Research in the social sciences is concerned with complex social behaviour, group dynamics and unique human settings. Researchers have different patterns of thought and modes of thinking. As such, they often use different words to explain phenomena, thereby causing conceptual confusion. This article explains how conceptual frameworks can help overcome such confusion by serving as visual organising tools and mental maps to direct and guide research. By using a descriptive approach, the article aims firstly to outline the necessity, purpose, nature and scope of conceptual frameworks in social science research and, secondly, to provide a ‘how-to’ guide on the design of such a framework by exploring a practical example. The results illustrate conclusively the significant contribution that conceptual frameworks can and should make in social science research.
Probably, one of the deepest frustrations of candidates engaged in postgraduate research in the social sciences is having to sift through a vast array of literature for relevant information on their topic. Furthermore, candidates will often get feedback on their proposals from their supervisors advising them that their efforts lack sound conceptual frameworks. This raises several questions beforehand: what is a conceptual framework? Why should it be regarded as an integral part of research and how does it guide a literature review? How should such a framework be constructed? Lack of clear answers to these questions generally leaves researchers adrift. Such a cognitive deficiency is even more acute in qualitative research involving the social sciences where, as Tilly and Goodin (
Scholars such as Maree (
Social scientists are typically engaged with highly ambiguous sense-making designs. Social science research is not usually conducted under fixed laboratory conditions (Flick
In scientific writing, scholars ascribe particular meaning to words, as Wilson (
According to Lauffer (2011, cited in Saunders et al.
A clear definition of the above-mentioned constructs is not possible without a particular theoretical disposition. Constructs are thus heavily theory-laden (Kumar
Conceptualisation entails building the level of sophistication to define concepts – from elementary to comprehensive (Kumar
According to Welman and Kruger (
An extensive literature survey revealed at least two different perspectives or applications of conceptual frameworks in research within the social sciences.
Based on the first perspective, scholars, such as Miles and Huberman (
Maxwell (
The second application or perspective states that conceptual frameworks should be regarded as the mental map that connects the various dimensions of the research process such as the researcher’s
Based on the above view, Ravitch and Riggan (
[
According to this definition, a conceptual framework comprises at least three core dimensions, namely, personal interest of the researcher, topical (similar or relevant) research (based on an extensive literature review) and a theoretical framework. The problem statement of a study presents the context and the issues that prompted the researcher to conduct the study. Especially, in cases of research involving multidisciplinary projects, broad conceptualisation of the problem is essential. This implies breaking down and converting different research ideas into a common interpretation among team members.
The first perspective (visual representation) thus only implies identifying keywords (i.e. key concepts and related concepts as these appear in the title) and the visual mapping of the interrelationship between these elements. In contrast, the second perspective (mental map) regards a conceptual framework as the overall design of the research project. Such a map includes the following elements: personality and interests of the researcher, the research questions, methodology, methods, data analysis and findings. Thus, the second perspective entails a much broader view on a conceptual framework.
Based on the exposition above, there is evidently no clear-cut definition and application model for conceptual frameworks. Researchers may easily fall into the trap of entering into a semantic debate with other scholars. I certainly do not wish to add to the apparent confusion in this regard. Fortunately (or unfortunately), there is no Pope in science (á la Karl Popper
serving as an ‘organising instrument’ (Ravitch & Riggan
functioning as a ‘sorting and learning tool’ (Miles & Huberman
being the thought-experiment aspect of a ‘speculative model-building exercise’ (Maxwell
functioning as a ‘mental map’ to direct and focus a literature review (Ravitch & Riggan
providing an ‘interpretative approach to social reality’, thereby aiding understanding (Jabareen
supporting the argument for the study’s significance and identifying the relevant theory (Marshall & Rossman
providing a ‘visual illustration’ of how concepts and constructs interconnect (Jarvis
Postgraduate candidates in social sciences are often told to read extensively. The expectation is that this ‘reading’ will become the basis of the literature review. Candidates tend to become overly anxious about this rather ambiguous, open-ended and seemingly never-ending task. This apprehension raises several questions. Where should they start? What are the most important and authoritative texts? How many books must be read and when is it sufficient? The result is that candidates begin to read abstracts of articles and open books, scanning through the table of contents to determine whether the publication is ‘relevant’ or not. Then, they begin transcribing content in the hope that it is significant for the study. However, the criterion or yardstick to use when determining the relevance of the content of textbooks or scholarly articles remains largely elusive.
