what is literature review and theoretical framework

Frequently asked questions

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

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 .

Frequently asked questions: Dissertation

Dissertation word counts vary widely across different fields, institutions, and levels of education:

• An undergraduate dissertation is typically 8,000–15,000 words
• A master’s dissertation is typically 12,000–50,000 words
• A PhD thesis is typically book-length: 70,000–100,000 words

However, none of these are strict guidelines – your word count may be lower or higher than the numbers stated here. Always check the guidelines provided by your university to determine how long your own dissertation should be.

A dissertation prospectus or proposal describes what or who you plan to research for your dissertation. It delves into why, when, where, and how you will do your research, as well as helps you choose a type of research to pursue. You should also determine whether you plan to pursue qualitative or quantitative methods and what your research design will look like.

It should outline all of the decisions you have taken about your project, from your dissertation topic to your hypotheses and research objectives , ready to be approved by your supervisor or committee.

Note that some departments require a defense component, where you present your prospectus to your committee orally.

A thesis is typically written by students finishing up a bachelor’s or Master’s degree. Some educational institutions, particularly in the liberal arts, have mandatory theses, but they are often not mandatory to graduate from bachelor’s degrees. It is more common for a thesis to be a graduation requirement from a Master’s degree.

Even if not mandatory, you may want to consider writing a thesis if you:

• Plan to attend graduate school soon
• Have a particular topic you’d like to study more in-depth
• Are considering a career in research
• Would like a capstone experience to tie up your academic experience

The conclusion of your thesis or dissertation should include the following:

• A restatement of your research question
• A summary of your key arguments and/or results
• A short discussion of the implications of your research

The conclusion of your thesis or dissertation shouldn’t take up more than 5–7% of your overall word count.

For a stronger dissertation conclusion , avoid including:

• Important evidence or analysis that wasn’t mentioned in the discussion section and results section
• Generic concluding phrases (e.g. “In conclusion …”)
• Weak statements that undermine your argument (e.g., “There are good points on both sides of this issue.”)

Your conclusion should leave the reader with a strong, decisive impression of your work.

While it may be tempting to present new arguments or evidence in your thesis or disseration conclusion , especially if you have a particularly striking argument you’d like to finish your analysis with, you shouldn’t. Theses and dissertations follow a more formal structure than this.

All your findings and arguments should be presented in the body of the text (more specifically in the discussion section and results section .) The conclusion is meant to summarize and reflect on the evidence and arguments you have already presented, not introduce new ones.

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 thesis or dissertation outline is one of the most critical first steps in your writing process. It helps you to lay out and organize your ideas and can provide you with a roadmap for deciding what kind of research you’d like to undertake.

Generally, an outline contains information on the different sections included in your thesis or dissertation , such as:

• Your anticipated title
• Your abstract
• Your chapters (sometimes subdivided into further topics like literature review , research methods , avenues for future research, etc.)

When you mention different chapters within your text, it’s considered best to use Roman numerals for most citation styles. However, the most important thing here is to remain consistent whenever using numbers in your dissertation .

In most styles, the title page is used purely to provide information and doesn’t include any images. Ask your supervisor if you are allowed to include an image on the title page before doing so. If you do decide to include one, make sure to check whether you need permission from the creator of the image.

Include a note directly beneath the image acknowledging where it comes from, beginning with the word “ Note .” (italicized and followed by a period). Include a citation and copyright attribution . Don’t title, number, or label the image as a figure , since it doesn’t appear in your main text.

Definitional terms often fall into the category of common knowledge , meaning that they don’t necessarily have to be cited. This guidance can apply to your thesis or dissertation glossary as well.

However, if you’d prefer to cite your sources , you can follow guidance for citing dictionary entries in MLA or APA style for your glossary.

A glossary is a collection of words pertaining to a specific topic. In your thesis or dissertation, it’s a list of all terms you used that may not immediately be obvious to your reader. In contrast, an index is a list of the contents of your work organized by page number.

The title page of your thesis or dissertation goes first, before all other content or lists that you may choose to include.

The title page of your thesis or dissertation should include your name, department, institution, degree program, and submission date.

Glossaries are not mandatory, but if you use a lot of technical or field-specific terms, it may improve readability to add one to your thesis or dissertation. Your educational institution may also require them, so be sure to check their specific guidelines.

A glossary or “glossary of terms” is a collection of words pertaining to a specific topic. In your thesis or dissertation, it’s a list of all terms you used that may not immediately be obvious to your reader. Your glossary only needs to include terms that your reader may not be familiar with, and is intended to enhance their understanding of your work.

A glossary is a collection of words pertaining to a specific topic. In your thesis or dissertation, it’s a list of all terms you used that may not immediately be obvious to your reader. In contrast, dictionaries are more general collections of words.

An abbreviation is a shortened version of an existing word, such as Dr. for Doctor. In contrast, an acronym uses the first letter of each word to create a wholly new word, such as UNESCO (an acronym for the United Nations Educational, Scientific and Cultural Organization).

As a rule of thumb, write the explanation in full the first time you use an acronym or abbreviation. You can then proceed with the shortened version. However, if the abbreviation is very common (like PC, USA, or DNA), then you can use the abbreviated version from the get-go.

Be sure to add each abbreviation in your list of abbreviations !

If you only used a few abbreviations in your thesis or dissertation , you don’t necessarily need to include a list of abbreviations .

If your abbreviations are numerous, or if you think they won’t be known to your audience, it’s never a bad idea to add one. They can also improve readability, minimizing confusion about abbreviations unfamiliar to your reader.

A list of abbreviations is a list of all the abbreviations that you used in your thesis or dissertation. It should appear at the beginning of your document, with items in alphabetical order, just after your table of contents .

Your list of tables and figures should go directly after your table of contents in your thesis or dissertation.

Lists of figures and tables are often not required, and aren’t particularly common. They specifically aren’t required for APA-Style, though you should be careful to follow their other guidelines for figures and tables .

If you have many figures and tables in your thesis or dissertation, include one may help you stay organized. Your educational institution may require them, so be sure to check their guidelines.

A list of figures and tables compiles all of the figures and tables that you used in your thesis or dissertation and displays them with the page number where they can be found.

The table of contents in a thesis or dissertation always goes between your abstract and your introduction .

You may acknowledge God in your dissertation acknowledgements , but be sure to follow academic convention by also thanking the members of academia, as well as family, colleagues, and friends who helped you.

A literature review is a survey of credible sources on a topic, often used in dissertations , theses, and research papers . Literature reviews give an overview of knowledge on a subject, helping you identify relevant theories and methods, as well as gaps in existing research. Literature reviews are set up similarly to other  academic texts , with an introduction , a main body, and a conclusion .

An  annotated bibliography is a list of  source references that has a short description (called an annotation ) for each of the sources. It is often assigned as part of the research process for a  paper .  

In a thesis or dissertation, the discussion is an in-depth exploration of the results, going into detail about the meaning of your findings and citing relevant sources to put them in context.

The conclusion is more shorter and more general: it concisely answers your main research question and makes recommendations based on your overall findings.

In the discussion , you explore the meaning and relevance of your research results , explaining how they fit with existing research and theory. Discuss:

• Your  interpretations : what do the results tell us?
• The  implications : why do the results matter?
• The  limitation s : what can’t the results tell us?

The results chapter or section simply and objectively reports what you found, without speculating on why you found these results. The discussion interprets the meaning of the results, puts them in context, and explains why they matter.

In qualitative research , results and discussion are sometimes combined. But in quantitative research , it’s considered important to separate the objective results from your interpretation of them.

Results are usually written in the past tense , because they are describing the outcome of completed actions.

The results chapter of a thesis or dissertation presents your research results concisely and objectively.

In quantitative research , for each question or hypothesis , state:

• The type of analysis used
• Relevant results in the form of descriptive and inferential statistics
• Whether or not the alternative hypothesis was supported

In qualitative research , for each question or theme, describe:

• Recurring patterns
• Significant or representative individual responses
• Relevant quotations from the data

Don’t interpret or speculate in the results chapter.

To automatically insert a table of contents in Microsoft Word, follow these steps:

• Apply heading styles throughout the document.
• In the references section in the ribbon, locate the Table of Contents group.
• Click the arrow next to the Table of Contents icon and select Custom Table of Contents.
• Select which levels of headings you would like to include in the table of contents.

Make sure to update your table of contents if you move text or change headings. To update, simply right click and select Update Field.

All level 1 and 2 headings should be included in your table of contents . That means the titles of your chapters and the main sections within them.

The contents should also include all appendices and the lists of tables and figures, if applicable, as well as your reference list .

Do not include the acknowledgements or abstract in the table of contents.

The abstract appears on its own page in the thesis or dissertation , after the title page and acknowledgements but before the table of contents .

An abstract for a thesis or dissertation is usually around 200–300 words. There’s often a strict word limit, so make sure to check your university’s requirements.

In a thesis or dissertation, the acknowledgements should usually be no longer than one page. There is no minimum length.

The acknowledgements are generally included at the very beginning of your thesis , directly after the title page and before the abstract .

Yes, it’s important to thank your supervisor(s) in the acknowledgements section of your thesis or dissertation .

Even if you feel your supervisor did not contribute greatly to the final product, you must acknowledge them, if only for a very brief thank you. If you do not include your supervisor, it may be seen as a snub.

In the acknowledgements of your thesis or dissertation, you should first thank those who helped you academically or professionally, such as your supervisor, funders, and other academics.

Then you can include personal thanks to friends, family members, or anyone else who supported you during the process.

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• 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

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Literature Review and Theoretical Framework: Understanding the Differences

Table of Contents

A literature review and a theoretical framework are both important components of academic research. However, they serve different purposes and have distinct characteristics. In this article, we will examine the concepts of literature review and theoretical framework, explore their significance, and highlight the key differences between the two.

Defining the Concepts: Literature Review and Theoretical Framework

Before we dive into the details, let's clarify what a literature review and a theoretical framework actually mean.

What is a Literature Review?

A literature review is a critical analysis and synthesis of existing research and scholarly articles on a specific topic. It involves reviewing and summarizing the current knowledge and understanding of the subject matter. By examining previous studies, the scholar can identify knowledge gaps, assess the strengths and weaknesses of existing research, and present a comprehensive overview of the topic.

When conducting a literature review, the scholar delves into a vast array of sources, including academic journals, books, conference proceedings, and reputable online databases. This extensive exploration allows them to gather relevant information, theories, and methodologies related to their research topic.

Furthermore, a literature review provides a solid foundation for the research by establishing the context and significance of the study. It helps researchers identify the key concepts, theories, and variables that are relevant to their research objectives. By critically analyzing the existing literature, scholars can identify research gaps and propose new avenues for scientific investigation.

Moreover, a literature review is not merely a summary of previous studies. It requires a critical evaluation of the methodologies used, the quality of the data collected, and the validity of the conclusions drawn.

Researchers must assess the credibility and reliability of the sources they include in their review to ensure the accuracy and robustness of their analysis.

What is a Theoretical Framework?

