BACC 005- BUSINESS RESEARCH

MODULE 5 – INTRODUCTION SECTION

(Theoretical Framework and Conceptual Framework)

1. THEORETICAL FRAMEWORK
What is a theory?

Theories are formulated to explain, predict, and understand phenomena and, in many
cases, 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 used for your particular study. The theoretical framework
must demonstrate an understanding of theories and concepts 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 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:

1. An explicit statement of theoretical assumptions permits the reader to evaluate them

critically.
The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 1
 BACC 005- BUSINESS RESEARCH

2. 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.
3. 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 various aspects of that phenomenon.
4. 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.
Strategies for Developing the Theoretical Framework
1. Developing the Framework
Here are some strategies to develop an effective theoretical framework:

1. 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.
2. Brainstorm on what you consider to be the critical variables in your
research. Answer the question, what factors contribute to the presumed effect?
3. Review related literature to find answers to your research question.
4. List the constructs and variables that might be relevant to your study. Group these
variables into independent and dependent categories.
5. Review the key social science theories 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
6. 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.
2. Purpose
Think of theories as to the conceptual basis for understanding, analyzing,
and designing ways to investigate social systems relationships. To the end, the
following roles served by a theory can help guide the development of your framework.

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 2
 BACC 005- BUSINESS RESEARCH

 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 specific facts among the accumulated knowledge are essential 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.

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 concerning 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 lead to two
nations' creation?
However, you may not always be asked to test a specific theory in your paper,
but to develop your 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 fundamental questions:

1. What is the research problem/question? (e.g., "How should the individual and the
state relate during periods of conflict?")
2. 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 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, 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:

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 3
 BACC 005- BUSINESS RESEARCH

 Clearly describe the framework, concepts, models, or specific theories that

underpin your study. This includes noting who the critical theorists are in the field
who have researched the problem you are investigating and, when necessary, the
historical context that supports that theory's formulation. This latter element is
particularly essential if the theory is relatively unknown or 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.
 It would help if you made 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 does not explain a particular
phenomenon].

Sample alignment of Research Problem, Research Objective, and Research Questions

Research Problem: Many online customers do not return to make subsequent

purchases.
Research Objective: To increase customer loyalty and thereby generate more revenue.
Research Questions:

1. How satisfied and loyal are company X‟s online customers currently?
2. What factors affect the satisfaction and loyalty of company X‟s online customers?
3. What is the relationship between customer loyalty and customer satisfaction?

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
the theoretical framework.

Below is a (simplified) example of how you can describe and compare definitions and
theories. In this example, we focus on the concept of „customer satisfaction.‟ In a
separate discussion, it will focus on the concept of „loyalty.‟

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 about
The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 4
 BACC 005- BUSINESS RESEARCH

his or her expectations.” Performance below expectations leads to a dissatisfied

customer, while performance that satisfies expectations produces satisfied customers.
Expectations being exceeded leads to a “very satisfied or even pleasantly surprised
customer” (Kotler & Keller, 2003, p. 80).

The definition of Zeithaml and Bitner (2003, p. 86) is slightly different from that of
Thomassen: “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.
Company X 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 to the
current study.

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, and this comparison between expectations
and experiences determines a customer‟s satisfaction level. Thomassen‟s model is
important for this study: it allows us to determine both the extent to which company
X‟s customers are satisfied and where improvements can be made.

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 5
 BACC 005- BUSINESS RESEARCH

Fig. 1: Customer satisfaction creation (Thomassen, 2007, p.30).

Note: The above sample is simplified form, which is appropriate for the
RESEARCH PROPOSAL FORM only. For the ACTION RESEARCH PROPOSAL
manuscript, you could analyze the concepts more thoroughly and compare additional definitions
to each other. You include discussing key authors' theories and ideas in greater detail and
providing several models to illustrate different concepts.

2. CONCEPTUAL FRAMEWORK

What is a conceptual framework?

A conceptual framework illustrates what you expect to find through your research. It
defines the relevant variables for your study and maps out how they might relate to each other.

You should construct a conceptual framework before you begin collecting data. It is often
represented in a visual format.

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 6
 BACC 005- BUSINESS RESEARCH

When to create a conceptual framework

If you want to investigate any relationship between variables, it is good to create a
conceptual framework.

For example:
You want to know if students who study more hours get higher exam scores. To
investigate this question, you can use an experiment or survey to test the relationship between
variables.
Before you start collecting data, construct a conceptual framework to show exactly which
variables you will measure and how you expect them to relate to each other.

The conceptual framework is developed based on a literature review of existing studies on

the topic.

Identifying your variables

Variables are simply the characteristics or properties that you want to study. The
conceptual framework will map the expected relationship between them.