Paulus, Lester and Demster (
A conceptual framework should be regarded as both the
The literature does not always delineate clearly between theoretical and conceptual frameworks. There are generally three perspectives evident in a relationship between conceptual and theoretical frameworks:
Firstly, conceptual and theoretical frameworks are viewed as synonymous (Maxwell
Secondly, a conceptual framework is considered as much broader in scope than a theoretical framework (Eisenhart
Thirdly, a theoretical framework is understood as part of a conceptual whole (Imenda
Closer inspection of the above-mentioned perspectives indicates that authors ascribe a particular meaning to the notion of ‘theory’ (as applied in theoretical frameworks). Scholars who regard theoretical frameworks as broader than conceptual frameworks seemingly understand ‘theory’ in terms of meta-, grand- or macro-level theory or as a theoretical model in which the study is imbedded (cf. Maree
phenomenology
grounded theory
ethnomethodology
symbolic interactionism
feminism
postmodernism.
Scholars who view theoretical frameworks as part of conceptual frameworks understand theory in terms of a micro-range where it informs specific concepts or constructs, such as motivation theory, leadership theory and organisational theory. In this regard, Kelly (
provides a contextual orientation for the study by focusing attention on the specific aspects under investigation
serves as instrument to conceptualise and classify concepts and constructs
summarises what is already known about the object of study, including empirical generalisations, and systems of relationships between propositions; also pinpoints gaps in existing knowledge
predicts results or findings of research. (p. 286)
In this latter sense, theoretical frameworks may also refer to existing established theories or researchers’ own theorising, for example, assumptions, presuppositions, premises or hypotheses (Sutton & Staw
Apart from the first perspective, namely, that conceptual and theoretical frameworks are synonymous, I concur fully with both the second and third perspectives mentioned previously, depending on the definition of the concept of ‘theory’. A conceptual framework is informed by theory to imbed the study philosophically, epistemologically and methodologically (second perspective). However, such a framework is also broader than a theoretical one (third perspective). The reason is that concepts and constructs identified in the conceptual framework will guide the application of theory on a micro-level.
A study concerned with human resource management will therefore be imbedded in, for example, symbolic interactionism and behaviourism as its grand, macro-level theory. Then, the study would narrow its focus to micro-level theory. This is performed to inform the main concepts and constructs of the study, such as theories of leadership, communication or group dynamics, and organisations. Theoretical frameworks are thus both broader and form part of (is smaller than) conceptual frameworks.
As there is no single, best format for making an argument, there is also no single ‘right’ way to construct a conceptual framework. As stated previously, a sound conceptual framework provides a clearly articulated point of reference from which the researcher can make sense of the dynamic nature of the research process. As new insight emerges and adjustments are made, the conceptual framework will remain the focal or the reference point.
The effective construction of a conceptual framework requires certain skills from the researcher, for example:
contextual awareness by understanding the world as dynamic interaction of multiple events and trends
general knowledge and meaning-making abilities
logical reasoning and common sense
basic understanding of the potential causal relationships between multiple variables
a measure of linguistic acumen (e.g. suitably apply dictionary meanings of words and its usage in different social settings)
model-building skills
the ability to answer the ‘what-if’, ‘what’, ‘how’, ‘where’ and ‘when’ questions related to research topics and titles.
In the absence of some of the above-mentioned skills, researchers or ‘emerging researchers’ (e.g. postgraduate candidates) may simply brainstorm ideas with a more senior, experienced colleague or their supervisor.
The purpose of this section is to provide a practical reference point from which researchers in the social sciences can construct their own conceptual frameworks. The proposed steps to follow are expounded briefly below.
Once the conceptual framework is nearing completion, the researcher can commence scientific research that will prove the illustrated relationships. Any number of qualitative and quantitative research methods can be used for data collection, including literature reviews, interviews and surveys.
To illustrate the steps in constructing a conceptual framework practically, the following example is used:
Based on the mentioned title, the following key concepts are evident: ‘community’, ‘perception’, ‘municipality’ and ‘service delivery’.