A theoretical framework provides a conceptual explanation for the research problem or question being investigated. It serves as a foundation that guides the formulation of hypotheses and research objectives. A theoretical framework helps researchers to analyze and interpret their findings by establishing a set of assumptions, concepts, and relationships that underpin their study. It provides a structured framework for organizing and presenting research outcomes.

When developing a theoretical framework, researchers draw upon existing theories and concepts from relevant disciplines to create a conceptual framework that aligns with their research objectives. This framework helps researchers to define the variables they will study, establish the relationships between these variables, and propose hypotheses that can be tested through empirical research.

Furthermore, a theoretical framework provides a roadmap for researchers to navigate through the complexities of their study. It helps them to identify the key constructs and variables that need to be measured and analyzed. By providing a clear structure, the theoretical framework ensures that researchers stay focused on their research objectives and avoid getting lost in a sea of information.

Moreover, a theoretical framework allows researchers to make connections between their study and existing theories or models. By building upon established knowledge, researchers can contribute to the advancement of their field and provide new insights and perspectives. The theoretical framework also helps researchers interpret their findings in a meaningful way and draw conclusions that have theoretical and practical implications.

In summary, both a literature review and a theoretical framework play crucial roles in the research process. While a literature review provides a comprehensive overview of existing knowledge and identifies research gaps, a theoretical framework establishes the conceptual foundation for the study and guides the formulation of research objectives and hypotheses. Together, these two elements contribute to the development of a robust and well-grounded research study.

The Purpose and Importance of Literature Reviews

Now that we have a clear understanding of what a literature review is, let's explore its purpose and significance.

A literature review plays a crucial role in academic research. It serves several purposes, including:

• Providing a comprehensive understanding of the existing literature in a particular field.
• Identifying the gaps, controversies, or inconsistencies in the current knowledge.
• Helping researchers to refine their research questions and objectives.
• Ensuring that the research being conducted is novel and contributes to the existing body of knowledge.

The Benefits of Conducting a Literature Review

There are numerous benefits to conducting a literature review, such as:

• Enhancing the researcher's knowledge and understanding of the subject area.
• Providing a framework for developing research hypotheses and objectives.
• Identifying potential research methodologies and approaches.
• Informing the selection of appropriate data collection and analysis methods.
• Guiding the interpretation and discussion of research findings.

The Purpose and Importance of Theoretical Frameworks

Moving on to theoretical frameworks, let us discuss their purpose and importance.

When conducting research, theoretical frameworks play a crucial role in providing a solid foundation for the study. They serve as a guiding tool for researchers, helping them navigate through the complexities of their research and providing a framework for understanding and interpreting their findings.

The Function of Theoretical Frameworks in Research

Theoretical frameworks serve multiple functions in research:

• Providing a conceptual framework enables researchers to clearly define the scope and direction of their study.
• Acting as a roadmap, guiding researchers in formulating their research objectives and hypotheses. It helps them identify the key variables and relationships they want to explore, providing a solid foundation for their research.
• Helping researchers identify and select appropriate research methods and techniques. When it comes to selecting research methods and techniques, theoretical frameworks are invaluable. They provide researchers with a lens through which they can evaluate different methods and techniques, ensuring that they choose the most appropriate ones for their study. By aligning their methods with the theoretical framework, researchers can enhance the validity and reliability of their research.
• Supporting the interpretation and explanation of research findings. Once the data has been collected, theoretical frameworks help researchers make sense of their findings. They provide a framework for interpreting and explaining the results, allowing researchers to draw meaningful conclusions. By grounding their analysis in a theoretical framework, researchers can provide a solid foundation for their findings and contribute to the existing body of knowledge.
• Facilitating the integration of new knowledge with existing theories and concepts. Theoretical frameworks also play a crucial role in the advancement of knowledge. By integrating new findings with existing theories and concepts, researchers can contribute to the development of their field.

The Advantages of Developing a Theoretical Framework

Developing a theoretical framework offers several advantages:

• Enhancing the researcher's understanding of the research problem. By developing a theoretical framework, researchers gain a deeper understanding of the research problem they are investigating.  This enhanced understanding allows researchers to approach their study with clarity and purpose.
• Facilitating the selection of an appropriate research design. Choosing the right research design is crucial for the success of a study. A well-developed theoretical framework helps researchers select the most appropriate research design by providing a clear direction and focus. It ensures that the research design aligns with the research objectives and hypotheses, maximizing the chances of obtaining valid and reliable results.
• Helping researchers organize their thoughts and ideas systematically. This organization helps researchers stay focused and ensures that all aspects of the research problem are considered. By structuring their thoughts, researchers can effectively communicate their ideas and findings to others.
• Guiding the analysis and interpretation of research findings. When it comes to analyzing and interpreting research findings, a theoretical framework provides researchers with a framework to guide their process. It helps researchers identify patterns, relationships, and themes within the data, allowing for a more comprehensive analysis.

Developing a theoretical framework is essential for ensuring the validity and reliability of a study. By aligning the research with established theories and concepts, researchers can enhance the credibility of their study. A well-developed theoretical framework provides a solid foundation for the research, increasing the chances of obtaining accurate and meaningful results.

Differences Between Literature Reviews and Theoretical Frameworks

Now, let's explore the key differences between literature reviews and theoretical frameworks.

Key Differences:

• Focus: A literature review focuses on summarizing existing research, while a theoretical framework focuses on providing a conceptual foundation for the study.
• Scope: A literature review covers a broad range of related research, while a theoretical framework is more specific to the research problem at hand.
• Timing: A literature review is typically conducted early in the research process, while a theoretical framework is often developed alongside the research design.
• Purpose: A literature review aims to inform the research and establish its context, while a theoretical framework aims to guide the interpretation and analysis of findings.

In conclusion

Understanding the distinction between a literature review and a theoretical framework is crucial for conducting effective and meaningful academic research. While a literature review provides an overview of existing research, a theoretical framework guides the formulation, analysis, and interpretation of research. Both components are essential for building a strong foundation of knowledge in any field. By comprehending their purpose, significance, and key differences, researchers can enhance the quality and rigor of their research endeavors.

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A literature review is a document or section of a document that collects key sources on a topic and discusses those sources in conversation with each other (also called synthesis ). The lit review is an important genre in many disciplines, not just literature (i.e., the study of works of literature such as novels and plays). When we say “literature review” or refer to “the literature,” we are talking about the research ( scholarship ) in a given field. You will often see the terms “the research,” “the scholarship,” and “the literature” used mostly interchangeably.

Where, when, and why would I write a lit review?

There are a number of different situations where you might write a literature review, each with slightly different expectations; different disciplines, too, have field-specific expectations for what a literature review is and does. For instance, in the humanities, authors might include more overt argumentation and interpretation of source material in their literature reviews, whereas in the sciences, authors are more likely to report study designs and results in their literature reviews; these differences reflect these disciplines’ purposes and conventions in scholarship. You should always look at examples from your own discipline and talk to professors or mentors in your field to be sure you understand your discipline’s conventions, for literature reviews as well as for any other genre.

A literature review can be a part of a research paper or scholarly article, usually falling after the introduction and before the research methods sections. In these cases, the lit review just needs to cover scholarship that is important to the issue you are writing about; sometimes it will also cover key sources that informed your research methodology.

Lit reviews can also be standalone pieces, either as assignments in a class or as publications. In a class, a lit review may be assigned to help students familiarize themselves with a topic and with scholarship in their field, get an idea of the other researchers working on the topic they’re interested in, find gaps in existing research in order to propose new projects, and/or develop a theoretical framework and methodology for later research. As a publication, a lit review usually is meant to help make other scholars’ lives easier by collecting and summarizing, synthesizing, and analyzing existing research on a topic. This can be especially helpful for students or scholars getting into a new research area, or for directing an entire community of scholars toward questions that have not yet been answered.

What are the parts of a lit review?

Most lit reviews use a basic introduction-body-conclusion structure; if your lit review is part of a larger paper, the introduction and conclusion pieces may be just a few sentences while you focus most of your attention on the body. If your lit review is a standalone piece, the introduction and conclusion take up more space and give you a place to discuss your goals, research methods, and conclusions separately from where you discuss the literature itself.

Introduction:

• An introductory paragraph that explains what your working topic and thesis is
• A forecast of key topics or texts that will appear in the review
• Potentially, a description of how you found sources and how you analyzed them for inclusion and discussion in the review (more often found in published, standalone literature reviews than in lit review sections in an article or research paper)
• Summarize and synthesize: Give an overview of the main points of each source and combine them into a coherent whole
• Analyze and interpret: Don’t just paraphrase other researchers – add your own interpretations where possible, discussing the significance of findings in relation to the literature as a whole
• Critically Evaluate: Mention the strengths and weaknesses of your sources
• Write in well-structured paragraphs: Use transition words and topic sentence to draw connections, comparisons, and contrasts.

Conclusion:

• Summarize the key findings you have taken from the literature and emphasize their significance
• Connect it back to your primary research question

How should I organize my lit review?

Lit reviews can take many different organizational patterns depending on what you are trying to accomplish with the review. Here are some examples:

• Chronological : The simplest approach is to trace the development of the topic over time, which helps familiarize the audience with the topic (for instance if you are introducing something that is not commonly known in your field). If you choose this strategy, be careful to avoid simply listing and summarizing sources in order. Try to analyze the patterns, turning points, and key debates that have shaped the direction of the field. Give your interpretation of how and why certain developments occurred (as mentioned previously, this may not be appropriate in your discipline — check with a teacher or mentor if you’re unsure).
• Thematic : If you have found some recurring central themes that you will continue working with throughout your piece, you can organize your literature review into subsections that address different aspects of the topic. For example, if you are reviewing literature about women and religion, key themes can include the role of women in churches and the religious attitude towards women.
• Qualitative versus quantitative research
• Empirical versus theoretical scholarship
• Divide the research by sociological, historical, or cultural sources
• Theoretical : In many humanities articles, the literature review is the foundation for the theoretical framework. You can use it to discuss various theories, models, and definitions of key concepts. You can argue for the relevance of a specific theoretical approach or combine various theorical concepts to create a framework for your research.

What are some strategies or tips I can use while writing my lit review?

Any lit review is only as good as the research it discusses; make sure your sources are well-chosen and your research is thorough. Don’t be afraid to do more research if you discover a new thread as you’re writing. More info on the research process is available in our "Conducting Research" resources .

As you’re doing your research, create an annotated bibliography ( see our page on the this type of document ). Much of the information used in an annotated bibliography can be used also in a literature review, so you’ll be not only partially drafting your lit review as you research, but also developing your sense of the larger conversation going on among scholars, professionals, and any other stakeholders in your topic.

