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Conceptual Framework – Types, Methodology and Examples

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Conceptual Framework

Definition:

A conceptual framework is a structured approach to organizing and understanding complex ideas, theories, or concepts. It provides a systematic and coherent way of thinking about a problem or topic, and helps to guide research or analysis in a particular field.

A conceptual framework typically includes a set of assumptions, concepts, and propositions that form a theoretical framework for understanding a particular phenomenon. It can be used to develop hypotheses, guide empirical research, or provide a framework for evaluating and interpreting data.

Conceptual Framework in Research

In research, a conceptual framework is a theoretical structure that provides a framework for understanding a particular phenomenon or problem. It is a key component of any research project and helps to guide the research process from start to finish.

A conceptual framework provides a clear understanding of the variables, relationships, and assumptions that underpin a research study. It outlines the key concepts that the study is investigating and how they are related to each other. It also defines the scope of the study and sets out the research questions or hypotheses.

Types of Conceptual Framework

Types of Conceptual Framework are as follows:

Theoretical Framework

A theoretical framework is an overarching set of concepts, ideas, and assumptions that help to explain and interpret a phenomenon. It provides a theoretical perspective on the phenomenon being studied and helps researchers to identify the relationships between different concepts. For example, a theoretical framework for a study on the impact of social media on mental health might draw on theories of communication, social influence, and psychological well-being.

Conceptual Model

A conceptual model is a visual or written representation of a complex system or phenomenon. It helps to identify the main components of the system and the relationships between them. For example, a conceptual model for a study on the factors that influence employee turnover might include factors such as job satisfaction, salary, work-life balance, and job security, and the relationships between them.

Empirical Framework

An empirical framework is based on empirical data and helps to explain a particular phenomenon. It involves collecting data, analyzing it, and developing a framework to explain the results. For example, an empirical framework for a study on the impact of a new health intervention might involve collecting data on the intervention’s effectiveness, cost, and acceptability to patients.

Descriptive Framework

A descriptive framework is used to describe a particular phenomenon. It helps to identify the main characteristics of the phenomenon and to develop a vocabulary to describe it. For example, a descriptive framework for a study on different types of musical genres might include descriptions of the instruments used, the rhythms and beats, the vocal styles, and the cultural contexts of each genre.

Analytical Framework

An analytical framework is used to analyze a particular phenomenon. It involves breaking down the phenomenon into its constituent parts and analyzing them separately. This type of framework is often used in social science research. For example, an analytical framework for a study on the impact of race on police brutality might involve analyzing the historical and cultural factors that contribute to racial bias, the organizational factors that influence police behavior, and the psychological factors that influence individual officers’ behavior.

Conceptual Framework for Policy Analysis

A conceptual framework for policy analysis is used to guide the development of policies or programs. It helps policymakers to identify the key issues and to develop strategies to address them. For example, a conceptual framework for a policy analysis on climate change might involve identifying the key stakeholders, assessing their interests and concerns, and developing policy options to mitigate the impacts of climate change.

Logical Frameworks

Logical frameworks are used to plan and evaluate projects and programs. They provide a structured approach to identifying project goals, objectives, and outcomes, and help to ensure that all stakeholders are aligned and working towards the same objectives.

Conceptual Frameworks for Program Evaluation

These frameworks are used to evaluate the effectiveness of programs or interventions. They provide a structure for identifying program goals, objectives, and outcomes, and help to measure the impact of the program on its intended beneficiaries.

Conceptual Frameworks for Organizational Analysis

These frameworks are used to analyze and evaluate organizational structures, processes, and performance. They provide a structured approach to understanding the relationships between different departments, functions, and stakeholders within an organization.

Conceptual Frameworks for Strategic Planning

These frameworks are used to develop and implement strategic plans for organizations or businesses. They help to identify the key factors and stakeholders that will impact the success of the plan, and provide a structure for setting goals, developing strategies, and monitoring progress.

Components of Conceptual Framework

The components of a conceptual framework typically include:

• Research question or problem statement : This component defines the problem or question that the conceptual framework seeks to address. It sets the stage for the development of the framework and guides the selection of the relevant concepts and constructs.
• Concepts : These are the general ideas, principles, or categories that are used to describe and explain the phenomenon or problem under investigation. Concepts provide the building blocks of the framework and help to establish a common language for discussing the issue.
• Constructs : Constructs are the specific variables or concepts that are used to operationalize the general concepts. They are measurable or observable and serve as indicators of the underlying concept.
• Propositions or hypotheses : These are statements that describe the relationships between the concepts or constructs in the framework. They provide a basis for testing the validity of the framework and for generating new insights or theories.
• Assumptions : These are the underlying beliefs or values that shape the framework. They may be explicit or implicit and may influence the selection and interpretation of the concepts and constructs.
• Boundaries : These are the limits or scope of the framework. They define the focus of the investigation and help to clarify what is included and excluded from the analysis.
• Context : This component refers to the broader social, cultural, and historical factors that shape the phenomenon or problem under investigation. It helps to situate the framework within a larger theoretical or empirical context and to identify the relevant variables and factors that may affect the phenomenon.
• Relationships and connections: These are the connections and interrelationships between the different components of the conceptual framework. They describe how the concepts and constructs are linked and how they contribute to the overall understanding of the phenomenon or problem.
• Variables : These are the factors that are being measured or observed in the study. They are often operationalized as constructs and are used to test the propositions or hypotheses.
• Methodology : This component describes the research methods and techniques that will be used to collect and analyze data. It includes the sampling strategy, data collection methods, data analysis techniques, and ethical considerations.
• Literature review : This component provides an overview of the existing research and theories related to the phenomenon or problem under investigation. It helps to identify the gaps in the literature and to situate the framework within the broader theoretical and empirical context.
• Outcomes and implications: These are the expected outcomes or implications of the study. They describe the potential contributions of the study to the theoretical and empirical knowledge in the field and the practical implications for policy and practice.

Conceptual Framework Methodology

Conceptual Framework Methodology is a research method that is commonly used in academic and scientific research to develop a theoretical framework for a study. It is a systematic approach that helps researchers to organize their thoughts and ideas, identify the variables that are relevant to their study, and establish the relationships between these variables.

Here are the steps involved in the conceptual framework methodology:

Identify the Research Problem

The first step is to identify the research problem or question that the study aims to answer. This involves identifying the gaps in the existing literature and determining what specific issue the study aims to address.

Conduct a Literature Review

The second step involves conducting a thorough literature review to identify the existing theories, models, and frameworks that are relevant to the research question. This will help the researcher to identify the key concepts and variables that need to be considered in the study.

Define key Concepts and Variables

The next step is to define the key concepts and variables that are relevant to the study. This involves clearly defining the terms used in the study, and identifying the factors that will be measured or observed in the study.

Develop a Theoretical Framework

Once the key concepts and variables have been identified, the researcher can develop a theoretical framework. This involves establishing the relationships between the key concepts and variables, and creating a visual representation of these relationships.

Test the Framework

The final step is to test the theoretical framework using empirical data. This involves collecting and analyzing data to determine whether the relationships between the key concepts and variables that were identified in the framework are accurate and valid.

Examples of Conceptual Framework

Some realtime Examples of Conceptual Framework are as follows:

• In economics , the concept of supply and demand is a well-known conceptual framework. It provides a structure for understanding how prices are set in a market, based on the interplay of the quantity of goods supplied by producers and the quantity of goods demanded by consumers.
• In psychology , the cognitive-behavioral framework is a widely used conceptual framework for understanding mental health and illness. It emphasizes the role of thoughts and behaviors in shaping emotions and the importance of cognitive restructuring and behavior change in treatment.
• In sociology , the social determinants of health framework provides a way of understanding how social and economic factors such as income, education, and race influence health outcomes. This framework is widely used in public health research and policy.
• In environmental science , the ecosystem services framework is a way of understanding the benefits that humans derive from natural ecosystems, such as clean air and water, pollination, and carbon storage. This framework is used to guide conservation and land-use decisions.
• In education, the constructivist framework is a way of understanding how learners construct knowledge through active engagement with their environment. This framework is used to guide instructional design and teaching strategies.

Applications of Conceptual Framework

Some of the applications of Conceptual Frameworks are as follows:

• Research : Conceptual frameworks are used in research to guide the design, implementation, and interpretation of studies. Researchers use conceptual frameworks to develop hypotheses, identify research questions, and select appropriate methods for collecting and analyzing data.
• Policy: Conceptual frameworks are used in policy-making to guide the development of policies and programs. Policymakers use conceptual frameworks to identify key factors that influence a particular problem or issue, and to develop strategies for addressing them.
• Education : Conceptual frameworks are used in education to guide the design and implementation of instructional strategies and curriculum. Educators use conceptual frameworks to identify learning objectives, select appropriate teaching methods, and assess student learning.
• Management : Conceptual frameworks are used in management to guide decision-making and strategy development. Managers use conceptual frameworks to understand the internal and external factors that influence their organizations, and to develop strategies for achieving their goals.
• Evaluation : Conceptual frameworks are used in evaluation to guide the development of evaluation plans and to interpret evaluation results. Evaluators use conceptual frameworks to identify key outcomes, indicators, and measures, and to develop a logic model for their evaluation.

