, third-tier, and fourth-tier cities should enhance the advantages of national high-tech zone policies, further maintaining the high standard of green innovation and keeping green innovation at an elevated level. Regions facing challenges in green innovation, particularly fifth-tier cities, should learn from the development experiences of advanced regions with national high-tech zones to compensate for their deficiencies in green innovation.

(3) Highlighting the importance of transportation regulation and enhancing collaboration in green innovation is crucial. Firstly, transportation infrastructure should be maximized to strengthen coordination and cooperation among regions, facilitate the smooth movement of innovative talents across regions, and facilitate the rational sharing of innovative resources, collectively enhancing green innovation. Additionally, attention ought to be given to the industrial clustering effect of parks to prevent the wastage of resources and inefficiencies resulting from the excessive clustering of similar industries. Efforts should be focused on effectively harnessing the latent potential of crucial transportation infrastructure areas as long-term drivers of development, promptly mitigating the negative impact of transportation infrastructure construction, and gradually achieving the synergistic promotion of the setting up of national high-tech zones and the raising of urban levels of green innovation, among other overarching objectives.

6.3 Limitations and future research

Our study has some limitations because the research in this paper is conducted in the institutional context of China. For example, not all countries are suitable for implementing similar industrial policies to develop the economy while focusing on environmental protection. However, we recognize that this study is interesting and relevant, and it encourages us to focus more intensely on environmental protection from an industrial policy perspective. Moreover, this paper exhibits certain limitations in the research process. Firstly, the urban green innovation measurement index was developed using the quantity of green patent authorizations. Future studies could focus on green innovation processes, such as the quality of green patents granted. Secondly, the paper employs machine learning techniques for causal inference. Subsequent investigations could delve further into the potential applications of machine learning algorithms in environmental sciences to maximize the benefits of innovative research methodologies.

Data availability statement

The raw data supporting the conclusion of this article will be made available by the authors, without undue reservation.

Author contributions

WC: Conceptualization, Data curation, Formal Analysis, Funding acquisition, Investigation, Methodology, Project administration, Resources, Supervision, Validation, Visualization, Writing–review and editing. YJ: Conceptualization, Data curation, Formal Analysis, Investigation, Project administration, Resources, Software, Supervision, Validation, Visualization, Writing–original draft, Writing–review and editing. BT: Investigation, Project administration, Writing–review and editing.

The authors declare that financial support was received for the research, authorship, and/or publication of this article. This research was supported by the Youth Fund for Humanities and Social Science research of Ministry of Education (20YJC790004).

Acknowledgments

The authors are grateful to the editors and the reviewers for their insightful comments.

Conflict of interest

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

Publisher’s note

All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.

Albahari, A., Pérez-Canto, S., Barge-Gil, A., and Modrego, A. (2017). Technology parks versus science parks: does the university make the difference? Technol. Forecast. Soc. Change 116, 13–28. doi:10.1016/j.techfore.2016.11.012

CrossRef Full Text | Google Scholar

Alder, S., Shao, L., and Zilibotti, F. (2016). Economic reforms and industrial policy in a panel of Chinese cities. J. Econ. Growth 21, 305–349. doi:10.1007/s10887-016-9131-x

Ansaris, M., Ashrafi, S., and Jebellie, H. (2016). The impact of human capital on green innovation. Industrial Manag. J. 8 (2), 141–162. doi:10.22059/imj.2016.60653

Banister, D., and Berechman, Y. (2001). Transport investment and the promotion of economic growth. J. Transp. Geogr. 9 (3), 209–218. doi:10.1016/s0966-6923(01)00013-8

Behrens, K., Lamorgese, A. R., Ottaviano, G. I., and Tabuchi, T. (2007). Changes in transport and non-transport costs: local vs global impacts in a spatial network. Regional Sci. Urban Econ. 37 (6), 625–648. doi:10.1016/j.regsciurbeco.2007.08.003

Bo, W., Yongzhong, Z., Lingshan, C., and Xing, Y. (2020). Urban green innovation level and decomposition of its determinants in China. Sci. Res. Manag. 41 (8), 123. doi:10.19571/j.cnki.1000-2995.2020.08.013

Cao, Q. F. (2019). The latest researches on place based policy and its implications for the construction of xiong’an national new district. Sci. Technol. Prog. Policy 36 (2), 36–43. (in Chinese).