Usually you will need to synthesize research rather than just summarizing it. This means drawing connections between sources to create a picture of the scholarly conversation on a topic over time. Many student writers struggle to synthesize because they feel they don’t have anything to add to the scholars they are citing; here are some strategies to help you:

• It often helps to remember that the point of these kinds of syntheses is to show your readers how you understand your research, to help them read the rest of your paper.
• Writing teachers often say synthesis is like hosting a dinner party: imagine all your sources are together in a room, discussing your topic. What are they saying to each other?
• Look at the in-text citations in each paragraph. Are you citing just one source for each paragraph? This usually indicates summary only. When you have multiple sources cited in a paragraph, you are more likely to be synthesizing them (not always, but often
• Read more about synthesis here.

The most interesting literature reviews are often written as arguments (again, as mentioned at the beginning of the page, this is discipline-specific and doesn’t work for all situations). Often, the literature review is where you can establish your research as filling a particular gap or as relevant in a particular way. You have some chance to do this in your introduction in an article, but the literature review section gives a more extended opportunity to establish the conversation in the way you would like your readers to see it. You can choose the intellectual lineage you would like to be part of and whose definitions matter most to your thinking (mostly humanities-specific, but this goes for sciences as well). In addressing these points, you argue for your place in the conversation, which tends to make the lit review more compelling than a simple reporting of other sources.

Encyclopedia of Evidence in Pharmaceutical Public Health and Health Services Research in Pharmacy pp 1–15 Cite as

Methodological Approaches to Literature Review

• Dennis Thomas 2 ,
• Elida Zairina 3 &
• Johnson George 4  
• Living reference work entry
• First Online: 09 May 2023

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The literature review can serve various functions in the contexts of education and research. It aids in identifying knowledge gaps, informing research methodology, and developing a theoretical framework during the planning stages of a research study or project, as well as reporting of review findings in the context of the existing literature. This chapter discusses the methodological approaches to conducting a literature review and offers an overview of different types of reviews. There are various types of reviews, including narrative reviews, scoping reviews, and systematic reviews with reporting strategies such as meta-analysis and meta-synthesis. Review authors should consider the scope of the literature review when selecting a type and method. Being focused is essential for a successful review; however, this must be balanced against the relevance of the review to a broad audience.

• Literature review
• Systematic review
• Meta-analysis
• Scoping review
• Research methodology

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Home » Theoretical Framework – Types, Examples and Writing Guide

Theoretical Framework – Types, Examples and Writing Guide

Table of Contents

Theoretical Framework

Definition:

Theoretical framework refers to a set of concepts, theories, ideas , and assumptions that serve as a foundation for understanding a particular phenomenon or problem. It provides a conceptual framework that helps researchers to design and conduct their research, as well as to analyze and interpret their findings.

In research, a theoretical framework explains the relationship between various variables, identifies gaps in existing knowledge, and guides the development of research questions, hypotheses, and methodologies. It also helps to contextualize the research within a broader theoretical perspective, and can be used to guide the interpretation of results and the formulation of recommendations.

Types of Theoretical Framework

Types of Types of Theoretical Framework are as follows:

Conceptual Framework

This type of framework defines the key concepts and relationships between them. It helps to provide a theoretical foundation for a study or research project .

Deductive Framework

This type of framework starts with a general theory or hypothesis and then uses data to test and refine it. It is often used in quantitative research .

Inductive Framework

This type of framework starts with data and then develops a theory or hypothesis based on the patterns and themes that emerge from the data. It is often used in qualitative research .

Empirical Framework

This type of framework focuses on the collection and analysis of empirical data, such as surveys or experiments. It is often used in scientific research .

Normative Framework

This type of framework defines a set of norms or values that guide behavior or decision-making. It is often used in ethics and social sciences.

Explanatory Framework

This type of framework seeks to explain the underlying mechanisms or causes of a particular phenomenon or behavior. It is often used in psychology and social sciences.

Components of Theoretical Framework

The components of a theoretical framework include:

• Concepts : The basic building blocks of a theoretical framework. Concepts are abstract ideas or generalizations that represent objects, events, or phenomena.
• Variables : These are measurable and observable aspects of a concept. In a research context, variables can be manipulated or measured to test hypotheses.
• Assumptions : These are beliefs or statements that are taken for granted and are not tested in a study. They provide a starting point for developing hypotheses.
• Propositions : These are statements that explain the relationships between concepts and variables in a theoretical framework.
• Hypotheses : These are testable predictions that are derived from the theoretical framework. Hypotheses are used to guide data collection and analysis.
• Constructs : These are abstract concepts that cannot be directly measured but are inferred from observable variables. Constructs provide a way to understand complex phenomena.
• Models : These are simplified representations of reality that are used to explain, predict, or control a phenomenon.

How to Write Theoretical Framework

A theoretical framework is an essential part of any research study or paper, as it helps to provide a theoretical basis for the research and guide the analysis and interpretation of the data. Here are some steps to help you write a theoretical framework:

• Identify the key concepts and variables : Start by identifying the main concepts and variables that your research is exploring. These could include things like motivation, behavior, attitudes, or any other relevant concepts.
• Review relevant literature: Conduct a thorough review of the existing literature in your field to identify key theories and ideas that relate to your research. This will help you to understand the existing knowledge and theories that are relevant to your research and provide a basis for your theoretical framework.
• Develop a conceptual framework : Based on your literature review, develop a conceptual framework that outlines the key concepts and their relationships. This framework should provide a clear and concise overview of the theoretical perspective that underpins your research.
• Identify hypotheses and research questions: Based on your conceptual framework, identify the hypotheses and research questions that you want to test or explore in your research.
• Test your theoretical framework: Once you have developed your theoretical framework, test it by applying it to your research data. This will help you to identify any gaps or weaknesses in your framework and refine it as necessary.
• Write up your theoretical framework: Finally, write up your theoretical framework in a clear and concise manner, using appropriate terminology and referencing the relevant literature to support your arguments.

Theoretical Framework Examples

Here are some examples of theoretical frameworks:

• Social Learning Theory : This framework, developed by Albert Bandura, suggests that people learn from their environment, including the behaviors of others, and that behavior is influenced by both external and internal factors.
• Maslow’s Hierarchy of Needs : Abraham Maslow proposed that human needs are arranged in a hierarchy, with basic physiological needs at the bottom, followed by safety, love and belonging, esteem, and self-actualization at the top. This framework has been used in various fields, including psychology and education.
• Ecological Systems Theory : This framework, developed by Urie Bronfenbrenner, suggests that a person’s development is influenced by the interaction between the individual and the various environments in which they live, such as family, school, and community.
• Feminist Theory: This framework examines how gender and power intersect to influence social, cultural, and political issues. It emphasizes the importance of understanding and challenging systems of oppression.
• Cognitive Behavioral Theory: This framework suggests that our thoughts, beliefs, and attitudes influence our behavior, and that changing our thought patterns can lead to changes in behavior and emotional responses.
• Attachment Theory: This framework examines the ways in which early relationships with caregivers shape our later relationships and attachment styles.
• Critical Race Theory : This framework examines how race intersects with other forms of social stratification and oppression to perpetuate inequality and discrimination.

When to Have A Theoretical Framework

Following are some situations When to Have A Theoretical Framework:

• A theoretical framework should be developed when conducting research in any discipline, as it provides a foundation for understanding the research problem and guiding the research process.
• A theoretical framework is essential when conducting research on complex phenomena, as it helps to organize and structure the research questions, hypotheses, and findings.
• A theoretical framework should be developed when the research problem requires a deeper understanding of the underlying concepts and principles that govern the phenomenon being studied.
• A theoretical framework is particularly important when conducting research in social sciences, as it helps to explain the relationships between variables and provides a framework for testing hypotheses.
• A theoretical framework should be developed when conducting research in applied fields, such as engineering or medicine, as it helps to provide a theoretical basis for the development of new technologies or treatments.
• A theoretical framework should be developed when conducting research that seeks to address a specific gap in knowledge, as it helps to define the problem and identify potential solutions.
• A theoretical framework is also important when conducting research that involves the analysis of existing theories or concepts, as it helps to provide a framework for comparing and contrasting different theories and concepts.
• A theoretical framework should be developed when conducting research that seeks to make predictions or develop generalizations about a particular phenomenon, as it helps to provide a basis for evaluating the accuracy of these predictions or generalizations.
• Finally, a theoretical framework should be developed when conducting research that seeks to make a contribution to the field, as it helps to situate the research within the broader context of the discipline and identify its significance.

Purpose of Theoretical Framework

The purposes of a theoretical framework include:

• Providing a conceptual framework for the study: A theoretical framework helps researchers to define and clarify the concepts and variables of interest in their research. It enables researchers to develop a clear and concise definition of the problem, which in turn helps to guide the research process.
• Guiding the research design: A theoretical framework can guide the selection of research methods, data collection techniques, and data analysis procedures. By outlining the key concepts and assumptions underlying the research questions, the theoretical framework can help researchers to identify the most appropriate research design for their study.
• Supporting the interpretation of research findings: A theoretical framework provides a framework for interpreting the research findings by helping researchers to make connections between their findings and existing theory. It enables researchers to identify the implications of their findings for theory development and to assess the generalizability of their findings.
• Enhancing the credibility of the research: A well-developed theoretical framework can enhance the credibility of the research by providing a strong theoretical foundation for the study. It demonstrates that the research is based on a solid understanding of the relevant theory and that the research questions are grounded in a clear conceptual framework.
• Facilitating communication and collaboration: A theoretical framework provides a common language and conceptual framework for researchers, enabling them to communicate and collaborate more effectively. It helps to ensure that everyone involved in the research is working towards the same goals and is using the same concepts and definitions.

Characteristics of Theoretical Framework

Some of the characteristics of a theoretical framework include:

• Conceptual clarity: The concepts used in the theoretical framework should be clearly defined and understood by all stakeholders.
• Logical coherence : The framework should be internally consistent, with each concept and assumption logically connected to the others.
• Empirical relevance: The framework should be based on empirical evidence and research findings.
• Parsimony : The framework should be as simple as possible, without sacrificing its ability to explain the phenomenon in question.
• Flexibility : The framework should be adaptable to new findings and insights.
• Testability : The framework should be testable through research, with clear hypotheses that can be falsified or supported by data.
• Applicability : The framework should be useful for practical applications, such as designing interventions or policies.

Advantages of Theoretical Framework

Here are some of the advantages of having a theoretical framework:

• Provides a clear direction : A theoretical framework helps researchers to identify the key concepts and variables they need to study and the relationships between them. This provides a clear direction for the research and helps researchers to focus their efforts and resources.
• Increases the validity of the research: A theoretical framework helps to ensure that the research is based on sound theoretical principles and concepts. This increases the validity of the research by ensuring that it is grounded in established knowledge and is not based on arbitrary assumptions.
• Enables comparisons between studies : A theoretical framework provides a common language and set of concepts that researchers can use to compare and contrast their findings. This helps to build a cumulative body of knowledge and allows researchers to identify patterns and trends across different studies.
• Helps to generate hypotheses: A theoretical framework provides a basis for generating hypotheses about the relationships between different concepts and variables. This can help to guide the research process and identify areas that require further investigation.
• Facilitates communication: A theoretical framework provides a common language and set of concepts that researchers can use to communicate their findings to other researchers and to the wider community. This makes it easier for others to understand the research and its implications.