In our example, the two key variables are “hours of study” and “exam score.”

Independent and dependent variables

In research, variables are any characteristics that can take on different values, such as
height, age, species, or exam score.

In scientific research, we often want to study the effect of one variable on another one.
For example, you might want to test whether students who spend more time studying get better
exam scores.

The variables in a study of a cause-and-effect relationship are called the independent

and dependent variables.

 The independent variable is the cause. Its value is independent of other variables in
your study.
 The dependent variable is the effect. Its value depends on changes in the independent
variable.

Examples of independent and dependent variables

Research Question Independent variable(s) Dependent variable(s)

Do tomatoes grow  The type of light the  The rate of growth of

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 7
 BACC 005- BUSINESS RESEARCH

Examples of independent and dependent variables

Research Question Independent variable(s) Dependent variable(s)

fastest under tomato plant is grown the tomato plant

fluorescent, under
incandescent, or natural
light?

What is the effect of diet  The type of soda you  Your blood sugar
and regular soda on drink (diet or regular) levels
blood sugar levels?

How does phone use  The amount of phone use  Number of hours of
before bedtime affect before bed sleep
sleep?  Quality of sleep

How well do different  The amount of salt added  Plant growth

plant species tolerate to the plants‟ water  Plant wilting
salt water?  Plant survival rate

If we want to test a cause-and-effect relationship, we need to identify at least two

variables: the independent variable and the dependent variable.

In our example:

 the expected cause, “hours of study,” is the independent variable (aka the predictor or
explanatory variable).
 the expected effect, “exam score,” is the dependent variable (aka the response or outcome
variable).
 In other words, “exam score” depends on “hours of study.”
 Causal relationships often involve several independent variables that affect the dependent
variable. However, to keep things simple, we will work with just one independent
variable, namely “hours of study.”

Designing a conceptual framework

A conceptual framework can be designed in many different ways. The form yours takes
will depend on what kinds of relationships you expect to find.

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 8
 BACC 005- BUSINESS RESEARCH

To visualize our expected cause-and-effect relationship, we will use the basic design
components of boxes, arrows, and lines.

Component Meaning

Box Variable

Arrow Causal relationship

Line Correlation

To indicate a causal relationship, each arrow should start from the independent variable
(the cause) and point to the dependent variable (the effect).

Use a line when you expect a correlation between two variables but no cause-and-effect
relationship.

Basic conceptual framework using an independent variable and a dependent variable

Expanding the conceptual framework

As you develop your conceptual framework, you should also aim to identify other
variables that might influence the relationship between your independent and dependent
variables.

Some common variables to be incorporated into the conceptual framework include:

 Moderator variables
 Mediator variables
 Control variables

Conceptual framework: Moderating variables

When creating a conceptual framework to explore a cause-and-effect relationship, you
often need to deal with moderating variables, also known as moderators.

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 9
 BACC 005- BUSINESS RESEARCH

Our example framework maps the relationship between “hours of study” (independent
variable) and “exam score” (dependent variable).

Now we‟ll expand the framework by adding a moderating variable. A moderator alters the
effect that an independent variable has on a dependent variable on the basis of the moderator‟s
value.

The moderator thus changes the effect component of the cause-and-effect relationship.
This moderation is also referred to as the interaction effect.

Conceptual framework with a moderator variable

In this example, we expect that the number of hours a student studies is related to their
exam score: the more you prepare, the higher your score will be.

Now we add the moderator “IQ.” A student‟s IQ level changes the effect that the variable
“hours of study” has on the exam score: the higher your IQ, the fewer hours of study you must
put in to do well on the exam.

In other words, the “IQ” moderator moderates the effect that the number of study hours
has on the exam score.

This effect is illustrated in Figure 1. In this graphic, it‟s easy to see how the number of
hours spent studying affects the exam score. The more hours you study, the better your results.
A student who studies for 20 hours will get a perfect score.

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 10
 BACC 005- BUSINESS RESEARCH

Figure 1: Effect hours of study on exam score

An “IQ” moderator of 120 has been added in Figure 2 below. A student with this IQ will
already achieve a perfect score after just 15 hours of study.

Figure 2: Effect of hours of study on exam score with an IQ moderator of 120

In Figure 3, the value of the “IQ” moderator has been increased to 150. A student with
this IQ will only need to invest five hours of studying in order to get a perfect score.

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 11
 BACC 005- BUSINESS RESEARCH

Figure 3: Effect of hours of study on exam score with an IQ moderator of 150

The higher the IQ, the fewer hours a student needs to study in order to achieve a score of
100%.