Google Scholar

Cattapan, P., Passarelli, M., and Petrone, M. (2012). Brokerage and SME innovation: an analysis of the technology transfer service at area science park, Italy. Industry High. Educ. 26 (5), 381–391. doi:10.5367/ihe.2012.0119

Chandrashekar, D., and Bala Subrahmanya, M. H. (2017). Absorptive capacity as a determinant of innovation in SMEs: a study of Bengaluru high-tech manufacturing cluster. Small Enterp. Res. 24 (3), 290–315. doi:10.1080/13215906.2017.1396491

Chen, M., and Zheng, Y. (2008). China's regional disparity and its policy responses. China & World Econ. 16 (4), 16–32. doi:10.1111/j.1749-124x.2008.00119.x

Chernozhukov, V., Chetverikov, D., Demirer, M., Duflo, E., Hansen, C., Newey, W., et al. (2018). Double/debiased machine learning for treatment and structural parameters. Econ. J. 21 (1), C1–C68. doi:10.1111/ectj.12097

De Beule, F., and Van Beveren, I. (2012). Does firm agglomeration drive product innovation and renewal? An application for Belgium. Tijdschr. Econ. Soc. Geogr. 103 (4), 457–472. doi:10.1111/j.1467-9663.2012.00715.x

Díez-Vial, I., and Fernández-Olmos, M. (2017). The effect of science and technology parks on firms’ performance: how can firms benefit most under economic downturns? Technol. Analysis Strategic Manag. 29 (10), 1153–1166. doi:10.1080/09537325.2016.1274390

Fang, Z., Kong, X., Sensoy, A., Cui, X., and Cheng, F. (2021). Government’s awareness of environmental protection and corporate green innovation: a natural experiment from the new environmental protection law in China. Econ. Analysis Policy 70, 294–312. doi:10.1016/j.eap.2021.03.003

Fritsch, M., and Slavtchev, V. (2011). Determinants of the efficiency of regional innovation systems. Reg. Stud. 45 (7), 905–918. doi:10.1080/00343400802251494

He, J. A., Peng, F. P., and Xie, X. Y. (2022). Mixed-ownership reform, political connection and enterprise innovation: based on the double/unbiased machine learning method. Sci. Technol. Manag. Res. 42 (11), 116–126. (in Chinese).

Hong, J., Feng, B., Wu, Y., and Wang, L. (2016). Do government grants promote innovation efficiency in China's high-tech industries? Technovation 57, 4–13. doi:10.1016/j.technovation.2016.06.001

Huang, W. J., and Fernández-Maldonado, A. M. (2016). High-tech development and spatial planning: comparing The Netherlands and Taiwan from an institutional perspective. Eur. Plan. Stud. 24 (9), 1662–1683. doi:10.1080/09654313.2016.1187717

Hull, I., and Grodecka-Messi, A. (2022). Measuring the impact of taxes and public services on property values: a double machine learning approach . arXiv preprint arXiv:2203.14751.

Jiang, T. (2022). Mediating effects and moderating effects in causal inference. China Ind. Econ. 5, 100–120. doi:10.19581/j.cnki.ciejournal.2022.05.005

Knittel, C. R., and Stolper, S. (2021). Machine learning about treatment effect heterogeneity: the case of household energy use. Nashv. TN 37203, 440–444. doi:10.1257/pandp.20211090

Li, H., and Tang, L. (2015). Transportation infrastructure investment, spatial spillover effect and enterprise inventory. Manag. World 4, 126–136. doi:10.19744/j.cnki.11-1235/f.2015.04.012

Li, W. H., Liu, F., and Liu, T. S. (2022a). Can national high-tech zones improve the urban innovation efficiency? an empirical test based on the effect of spatial agglomeration regulation. Manag. Rev. 34 (5), 93. doi:10.14120/j.cnki.cn11-5057/f.2022.05.007

Li, X. (2015). Analysis and outlook of the related researches on green innovation. R&D Manag. 27 (2), 1–11. doi:10.13581/j.cnki.rdm.2015.02.001

Li, X., Shao, X., Chang, T., and Albu, L. L. (2022b). Does digital finance promote the green innovation of China's listed companies? Energy Econ. 114, 106254. doi:10.1016/j.eneco.2022.106254

Li, X. P., Li, P., Lu, D. G., and Jiang, F. T. (2015). Economic agglomeration, selection effects and firm productivity. J. Manag. World 4, 25–37+51. (in Chinese). doi:10.19744/j.cnki.11-1235/f.2015.04.004