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Home » Education » What is the Difference Between Literature Review and Theoretical Framework

What is the Difference Between Literature Review and Theoretical Framework

The main difference between literature review and theoretical framework is their function. The literature review explores what has already been written about the topic under study in order to highlight a gap, whereas the theoretical framework is the conceptual and analytical approach the researcher is going to take to fill that gap.

Literature review and theoretical framework are two indispensable components of research . Both are equally important for the foundation of a research study.

Key Areas Covered

1.  What is Literature Review       – Definition, Features 2.  What is Theoretical Framework      – Definition, Features 3.  Difference Between Literature Review and Theoretical Framework      – Comparison of Key Differences

What is a Literature Review

A literature review is a vital component of a research study. A literature review is a discussion on the already existing material in the subject area. Thus, this will require a collection of published (in print or online) work concerning the selected research area. In other words, a literature review is a review of the literature in the related subject area. A literature review makes a case for the research study. It analyzes the existing literature in order to identify and highlight a gap in the literature.

Moreover, a good literature review is a critical discussion, displaying the writer’s knowledge of relevant theories and approaches and awareness of contrasting arguments. A literature review should have the following features (Caulley, 1992)

• Compare and contrast different researchers’ views
• Identify areas in which researchers are in disagreement
• Group researchers who have similar conclusions
• Criticize the  methodology
• Highlight exemplary studies
• Highlight gaps in research
• Indicate the connection between your study and previous studies
• Indicate how your study will contribute to the literature in general
• Conclude by summarizing what the literature indicates

Furthermore, the structure of a literature review is similar to that of an article or essay . Overall, literature reviews help researchers to evaluate the existing literature, identify a gap in the research area, place their study in the existing research and identify future research.

What is a Theoretical Framework

The theoretical framework is the research component that introduces and describes the theory that explains why the research problem under study exists. It is also the conceptual and analytical approach the researcher is going to take to fill the research gap identified by the literature review. Moreover, it is the structure that holds the structure of the research theory.

The researcher may not easily find the theoretical framework within the literature. Therefore, he or she may have to go through many research studies and course readings for theories and models relevant to the research problem under investigation. In addition, the theory must be selected based on its relevance, ease of application, and explanatory power.

Difference Between Literature Review and Theoretical Framework

A literature review is a critical evaluation of the existing published work in a selected research area, while a theoretical framework is a component in research that introduces and describes the theory behind the research problem.

Moreover, the literature review explores what has already been written about the topic under investigation in order to highlight a gap, whereas the theoretical framework is the conceptual and analytical approach the researcher is going to take to fill that gap. Therefore, a literature review is backwards-looking while theory framework is forward-looking.

In conclusion, the main difference between literature review and theoretical framework is their function. The literature review explores what has already been written about the topic under study in order to highlight a gap, whereas the theoretical framework is the conceptual and analytical approach the researcher is going to take to fill that gap.

1. Caulley, D. N. “Writing a critical review of the literature.” La Trobe University: Bundoora (1992). 2. “ Organizing Your Social Sciences Research Paper: Theoretical Framework .” Research Guide.

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• USC Libraries
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Organizing Your Social Sciences Research Paper

• 5. The Literature Review
• 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
• Theoretical Framework
• 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

A literature review surveys prior research published in books, scholarly articles, and any other sources relevant to a particular issue, area of research, or theory, and by so doing, provides a description, summary, and critical evaluation of these works in relation to the research problem being investigated. Literature reviews are designed to provide an overview of sources you have used in researching a particular topic and to demonstrate to your readers how your research fits within existing scholarship about the topic.

Fink, Arlene. Conducting Research Literature Reviews: From the Internet to Paper . Fourth edition. Thousand Oaks, CA: SAGE, 2014.

Importance of a Good Literature Review

A literature review may consist of simply a summary of key sources, but in the social sciences, a literature review usually has an organizational pattern and combines both summary and synthesis, often within specific conceptual categories . A summary is a recap of the important information of the source, but a synthesis is a re-organization, or a reshuffling, of that information in a way that informs how you are planning to investigate a research problem. The analytical features of a literature review might:

• Give a new interpretation of old material or combine new with old interpretations,
• Trace the intellectual progression of the field, including major debates,
• Depending on the situation, evaluate the sources and advise the reader on the most pertinent or relevant research, or
• Usually in the conclusion of a literature review, identify where gaps exist in how a problem has been researched to date.

Given this, the purpose of a literature review is to:

• Place each work in the context of its contribution to understanding the research problem being studied.
• Describe the relationship of each work to the others under consideration.
• Identify new ways to interpret prior research.
• Reveal any gaps that exist in the literature.
• Resolve conflicts amongst seemingly contradictory previous studies.
• Identify areas of prior scholarship to prevent duplication of effort.
• Point the way in fulfilling a need for additional research.
• Locate your own research within the context of existing literature [very important].

Fink, Arlene. Conducting Research Literature Reviews: From the Internet to Paper. 2nd ed. Thousand Oaks, CA: Sage, 2005; Hart, Chris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage Publications, 1998; Jesson, Jill. Doing Your Literature Review: Traditional and Systematic Techniques . Los Angeles, CA: SAGE, 2011; Knopf, Jeffrey W. "Doing a Literature Review." PS: Political Science and Politics 39 (January 2006): 127-132; Ridley, Diana. The Literature Review: A Step-by-Step Guide for Students . 2nd ed. Los Angeles, CA: SAGE, 2012.

Types of Literature Reviews

It is important to think of knowledge in a given field as consisting of three layers. First, there are the primary studies that researchers conduct and publish. Second are the reviews of those studies that summarize and offer new interpretations built from and often extending beyond the primary studies. Third, there are the perceptions, conclusions, opinion, and interpretations that are shared informally among scholars that become part of the body of epistemological traditions within the field.

In composing a literature review, it is important to note that it is often this third layer of knowledge that is cited as "true" even though it often has only a loose relationship to the primary studies and secondary literature reviews. Given this, while literature reviews are designed to provide an overview and synthesis of pertinent sources you have explored, there are a number of approaches you could adopt depending upon the type of analysis underpinning your study.

Argumentative Review This form examines literature selectively in order to support or refute an argument, deeply embedded assumption, or philosophical problem already established in the literature. The purpose is to develop a body of literature that establishes a contrarian viewpoint. Given the value-laden nature of some social science research [e.g., educational reform; immigration control], argumentative approaches to analyzing the literature can be a legitimate and important form of discourse. However, note that they can also introduce problems of bias when they are used to make summary claims of the sort found in systematic reviews [see below].

Integrative Review Considered a form of research that reviews, critiques, and synthesizes representative literature on a topic in an integrated way such that new frameworks and perspectives on the topic are generated. The body of literature includes all studies that address related or identical hypotheses or research problems. A well-done integrative review meets the same standards as primary research in regard to clarity, rigor, and replication. This is the most common form of review in the social sciences.

Historical Review Few things rest in isolation from historical precedent. Historical literature reviews focus on examining research throughout a period of time, often starting with the first time an issue, concept, theory, phenomena emerged in the literature, then tracing its evolution within the scholarship of a discipline. The purpose is to place research in a historical context to show familiarity with state-of-the-art developments and to identify the likely directions for future research.

Methodological Review A review does not always focus on what someone said [findings], but how they came about saying what they say [method of analysis]. Reviewing methods of analysis provides a framework of understanding at different levels [i.e. those of theory, substantive fields, research approaches, and data collection and analysis techniques], how researchers draw upon a wide variety of knowledge ranging from the conceptual level to practical documents for use in fieldwork in the areas of ontological and epistemological consideration, quantitative and qualitative integration, sampling, interviewing, data collection, and data analysis. This approach helps highlight ethical issues which you should be aware of and consider as you go through your own study.

Systematic Review This form consists of an overview of existing evidence pertinent to a clearly formulated research question, which uses pre-specified and standardized methods to identify and critically appraise relevant research, and to collect, report, and analyze data from the studies that are included in the review. The goal is to deliberately document, critically evaluate, and summarize scientifically all of the research about a clearly defined research problem . Typically it focuses on a very specific empirical question, often posed in a cause-and-effect form, such as "To what extent does A contribute to B?" This type of literature review is primarily applied to examining prior research studies in clinical medicine and allied health fields, but it is increasingly being used in the social sciences.

Theoretical Review The purpose of this form is to examine the corpus of theory that has accumulated in regard to an issue, concept, theory, phenomena. The theoretical literature review helps to establish what theories already exist, the relationships between them, to what degree the existing theories have been investigated, and to develop new hypotheses to be tested. Often this form is used to help establish a lack of appropriate theories or reveal that current theories are inadequate for explaining new or emerging research problems. The unit of analysis can focus on a theoretical concept or a whole theory or framework.

NOTE : Most often the literature review will incorporate some combination of types. For example, a review that examines literature supporting or refuting an argument, assumption, or philosophical problem related to the research problem will also need to include writing supported by sources that establish the history of these arguments in the literature.

Baumeister, Roy F. and Mark R. Leary. "Writing Narrative Literature Reviews."  Review of General Psychology 1 (September 1997): 311-320; Mark R. Fink, Arlene. Conducting Research Literature Reviews: From the Internet to Paper . 2nd ed. Thousand Oaks, CA: Sage, 2005; Hart, Chris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage Publications, 1998; Kennedy, Mary M. "Defining a Literature." Educational Researcher 36 (April 2007): 139-147; Petticrew, Mark and Helen Roberts. Systematic Reviews in the Social Sciences: A Practical Guide . Malden, MA: Blackwell Publishers, 2006; Torracro, Richard. "Writing Integrative Literature Reviews: Guidelines and Examples." Human Resource Development Review 4 (September 2005): 356-367; Rocco, Tonette S. and Maria S. Plakhotnik. "Literature Reviews, Conceptual Frameworks, and Theoretical Frameworks: Terms, Functions, and Distinctions." Human Ressource Development Review 8 (March 2008): 120-130; Sutton, Anthea. Systematic Approaches to a Successful Literature Review . Los Angeles, CA: Sage Publications, 2016.

Structure and Writing Style

I.  Thinking About Your Literature Review

The structure of a literature review should include the following in support of understanding the research problem :

• An overview of the subject, issue, or theory under consideration, along with the objectives of the literature review,
• Division of works under review into themes or categories [e.g. works that support a particular position, those against, and those offering alternative approaches entirely],
• An explanation of how each work is similar to and how it varies from the others,
• Conclusions as to which pieces are best considered in their argument, are most convincing of their opinions, and make the greatest contribution to the understanding and development of their area of research.

The critical evaluation of each work should consider :

• Provenance -- what are the author's credentials? Are the author's arguments supported by evidence [e.g. primary historical material, case studies, narratives, statistics, recent scientific findings]?
• Methodology -- were the techniques used to identify, gather, and analyze the data appropriate to addressing the research problem? Was the sample size appropriate? Were the results effectively interpreted and reported?
• Objectivity -- is the author's perspective even-handed or prejudicial? Is contrary data considered or is certain pertinent information ignored to prove the author's point?
• Persuasiveness -- which of the author's theses are most convincing or least convincing?
• Validity -- are the author's arguments and conclusions convincing? Does the work ultimately contribute in any significant way to an understanding of the subject?