Purpose of Conceptual Framework

The purpose of a conceptual framework is to provide a theoretical foundation for understanding and analyzing complex phenomena. Conceptual frameworks help to:

• Guide research : Conceptual frameworks provide a framework for researchers to develop hypotheses, identify research questions, and select appropriate methods for collecting and analyzing data. By providing a theoretical foundation for research, conceptual frameworks help to ensure that research is rigorous, systematic, and valid.
• Provide clarity: Conceptual frameworks help to provide clarity and structure to complex phenomena by identifying key concepts, relationships, and processes. By providing a clear and systematic understanding of a phenomenon, conceptual frameworks help to ensure that researchers, policymakers, and practitioners are all on the same page when it comes to understanding the issue at hand.
• Inform decision-making : Conceptual frameworks can be used to inform decision-making and strategy development by identifying key factors that influence a particular problem or issue. By understanding the complex interplay of factors that contribute to a particular issue, decision-makers can develop more effective strategies for addressing the problem.
• Facilitate communication : Conceptual frameworks provide a common language and conceptual framework for researchers, policymakers, and practitioners to communicate and collaborate on complex issues. By providing a shared understanding of a phenomenon, conceptual frameworks help to ensure that everyone is working towards the same goal.

When to use Conceptual Framework

There are several situations when it is appropriate to use a conceptual framework:

• To guide the research : A conceptual framework can be used to guide the research process by providing a clear roadmap for the research project. It can help researchers identify key variables and relationships, and develop hypotheses or research questions.
• To clarify concepts : A conceptual framework can be used to clarify and define key concepts and terms used in a research project. It can help ensure that all researchers are using the same language and have a shared understanding of the concepts being studied.
• To provide a theoretical basis: A conceptual framework can provide a theoretical basis for a research project by linking it to existing theories or conceptual models. This can help researchers build on previous research and contribute to the development of a field.
• To identify gaps in knowledge : A conceptual framework can help identify gaps in existing knowledge by highlighting areas that require further research or investigation.
• To communicate findings : A conceptual framework can be used to communicate research findings by providing a clear and concise summary of the key variables, relationships, and assumptions that underpin the research project.

Characteristics of Conceptual Framework

key characteristics of a conceptual framework are:

• Clear definition of key concepts : A conceptual framework should clearly define the key concepts and terms being used in a research project. This ensures that all researchers have a shared understanding of the concepts being studied.
• Identification of key variables: A conceptual framework should identify the key variables that are being studied and how they are related to each other. This helps to organize the research project and provides a clear focus for the study.
• Logical structure: A conceptual framework should have a logical structure that connects the key concepts and variables being studied. This helps to ensure that the research project is coherent and consistent.
• Based on existing theory : A conceptual framework should be based on existing theory or conceptual models. This helps to ensure that the research project is grounded in existing knowledge and builds on previous research.
• Testable hypotheses or research questions: A conceptual framework should include testable hypotheses or research questions that can be answered through empirical research. This helps to ensure that the research project is rigorous and scientifically valid.
• Flexibility : A conceptual framework should be flexible enough to allow for modifications as new information is gathered during the research process. This helps to ensure that the research project is responsive to new findings and is able to adapt to changing circumstances.

Advantages of Conceptual Framework

Advantages of the Conceptual Framework are as follows:

• Clarity : A conceptual framework provides clarity to researchers by outlining the key concepts and variables that are relevant to the research project. This clarity helps researchers to focus on the most important aspects of the research problem and develop a clear plan for investigating it.
• Direction : A conceptual framework provides direction to researchers by helping them to develop hypotheses or research questions that are grounded in existing theory or conceptual models. This direction ensures that the research project is relevant and contributes to the development of the field.
• Efficiency : A conceptual framework can increase efficiency in the research process by providing a structure for organizing ideas and data. This structure can help researchers to avoid redundancies and inconsistencies in their work, saving time and effort.
• Rigor : A conceptual framework can help to ensure the rigor of a research project by providing a theoretical basis for the investigation. This rigor is essential for ensuring that the research project is scientifically valid and produces meaningful results.
• Communication : A conceptual framework can facilitate communication between researchers by providing a shared language and understanding of the key concepts and variables being studied. This communication is essential for collaboration and the advancement of knowledge in the field.
• Generalization : A conceptual framework can help to generalize research findings beyond the specific study by providing a theoretical basis for the investigation. This generalization is essential for the development of knowledge in the field and for informing future research.

Limitations of Conceptual Framework

Limitations of Conceptual Framework are as follows:

• Limited applicability: Conceptual frameworks are often based on existing theory or conceptual models, which may not be applicable to all research problems or contexts. This can limit the usefulness of a conceptual framework in certain situations.
• Lack of empirical support : While a conceptual framework can provide a theoretical basis for a research project, it may not be supported by empirical evidence. This can limit the usefulness of a conceptual framework in guiding empirical research.
• Narrow focus: A conceptual framework can provide a clear focus for a research project, but it may also limit the scope of the investigation. This can make it difficult to address broader research questions or to consider alternative perspectives.
• Over-simplification: A conceptual framework can help to organize and structure research ideas, but it may also over-simplify complex phenomena. This can limit the depth of the investigation and the richness of the data collected.
• Inflexibility : A conceptual framework can provide a structure for organizing research ideas, but it may also be inflexible in the face of new data or unexpected findings. This can limit the ability of researchers to adapt their research project to new information or changing circumstances.
• Difficulty in development : Developing a conceptual framework can be a challenging and time-consuming process. It requires a thorough understanding of existing theory or conceptual models, and may require collaboration with other researchers.

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

• Introduction and overview
• What is qualitative research?
• What is qualitative data?
• Examples of qualitative data
• Qualitative vs. quantitative research
• Mixed methods
• Qualitative research preparation
• Theoretical perspective
• Theoretical framework
• Literature reviews
• Research question
• Conceptual framework
• Introduction

Revisiting theoretical frameworks

Revisiting conceptual frameworks, differences between conceptual and theoretical frameworks, examples of theoretical and conceptual frameworks, developing frameworks for your study.

• Data collection
• Qualitative research methods
• Focus groups
• Observational research
• Case studies
• Ethnographical research
• Ethical considerations
• Confidentiality and privacy
• Power dynamics
• Reflexivity

Conceptual vs. theoretical framework

Theoretical and conceptual frameworks are both essential components of research, guiding and structuring the research. Although they are closely related, the conceptual and theoretical framework in any research project serve distinct purposes and have different characteristics. In this section, we provide an overview of the key differences between theoretical and conceptual frameworks.

Theoretical and conceptual frameworks are foundational components of any research study. They each play a crucial role in guiding and structuring the research, from the formation of research questions to the interpretation of results .

While both the theoretical and conceptual framework provides a structure for a study, they serve different functions and can impact the research in distinct ways depending on how they are combined. These differences might seem subtle, but they can significantly impact your research design and outcomes, which is why it is important to think through each one of them.

The theoretical framework describes the broader lens through which the researcher views the topic and guides their overall understanding and approach. It connects the theoretical perspective to the data collection and data analysis strategy and offers a structure for organizing and interpreting the collected data.

On the other hand, the conceptual framework describes in detail and connects specific concepts and variables to illustrate potential relationships between them. It serves as a guide for assessing which aspects of the data are relevant and specifying how the research question is being answered. While the theoretical framework outlines how more abstract-level theories shape the study, the conceptual framework operationalizes the empirical observations that can be connected to theory and broader understanding.

Understanding these differences is crucial when designing and conducting your research study. In this chapter, we will look deeper at the distinctions between these types of frameworks, and how they interplay in qualitative research . We aim to provide you with a solid understanding of both, allowing you to effectively utilize them in your own research.

Theoretical frameworks play a central role in research, serving as the bedrock of any investigation. This section offers a refresher on the essential elements and functions of theoretical frameworks in research.

A theoretical framework refers to existing theory, concepts, and definitions that you use to collect relevant data and offer meaningful empirical findings. Providing an overall orientation or lens, it guides your understanding of the research problem and directs your approach to data collection and analysis .

Your chosen theoretical framework directly influences your research questions and methodological choices . It contains specific theories or sets of assumptions drawn from relevant disciplines—such as sociology, psychology, or economics—that you apply to understand your research topic. These existing models and concepts are tools to help you organize and make sense of your data.

The theoretical framework also plays a key role in crafting your research questions and objectives. By determining the theories that are relevant to your research, the theoretical framework shapes the nature and direction of your study. It's essential to note, however, that the theoretical framework's role in qualitative research is not to predict outcomes. Instead, it offers a broader structure to understand and interpret your data, enabling you to situate your findings within the broader academic discourse in a way that makes your research findings meaningful to you and your research audience.

Conceptual frameworks , though related to theoretical frameworks , serve distinct functions within research. This section reexamines the characteristics and functions of conceptual frameworks to provide a better understanding of their roles in qualitative research .

A conceptual framework, in essence, is a system of concepts, assumptions, and beliefs that supports and informs your research. It outlines the specific variables or concepts you'll examine in your study and proposes relationships between them. It's more detailed and specific than a theoretical framework, acting as a contextualized guide for the collection and interpretation of empirical data.

The main role of a conceptual framework is to illustrate the presumed relationships between the variables or concepts you're investigating. These variables or concepts, which you derive from your theoretical framework, are integral to your research questions , objectives, and hypotheses . The conceptual framework shows how you theorize these concepts are related, providing a visual or narrative model of your research.

A study's own conceptual framework plays a vital role in guiding the data collection process and the subsequent analysis . The conceptual framework specifies which data you need to collect and provides a structure for interpreting and making sense of the collected data. For instance, if your conceptual framework identifies a particular variable as impacting another, your data collection and analysis will be geared towards investigating this relationship.

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Though interconnected, theoretical and conceptual frameworks have distinct roles in research and contribute differently to the research. This section will contrast the two in terms of scope, purpose, their role in the research process, and their relationship to the data analysis strategy and research question .