Liu, R. M., and Zhao, R. J. (2015). Does the national high-tech zone promote regional economic development? A verification based on differences-in-differences method. J. Manag. World 8, 30–38. doi:10.19744/j.cnki.11-1235/f.2015.08.005

Luo, R., and Wang, Q. M. (2023). Does the construction of national demonstration logistics park produce economic growth effect? Econ. Surv. 40 (1), 47–56. doi:10.15931/j.cnki.1006-1096.2023.01.015

Luo, Y., Salman, M., and Lu, Z. (2021). Heterogeneous impacts of environmental regulations and foreign direct investment on green innovation across different regions in China. Sci. total Environ. 759, 143744. doi:10.1016/j.scitotenv.2020.143744

PubMed Abstract | CrossRef Full Text | Google Scholar

Melitz, M. J., and Ottaviano, G. I. (2008). Market size, trade, and productivity. Rev. Econ. Stud. 75 (1), 295–316. doi:10.1111/j.1467-937x.2007.00463.x

Park, S. C., and Lee, S. K. (2004). The regional innovation system in Sweden: a study of regional clusters for the development of high technology. Ai Soc. 18 (3), 276–292. doi:10.1007/s00146-003-0277-7

Pokharel, R., Bertolini, L., Te Brömmelstroet, M., and Acharya, S. R. (2021). Spatio-temporal evolution of cities and regional economic development in Nepal: does transport infrastructure matter? J. Transp. Geogr. 90, 102904. doi:10.1016/j.jtrangeo.2020.102904

Qiu, Y., Wang, H., and Wu, J. (2023). Impact of industrial structure upgrading on green innovation: evidence from Chinese cities. Environ. Sci. Pollut. Res. 30 (2), 3887–3900. doi:10.1007/s11356-022-22162-1

Sosnovskikh, S. (2017). Industrial clusters in Russia: the development of special economic zones and industrial parks. Russ. J. Econ. 3 (2), 174–199. doi:10.1016/j.ruje.2017.06.004

Sun, Z., and Sun, J. C. (2015). The effect of Chinese industrial policy: industrial upgrading or short-term economic growth. China Ind. Econ. 7, 52–67. (in Chinese). doi:10.19581/j.cnki.ciejournal.2015.07.004

Tan, J., and Zhang, J. (2018). Does national high-tech development zones promote the growth of urban total factor productivity? —based on" quasi-natural experiments" of 277 cities. Res. Econ. Manag. 39 (9), 75–90. doi:10.13502/j.cnki.issn1000-7636.2018.09.007

Vásquez-Urriago, Á. R., Barge-Gil, A., Rico, A. M., and Paraskevopoulou, E. (2014). The impact of science and technology parks on firms’ product innovation: empirical evidence from Spain. J. Evol. Econ. 24, 835–873. doi:10.1007/s00191-013-0337-1

Wang, F., Dong, M., Ren, J., Luo, S., Zhao, H., and Liu, J. (2022a). The impact of urban spatial structure on air pollution: empirical evidence from China. Environ. Dev. Sustain. 24, 5531–5550. doi:10.1007/s10668-021-01670-z

Wang, M., and Liu, X. (2023). The impact of the establishment of national high-tech zones on total factor productivity of Chinese enterprises. China Econ. 18 (3), 68–93. doi:10.19602/j.chinaeconomist.2023.05.04

Wang, Q., She, S., and Zeng, J. (2020). The mechanism and effect identification of the impact of National High-tech Zones on urban green innovation: based on a DID test. China Popul. Resour. Environ. 30 (02), 129–137.

Wang, W. S., and Xu, T. S. (2020). A research on the impact of national high-teach zone establishment on enterprise innovation performance. Econ. Surv. 37 (6), 76–87. doi:10.15931/j.cnki.1006-1096.20201010.001

Wang, Z., Yang, Y., and Wei, Y. (2022b). Has the construction of national high-tech zones promoted regional economic growth? empirical research from prefecture-level cities in China. Sustainability 14 (10), 6349. doi:10.3390/su14106349

Weber, M., Driessen, P. P., and Runhaar, H. A. (2014). Evaluating environmental policy instruments mixes; a methodology illustrated by noise policy in The Netherlands. J. Environ. Plan. Manag. 57 (9), 1381–1397. doi:10.1080/09640568.2013.808609

Wu, Y. B. (2019). Does fiscal decentralization promote technological innovation. Mod. Econ. Sci. 41, 13–25.