Basic conceptual framework.
However, such a simple illustration is inadequate to guide the literature review effectively and operationalise the research objectives. Based on the typical expectations of a conceptual framework, this illustration cannot be considered as an adequately completed stage. It is therefore necessary to unpack or frame these concepts further. This could be performed by formulating and answering simple questions such as ‘what to cover?’ (in the literature review); ‘who to approach?’; the ‘theoretical framework’ and ‘variables’; and ‘when?’ In the process, the content of the concepts will populate rapidly into more detail and the broader design of the study will emerge. In the tabular columns below, the respective concepts (1–4) associated with the title used as examples are expounded in more detail. This is performed by answering the mentioned questions, thus placing the study as a whole in sharper focus. The content of each dimension (i.e. right columns) is open for interpretation based on the particular
Framing concept 1 – Community.
Variable | Attributes |
---|---|
What to cover? | Definitions of ‘society’ and ‘community’ Typology of community Demographical statistics: occupations and incomes; transport and communication; traditions; and resources, including infrastructure and facilities Community history: How long has the community been in existence and how was it founded? When did different social, economic, ethnic and cultural groups settle in the community? How has the community changed over time and what has caused those movements? Community structure: How many people and households are there in the community? What is the gender and the age structure of the community? What different social, economic, ethnic and cultural groups live in the community? How are these groups defined? Where do these diverse groups live? The needs, aspirations and conditions of the community Community leaders, functioning of ward committees, community development workers and local decision-making structures Livelihoods: What are the different activities of households in the community to support their livelihoods? Who is involved in those activities (men or women, young or old, different social and economic groups) and how many people and households depend on them? When do those activities take place (time of day or month or season) and where? Local institutions: What formal organisations and associations are involved in the community? What rules, regulations and customs are there? Who is affected by these and how? Community infrastructure: What services are available to the community, such as transport, electricity and water supply, markets, agricultural extension, health and education? Who has access to these services? How expensive is such infrastructure? Resources: What are the principal natural resources available to the community? Who uses them and how? Where are these located? |
Whom to approach for primary and secondary data collection? | Households (e.g. homeowners) Ward councillors and ward committee members Traditional leaders Community development workers Formal and informal community-based organisations – ranging from church groups to youth clubs and burial societies Local businesses Prominent community development leaders Other service providers operating in the community The local media (e.g. community newspapers) |
Theoretical framework | Target or receiver group theory Knowledge gap theory Muted group theory Spiral of silence theory Social exchange theory Expectancy value theory Social penetration theory |
Variables | Community perception per income group History, including impact of periodic events such as local policies Spatial characteristics of the community Seasonal and historical trends and events Importance and accessibility of services in the community Community strengths, weaknesses, opportunities and threats Priority outcomes for the community |
Framing concept 2 – Municipality.
Variable | Attributes |
---|---|
Local governance context: political dynamics and ideology, social and demographical realities, economic conditions, development trajectory, historical realities, social cohesion or national identity System of governance – cooperative governance and Intergovernmental Relations (IGR) Municipal structures Statutory and regulatory obligations Municipal capacity and competency Municipal management praxis and best practice Performance monitoring and evaluation |
|
Case study: JB Marks Local Municipality: basic service delivery departments, for example, water supply, electricity, sewerage, sanitation, refuse removal, basic health services, municipal roads and street lighting |
|
Theories on the role of the state in modern society: moral obligations, political and legal responsibilities, administrative responsibilities, and responsibilities of political representatives and public officials Social contract theory Public choice theory Organisation theory and organisational information theory Adaptive structuration theory Contingency theory Theories regarding local democracy and civil society participation |
Framing concept 3 – Service delivery.