Scope and purpose of theoretical and conceptual frameworks

Theoretical and conceptual frameworks differ fundamentally in their scope. Theoretical frameworks provide a broad and general view of the research problem, rooted in established theories. They explain phenomena by applying a particular theoretical lens. Conceptual frameworks, on the other hand, offer a more focused view of the specific research problem. They explicitly outline the concrete concepts and variables involved in the study and the relationships between them.

While both frameworks guide the research process, they do so in different ways. Theoretical frameworks guide the overall approach to understanding the research problem by indicating the broader conversation the researcher is contributing to and shaping the research questions.

Conceptual frameworks provide a map for the study, guiding the data collection and interpretation process, including what variables or concepts to explore and how to analyze them.

Study design and data analysis

The two types of frameworks relate differently to the research question and design. The theoretical framework often inspires the research question based on previous theories' predictions or understanding about the phenomena under investigation. A conceptual framework then emerges from the research question, providing a contextualized structure for what exactly the research will explore.

Theoretical and conceptual frameworks also play distinct roles in data analysis. Theoretical frameworks provide the lens for interpreting the data, informing what kinds of themes and patterns might be relevant. Conceptual frameworks, however, present the variables concepts and variables and the relationships among them that will be analyzed. Conceptual frameworks may illustrate concepts and relationships based on previous theory, but they can also include novel concepts or relationships that stem from the particular context being studied.

Finally, the two types of frameworks relate differently to the research question and design. The theoretical framework basically differs from the conceptual framework in that it often inspires the research question based on the theories' predictions about the phenomena under investigation. A conceptual framework, on the other hand, emerges from the research question, providing a structure for investigating it.

Using case studies , we can effectively demonstrate the differences between theoretical and conceptual frameworks. Let’s take a look at some real-world examples that highlight the unique role and function of each framework within a research context.

Consider a study exploring the impact of classroom environments on student learning outcomes. The theoretical framework might be grounded in Piaget's theory of cognitive development, which offers a broad lens for understanding how students learn and process information.

Within this theoretical framework, the researcher formulates the conceptual framework. The conceptual framework identifies specific variables to study such as classroom layout, teacher-student ratio, availability of learning materials, and student performance as the dependent variable. It then outlines the expected relationships between these variables, such as proposing that a lower teacher-student ratio and well-equipped classrooms positively impact student performance.

Another study might aim to understand the factors influencing the job satisfaction of employees in a corporate setting. The theoretical framework could be based on Maslow's hierarchy of needs, interpreting job satisfaction in terms of fulfilling employees' physiological, safety, social, esteem, and self-actualization needs.

From this theoretical perspective, the researcher constructs the conceptual framework, identifying specific variables such as salary (physiological needs), job security (safety needs), teamwork (social needs), recognition (esteem needs), and career development opportunities (self-actualization needs). The conceptual framework proposes relationships among these variables and job satisfaction, such as higher salaries and more recognition being related to higher job satisfaction.

After understanding the unique roles and functions of these types of frameworks, you might ask: How do I develop them for my study? It's essential to remember that it's not a question of choosing one over the other, as both frameworks can and often do coexist within the same research project.

The choice of a theoretical and a conceptual framework often depends on the nature of your research question . If your research question is more exploratory and requires a broad understanding of the problem, a theoretical framework can provide a useful lens for interpretation. However, your conceptual framework may end up looking rather different to previous theory as you collect data and discover new concepts or relationships.

Consider the nature of your research problem as well. If you are studying a well-researched problem and there are established theories about it, using a theoretical framework to interpret your findings in light of these theories might be beneficial. But if your study explores a novel problem or aims to understand specific processes or relationships, developing a conceptual framework that maps these specific elements could prove more effective.

Your research methodology could also inform your choice. If your study is more interpretive and aims to understand people's experiences and perceptions, a theoretical framework can outline broader concepts that are relevant to approaching your study. Your conceptual framework can then shed light on the specific concepts that emerged in your data. By carefully thinking through your theoretical and conceptual frameworks, you can effectively utilize both types of frameworks in your research, ensuring a solid foundation for your study.

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Theoretical Frameworks in Qualitative Research

• Vincent A. Anfara, Jr. - University of Tennessee, Knoxville, USA
• Norma T. Mertz - University of Tennessee, Knoxville, USA
• Description

The Second Edition of Theoretical Frameworks in Qualitative Research brings together some of today’s leading qualitative researchers to discuss the frameworks behind their published qualitative studies. They share how they found and chose a theoretical framework, from what discipline the framework was drawn, what the framework posits, and how it influenced their study. Both novice and experienced qualitative researchers are able to learn first-hand from various contributors as they reflect on the process and decisions involved in completing their study. The book also provides background for beginning researchers about the nature of theoretical frameworks and their importance in qualitative research; about differences in perspective about the role of theoretical frameworks; and about how to find and use a theoretical framework.

See what’s new to this edition by selecting the Features tab on this page. Should you need additional information or have questions regarding the HEOA information provided for this title, including what is new to this edition, please email [email protected] . Please include your name, contact information, and the name of the title for which you would like more information. For information on the HEOA, please go to http://ed.gov/policy/highered/leg/hea08/index.html .

For assistance with your order: Please email us at [email protected] or connect with your SAGE representative.

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Committee decision because of the depth of the qualitative information.

Not the right fit for analysis course

useful for all types of health care professions

NEW TO THIS EDITION:

• Abstracts added to the beginning of each contributed chapter highlight what can be learned about the chapter’s theoretical frameworks.
• The contributing author’s published study is now displayed prominently after the abstract for easy access.
• A broader range of theoretical frameworks is presented and examined through three entirely new chapters, and a chapter that combines two chapters from the first edition, showing how to use multiple frameworks.
• New brief pieces in Chapter 12 by doctoral students show how they arrived at the frameworks used in their dissertations.
• Enhanced discussions cover the lessons to be learned from the contributing authors and further explain how to find a theoretical framework.

KEY FEATURES:

• A comprehensive examination of the role and influence of theoretical frameworks in qualitative research helps readers plan for their own qualitative research studies.
• A wide variety of distinctive, sometimes unusual, theoretical frameworks drawn from a number of disciplines are included.
• In-depth reflections on the use of a range of frameworks employed in accessible published studies help readers learn to use and understand theory.
• Real-world examples are detailed and explained by some of today's leading qualitative researchers.
• Expert and insightful guidance helps readers find a theoretical framework appropriate to their own study and also helps readers understand how to integrate the complexities of their frameworks into solid research designs.

Sample Materials & Chapters

For instructors, select a purchasing option.

Use of theoretical and conceptual frameworks in qualitative research

Affiliation.

• 1 University of Leeds, UK.
• PMID: 25059086
• DOI: 10.7748/nr.21.6.34.e1252

Aim: To debate the definition and use of theoretical and conceptual frameworks in qualitative research.

Background: There is a paucity of literature to help the novice researcher to understand what theoretical and conceptual frameworks are and how they should be used. This paper acknowledges the interchangeable usage of these terms and researchers' confusion about the differences between the two. It discusses how researchers have used theoretical and conceptual frameworks and the notion of conceptual models. Detail is given about how one researcher incorporated a conceptual framework throughout a research project, the purpose for doing so and how this led to a resultant conceptual model.

Review methods: Concepts from Abbott (1988) and Witz ( 1992 ) were used to provide a framework for research involving two case study sites. The framework was used to determine research questions and give direction to interviews and discussions to focus the research.

Discussion: Some research methods do not overtly use a theoretical framework or conceptual framework in their design, but this is implicit and underpins the method design, for example in grounded theory. Other qualitative methods use one or the other to frame the design of a research project or to explain the outcomes. An example is given of how a conceptual framework was used throughout a research project.

Conclusion: Theoretical and conceptual frameworks are terms that are regularly used in research but rarely explained. Textbooks should discuss what they are and how they can be used, so novice researchers understand how they can help with research design.

Implications for practice/research: Theoretical and conceptual frameworks need to be more clearly understood by researchers and correct terminology used to ensure clarity for novice researchers.

Keywords: Theoretical framework; case study; case study research.; conceptual framework; conceptual model; qualitative research; research design.

• Nursing Research / organization & administration*
• Qualitative Research*
• Research Design

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• What Is a Conceptual Framework? | Tips & Examples

What Is a Conceptual Framework? | Tips & Examples

Published on 4 May 2022 by Bas Swaen and Tegan George. Revised on 18 March 2024.

A conceptual framework illustrates the expected relationship between your variables. It defines the relevant objectives for your research process and maps out how they come together to draw coherent conclusions.

Keep reading for a step-by-step guide to help you construct your own conceptual framework.

Table of contents

Developing a conceptual framework in research, step 1: choose your research question, step 2: select your independent and dependent variables, step 3: visualise your cause-and-effect relationship, step 4: identify other influencing variables, frequently asked questions about conceptual models.

A conceptual framework is a representation of the relationship you expect to see between your variables, or the characteristics or properties that you want to study.

Conceptual frameworks can be written or visual and are generally developed based on a literature review of existing studies about your topic.

Your research question guides your work by determining exactly what you want to find out, giving your research process a clear focus.

However, before you start collecting your data, consider constructing a conceptual framework. This will help you map out which variables you will measure and how you expect them to relate to one another.

In order to move forward with your research question and test a cause-and-effect relationship, you must first identify at least two key variables: your independent and dependent variables .

• The expected cause, ‘hours of study’, is the independent variable (the predictor, or explanatory variable)
• The expected effect, ‘exam score’, is the dependent variable (the response, or outcome variable).

Note that causal relationships often involve several independent variables that affect the dependent variable. For the purpose of this example, we’ll work with just one independent variable (‘hours of study’).

Now that you’ve figured out your research question and variables, the first step in designing your conceptual framework is visualising your expected cause-and-effect relationship.