Xu, S. D., Jiang, J., and Zheng, J. (2022). Has the establishment of national high-tech zones promoted industrial Co-Agglomeration? an empirical test based on difference in difference method. Inq. into Econ. Issues 11, 113–127. (in Chinese).

Yang, F., and Guo, G. (2020). Fuzzy comprehensive evaluation of innovation capability of Chinese national high-tech zone based on entropy weight—taking the northern coastal comprehensive economic zone as an example. J. Intelligent Fuzzy Syst. 38 (6), 7857–7864. doi:10.3233/jifs-179855

Yu, N., De Jong, M., Storm, S., and Mi, J. (2013). Spatial spillover effects of transport infrastructure: evidence from Chinese regions. J. Transp. Geogr. 28, 56–66. doi:10.1016/j.jtrangeo.2012.10.009

Yuan, H., and Zhu, C. L. (2018). Do national high-tech zones promote the transformation and upgrading of China’s industrial structure. China Ind. Econ. 8, 60–77. doi:10.19581/j.cnki.ciejournal.2018.08.004

Zhang, T., Chen, L., and Dong, Z. (2018). Highway construction, firm dynamics and regional economic efficiency. China Ind. Econ. 1, 79–99. doi:10.19581/j.cnki.ciejournal.20180115.003

Zhang, T., and Li, J. C. (2023). Network infrastructure, inclusive green growth, and regional inequality: from causal inference based on double machine learning. J. Quantitative Technol. Econ. 40 (4), 113–135. doi:10.13653/j.cnki.jqte.20230310.005

Zhou, L., and Shen, K. (2020). National city group construction and green innovation. China Popul. Resour. Environ. 30 (8), 92–99.

Zhou, X., and Du, J. (2021). Does environmental regulation induce improved financial development for green technological innovation in China? J. Environ. Manag. 300, 113685. doi:10.1016/j.jenvman.2021.113685

Keywords: national high-tech zone, industrial policy, green innovation, heterogeneity analysis, moderating effect, double machine learning

Citation: Cao W, Jia Y and Tan B (2024) Impact of industrial policy on urban green innovation: empirical evidence of China’s national high-tech zones based on double machine learning. Front. Environ. Sci. 12:1369433. doi: 10.3389/fenvs.2024.1369433

Received: 12 January 2024; Accepted: 15 March 2024; Published: 04 April 2024.

Reviewed by:

Copyright © 2024 Cao, Jia and Tan. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.

*Correspondence: Yu Jia, [email protected]

Organizing Your Social Sciences Research Paper: Theoretical Framework

• Purpose of Guide
• Writing a Research Proposal
• Design Flaws to Avoid
• Independent and Dependent Variables
• Narrowing a Topic Idea
• Broadening a Topic Idea
• The Research Problem/Question
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• The C.A.R.S. Model
• Background Information
• Theoretical Framework
• Citation Tracking
• Evaluating Sources
• Reading Research Effectively
• Primary Sources
• Secondary Sources
• What Is Scholarly vs. Popular?
• Is it Peer-Reviewed?
• Qualitative Methods
• Quantitative Methods
• Common Grammar Mistakes
• Writing Concisely
• Avoiding Plagiarism [linked guide]
• Annotated Bibliography
• Grading Someone Else's Paper

Theories are formulated to explain, predict, and understand phenomena and, in many cases, to challenge and extend existing knowledge within the limits of critical bounding assumptions. The theoretical framework is the structure that can hold or support a theory of a research study. The theoretical framework introduces and describes the theory that explains why the research problem under study exists.

Abend, Gabriel. "The Meaning of Theory." Sociological Theory 26 (June 2008): 173–199; Swanson, Richard A. Theory Building in Applied Disciplines . San Francisco, CA: Berrett-Koehler Publishers 2013.

Importance of Theory

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.

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; 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 Elsewhere

A growing and increasingly important trend in the social and behavioral sciences is to think about and attempt to understand specific 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 fully 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 in some way 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 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 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 may include an 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,
• The study reveals a finding that is significantly incongruent 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 [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.

• << Previous: Background Information
• Next: The Literature Review >>
• Last Updated: Sep 8, 2023 12:19 PM
• URL: https://guides.library.txstate.edu/socialscienceresearch