II.  Development of the Literature Review

Four Basic Stages of Writing 1.  Problem formulation -- which topic or field is being examined and what are its component issues? 2.  Literature search -- finding materials relevant to the subject being explored. 3.  Data evaluation -- determining which literature makes a significant contribution to the understanding of the topic. 4.  Analysis and interpretation -- discussing the findings and conclusions of pertinent literature.

Consider the following issues before writing the literature review: Clarify If your assignment is not specific about what form your literature review should take, seek clarification from your professor by asking these questions: 1.  Roughly how many sources would be appropriate to include? 2.  What types of sources should I review (books, journal articles, websites; scholarly versus popular sources)? 3.  Should I summarize, synthesize, or critique sources by discussing a common theme or issue? 4.  Should I evaluate the sources in any way beyond evaluating how they relate to understanding the research problem? 5.  Should I provide subheadings and other background information, such as definitions and/or a history? Find Models Use the exercise of reviewing the literature to examine how authors in your discipline or area of interest have composed their literature review sections. Read them to get a sense of the types of themes you might want to look for in your own research or to identify ways to organize your final review. The bibliography or reference section of sources you've already read, such as required readings in the course syllabus, are also excellent entry points into your own research. Narrow the Topic The narrower your topic, the easier it will be to limit the number of sources you need to read in order to obtain a good survey of relevant resources. Your professor will probably not expect you to read everything that's available about the topic, but you'll make the act of reviewing easier if you first limit scope of the research problem. A good strategy is to begin by searching the USC Libraries Catalog for recent books about the topic and review the table of contents for chapters that focuses on specific issues. You can also review the indexes of books to find references to specific issues that can serve as the focus of your research. For example, a book surveying the history of the Israeli-Palestinian conflict may include a chapter on the role Egypt has played in mediating the conflict, or look in the index for the pages where Egypt is mentioned in the text. Consider Whether Your Sources are Current Some disciplines require that you use information that is as current as possible. This is particularly true in disciplines in medicine and the sciences where research conducted becomes obsolete very quickly as new discoveries are made. However, when writing a review in the social sciences, a survey of the history of the literature may be required. In other words, a complete understanding the research problem requires you to deliberately examine how knowledge and perspectives have changed over time. Sort through other current bibliographies or literature reviews in the field to get a sense of what your discipline expects. You can also use this method to explore what is considered by scholars to be a "hot topic" and what is not.

III.  Ways to Organize Your Literature Review

Chronology of Events If your review follows the chronological method, you could write about the materials according to when they were published. This approach should only be followed if a clear path of research building on previous research can be identified and that these trends follow a clear chronological order of development. For example, a literature review that focuses on continuing research about the emergence of German economic power after the fall of the Soviet Union. By Publication Order your sources by publication chronology, then, only if the order demonstrates a more important trend. For instance, you could order a review of literature on environmental studies of brown fields if the progression revealed, for example, a change in the soil collection practices of the researchers who wrote and/or conducted the studies. Thematic [“conceptual categories”] A thematic literature review is the most common approach to summarizing prior research in the social and behavioral sciences. Thematic reviews are organized around a topic or issue, rather than the progression of time, although the progression of time may still be incorporated into a thematic review. For example, a review of the Internet’s impact on American presidential politics could focus on the development of online political satire. While the study focuses on one topic, the Internet’s impact on American presidential politics, it would still be organized chronologically reflecting technological developments in media. The difference in this example between a "chronological" and a "thematic" approach is what is emphasized the most: themes related to the role of the Internet in presidential politics. Note that more authentic thematic reviews tend to break away from chronological order. A review organized in this manner would shift between time periods within each section according to the point being made. Methodological A methodological approach focuses on the methods utilized by the researcher. For the Internet in American presidential politics project, one methodological approach would be to look at cultural differences between the portrayal of American presidents on American, British, and French websites. Or the review might focus on the fundraising impact of the Internet on a particular political party. A methodological scope will influence either the types of documents in the review or the way in which these documents are discussed.

Other Sections of Your Literature Review Once you've decided on the organizational method for your literature review, the sections you need to include in the paper should be easy to figure out because they arise from your organizational strategy. In other words, a chronological review would have subsections for each vital time period; a thematic review would have subtopics based upon factors that relate to the theme or issue. However, sometimes you may need to add additional sections that are necessary for your study, but do not fit in the organizational strategy of the body. What other sections you include in the body is up to you. However, only include what is necessary for the reader to locate your study within the larger scholarship about the research problem.

Here are examples of other sections, usually in the form of a single paragraph, you may need to include depending on the type of review you write:

• Current Situation : Information necessary to understand the current topic or focus of the literature review.
• Sources Used : Describes the methods and resources [e.g., databases] you used to identify the literature you reviewed.
• History : The chronological progression of the field, the research literature, or an idea that is necessary to understand the literature review, if the body of the literature review is not already a chronology.
• Selection Methods : Criteria you used to select (and perhaps exclude) sources in your literature review. For instance, you might explain that your review includes only peer-reviewed [i.e., scholarly] sources.
• Standards : Description of the way in which you present your information.
• Questions for Further Research : What questions about the field has the review sparked? How will you further your research as a result of the review?

IV.  Writing Your Literature Review

Once you've settled on how to organize your literature review, you're ready to write each section. When writing your review, keep in mind these issues.

Use Evidence A literature review section is, in this sense, just like any other academic research paper. Your interpretation of the available sources must be backed up with evidence [citations] that demonstrates that what you are saying is valid. Be Selective Select only the most important points in each source to highlight in the review. The type of information you choose to mention should relate directly to the research problem, whether it is thematic, methodological, or chronological. Related items that provide additional information, but that are not key to understanding the research problem, can be included in a list of further readings . Use Quotes Sparingly Some short quotes are appropriate if you want to emphasize a point, or if what an author stated cannot be easily paraphrased. Sometimes you may need to quote certain terminology that was coined by the author, is not common knowledge, or taken directly from the study. Do not use extensive quotes as a substitute for using your own words in reviewing the literature. Summarize and Synthesize Remember to summarize and synthesize your sources within each thematic paragraph as well as throughout the review. Recapitulate important features of a research study, but then synthesize it by rephrasing the study's significance and relating it to your own work and the work of others. Keep Your Own Voice While the literature review presents others' ideas, your voice [the writer's] should remain front and center. For example, weave references to other sources into what you are writing but maintain your own voice by starting and ending the paragraph with your own ideas and wording. Use Caution When Paraphrasing When paraphrasing a source that is not your own, be sure to represent the author's information or opinions accurately and in your own words. Even when paraphrasing an author’s work, you still must provide a citation to that work.

V.  Common Mistakes to Avoid

These are the most common mistakes made in reviewing social science research literature.

• Sources in your literature review do not clearly relate to the research problem;
• You do not take sufficient time to define and identify the most relevant sources to use in the literature review related to the research problem;
• Relies exclusively on secondary analytical sources rather than including relevant primary research studies or data;
• Uncritically accepts another researcher's findings and interpretations as valid, rather than examining critically all aspects of the research design and analysis;
• Does not describe the search procedures that were used in identifying the literature to review;
• Reports isolated statistical results rather than synthesizing them in chi-squared or meta-analytic methods; and,
• Only includes research that validates assumptions and does not consider contrary findings and alternative interpretations found in the literature.

Cook, Kathleen E. and Elise Murowchick. “Do Literature Review Skills Transfer from One Course to Another?” Psychology Learning and Teaching 13 (March 2014): 3-11; Fink, Arlene. Conducting Research Literature Reviews: From the Internet to Paper . 2nd ed. Thousand Oaks, CA: Sage, 2005; Hart, Chris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage Publications, 1998; Jesson, Jill. Doing Your Literature Review: Traditional and Systematic Techniques . London: SAGE, 2011; Literature Review Handout. Online Writing Center. Liberty University; Literature Reviews. The Writing Center. University of North Carolina; Onwuegbuzie, Anthony J. and Rebecca Frels. Seven Steps to a Comprehensive Literature Review: A Multimodal and Cultural Approach . Los Angeles, CA: SAGE, 2016; Ridley, Diana. The Literature Review: A Step-by-Step Guide for Students . 2nd ed. Los Angeles, CA: SAGE, 2012; Randolph, Justus J. “A Guide to Writing the Dissertation Literature Review." Practical Assessment, Research, and Evaluation. vol. 14, June 2009; Sutton, Anthea. Systematic Approaches to a Successful Literature Review . Los Angeles, CA: Sage Publications, 2016; Taylor, Dena. The Literature Review: A Few Tips On Conducting It. University College Writing Centre. University of Toronto; Writing a Literature Review. Academic Skills Centre. University of Canberra.

Writing Tip

Break Out of Your Disciplinary Box!

Thinking interdisciplinarily about a research problem can be a rewarding exercise in applying new ideas, theories, or concepts to an old problem. For example, what might cultural anthropologists say about the continuing conflict in the Middle East? In what ways might geographers view the need for better distribution of social service agencies in large cities than how social workers might study the issue? You don’t want to substitute a thorough review of core research literature in your discipline for studies conducted in other fields of study. However, particularly in the social sciences, thinking about research problems from multiple vectors is a key strategy for finding new solutions to a problem or gaining a new perspective. Consult with a librarian about identifying research databases in other disciplines; almost every field of study has at least one comprehensive database devoted to indexing its research literature.

Frodeman, Robert. The Oxford Handbook of Interdisciplinarity . New York: Oxford University Press, 2010.

Another Writing Tip

Don't Just Review for Content!

While conducting a review of the literature, maximize the time you devote to writing this part of your paper by thinking broadly about what you should be looking for and evaluating. Review not just what scholars are saying, but how are they saying it. Some questions to ask:

• How are they organizing their ideas?
• What methods have they used to study the problem?
• What theories have been used to explain, predict, or understand their research problem?
• What sources have they cited to support their conclusions?
• How have they used non-textual elements [e.g., charts, graphs, figures, etc.] to illustrate key points?

When you begin to write your literature review section, you'll be glad you dug deeper into how the research was designed and constructed because it establishes a means for developing more substantial analysis and interpretation of the research problem.

Hart, Chris. Doing a Literature Review: Releasing the Social Science Research Imagination . Thousand Oaks, CA: Sage Publications, 1 998.

Yet Another Writing Tip

When Do I Know I Can Stop Looking and Move On?