It’s crucial to identify other variables that can influence the relationship between your independent and dependent variables early in your research process.

Some common variables to include are moderating, mediating, and control variables.

Moderating variables

Moderating variable (or moderators) alter the effect that an independent variable has on a dependent variable. In other words, moderators change the ‘effect’ component of the cause-and-effect relationship.

Let’s add the moderator ‘IQ’. Here, a student’s IQ level can change the effect that the variable ‘hours of study’ has on the exam score. The higher the IQ, the fewer hours of study are needed to do well on the exam.

Let’s take a look at how this might work. The graph below shows how the number of hours spent studying affects exam score. As expected, the more hours you study, the better your results. Here, a student who studies for 20 hours will get a perfect score.

But the graph looks different when we add our ‘IQ’ moderator of 120. A student with this IQ will achieve a perfect score after just 15 hours of study.

Below, the value of the ‘IQ’ moderator has been increased to 150. A student with this IQ will only need to invest five hours of study in order to get a perfect score.

Here, we see that a moderating variable does indeed change the cause-and-effect relationship between two variables.

Mediating variables

Now we’ll expand the framework by adding a mediating variable . Mediating variables link the independent and dependent variables, allowing the relationship between them to be better explained.

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

In this case, the mediator helps explain why studying more hours leads to a higher exam score. The more hours a student studies, the more practice problems they will complete; the more practice problems completed, the higher the student’s exam score will be.

Moderator vs mediator

It’s important not to confuse moderating and mediating variables. To remember the difference, you can think of them in relation to the independent variable:

• A moderating variable is not affected by the independent variable, even though it affects the dependent variable. For example, no matter how many hours you study (the independent variable), your IQ will not get higher.
• A mediating variable is affected by the independent variable. In turn, it also affects the dependent variable. Therefore, it links the two variables and helps explain the relationship between them.

Control variables

Lastly,  control variables must also be taken into account. These are variables that are held constant so that they don’t interfere with the results. Even though you aren’t interested in measuring them for your study, it’s crucial to be aware of as many of them as you can be.

A mediator variable explains the process through which two variables are related, while a moderator variable affects the strength and direction of that relationship.

No. The value of a dependent variable depends on an independent variable, so a variable cannot be both independent and dependent at the same time. It must be either the cause or the effect, not both.

Yes, but including more than one of either type requires multiple research questions .

For example, if you are interested in the effect of a diet on health, you can use multiple measures of health: blood sugar, blood pressure, weight, pulse, and many more. Each of these is its own dependent variable with its own research question.

You could also choose to look at the effect of exercise levels as well as diet, or even the additional effect of the two combined. Each of these is a separate independent variable .

To ensure the internal validity of an experiment , you should only change one independent variable at a time.

A control variable is any variable that’s held constant in a research study. It’s not a variable of interest in the study, but it’s controlled because it could influence the outcomes.

A confounding variable , also called a confounder or confounding factor, is a third variable in a study examining a potential cause-and-effect relationship.

A confounding variable is related to both the supposed cause and the supposed effect of the study. It can be difficult to separate the true effect of the independent variable from the effect of the confounding variable.

In your research design , it’s important to identify potential confounding variables and plan how you will reduce their impact.

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What is a Conceptual Framework?

A conceptual framework sets forth the standards to define a research question and find appropriate, meaningful answers for the same. It connects the theories, assumptions, beliefs, and concepts behind your research and presents them in a pictorial, graphical, or narrative format.

Updated on August 28, 2023

What are frameworks in research?

Both theoretical and conceptual frameworks have a significant role in research.  Frameworks are essential to bridge the gaps in research. They aid in clearly setting the goals, priorities, relationship between variables. Frameworks in research particularly help in chalking clear process details.

Theoretical frameworks largely work at the time when a theoretical roadmap has been laid about a certain topic and the research being undertaken by the researcher, carefully analyzes it, and works on similar lines to attain successful results. 

It varies from a conceptual framework in terms of the preliminary work required to construct it. Though a conceptual framework is part of the theoretical framework in a larger sense, yet there are variations between them.

The following sections delve deeper into the characteristics of conceptual frameworks. This article will provide insight into constructing a concise, complete, and research-friendly conceptual framework for your project.

Definition of a conceptual framework

True research begins with setting empirical goals. Goals aid in presenting successful answers to the research questions at hand. It delineates a process wherein different aspects of the research are reflected upon, and coherence is established among them. 

A conceptual framework is an underrated methodological approach that should be paid attention to before embarking on a research journey in any field, be it science, finance, history, psychology, etc. 

A conceptual framework sets forth the standards to define a research question and find appropriate, meaningful answers for the same. It connects the theories, assumptions, beliefs, and concepts behind your research and presents them in a pictorial, graphical, or narrative format. Your conceptual framework establishes a link between the dependent and independent variables, factors, and other ideologies affecting the structure of your research.

A critical facet a conceptual framework unveils is the relationship the researchers have with their research. It closely highlights the factors that play an instrumental role in decision-making, variable selection, data collection, assessment of results, and formulation of new theories.

Consequently, if you, the researcher, are at the forefront of your research battlefield, your conceptual framework is the most powerful arsenal in your pocket.

What should be included in a conceptual framework?

A conceptual framework includes the key process parameters, defining variables, and cause-and-effect relationships. To add to this, the primary focus while developing a conceptual framework should remain on the quality of questions being raised and addressed through the framework. This will not only ease the process of initiation, but also enable you to draw meaningful conclusions from the same. 

A practical and advantageous approach involves selecting models and analyzing literature that is unconventional and not directly related to the topic. This helps the researcher design an illustrative framework that is multidisciplinary and simultaneously looks at a diverse range of phenomena. It also emboldens the roots of exploratory research. 

Fig. 1: Components of a conceptual framework

How to make a conceptual framework

The successful design of a conceptual framework includes:

• Selecting the appropriate research questions
• Defining the process variables (dependent, independent, and others)
• Determining the cause-and-effect relationships

This analytical tool begins with defining the most suitable set of questions that the research wishes to answer upon its conclusion. Following this, the different variety of variables is categorized. Lastly, the collected data is subjected to rigorous data analysis. Final results are compiled to establish links between the variables. 

The variables drawn inside frames impact the overall quality of the research. If the framework involves arrows, it suggests correlational linkages among the variables. Lines, on the other hand, suggest that no significant correlation exists among them. Henceforth, the utilization of lines and arrows should be done taking into cognizance the meaning they both imply.

Example of a conceptual framework

To provide an idea about a conceptual framework, let’s examine the example of drug development research. 

Say a new drug moiety A has to be launched in the market. For that, the baseline research begins with selecting the appropriate drug molecule. This is important because it:

• Provides the data for molecular docking studies to identify suitable target proteins
• Performs in vitro (a process taking place outside a living organism) and in vivo (a process taking place inside a living organism) analyzes

This assists in the screening of the molecules and a final selection leading to the most suitable target molecule. In this case, the choice of the drug molecule is an independent variable whereas, all the others, targets from molecular docking studies, and results from in vitro and in vivo analyses are dependent variables.

The outcomes revealed by the studies might be coherent or incoherent with the literature. In any case, an accurately designed conceptual framework will efficiently establish the cause-and-effect relationship and explain both perspectives satisfactorily.

If A has been chosen to be launched in the market, the conceptual framework will point towards the factors that have led to its selection. If A does not make it to the market, the key elements which did not work in its favor can be pinpointed by an accurate analysis of the conceptual framework.

Fig. 2: Concise example of a conceptual framework

Important takeaways

While conceptual frameworks are a great way of designing the research protocol, they might consist of some unforeseen loopholes. A review of the literature can sometimes provide a false impression of the collection of work done worldwide while in actuality, there might be research that is being undertaken on the same topic but is still under publication or review. Strong conceptual frameworks, therefore, are designed when all these aspects are taken into consideration and the researchers indulge in discussions with others working on similar grounds of research.

Conceptual frameworks may also sometimes lead to collecting and reviewing data that is not so relevant to the current research topic. The researchers must always be on the lookout for studies that are highly relevant to their topic of work and will be of impact if taken into consideration. 

Another common practice associated with conceptual frameworks is their classification as merely descriptive qualitative tools and not actually a concrete build-up of ideas and critically analyzed literature and data which it is, in reality. Ideal conceptual frameworks always bring out their own set of new ideas after analysis of literature rather than simply depending on facts being already reported by other research groups.

So, the next time you set out to construct your conceptual framework or improvise on your previous one, be wary that concepts for your research are ideas that need to be worked upon. They are not simply a collection of literature from the previous research.

Final thoughts

Research is witnessing a boom in the methodical approaches being applied to it nowadays. In contrast to conventional research, researchers today are always looking for better techniques and methods to improve the quality of their research. 

We strongly believe in the ideals of research that are not merely academic, but all-inclusive. We strongly encourage all our readers and researchers to do work that impacts society. Designing strong conceptual frameworks is an integral part of the process. It gives headway for systematic, empirical, and fruitful research.

Vridhi Sachdeva, MPharm

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How To Make Conceptual Framework (With Examples and Templates)

We all know that a research paper has plenty of concepts involved. However, a great deal of concepts makes your study confusing.

A conceptual framework ensures that the concepts of your study are organized and presented comprehensively. Let this article guide you on how to make the conceptual framework of your study.

Related: How to Write a Concept Paper for Academic Research

Table of Contents

At a glance: free conceptual framework templates.

Too busy to create a conceptual framework from scratch? No problem. We’ve created templates for each conceptual framework so you can start on the right foot. All you need to do is enter the details of the variables. Feel free to modify the design according to your needs. Please read the main article below to learn more about the conceptual framework.