In short, a moderating variable is something that changes the cause-and-effect

relationship between two variables as its value increases or decreases.

Moderator vs. mediator

It‟s important not to confuse a moderator with a mediator. A mediating variable does not
only affect the outcome of the dependent variable – it is also affected by the independent
variable. Therefore, it helps explain the relationship between the independent and dependent
variable.

For example, the variable “number of practice problems completed” is a mediator: the
more hours you study, the more problems you will complete; the more practice problems you
complete, the higher your score will be. A mediator links the independent and dependent
variables.

However, no matter how many hours you study, your IQ will not get higher. A moderator
is not impacted by the independent variable.

Conceptual framework: Mediating variables

A mediating (or mediator) variable is an integral part of a cause-and-effect relationship.
It makes it easier to understand how the independent variable is affecting the dependent
variable and what is governing that relationship.

Our example framework maps the relationship between “hours of study” (independent
variable) and “exam score” (dependent variable).

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 12
 BACC 005- BUSINESS RESEARCH

Now we‟ll expand the framework by adding a mediating variable. In a cause-and-effect

relationship, a mediating variable is a variable that links the independent and dependent
variables, allowing the relationship between them to be better explained.

Mediating variables can be difficult to interpret, and care must be taken when
conclusions are drawn from them. The complexity involved is beyond the scope of the article, so
we won‟t go into great detail. Instead, we‟ll focus on helping you develop a basic understanding
of what a mediating variable is and when it may need to be considered.

Here‟s how the conceptual framework might look if a mediator variable were involved:

Conceptual framework with a mediator variable

In this example, the relationship between the independent variable (“hours of study”) and
the dependent variable (“exam score”) takes center stage: our hypothesis is that the more hours
a student studies, the better they will do on the exam.

Now we add the mediating variable of “number of practice problems completed”, which
comes between the independent and dependent variables. The hours of study impacts the
number of practice problems, which in turn impacts the exam score.

The more hours a student studies, the more practice problems they will complete; the
more practice problems completed, the higher the student‟s exam score will be. By adding the
mediating variable of “number of practice problems completed,” we help explain the cause-and-
effect relationship between the two main variables.

Mediator vs moderator
It‟s important not to confuse a mediator with a moderator. A moderating variable can
impact the outcome of a dependent variable, but it is not affected by the independent variable.

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 13
 BACC 005- BUSINESS RESEARCH

For example, the variable “IQ” is a moderator, not a mediator: although IQ may impact
the exam score (the dependent variable), the number of hours spent studying (the independent
variable) does not affect IQ. No matter how many hours you study, your IQ will not increase.

Conceptual framework: Control variables

A control variable is a variable that is held constant to prevent it from influencing the
outcome of a study.

When testing a cause-and-effect relationship, it is important to consider which variables

might influence the relationship between your independent and dependent variables and control
these so that your results are as accurate as possible.

Our example framework maps the relationship between “hours of study” (independent
variable) and “exam score” (dependent variable).

To test whether there is a cause-and-effect relationship between “hours of study” and

“exam score,” we also need to consider other variables that could potentially impact students‟
exam scores.

For example, it is likely that if a student feels ill, they will get a lower score on the exam.
Therefore, we‟ll add “health” as a control variable.

Sample conceptual framework with a control variable

That means we should keep the variable “health” constant in our study – we‟ll only
include participants who are in good health on the day of the exam.

Moderating and mediating variables

There are often other variables that we might want to include in our conceptual
framework: moderators and mediators.

These are variables that we think will influence a student‟s exam score, but that we don‟t
necessarily want to hold constant. Instead, we measure moderators and mediators and include
them in our analysis in order to better understand the cause-and-effect relationship.

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 14
 BACC 005- BUSINESS RESEARCH

In summary, Table 1 depicts the difference between theoretical Framework and

Conceptual Framework.

Source: Adom, D. & Hussein, E. K. (2018)

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 15
 BACC 005- BUSINESS RESEARCH

In writing the “State the theory, you will subject to at est in this study” section of your
research proposal form, identify the concepts/variables of the study, briefly describe them, and
support the discussion with a schematic diagram of the theoretical or conceptual framework.
For the subheading of the “Theoretical Framework” of the INTRODUCTION SECTION,
discuss in detail the theories of the study with citations. For the subheading of “Conceptual
Framework” of the INTRODUCTION SECTIONS, discuss in detail the concepts of the study duly
supported with citations. Always include in the subheading a properly labeled figure depicting
the theoretical framework or conceptual framework of the study.

The module is for the exclusive use of the University of La Salette, Inc. Any form of reproduction, distribution, uploading, or
posting online in any form or by any means without the written permission of the University is strictly prohibited. 16