Here are several strategies you can utilize to assess whether you've thoroughly reviewed the literature:

• Look for repeating patterns in the research findings . If the same thing is being said, just by different people, then this likely demonstrates that the research problem has hit a conceptual dead end. At this point consider: Does your study extend current research?  Does it forge a new path? Or, does is merely add more of the same thing being said?
• Look at sources the authors cite to in their work . If you begin to see the same researchers cited again and again, then this is often an indication that no new ideas have been generated to address the research problem.
• Search Google Scholar to identify who has subsequently cited leading scholars already identified in your literature review [see next sub-tab]. This is called citation tracking and there are a number of sources that can help you identify who has cited whom, particularly scholars from outside of your discipline. Here again, if the same authors are being cited again and again, this may indicate no new literature has been written on the topic.

Onwuegbuzie, Anthony J. and Rebecca Frels. Seven Steps to a Comprehensive Literature Review: A Multimodal and Cultural Approach . Los Angeles, CA: Sage, 2016; Sutton, Anthea. Systematic Approaches to a Successful Literature Review . Los Angeles, CA: Sage Publications, 2016.

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Frequently asked questions

Is a theoretical framework part of a literature review.

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.

Frequently asked questions: Dissertation

When you mention different chapters within your text, it’s considered best to use Roman numerals for most citation styles. However, the most important thing here is to remain consistent whenever using numbers in your dissertation .

The best way to remember the difference between a research plan and a research proposal is that they have fundamentally different audiences. A research plan helps you, the researcher, organize your thoughts. On the other hand, a dissertation proposal or research proposal aims to convince others (e.g., a supervisor, a funding body, or a dissertation committee) that your research topic is relevant and worthy of being conducted.

Formulating a main research question can be a difficult task. Overall, your question should contribute to solving the problem that you have defined in your problem statement .

However, it should also fulfill criteria in three main areas:

• Researchability
• Feasibility and specificity
• Relevance and originality

The results chapter or section simply and objectively reports what you found, without speculating on why you found these results. The discussion interprets the meaning of the results, puts them in context, and explains why they matter.

In qualitative research , results and discussion are sometimes combined. But in quantitative research , it’s considered important to separate the objective results from your interpretation of them.

Results are usually written in the past tense , because they are describing the outcome of completed actions.

The abstract appears on its own page, after the title page and acknowledgements but before the table of contents .

Avoid citing sources in your abstract . There are two reasons for this:

• The abstract should focus on your original research, not on the work of others.
• The abstract should be self-contained and fully understandable without reference to other sources.

There are some circumstances where you might need to mention other sources in an abstract: for example, if your research responds directly to another study or focuses on the work of a single theorist. In general, though, don’t include citations unless absolutely necessary.

The abstract is the very last thing you write. You should only write it after your research is complete, so that you can accurately summarize the entirety of your thesis or paper.

An abstract is a concise summary of an academic text (such as a journal article or dissertation ). It serves two main purposes:

• To help potential readers determine the relevance of your paper for their own research.
• To communicate your key findings to those who don’t have time to read the whole paper.

Abstracts are often indexed along with keywords on academic databases, so they make your work more easily findable. Since the abstract is the first thing any reader sees, it’s important that it clearly and accurately summarises the contents of your paper.

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 .

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 thesis or dissertation outline is one of the most critical first steps in your writing process. It helps you to lay out and organise your ideas and can provide you with a roadmap for deciding what kind of research you’d like to undertake.

Generally, an outline contains information on the different sections included in your thesis or dissertation, such as:

• Your anticipated title
• Your abstract
• Your chapters (sometimes subdivided into further topics like literature review, research methods, avenues for future research, etc.)

Your list of tables and figures should go directly after your table of contents in your thesis or dissertation.

Usually, no title page is needed in an MLA paper . A header is generally included at the top of the first page instead. The exceptions are when:

• Your instructor requires one, or
• Your paper is a group project

In those cases, you should use a title page instead of a header, listing the same information but on a separate page.

The title page of your thesis or dissertation goes first, before all other content or lists that you may choose to include.

The title page of your thesis or dissertation should include your name, department, institution, degree program, and submission date.

A glossary is a collection of words pertaining to a specific topic. In your thesis or dissertation, it’s a list of all terms you used that may not immediately be obvious to your reader. In contrast, dictionaries are more general collections of words.

Glossaries are not mandatory, but if you use a lot of technical or field-specific terms, it may improve readability to add one to your thesis or dissertation. Your educational institution may also require them, so be sure to check their specific guidelines.

A glossary is a collection of words pertaining to a specific topic. In your thesis or dissertation, it’s a list of all terms you used that may not immediately be obvious to your reader. In contrast, an index is a list of the contents of your work organised by page number.

Definitional terms often fall into the category of common knowledge , meaning that they don’t necessarily have to be cited. This guidance can apply to your thesis or dissertation glossary as well.

However, if you’d prefer to cite your sources , you can follow guidance for citing dictionary entries in MLA or APA style for your glossary.

A glossary is a collection of words pertaining to a specific topic. In your thesis or dissertation, it’s a list of all terms you used that may not immediately be obvious to your reader. Your glossary only needs to include terms that your reader may not be familiar with, and is intended to enhance their understanding of your work.

APA doesn’t require you to include a list of tables or a list of figures . However, it is advisable to do so if your text is long enough to feature a table of contents and it includes a lot of tables and/or figures .

A list of tables and list of figures appear (in that order) after your table of contents, and are presented in a similar way.

A list of figures and tables compiles all of the figures and tables that you used in your thesis or dissertation and displays them with the page number where they can be found.

Copyright information can usually be found wherever the table or figure was published. For example, for a diagram in a journal article , look on the journal’s website or the database where you found the article. Images found on sites like Flickr are listed with clear copyright information.

If you find that permission is required to reproduce the material, be sure to contact the author or publisher and ask for it.

Lists of figures and tables are often not required, and they aren’t particularly common. They specifically aren’t required for APA Style, though you should be careful to follow their other guidelines for figures and tables .

If you have many figures and tables in your thesis or dissertation, include one may help you stay organised. Your educational institution may require them, so be sure to check their guidelines.

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Center for Policy, Research, and Evaluation

Theoretical frameworks and literature review.

To situate findings from this evaluation in a broader context, we root our data collection, analysis, and findings in theories on de-tracking, implementation of major educational reforms, and Critical Race Theory.

A review of research on de-tracking efforts reveals that simultaneous changes in three areas are necessary for de-tracking to be successful: 

• instruction
• institutional structures

Instruction should provide opportunities for diverse ways of learning, keep learners actively involved, provide support for individuals as needed, and create a safe and respectful learning community (Rubin, 2006). Institutional structures should allow for more time and resources for teacher professional development, collaborative time, and instructional retooling and should enable additional social and academic supports for students. Finally, belief systems should shift among educators, students, and families, whereby these stakeholder groups come to believe that all students can learn and engage in rigorous coursework.

When implementing large-scale reforms in schools, such as de-tracking, it is crucial to ask not just whether or not the reform worked, but also what conditions facilitated or impeded the success and sustainability of the reform. A longitudinal study across 22 Chicago elementary schools suggests that 5 “essential supports” contribute to school improvement over time (Bryk et al., 2010). These include:

• School leadership: e.g. teacher leadership, parent and community involvement, program coherence, and instructional leadership
• Parent-school-community ties : e.g. teachers’ knowledge about student culture and the local community and family engagement practices
• Professional capacity : e.g. quality of human resources, quality of professional development, professional dispositions, and professional community
• Student-centered learning climate : e.g. safety and order, teachers’ academic press and personalism, and supportive peer norms
• Instructional guidance : e.g. curriculum alignment, intellectual emphasis and pedagogical methods.

Bryk and colleagues (2010) found that schools strong on at least three of the five essentials were 10 times more likely to show substantial gains in student learning over time than schools weak on three or more of the five essentials. Additionally, a persistently low score in just one of the five essentials reduced the likelihood of improvement to less than 10 percent. Schools with higher levels of relational trust between teachers and school leaders, among teachers, and between teachers and families tended to have stronger essential supports.

In “So Much Reform, So Little Change,” educational scholar Charles Payne (2008) elaborates on how the common focus on “what works” is misplaced. As Bryk and colleagues suggest, more time should be allotted to understanding the conditions that allow for successful and sustainable implementation in schools. Such implementation is more likely where certain conditions are met. These conditions include elements based on the following list:

Teachers have a sense of efficacy and believe in students and their families.

• Teachers and school leaders have strong buy-in for the reform; as Payne says, “the Big Magic” is “in the thinking and understanding of the people who implement, in the approach they take, in the values they hold dear.” (p. 189)
• Principals are active, engaged, and supportive.
• Schools focus on doing less well and with coherence.
• There is ample time for teacher professional development, common planning, and for teachers to spend with the school leader and coach troubleshooting specific issues.
• A stable team of coaches and consultants are available to support implementation and help school’s problem-solve.
• Schools have several consecutive years to implement the reform; studies of one whole school reform model showed that effects increased substantially after the 5th implementation year.
• Scaling up occurs slowly and cautiously.

In response to these conditions, Payne suggests, “It ain’t the thing that you do, it’s the way you do it,” (p. 190). Thus, we would expect EFA to be implemented and adapted more successfully in schools with stronger levels of the five essential supports. We would also expect for EFA to be more successful if the conditions outlined above are met.

It is also important to recognize that EFA, like many urban district reforms, is situated within a broader district context, and thus implementation will be influenced by this context. The Public Education Leadership Project (PELP) Coherence Framework, derived from interactions with hundreds of U.S. public school leaders, offers a blueprint for district-wide school improvement efforts (Childress, Elmore, Grossman, & King, 2011). As shown in Figure 1, the framework centers the “instructional core,” which consists of teachers’ knowledge and skill, students’ engagement in their own learning, and academically challenging content. According tothe Framework, districts should create a theory of change that articulates a belief about how to improve the instructional core. This theory of change should then inform a high-leverage strategy that enhances all three components of the instructional core and their interaction. Leaders must engage various stakeholders in the development of this strategy and communicate it widely to ensure buy-in and ownership. They must also identify which elements of the strategy schools should adapt and where schools have freedom to adapt the strategy to their unique context. Implementation of strategies is influenced by culture (i.e. norms and behaviors), structure (e.g. departments, taskforces, informal power), systems (e.g. resource allocation, organizational learning, accountability), resources (people, financial resources, technology), and stakeholders (unions, parents, civic and community leaders and organizations, governing bodies). Finally, the influence of environmental elements beyond the district’s control, including regulations and statues, contracts, funding, and politics must always be considered.

It should be noted, however, that dismantling racial opportunity barriers is not a politically innocent endeavor, particularly in a school district with a long and infamous history of racial segregation and racism. Critical Race Theorists argue the permanence of racism and its consequential impacts on the educational opportunities for historically vulnerable students (Bell, 1992; Crenshaw, Gotanda, Peller, and Thomas, 1995; Ladson-Billings and Tate, 1995). Milner (2017) argued that inequities become “ingrained and deeply embedded in the policies, practices, procedures, and institutionalized systems of education” (p. 294). Efforts to implement district reforms to dismantle these systems, therefore, need to be intentional.

Specifically, a critical race theory approach to education“involves a commitment to develop schools that acknowledge the multiple strengths of communities of color in order to serve a larger purpose of struggle toward social and racial justice,” (Yosso, 2005, p. 69).