Conceptual Framework Template #1: Independent-Dependent Variable Model

Conceptual framework template #2: input-process-output (ipo) model, conceptual framework template #3: concept map, what is a conceptual framework.

A conceptual framework shows the relationship between the variables of your study.  It includes a visual diagram or a model that summarizes the concepts of your study and a narrative explanation of the model presented.

Why Should Research Be Given a Conceptual Framework?

Imagine your study as a long journey with the research result as the destination. You don’t want to get lost in your journey because of the complicated concepts. This is why you need to have a guide. The conceptual framework keeps you on track by presenting and simplifying the relationship between the variables. This is usually done through the use of illustrations that are supported by a written interpretation.

Also, people who will read your research must have a clear guide to the variables in your study and where the research is heading. By looking at the conceptual framework, the readers can get the gist of the research concepts without reading the entire study. 

Related: How to Write Significance of the Study (with Examples)

What Is the Difference Between Conceptual Framework and Theoretical Framework?

Both of them show concepts and ideas of your study. The theoretical framework presents the theories, rules, and principles that serve as the basis of the research. Thus, the theoretical framework presents broad concepts related to your study. On the other hand, the conceptual framework shows a specific approach derived from the theoretical framework. It provides particular variables and shows how these variables are related.

Let’s say your research is about the Effects of Social Media on the Political Literacy of College Students. You may include some theories related to political literacy, such as this paper, in your theoretical framework. Based on this paper, political participation and awareness determine political literacy.

For the conceptual framework, you may state that the specific form of political participation and awareness you will use for the study is the engagement of college students on political issues on social media. Then, through a diagram and narrative explanation, you can show that using social media affects the political literacy of college students.

What Are the Different Types of Conceptual Frameworks?

The conceptual framework has different types based on how the research concepts are organized 1 .

1. Taxonomy

In this type of conceptual framework, the phenomena of your study are grouped into categories without presenting the relationship among them. The point of this conceptual framework is to distinguish the categories from one another.

2. Visual Presentation

In this conceptual framework, the relationship between the phenomena and variables of your study is presented. Using this conceptual framework implies that your research provides empirical evidence to prove the relationship between variables. This is the type of conceptual framework that is usually used in research studies.

3. Mathematical Description

In this conceptual framework, the relationship between phenomena and variables of your study is described using mathematical formulas. Also, the extent of the relationship between these variables is presented with specific quantities.

How To Make Conceptual Framework: 4 Steps

1. identify the important variables of your study.

There are two essential variables that you must identify in your study: the independent and the dependent variables.

An independent variable is a variable that you can manipulate. It can affect the dependent variable. Meanwhile, the dependent variable is the resulting variable that you are measuring.

You may refer to your research question to determine your research’s independent and dependent variables.

Suppose your research question is: “Is There a Significant Relationship Between the Quantity of Organic Fertilizer Used and the Plant’s Growth Rate?” The independent variable of this study is the quantity of organic fertilizer used, while the dependent variable is the plant’s growth rate.

2. Think About How the Variables Are Related

Usually, the variables of a study have a direct relationship. If a change in one of your variables leads to a corresponding change in another, they might have this kind of relationship.

However, note that having a direct relationship between variables does not mean they already have a cause-and-effect relationship 2 . It takes statistical analysis to prove causation between variables.

Using our example earlier, the quantity of organic fertilizer may directly relate to the plant’s growth rate. However, we are not sure that the quantity of organic fertilizer is the sole reason for the plant’s growth rate changes.

3. Analyze and Determine Other Influencing Variables

Consider analyzing if other variables can affect the relationship between your independent and dependent variables 3 .

4. Create a Visual Diagram or a Model

Now that you’ve identified the variables and their relationship, you may create a visual diagram summarizing them.

Usually, shapes such as rectangles, circles, and arrows are used for the model. You may create a visual diagram or model for your conceptual framework in different ways. The three most common models are the independent-dependent variable model, the input-process-output (IPO) model, and concept maps.

a. Using the Independent-Dependent Variable Model

You may create this model by writing the independent and dependent variables inside rectangles. Then, insert a line segment between them, connecting the rectangles. This line segment indicates the direct relationship between these variables. 

Below is a visual diagram based on our example about the relationship between organic fertilizer and a plant’s growth rate. 

b. Using the Input-Process-Output (IPO) Model

If you want to emphasize your research process, the input-process-output model is the appropriate visual diagram for your conceptual framework.

To create your visual diagram using the IPO model, follow these steps:

• Determine the inputs of your study . Inputs are the variables you will use to arrive at your research result. Usually, your independent variables are also the inputs of your research. Let’s say your research is about the Level of Satisfaction of College Students Using Google Classroom as an Online Learning Platform. You may include in your inputs the profile of your respondents and the curriculum used in the online learning platform.
• Outline your research process. Using our example above, the research process should be like this: Data collection of student profiles → Administering questionnaires → Tabulation of students’ responses → Statistical data analysis.
• State the research output . Indicate what you are expecting after you conduct the research. In our example above, the research output is the assessed level of satisfaction of college students with the use of Google Classroom as an online learning platform.
• Create the model using the research’s determined input, process, and output.

Presented below is the IPO model for our example above.

c. Using Concept Maps

If you think the two models presented previously are insufficient to summarize your study’s concepts, you may use a concept map for your visual diagram.

A concept map is a helpful visual diagram if multiple variables affect one another. Let’s say your research is about Coping with the Remote Learning System: Anxiety Levels of College Students. Presented below is the concept map for the research’s conceptual framework:

5. Explain Your Conceptual Framework in Narrative Form

Provide a brief explanation of your conceptual framework. State the essential variables, their relationship, and the research outcome.

Using the same example about the relationship between organic fertilizer and the growth rate of the plant, we can come up with the following explanation to accompany the conceptual framework:

Figure 1 shows the Conceptual Framework of the study. The quantity of the organic fertilizer used is the independent variable, while the plant’s growth is the research’s dependent variable. These two variables are directly related based on the research’s empirical evidence.

Conceptual Framework in Quantitative Research

You can create your conceptual framework by following the steps discussed in the previous section. Note, however, that quantitative research has statistical analysis. Thus, you may use arrows to indicate a cause-and-effect relationship in your model. An arrow implies that your independent variable caused the changes in your dependent variable.

Usually, for quantitative research, the Input-Process-Output model is used as a visual diagram. Here is an example of a conceptual framework in quantitative research:

Research Topic : Level of Effectiveness of Corn (Zea mays) Silk Ethanol Extract as an Antioxidant

Conceptual Framework in Qualitative Research

Again, you can follow the same step-by-step guide discussed previously to create a conceptual framework for qualitative research. However, note that you should avoid using one-way arrows as they may indicate causation . Qualitative research cannot prove causation since it uses only descriptive and narrative analysis to relate variables.

Here is an example of a conceptual framework in qualitative research:

Research Topic : Lived Experiences of Medical Health Workers During Community Quarantine

Conceptual Framework Examples

Presented below are some examples of conceptual frameworks.

Research Topic : Hypoglycemic Ability of Gabi (Colocasia esculenta) Leaf Extract in the Blood Glucose Level of Swiss Mice (Mus musculus)

Figure 1 presents the Conceptual Framework of the study. The quantity of gabi leaf extract is the independent variable, while the Swiss mice’s blood glucose level is the study’s dependent variable. This study establishes a direct relationship between these variables through empirical evidence and statistical analysis . 

Research Topic : Level of Effectiveness of Using Social Media in the Political Literacy of College Students

Figure 1 shows the Conceptual Framework of the study. The input is the profile of the college students according to sex, year level, and the social media platform being used. The research process includes administering the questionnaires, tabulating students’ responses, and statistical data analysis and interpretation. The output is the effectiveness of using social media in the political literacy of college students.

Research Topic: Factors Affecting the Satisfaction Level of Community Inhabitants

Figure 1 presents a visual illustration of the factors that affect the satisfaction level of community inhabitants. As presented, environmental, societal, and economic factors influence the satisfaction level of community inhabitants. Each factor has its indicators which are considered in this study.

Tips and Warnings

• Please keep it simple. Avoid using fancy illustrations or designs when creating your conceptual framework. 
• Allot a lot of space for feedback. This is to show that your research variables or methodology might be revised based on the input from the research panel. Below is an example of a conceptual framework with a spot allotted for feedback.

Frequently Asked Questions

1. how can i create a conceptual framework in microsoft word.

First, click the Insert tab and select Shapes . You’ll see a wide range of shapes to choose from. Usually, rectangles, circles, and arrows are the shapes used for the conceptual framework. 

Next, draw your selected shape in the document.

Insert the name of the variable inside the shape. You can do this by pointing your cursor to the shape, right-clicking your mouse, selecting Add Text , and typing in the text.

Repeat the same process for the remaining variables of your study. If you need arrows to connect the different variables, you can insert one by going to the Insert tab, then Shape, and finally, Lines or Block Arrows, depending on your preferred arrow style.

2. How to explain my conceptual framework in defense?

If you have used the Independent-Dependent Variable Model in creating your conceptual framework, start by telling your research’s variables. Afterward, explain the relationship between these variables. Example: “Using statistical/descriptive analysis of the data we have collected, we are going to show how the <state your independent variable> exhibits a significant relationship to <state your dependent variable>.”

On the other hand, if you have used an Input-Process-Output Model, start by explaining the inputs of your research. Then, tell them about your research process. You may refer to the Research Methodology in Chapter 3 to accurately present your research process. Lastly, explain what your research outcome is.

Meanwhile, if you have used a concept map, ensure you understand the idea behind the illustration. Discuss how the concepts are related and highlight the research outcome.