Variable | Attributes |
---|---|
What to cover? | Typology of basic or essential municipal services Municipal services versus functions Demand-driven versus supply-driven service delivery Levels and standards of services Service delivery priorities: demographical realities, priority settings Key service delivery challenges: infrastructure backlogs, skills and capacity shortage, unfunded mandates from national and provincial government, new and varied legislation, corruption and nepotism, low municipal tax base, service ethos, consultant-driven delivery Political dynamics and service delivery protests Structures for service delivery: departmentalisation, division of work Management dimensions: strategic, tactical and operational planning, resource allocation, work procedures, control measures, delegating authority, coordination, reporting and ‘back-office’ engineering for service delivery Alternative service delivery mechanisms: public–private partnerships, municipal service partnerships, outsourcing, commercialisation Customer care, professionalism and Complaint procedures Measuring the success of service delivery: performance, quality, efficiency, economy, effectiveness and productivity; the use of performance management systems Implementation of service delivery improvement programmes Role of technology (e-Govt, ICT, SMART cities) in service delivery |
Theoretical framework | Public institutional theory Theories on public accountability Public good theory Social contract theory Decision theory Rational choice theory Public value theory Social exchange theory Diffusion of innovation theory |
Framing concept 4 – Perception.
Variable | Attributes |
---|---|
Theoretical framework | Theory of human cognisance, awareness, interpretation of sensory information, formation of opinion and impressions connected to a person’s concepts, expectations and knowledge, and influence of perception Theory of local democracy and public participation Theory of human engagement dynamics Communication theory |
How to measure? (method of data collection) | Snow-ball sampling of households in randomly sampled municipal wards, representing total population in the municipal community Face-to-face interviews through an interview schedule guided by five-point Likert-scale questions Use of two trained field workers well versed in the dominant local languages |
Where? | At houses of participants, for example, every 10th house in street blocks per municipal ward |
When? | Saturday mornings when homeowners are at home |
Variables (influencing factors)* | Perception influenced by participants’ age, gender, employment status, social status, culture, ethnicity, race, belief systems and educational background Influenced by legitimacy of government in general and the JB Marks Local Municipality in particular Prior experiences of community members Extent or level of interaction with municipal services Language barrier – interpreter, training of field workers Willingness or lack of willingness to express opinions openly because of fear of intimidation – involving research ethics: anonymity and confidentiality, and consent form Political instability/stability of the municipal ward: prevalence of violent protests and service boycotts *The interview schedule should provide for these variables by posing follow-up questions. Such a schedule is also significant for data analysis. |
The example expounded above clearly focusses on the study and could be used as a blueprint for the design of the study as a whole, including:
focussed literature review investigating the identified concepts, constructs and variables
analysis of the case study and processing of the units of analysis
relevant theoretical framework: macro- and micro-level theory per concept or construct
formulation of research questions – directed by framing questions in the columns
choice of instrumentation for data collection.
Then the conceptual framework can be used as a focal point in the remaining steps of the research process. This includes the following:
Identifying a grand or macro-level theory in which to embed the study and pinpointing smaller theories to probe the correlation and interrelationship between concepts (i.e. theoretical framework). Based on the expounded example, this framework would integrate theories related to service delivery and organisational (municipal) excellence.
Embedding and anchoring constructs within the identified theories.
Determining suitable sources and methods of data collection.
Analysing data based on the conceptual framework (correlation, relationships).
Developing grounded theory (if relevant for the nature of the study) derived from the findings.
By incorporating the outlined detail, it is possible to construct a far more comprehensive conceptual framework, as depicted in
Example of a comprehensive conceptual framework.
The schematic illustration in
It should be noted again that conceptual frameworks can be reconceptualised and modified based on the perspectives and insights that were unavailable when the framework was first constructed. Such reconstruction is consistent with the fundamental premise that research in the social sciences is non-linear, evolutionary and dynamic.
The purpose of this article was to outline the contours of conceptual frameworks as applied in social science research and practically illustrate possible steps to construct such frameworks. It is evident that conceptual frameworks mainly serve the purpose of directing literature reviews and helping embed the study in theories both at macro- and micro-levels.
Constructing conceptual frameworks is not easy at first. However, with exercise and experience, it will add significant value to any research within the social sciences. As Tracy (
The author has declared that no competing interest exists.
I declare that I am the sole author of this research article.
This article followed all ethical standards for a research without direct contact with human or animal subjects.
This research received no specific grant from any funding agency in the public, commercial or not-for-profit sectors.
Data sharing is not applicable to this article as no new data were created or analysed in this study.
The views and opinions expressed in this article are those of the author and do not necessarily reflect the official policy or position of any affiliated agency of the author.
For consistency, ‘perception’ is referred to as a