To better understand reform efforts in BPS, we examine academic literature on dismantling racism in urban public schools, barriers to learning opportunities for historically marginalized students, and academic enrichment similar to EFA being implemented across the US and their role in achieving student academic and socioemotional growth.

Dismantling Racism

Achieving educational equity means much more than addressing individual barriers. Educational equity involves systematically dismantling oppressive forces to achieve educational liberation and justice (del Carmen Salazar, 2013; Johnston, D’Andrea Montalbano, & Kirkland, 2017). Achieving educational equity to ensure that all students are world-class learners and best prepared for college or the workforce means having difficult conversations about race and its implications on student outcomes. Research demonstrates that children are most successful in classrooms where they feel valued, and their lived experiences are acknowledged and supported by their educators (Paris & Alim, 2017). However, the history of public education in the United States is one of exclusion and disenfranchisement, particularly for students of color (Yosso et al, 2005; Ladson-Billings & Tate, 1995; Paris, 2012).

A legacy of inequity in US public schools perpetuates various disadvantages for marginalized students, including access to academic enrichments, quality school environments, qualified educators, and access to quality school materials/resources (Picower 2009; Yosso et al, 2005; Ladson-Billings & Tate, 1995). In fact, research demonstrates that schools that are majority comprised of students of color (90 percent or more) spend $733 less per student per year than schools with 90 percent or more white students (OCR, 2014). Subsequently, Black students are often located in schools with less qualified teachers, teachers with lower salaries, and novice teachers (OCR, 2014). Inequities such as these create unequal learning opportunities and perpetuate beliefs surrounding academic ability for students for color. In fact, students of color are fully capable of learning, but instead experience compounding disadvantage (e.g. poverty, inadequate schooling systems, targeted disciplinary action, etc.) that contributes to differences in academic attainment. Therefore, dismantling school policies and norms that reinforce oppressive educational practices is critical and calls for schooling systems to identify and examine factors that perpetuate racism.

Supporting the academic, social, and emotional well-being of students of color means working to dismantle racism in US public schools. Addressing the systemic inequities that have plagued the US public education system for decades requires hard work and a long-term commitment to serving historically marginalized communities (Paris & Alim, 2017; Ladson-Billings, 2014).

Implementing anti-racist policies as well as culturally relevant and linguistically sustaining practices can aid in shifting mindsets surrounding educating students of color.

Anti-Racist Education

In order to achieve true liberation and justice, schools should move toward becoming anti-racist institutions. Anti-racist education is described as a means to address racism directly (Kendi, 2019; Foster, 2019). Anti-racist teaching confronts prejudice through the discussion of past and present racism, stereotyping and discrimination in society by teaching the economic, structural and historical roots of inequality,” (McGregor, 1993, p. 2). When districts take a stance on being anti-racist, they are prioritizing the needs of students of color, acknowledging that systematic functions pose barriers to their academic achievement. The implementation of anti-racist education through teaching 1) disrupts color-evasiveness and engages in deep conversations about the prevalence of racism and white supremacist practices that impede on the learning of students of color, 2) identifies individual biases of school teachers and leaders as well as acknowledges the impact it can have on teaching policies and practices, and 3) ensures that school curriculum and instruction is culturally relevant and linguistically sustaining, which is detailed in the section below (Foster, 2019).

Through these practices, we distinguish anti-racist education from schools identifying as a multicultural space, as the focus is on the centering the needs of students of color, rather than immersing them into a schooling system that wasn’t built to serve or understand their specific needs (Tator and Henry, 1991; McGregor, 1993). Tator and Henry (1991) argued that anti-racist education differs from multicultural education, as a focus on being multicultural “... ignores the fact that racial differences, and the racial discrimination which flows from [those visible differences] must be challenged by changing the total organizational structures of the institutions.” (p.122). Thus, multicultural education can continue to perpetuate disadvantages for students of color by merely attempting to integrate their experiences into the curriculum rather than addressing the systemic and institutional barriers in place that may impede on the experiences of students of color in educative spaces.

The racial and ethnic mix of U.S. public school students is increasingly diverse, but schooling policies and practices have not evolved to effectively educate these changing demographics. Without educational strategies that acknowledge and incorporate the diverse backgrounds of their students, public school systems will continue to fail to adequately support low-income students of color and eliminate gaps in academic outcomes (Paris & Alim, 2017).

Culturally Relevant and Linguistically Sustaining Education

In order to best serve students of color, Emergent Bilingual students, SWDs, and economically disadvantaged students, school districts should focus on implementing practices that are culturally responsive and linguistically sustaining (Paris & Alim, 2017). Culturally responsive and linguistically sustaining education requires a focus on “sustain[ing] the lifeways of communities who have been and continue to be damaged and erased through schooling,” as longstanding negative perceptions has framed these populations through a deficit framework (Paris & Alim, 2017, p.1). Deficit thinking has not only contributed to oppressive school cultures and climates where the experiences of historically marginalized students are ignored but has also cultivated environments where white-middle class values are viewed as a superior prerequisite to successful educational outcomes.

The implementation of CRLS practices“explicitly calls for schooling to be a site for sustaining—rather than eradicating—the cultural ways of being of communities of color by perpetuat[ing] and foste[ing] linguistic, literate, and cultural pluralism as part of schooling for positive social transformation and revitalization,” (Paris & Alim, 2017). Within schools, these practices can be observed as 1) empowering students to share their unique perspectives, 2) incorporating varying learning styles, such as oral stories, to emulate culturally significant practices, 3) being inclusive in classroom materials so students are able to see themselves in the work, and 4) enhancing students’ learning by connecting material realities, and access to institutional power to their lived experiences (Paris, 2012; Paris & Alim, 2017). Culturally relevant and sustaining practices such as these support historically marginalized students by “linking school and culture,” (Ladson-Billings, 1995) to ensure that all students are supported in being academically, socially, and emotionally successful in their schooling. Thus, culturally responsive and sustaining pedagogy exists to further the pursuit for educational justice in an effort to dismantle racist institutions in “the place where the beat drops” (Ladson-Billings, 2014, p. 76).

Public schooling systems cannot be considered equitable until they truly serve the needs of all students. Thus, dismantling racism in schools must be a targeted effort in order for equity to be achieved.In the next section, we will discuss the barriers for students may exist around their race, gender, SES, language, and SWD status.

Barriers to Opportunities

There are many systematic barriers that impede the educative process of students (del Carmen Salazar, 2013; Cherng, 2017; Milner, 2013; Horsford, 2010). As previously highlighted, students of color often experience exclusionary practices that interfere with their classroom learning, peer interactions, and relationships with educators. Emergent bilingual students, SWDs, and economically disadvantaged students also experience oppressive forces within American schooling systems that ostracize and criminalize their existence (Ladson-Billings, 2014; del Carmen Salazar, 2013; Cherng, 2017; Paris & Alim, 2017). In this section, we will discuss specific factors needed to create equitable learning environments, such academic enrichments, resources,and school supports, cultural competency training, and educators of color, as well as discuss how disciplinary practices often criminalize historically marginalized students.

Differential Access to Academic Enrichments, Resources, and School Supports

In many large urban public-school districts, students take high-risk tests to place into academic advancement opportunities (e.g. advanced work courses, best performing district schools, etc.) However, as previously highlighted in this report, there are noted disparities in access to and availability of academic enrichments, resources, and school supports for historically marginalized students, contributing to an observable opportunity barrier. Rather than speaking to the persistent disparity in academic achievement between different student groups, the opportunity barrier highlights the role of race/ ethnicity, socioeconomic status, language proficiency, or other factors on perpetuating inequities (Milner, 2012; Welner & Carter, 2013). This narrative shifts the focus from blaming students for “academic failures” and examines the system that distributes inequitable access to resources and opportunities that promote student success (Milner, 2012; Welner & Carter, 2013).

For example, research outlines that Black students are less likely than white students to have access to enrichment classes, including college-readiness courses and honors placements (OCR, 2014). In fact, the United Negro College Fund (UNCF) (2016), reported that across the US in 2012, only 57% of Black students had access to a full range of math and science classes in comparison to 71% of white students. Additionally, Black and Latinx students are less likely to be in schools offering enrichment opportunities (OCR, 2014), and even when these resources are available, Black and Latinx students are less likely to be placed in honors or advanced placement courses. According to UNCF, Black and Latinx students combined represent only 29% of students enrolled in at least one advanced placement course, even though 38% of the schools these students attend offer AP (ACT & UNCF, 2016).

Ability grouping disproportionately impacts students of color, Emergent Bilinguals, and SWDs. These students are often placed into lower ability courses due to factors such as lower teacher expectations due to students racial/ethnic background, lack of necessary culturally responsive and sustaining engagement skills from educators to build critical relationships with families, and ineffective teaching strategies/lack of culturally responsive and sustaining curriculum and instruction. Until students of color are given the same resources and supports to be successful, barriers to learning will persist, causing differential outcomes in student academic performance.

Lack of Cultural Competency and Educators of Color

Students live complex lives both within and outside of school. Research details the challenge many historically marginalized students experience when matriculating in urban public schools during a period of intensified racist and xenophobic politics and policies (Rogers et all, 2017). At current, many historically marginalized students and their families are immersed in broader societal conflicts surrounding race, immigration, gender and sexual identity. The current environment can generate high levels of anxiety for many Americans, but especially for historically marginalized students and their families.

Hence, implementing culturally responsive and sustaining practices in schools, such as anti-oppressive trainings for teachers is critical (Ladson-Billings, 1995; Flynn, 2015; Lopes- Murphy & Murphy, 2016). Cultural competence trainings in schools should include 1) generating cultural knowledge and understanding about students, 2) stimulating conversations with students and families to best understand how to work in collaboration, 3) checking individual biases about particular groups of students, and 4) calling out racism and other discriminatory practices that systematically target a particular group of students (Ladson-Billings, 1995; Paris, 2012; Cherng, 2017; Morrison et al., 2008). Becoming culturally competent will not happen through the attendance of a singular workshop or professional development day. Rather cultural competency is achieved through the systematic implementation of policies, practices, and behaviors that support a culturally responsive and sustaining learning environment (Ladson-Billings, 1995; Paris, 2012; Howard, 2003).

Diversification of the teaching force by hiring more teachers of color has been proposed as the simplest solution to increase asset-based teaching in schools serving students who have been historically marginalized. Increasing the number of teachers of color could help to mitigate the structural inequities and the lack of cultural understanding amongst teachers (Lewis et al., 2008). This is especially critical as historically marginalized students are now the majority of public-school enrollees (NCES, 2017). For example, students of color have made up a majority of the student body since 2014, students in poverty since 2015, and more than 25% of public-school students are first- or second-generation immigrants, (NCES, 2017). Yet nationally, the teaching force is predominantly white (around 80% according to recent statistics), and New England reflects this national trend. In Massachusetts, students of color made up 38% of all public-school students in the 2018-19 school year (MA DESE, 2019), but only 10% of teachers were people of color (MA DESE, 2019). In Boston, these numbers are 82% and 46% respectively. While the teaching force in Boston is more racially diverse, it still does not fully reflect the student body and poses concern around educator ability to connect with the changing demographics and needs of students and their families.