3. In what stage of research is the conceptual framework written?

The research study’s conceptual framework is in Chapter 2, following the Review of Related Literature.

4. What is the difference between a Conceptual Framework and Literature Review?

The Conceptual Framework is a summary of the concepts of your study where the relationship of the variables is presented. On the other hand, Literature Review is a collection of published studies and literature related to your study. 

Suppose your research concerns the Hypoglycemic Ability of Gabi (Colocasia esculenta) Leaf Extract on Swiss Mice (Mus musculus). In your conceptual framework, you will create a visual diagram and a narrative explanation presenting the quantity of gabi leaf extract and the mice’s blood glucose level as your research variables. On the other hand, for the literature review, you may include this study and explain how this is related to your research topic.

5. When do I use a two-way arrow for my conceptual framework?

You will use a two-way arrow in your conceptual framework if the variables of your study are interdependent. If variable A affects variable B and variable B also affects variable A, you may use a two-way arrow to show that A and B affect each other.

Suppose your research concerns the Relationship Between Students’ Satisfaction Levels and Online Learning Platforms. Since students’ satisfaction level determines the online learning platform the school uses and vice versa, these variables have a direct relationship. Thus, you may use two-way arrows to indicate that the variables directly affect each other.

• Conceptual Framework – Meaning, Importance and How to Write it. (2020). Retrieved 27 April 2021, from https://afribary.com/knowledge/conceptual-framework/
• Correlation vs Causation. Retrieved 27 April 2021, from https://www.jmp.com/en_ph/statistics-knowledge-portal/what-is-correlation/correlation-vs-causation.html
• Swaen, B., & George, T. (2022, August 22). What is a conceptual framework? Tips & Examples. Retrieved December 5, 2022, from https://www.scribbr.com/methodology/conceptual-framework/

Written by Jewel Kyle Fabula

in Career and Education , Juander How

Last Updated May 6, 2023 10:37 AM

Jewel Kyle Fabula

Jewel Kyle Fabula is a Bachelor of Science in Economics student at the University of the Philippines Diliman. His passion for learning mathematics developed as he competed in some mathematics competitions during his Junior High School years. He loves cats, playing video games, and listening to music.

Browse all articles written by Jewel Kyle Fabula

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How to Use a Conceptual Framework for Better Research

A conceptual framework in research is not just a tool but a vital roadmap that guides the entire research process. It integrates various theories, assumptions, and beliefs to provide a structured approach to research. By defining a conceptual framework, researchers can focus their inquiries and clarify their hypotheses, leading to more effective and meaningful research outcomes.

What is a Conceptual Framework?

A conceptual framework is essentially an analytical tool that combines concepts and sets them within an appropriate theoretical structure. It serves as a lens through which researchers view the complexities of the real world. The importance of a conceptual framework lies in its ability to serve as a guide, helping researchers to not only visualize but also systematically approach their study.

Key Components and to be Analyzed During Research

• Theories: These are the underlying principles that guide the hypotheses and assumptions of the research.
• Assumptions: These are the accepted truths that are not tested within the scope of the research but are essential for framing the study.
• Beliefs: These often reflect the subjective viewpoints that may influence the interpretation of data.
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Together, these components help to define the conceptual framework that directs the research towards its ultimate goal. This structured approach not only improves clarity but also enhances the validity and reliability of the research outcomes. By using a conceptual framework, researchers can avoid common pitfalls and focus on essential variables and relationships.

For practical examples and to see how different frameworks can be applied in various research scenarios, you can Explore Conceptual Framework Examples .

Different Types of Conceptual Frameworks Used in Research

Understanding the various types of conceptual frameworks is crucial for researchers aiming to align their studies with the most effective structure. Conceptual frameworks in research vary primarily between theoretical and operational frameworks, each serving distinct purposes and suiting different research methodologies.

Theoretical vs Operational Frameworks

Theoretical frameworks are built upon existing theories and literature, providing a broad and abstract understanding of the research topic. They help in forming the basis of the study by linking the research to already established scholarly works. On the other hand, operational frameworks are more practical, focusing on how the study’s theories will be tested through specific procedures and variables.

• Theoretical frameworks are ideal for exploratory studies and can help in understanding complex phenomena.
• Operational frameworks suit studies requiring precise measurement and data analysis.

Choosing the Right Framework

Selecting the appropriate conceptual framework is pivotal for the success of a research project. It involves matching the research questions with the framework that best addresses the methodological needs of the study. For instance, a theoretical framework might be chosen for studies that aim to generate new theories, while an operational framework would be better suited for testing specific hypotheses.

Benefits of choosing the right framework include enhanced clarity, better alignment with research goals, and improved validity of research outcomes. Tools like Table Chart Maker can be instrumental in visually comparing the strengths and weaknesses of different frameworks, aiding in this crucial decision-making process.

Real-World Examples of Conceptual Frameworks in Research

Understanding the practical application of conceptual frameworks in research can significantly enhance the clarity and effectiveness of your studies. Here, we explore several real-world case studies that demonstrate the pivotal role of conceptual frameworks in achieving robust research conclusions.

• Healthcare Research: In a study examining the impact of lifestyle choices on chronic diseases, researchers used a conceptual framework to link dietary habits, exercise, and genetic predispositions. This framework helped in identifying key variables and their interrelations, leading to more targeted interventions.
• Educational Development: Educational theorists often employ conceptual frameworks to explore the dynamics between teaching methods and student learning outcomes. One notable study mapped out the influences of digital tools on learning engagement, providing insights that shaped educational policies.
• Environmental Policy: Conceptual frameworks have been crucial in environmental research, particularly in studies on climate change adaptation. By framing the relationships between human activity, ecological changes, and policy responses, researchers have been able to propose more effective sustainability strategies.

Adapting conceptual frameworks based on evolving research data is also critical. As new information becomes available, it’s essential to revisit and adjust the framework to maintain its relevance and accuracy, ensuring that the research remains aligned with real-world conditions.

For those looking to visualize and better comprehend their research frameworks, Graphic Organizers for Conceptual Frameworks can be an invaluable tool. These organizers help in structuring and presenting research findings clearly, enhancing both the process and the presentation of your research.

Step-by-Step Guide to Creating Your Own Conceptual Framework

Creating a conceptual framework is a critical step in structuring your research to ensure clarity and focus. This guide will walk you through the process of building a robust framework, from identifying key concepts to refining your approach as your research evolves.

Building Blocks of a Conceptual Framework

• Identify and Define Main Concepts and Variables: Start by clearly identifying the main concepts, variables, and their relationships that will form the basis of your research. This could include defining key terms and establishing the scope of your study.
• Develop a Hypothesis or Primary Research Question: Formulate a central hypothesis or question that guides the direction of your research. This will serve as the foundation upon which your conceptual framework is built.
• Link Theories and Concepts Logically: Connect your identified concepts and variables with existing theories to create a coherent structure. This logical linking helps in forming a strong theoretical base for your research.

Visualizing and Refining Your Framework

Using visual tools can significantly enhance the clarity and effectiveness of your conceptual framework. Decision Tree Templates for Conceptual Frameworks can be particularly useful in mapping out the relationships between variables and hypotheses.

Map Your Framework: Utilize tools like Creately’s visual canvas to diagram your framework. This visual representation helps in identifying gaps or overlaps in your framework and provides a clear overview of your research structure.

Analyze and Refine: As your research progresses, continuously evaluate and refine your framework. Adjustments may be necessary as new data comes to light or as initial assumptions are challenged.

By following these steps, you can ensure that your conceptual framework is not only well-defined but also adaptable to the changing dynamics of your research.

Practical Tips for Utilizing Conceptual Frameworks in Research

Effectively utilizing a conceptual framework in research not only streamlines the process but also enhances the clarity and coherence of your findings. Here are some practical tips to maximize the use of conceptual frameworks in your research endeavors.

• Setting Clear Research Goals: Begin by defining precise objectives that are aligned with your research questions. This clarity will guide your entire research process, ensuring that every step you take is purposeful and directly contributes to your overall study aims. \
• Maintaining Focus and Coherence: Throughout the research, consistently refer back to your conceptual framework to maintain focus. This will help in keeping your research aligned with the initial goals and prevent deviations that could dilute the effectiveness of your findings.
• Data Analysis and Interpretation: Use your conceptual framework as a lens through which to view and interpret data. This approach ensures that the data analysis is not only systematic but also meaningful in the context of your research objectives. For more insights, explore Research Data Analysis Methods .
• Presenting Research Findings: When it comes time to present your findings, structure your presentation around the conceptual framework . This will help your audience understand the logical flow of your research and how each part contributes to the whole.
• Avoiding Common Pitfalls: Be vigilant about common errors such as overcomplicating the framework or misaligning the research methods with the framework’s structure. Keeping it simple and aligned ensures that the framework effectively supports your research.

By adhering to these tips and utilizing tools like 7 Essential Visual Tools for Social Work Assessment , researchers can ensure that their conceptual frameworks are not only robust but also practically applicable in their studies.

How Creately Enhances the Creation and Use of Conceptual Frameworks

Creating a robust conceptual framework is pivotal for effective research, and Creately’s suite of visual tools offers unparalleled support in this endeavor. By leveraging Creately’s features, researchers can visualize, organize, and analyze their research frameworks more efficiently.

• Visual Mapping of Research Plans: Creately’s infinite visual canvas allows researchers to map out their entire research plan visually. This helps in understanding the complex relationships between different research variables and theories, enhancing the clarity and effectiveness of the research process.
• Brainstorming with Mind Maps: Using Mind Mapping Software , researchers can generate and organize ideas dynamically. Creately’s intelligent formatting helps in brainstorming sessions, making it easier to explore multiple topics or delve deeply into specific concepts.
• Centralized Data Management: Creately enables the importation of data from multiple sources, which can be integrated into the visual research framework. This centralization aids in maintaining a cohesive and comprehensive overview of all research elements, ensuring that no critical information is overlooked.
• Communication and Collaboration: The platform supports real-time collaboration, allowing teams to work together seamlessly, regardless of their physical location. This feature is crucial for research teams spread across different geographies, facilitating effective communication and iterative feedback throughout the research process.

Moreover, the ability t Explore Conceptual Framework Examples directly within Creately inspires researchers by providing practical templates and examples that can be customized to suit specific research needs. This not only saves time but also enhances the quality of the conceptual framework developed.

In conclusion, Creately’s tools for creating and managing conceptual frameworks are indispensable for researchers aiming to achieve clear, structured, and impactful research outcomes.

Join over thousands of organizations that use Creately to brainstorm, plan, analyze, and execute their projects successfully.

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Chiraag George is a communication specialist here at Creately. He is a marketing junkie that is fascinated by how brands occupy consumer mind space. A lover of all things tech, he writes a lot about the intersection of technology, branding and culture at large.

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Casanave, C.P.,& Li,Y.(2015). Novices’ struggles with conceptual and theoretical framing in writing  dissertations and papers for publication. Publications,3 (2),104-119.doi:10.3390/publications3020104

Grant, C., & Osanloo, A. (2014). Understanding, Selecting, and Integrating a Theoretical Framework in Dissertation Research: Creating the Blueprint for Your “House. ” Administrative Issues Journal: Connecting Education, Practice, and Research, 4(2), 12–26

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Big five personality traits of medical students and workplace performance in the final clerkship year using an EPA framework

• Harm Peters   ORCID: orcid.org/0000-0003-1441-7512 1 ,
• Amelie Garbe 1 ,
• Simon M. Breil   ORCID: orcid.org/0000-0001-5583-3884 2 ,
• Sebastian Oberst   ORCID: orcid.org/0000-0002-1388-2749 1 ,
• Susanne Selch 3 &
• Ylva Holzhausen   ORCID: orcid.org/0000-0001-8710-8257 1  

BMC Medical Education volume  24 , Article number:  453 ( 2024 ) Cite this article

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The qualities of trainees play a key role in entrustment decisions by clinical supervisors for the assignments of professional tasks and levels of supervision. A recent body of qualitative research has shown that in addition to knowledge and skills, a number of personality traits are relevant in the workplace; however, the relevance of these traits has not been investigated empirically. The aim of this study was to analyse the workplace performance of final-year medical students using an Entrustable Professional Activity (EPA) framework in relation to their personality traits.

Medical students at the end of their final clerkship year were invited to participate in an online survey-based, cross-sectional field study. In the survey, the workplace performance was captured using a framework consisting of levels of experienced supervision and a defined set of 12 end-of-undergraduate medical training EPAs. The Big Five personality traits (extraversion, agreeableness, conscientiousness, neuroticism, and openness) of the participating medical students were measured using the Big Five Inventory-SOEP (BFI-S), which consists of 15 items that are rated on a seven-point Likert scale. The data were analysed using descriptive and inferential statistics.

The study included 880 final-year medical students (mean age: 27.2 years, SD = 3.0; 65% female). The levels of supervision under which the final-year clerkship students carried out the EPAs varied considerably. Significant correlations were found between the levels of experienced supervision and all Big Five dimensions The correlations with the dimensions of extraversion, agreeableness, conscientiousness and openness were positive, and that for the neuroticism dimension was negative (range r  = 0.17 to r  = − 0.23). Multiple regression analyses showed that the combination of the Big Five personality traits accounted for 0.8–7.5% of the variance in supervision levels on individual EPAs.

Conclusions

Using the BFI-S, we found that the levels of supervision on a set of end-of-undergraduate medical training EPAs were related to the personality traits of final-year medical students. The results of this study confirm the existing body of research on the role of conscientiousness and extraversion in entrustment decision-making and, in particular, add the personality trait of neuroticism as a new and relevant trainee quality to be considered.

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The assignment of professional tasks at a certain level of autonomy to individual trainees by clinical supervisors is a central phenomenon and characteristic of workplace learning in medical education and beyond in health profession education. The concept of Entrustable Professional Activities (EPAs) draws on this tradition to conceptualize learning and assessments in the clinical workplace [ 1 ]. A growing body of research provides a better understanding of the often numerous explicit and implicit factors that influence why one trainee is entrusted with performing a specific task while another trainee is not. These factors include the personal qualities of trainees. For example, qualitative research has shown that certain personality traits of trainees play a role in supervisors’ entrustment decisions [ 2 ]. Yet, this relationship has not been systematically investigated. Such an investigation could confirm, complement and extend our understanding of which trainee qualities influence the entrustment decision-making processes of supervisors. The purpose of this study was to analyse the workplace performance of final-year medical students using an EPA framework in relation to their personality traits measured by an established Big Five questionnaire.

A valuable and practical reconceptualization of workplace performance has been achieved through an EPA framework [ 1 ]. This framework builds on three main components: (1) professional activities, i.e., authentic task characteristics of a profession; (2) levels of supervision, which indicate the proficiency of a trainee in carrying out a professional activity; and (3) entrustment decisions, which link the first two components and are made by supervisors when managing patient care [ 2 , 3 ]. Within the EPA framework, workplace performance increases by the number of EPAs a trainee can carry out and the level of autonomy, a trainee can carry out a professional tasks. Consider, for example, two trainees in their final year of study who have the same supervisor. Trainee A is regularly entrusted with taking medical histories independently, with only the key findings checked afterwards. For Trainee B, the supervisor takes on a much more active role, and the medical histories are checked together with the supervisor. Why are some trainees trusted more than others? Ongoing line research has identified a range of factors that determine under which level of supervision a trainee is entrusted to perform a particular task under particular circumstances by a clinical supervisor [ 4 , 5 ]. The personal qualities of individual trainees have been found to be particularly important factors [ 6 , 7 , 8 , 9 ]. Here, Ten Cate and Chen [ 2 ] recently used a qualitative approach to synthesize the varying entrustment-related qualities of trainees reported in the literature into five categories: agency (proactive towards work, teams, safety, and personal development), reliability (conscientious, predictable, accountable, and responsible), integrity (truthful, benevolent, and patient-centered), capability (specific knowledge, skills, experience, and situational awareness) and humility (recognizes limits, asks for help, and is receptive to feedback) (the A RICH framework). These five categories should be considered when making A RICH entrustment decision [ 2 ].

Beyond knowledge and skill aspects, many of the qualities in the A RICH framework fall into the area of trainees’ personality traits (i.e., relatively enduring patterns of interindividual differences in thinking, feeling, and behaving, e.g., some individuals are more reliable, humble, or proactive than others). Personality traits are often divided into five overarching factors (extraversion, agreeableness, conscientiousness, neuroticism, and openness). This so-called five-factor (Big Five) model of personality has demonstrated reliability and validity across numerous populations [ 10 , 11 , 12 ] and can be mapped to the qualities mentioned by ten Cate and Chen. That is, extraversion might be mapped to agency, consciousness to reliability, and agreeableness to integrity and humility. However, we believe that the personality traits of neuroticism and openness are not directly reflected in the A RICH framework.

Research has shown that individual differences in the Big Five traits are related to important outcomes such as learning and (academic) performance [ 13 , 14 , 15 , 16 ]. In medical education, the importance of personality traits for performing well in medical school and for good medical practice is increasingly recognized [ 17 , 18 ]. Exploring the relationship between personality and performance in the workplace (based on the EPA framework) could complement and extend our understanding of the entrustment-related qualities of trainees as well as learning and assessment in the clinical workplace. However, the empirical relationship between specific trainee personality traits and supervisor entrustment decisions has not been examined. Such an analysis could be useful from both theoretical and practical points of view. Theoretically, this approach could show whether the aspects developed qualitatively in the A RICH framework can be supported empirically. Practically, this approach could help to identify personality traits that affect trainees’ learning and supervisors’ entrustment decisions in the workplace.

The aim of this study was to analyse the relationship between the workplace performance of final-year medical students and their personality traits, resulting in the following research question: Are individual differences in medical students’ Big Five personality traits related to their workplace performance? To address this question, personality traits and workplace performance were measured by conducting an online, cross-sectional field study. This was done using a framework consisting of levels of experienced supervision and a defined set of EPAs, both adjusted for undergraduate medical training.

This study was conducted as part of the German national research project “Studierendenauswahlverbund” (STAV) on the selection of medical students for entry into medical school [ 19 ]. In Germany, undergraduate medical education programs take six years to complete. The first 5 years cover basic and clinical sciences, followed by a final clerkship year with three rotations (3.5 months each): one rotation in internal medicine, one rotation in surgery and one elective rotation. The aim of the final clerkship year is for medical students to actively participate in the clinical workplace under the instruction, supervision and responsibility of a physician [ 20 ]. There are currently no mandatory formative or summative workplace assessments in place during the final clerkship year.

Study design

This was an online-administered, cross-sectional field study. The study protocol was approved by the local psychological ethics committee (LPEK) at the Center for Psychosocial Medicine at the University Medical Center Hamburg-Eppendorf (application number: LPEK-0042).

Questionnaire development

The questionnaire, developed by the STAV research team through an iterative and collaborative process, was sent to final-year medical students in Germany. The questionnaire covered sociodemographic characteristics, personality traits and workplace performance in professional activities, among other reported content areas. The questionnaire was piloted by members of the STAV research team.