Boston is a racially and ethnically diverse city. From the perspective of marginalized families, some are entering schools where white people hold positions of authority, namely as teachers and administrators (Vaught, 2008). Recent literature has indicated that the overrepresentation of white educators in urban schools has led to a lack of school-to-home collaboration and cultural understanding between schools and families. Researchers have described the significance of having culturally competent educators and educators of color to build these connections (Jupp & Slattery, 2012; Sleeter, 2017; Ullucci, 2011). For instance, research has highlighted the experiences of some teachers who have spoken about white resistance to and fatigue from learning about race and culture (Crowley & Smith, 2015; Flynn, 2015). Educators who are unable or unwilling to break down cultural barriers to understand the lived experiences of their students and families can cause a significant barrier for student achievement (Paris & Alim, 2017).

Lack of Student Voice

Similar to diversification of the teaching force, incorporating student voice and cultural knowledge into classroom instruction empowers students with direct ownership of their learning experience. However, in most US classrooms, the structure of K-12 schooling is hierarchical (Kohli, 2017).

A typical hierarchical model recognizes people who are in positions of authority and power, such as principals, administrators and teachers, while viewing students and their families as secondary participants (Kohli, 2017). Incorporating student voice into the classroom is a culturally responsive and sustaining practice that allows students to share who they are and what they believe with their fellow peers and educators (Paris, 2012; Ladson-Billings; 1995). Educators can promote student voice in their classrooms through 1) project-based learning, such as capstones, which encourage student-led learning, capacity-building, and critical thinking skills, 2) generating avenues for students to be creative, explore, and develop new ideas which can encourage students to deepen their knowledge and be open to new perspectives, including listening to the voices of students who are typically ignored or seldom heard, and 3) encouraging students to be classroom leaders through activities such as storytelling, which encourages students to share their experiences and passions and can encourage the development of confidence, aid in building connections, and help students understand their voice (Paris, 2012; Ladson-Billings; 1995).

Literature has shown the consequence of stifling student voice on the academic and socioemotional developments of children (Quiroz, 2001). For example, when the aforementioned strategies are implemented into classroom practices, there are observed differences in students’ civic skills (Conner, 2011; Delgado & Staples, 2008, Ginwright & James, 2002; Ginwright, 2010; Rogers et al., 2012; Torres-Fleming et al., 2010), and sociopolitical consciousness (Conner, 2011; Watts et al., 2003) which has long-term implications on their academic success (Perry, Tabb, and Mendenhall, 2015; Conner, 2011). Students who develop a sense of sociopolitical consciousness exhibit an increased resilience to oppressive forces, including the increased ability to critically analyze the relationship between their race, class, or gender (i.e., interlocking structures of oppression) and its impact on their lived experiences both within and outside of school (Perry, Tabb, and Mendenhall, 2015). However, when students lack the opportunity to develop voice and share their cultural knowledge, teachers and administrators maintain all positional power, which can serve as a barrier to student growth and achievement.

Extreme Discipline Practices

All students deserve to learn in environments that are nurturing, supporting, welcoming, and safe. However, school disciplinary practices, such as detention, suspension, and expulsion, pose a barrier to learning, especially for students of color and students with disabilities, who are disproportionally at-risk to experience extreme punishment and zero-tolerance discipline (Morris and Perry, 2016). Zero-tolerance policies disproportionately criminalize historically marginalized students based on the belief that severe disciplinary consequences are required to correct student behavior, regardless of the individual circumstances, (Kirkland et. al, 2019). For example, Black students comprised roughly 16% of the student body in K-12 public schools nationwide, but accounted for 32% of in-school suspensions, 42% of multi-day out-of-school suspensions, and 34% of school expulsions (OCR, 2014). Similarly, the numbers for Latinx students’ suspension and expulsion rates were 22%, 21%, and 22% respectively (OCR, 2014). Examining these numbers by gender, ability status, and SES only reveal more disparate findings. Black girls are suspended at higher rates than girls of any other race or ethnicity (OCR, 2014). Students with disabilities are more than twice as likely to receive an out-of-school suspension than students without disabilities (OCR, 2014). In fact, nearly one out of four Black boys with disabilities (two times the rate of white boys with disabilities) and nearly one in five Black girls with disabilities (three times the rate of white girls with disabilities) faces out-of-school suspension (OCR, 2014).

Morris and Perry (2016) asserted that school-based infractions account for roughly one-fifth of the White-Black opportunity barrier. Students who are continuously and excessively punished for minor offenses or violations in school, are not only having their needs silenced, but are also forced to miss out on quality classroom instruction time (Morris & Perry, 2016). When students are forced to miss out on classroom instruction, their overall school performance is impacted. Missing 3-10 days of classwork due to suspension, for instance, can put a student extremely behind, with implications on their comprehension of school material, and ability to perform on standardized exams.

Equity Reforms and Student Outcomes

When traditional models of schooling are interrupted by centering race/ racial equity, there are often improved student academic and socioemotional outcomes, such as higher student interest, motivation, and performance, as well as greater confidence and self-perception (Ladson-Billings, 2009; Ladson-Billings, 2010, Irvine, 2002; Gay, 2010; Aronson & Laughter, 2015).

Particularly, we see an increased ability to engage in discourse and strong racial/ethnic identity among students of color in schools where culturally responsive and sustaining education (CRSE) is the focus of reform (Ladson-Billings, 2009; Ladson-Billings, 2010, Irvine, 2002; Gay, 2010; Aronson & Laughter, 2015). In school reform efforts centering cross cultural knowledge, including acknowledging and respecting the importance of individual differences based on students’ identities, languages, and cultures, (Gay, 2002; 2010) emergent bilingual students often have increased multi-lingual development and academic achievement. Similarly, economically disadvantaged students have benefited from school reform efforts focused on being culturally responsive and sustaining to their ways of being, such as their norms and values, learning styles, and backgrounds (Ladson-Billings, 2009, 2010).

Similar to BPS, large urban districts across the country, including NYC, Baltimore, Chicago, Newark, and LA, have begun equity work similar to Excellence for All. For example, a Baltimore City Public Schools (City Schools) taskforce composed of community leaders and district partners proposed an equity policy to the school board in 2019. City Schools subsequently adapted 6 priorities to uphold pillars of excellence around student achievement, effective and efficient operations, and family/community engagement, including:

• Quality curricula and instruction to ensure all students will achieve high standards and annual growth that lead them to graduate prepared to be independent, creative, contributing members of society,
• Quality staff so that all students benefit from transformational leadership at all levels of the organization to ensures the success of district initiatives and sustain a culture of excellence that leads to academic success,
• Climate and facilities so that all students learn in environments that embody a culture and climate of excellence, mutual respect, and safety,
• Parent and community engagement that build resources and opportunities for student success,
• Responsible stewardship and excellent customer service where all students benefit from predictable, reliable, transparent management processes and systems that build internal and external trust and contribute positively to school outcomes, and
• Portfolio of great schools that meet the needs of students and communities. (Excellence and Equity 2020)

The City Schools Excellence and Equity 2020 report outlined the district’s plan to disrupt and dismantle institutional racism in a way that’s focused on honoring the culture, lived experiences, and humanity of students, their families, and the larger community. Through this equity work City Schools aimed to promote student success by ensuring access to high quality academic programing, as well as build equity-based educator capacity.

Similarly, in New Jersey, Newark Public Schools (NPS) recently implemented a Comprehensive Equity Plan with 6 priorities areas to promote student success, including:

• Unified and aligned systems for assessment, data collection, transportation, facilities support, communication, and family and community engagement within an equity culture that values people, diversity, inclusion, and collaboration,
• A rigorous and relevant framework for curriculum and instruction that is inquiry-based, culturally responsive, and student-centered for prekindergarten to grade twelve curricula in all content areas,

A strength-based and responsive culture to build strength-based learning and working environments that foster shared beliefs, build relationships, promote partnerships, establish accountability, and value transparency. Culture and climate benchmarks are to be in place to support and celebrate accomplishments, recognize growth, build relationships, respond to needs, learn continuously, and value our differences,

Continuous learning for all to develop a unified and well-designed professional learning framework for teachers and school leaders that differentiates learning to their particular needs while providing universal support around shared learning objectives,

Integrated system of supports to address students’ social, emotional, and behavioral challenges occurring at all levels, and

Strong reciprocal partnerships as student success is a collective endeavor. Partnerships serve a vital role in enveloping every child we serve in a well-designed continuum of support and enrichment that propels them into any future they envision for themselves.(NPS Clarity 2020)

Data for NPS district priorities resulted from deep engagement with various stakeholders across NPS (e.g. school leaders, teachers, and community members). However, this targeted effort is for students in grades Prek-12, whereas EFA focused on grades 4-6. Through these targeted efforts, NPS is aiming to “implement the systems that embrace, celebrate, and empower the diversity among all students and staff” to result in “systemic transformation,” (NPS Clarity 2020). Particularly, NPS is focused on the impact of poverty, racism, immigration and language needs on students’ academic, social, physical, and mental health (NPS Clarity 2020).

As aforementioned research on equity reform described, when schools center the needs of historically marginalized students, including highlighting their voice, lived experiences, assets, and future possibilities, students’ needs, strengths, academic, and socioemotional development are nurtured (Ladson-Billings, 2009, 2010; Gay, 2002, 2010). The above highlighted reforms in Baltimore City and Newark Public Schools align with EFA 5 Pillars of Practice. While outcomes from these equity initiatives are not yet available, based on research that determines success outcomes of equity reforms, (Payne, 2008), we would expect shifts in schooling cultures, conditions, policies, and practices to better support, honor, and uphold students’ cultures, identities, and educational needs.

Next Sections

This evaluation was designed to examine the facilitators and barriers of EFA implementation. As such, we relied heavily on qualitative methods.

Key findings presented in this section emerged from our analysis of individual and focus group interviews. Findings are presented thematically in two sections we label as highlights and challenges.

Already desiring more rigorous curriculum and pedagogy for all students, EFA gave schools the additional resources needed to turn this vision into a reality.

Recommendations

These recommendations support ways EFA can best serve BPS students through a culturally responsive and sustaining lens.

This report outlines clear guidelines to improve EFA implementation across sites as well as target efforts to meet the needs of historically marginalized students.

References for Excellence For All Report

Qualitative data was collected by four highly trained researchers. NYU Metro Center worked with BPS to identify four case study schools, and one researcher was assigned to each of the selected schools.

Previous Sections

Executive Summary

Our report provides a primarily qualitative analysis of fidelity and quality of support for student learning in the implementation of the EFA initiative in 16 Boston Public Schools serving 4-6th grade students.

Introduction

Excellence for All (EFA) is a Boston Public School (BPS) district initiative to address the need for equitable access and opportunity for student learning.

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