• Personality traits

Personality traits were measured via self-reports using the German Big Five Inventory-SOEP (BFI-S) [ 21 ]. This instrument is based on the BFI [ 22 ] and was developed as a short economic version for use with the Socio-Economic Panel (SOEP). The scale consists of a total of 15 items and measures extraversion, agreeableness, conscientiousness, neuroticism, and openness, all measured with three items each. The BFI-S items are rated on a 7-point Likert scale ranging from 1 (“does not apply at all”) to 7 (“applies perfectly”).

Workplace performance measured using an EPA framework

Workplace performance refers to the number of professional activities that a trainee can carry out and the level of supervision needed to carry out the respective professional activity. As the basis, a set of 12 core end-of-training EPAs previously developed for undergraduate medical education students at the Charité - Universitätsmedizin Berlin, Germany, was used [ 23 ]. The EPA descriptions used in the survey are shown in Table  1 .

Participants were asked to indicate the level of supervision while carrying out each of the respective professional activity at least 3 times. The levels of supervision were adapted to undergraduate medical education [ 24 ]. The 5 levels were as follows:

Level 1: I did not perform the task.

Level 2: I carried out this task in co-activity with a supervisor.

Level 3: I carried out this task autonomously, and all findings were double-checked.

Level 4: I carried out this task autonomously, and key findings were double-checked.

Level 5: I carried out this task autonomously, and key findings were discussed afterwards.

The questionnaire was administered using the online software LimeSurvey (version 2.62.2; Limesurvey GmbH, Hamburg, Germany). Final-year medical students from all German medical faculties were invited by email via the listservs of the respective medical faculties. Invitations were sent to reach students within or shortly after their last rotation in the final clerkship year. Before data collection, the students were informed in writing about the purpose of the study and had to provide informed consent.

Statistical analysis

The statistical analysis was performed using SPSS (version 29.0; IBM, Ehningen, Germany; Armonk, Released 2022). The SPSS analysis code can be found in Appendix 1 . Descriptive statistics were calculated for sample size, participant age and gender, the scores on the BFI-S dimensions and the level of supervision for each end-of-undergraduate medical training EPA.

Inferential statistical analysis included the calculation of Cronbach’s alpha, Pearson and Spearman correlations and multiple regression. Cronbach’s alpha was calculated for the scores on the BFI-S dimensions. Pearson correlations were computed for each EPA and each Big Five dimension to analyse the relationship between the BFI-S scores and EPA framework-based workplace performance. To check for the robustness of the results and given that the EPA scale is ordinal, we additionally computed Spearman´s rank-order correlations. Furthermore, multiple regression analyses were conducted to analyse the joint relationship between the five personality traits and the level of supervision for each EPA. For all correlations and multiple regressions, we did not include individuals (per EPAs) who reported supervision level 1. This was because we could not determine whether the students were not capable of performing the EPA or whether they had not yet had the opportunity to perform the EPA.

Study participants

A total of 1,111 students from 35 medical faculties completed the STAV survey. The data were included in the analysis if the participating students were in their last final-year clerkship rotation or had just finished the last rotation. In total, data from 880 participants were included in the study. The mean age of the included final-year medical students was 27.2 years (SD = 3.0), 568 (65%) students were female, and 312 (35%) students were male.

Characteristics of the personality traits

The descriptive statistics as well as the Cronbach’s coefficient for the respective Big Five dimension are shown in Table  2 .

Characteristics of workplace performance using an EPA framework

Figure  1 shows the variation in the levels of supervision under which the final year clerkship students carried out the 12 EPAs. Nine of the 12 professional activities were performed by 75% of the students under supervision levels 3–5, i.e., autonomously without direct supervision. These EPAs ranged from “take a medical history, perform a physical examination and summarize the results in a structured manner” (99%) to “write and transmit a patient report” (93%). The frequencies of supervision levels without direct supervision (levels 3–5) were lower for “recognize an emergency situation and act upon it” (51%), “undertake an evidence-based patient case and initiate patient-specific implementation” (53%), and “compile a treatment plan and initiate implementation” (68%). The levels of supervision correlated significantly amongst all EPAs (see the Appendix 2 ).

Frequency of levels of supervision (levels 1–5) under which final-year clerkship students carried out end-of-undergraduate medical training EPAs. Frequencies are expressed as a percentage of all reported levels of supervision for each EPA. The supervision levels ranged from “I did not perform the task” (level 1) to “I carried out this task autonomously, and key findings were discussed afterwards” (level 5)

Relationship between the personality traits and workplace performance using an EPA framework

Significant Pearson correlations were found between the level of supervision under which final-year clerkship students carried out the EPAs and their scores on the BFI-S for all 5 Big Five traits (Table  3 ). There were 8 EPAs with significant correlations for extraversion, 4 for agreeableness, 8 for conscientiousness, 10 for neuroticism, and 4 for openness. All the correlations were positive, except that for neuroticism, which was negative. The correlations were all small to moderate in size ( r  = 0.17 to r = -0.23). Similar results were observed for the Spearman’s rank correlations (see the Appendix 3 ). In both analyses, significant correlations with at least one Big 5 dimension were found for all EPAs, except for EPA 5 (“perform general procedures of a physician”).

Multiple regression analysis also revealed that the BFI-S dimension scores significantly predicted workplace performance for 11 of the 12 EPAs (excluding EPA 5; see Table  4 ). Here, the amount of explained variance varied across the EPAs, ranging from 0.8% (EPA 6: “seek consent for medical procedures and diagnostics”) to 7.5% (EPA 12: “undertake an evidence-based patient case discussion and initiate patient-specific implementation”. Across all EPAs, the conscientiousness and neuroticism dimension scores were regularly associated with the level of supervision.

Worldwide, medical curricula are increasingly structured around the entrustment of EPAs [ 25 , 26 , 27 ]. Understanding the factors that influence entrustment decisions is important, as they have the potential to stimulate transparent discussion and reflection between supervising doctors and trainees. Personal qualities of trainees play a key role, and this study complements and extends previous, mostly qualitative, research on the personality traits that are related to the decisions to entrust trainees with professional patient-care tasks. The final-year medical students varied widely in the extent to which they had actually performed a set of end-of-undergraduate medical training EPAs, and this variation showed no ceiling effect. Using a quantitative, empirical approach, we found that individual differences in the Big Five traits were related to the level of supervision under which final-year clerkship students carried out end-of-undergraduate medical training EPAs. For the personality traits, the highest number of positive correlations was found for (low) neuroticism, conscientiousness, and extraversion. That is, trainees who reported being relaxed and without worry (i.e., low neuroticism), thorough and efficient (i.e., conscientiousness), and communicative and sociable (i.e., extraversion) were generally able to carry out EPAs with less supervision and greater autonomy. The findings and implications of this study in the context of the literature is discussed in the following sections.

The results of this study showed that the favorable Big Five traits were associated with better performance in almost all EPAs, accounting for between 0.8% and 7.5% of the variance in levels of supervision as a measure of workplace performance. The strongest effects of personality traits were found for EPA 12 (“undertake an evidence-based patient case discussion and initiate patient specific implementation”), EPA 4 (“compile a treatment plan and initiate implementation”), and EPA 3 (“interpret test results and initiate further steps”). Weaker effects were found for the other EPAs where the majority of trainees reached the highest level of supervision and for which there was low variance. These findings further support the assumption that the personality traits of trainees play an important role in their workplace performance [ 2 , 6 , 7 , 8 , 9 ].

Of all the Big Five traits, individual differences in neuroticism showed the highest number of correlations with the levels of experienced supervision for the performance of the end-of-undergraduate medical training EPAs. Individuals high in neuroticism tend to become anxious, worried and irritable more easily or intensely than others [ 28 ]. In the context of busy clinical workplaces, this personality trait may translate into difficulties coping with stress and anxiety, responding to feedback and criticism and solving problems, especially under stress, which can affect individuals’ ability to perform professional tasks effectively. It could also be that students with high neuroticism levels were less self-confident and sought more reassurance when performing tasks. Although these findings are in line with a meta-analysis highlighting the negative relationship between neuroticism and job performance [ 16 ], the relevance of neuroticism is a new finding in the area of entrustment decision-making.

The Big Five dimensions of extraversion and conscientiousness showed positive correlations with the levels of experienced supervision in a high number of the 12 EPAs, indicating higher levels of trainee autonomy. The personality trait of conscientiousness refers to individuals who tend to be highly thoughtful, organized, mindful of details, and responsible, indicating impulse control and goal-directed behaviours. The extraversion dimension refers to talkativeness, assertiveness, and energy. For conscientiousness, these findings are in line with previous research, highlighting trainee conscientiousness as a central factor in entrustment decision-making, particularly early work by Kennedy and colleagues [ 6 ]). The high number of correlations between the Big 5 score for conscientiousness and the levels of supervision across the EPAs is also consistent with previous research on personality traits and academic achievement and job performance across many occupational sectors [ 13 ]. In addition to the personality traits of extraversion, conscientiousness, and neuroticism, we found positive correlations between the levels of experienced supervision and the Big Five agreeableness and openness dimension scores, although these were lower in number and related to individual EPAs.

Our findings provide some support for the A RICH framework [ 2 ]. That is, the three dimensions of extraversion, conscientiousness, and agreeableness overlap with the qualities of integrity, reliability, humility, and agency. However, agreeableness was significant for only a few EPAs, although it is prominently represented by two qualities in the A Rich framework. Moreover, neuroticism, which was found to be the most important predictor of workplace involvement, is not (yet) covered by the A RICH framework on trainee qualities that enable entrustment decisions by clinical supervisors [ 2 ].

This study has several implications. Individual differences in personality traits were considered as a new perspective for understanding the factors that clinical supervisors weigh in their decisions to entrust trainees with responsibility in patient care. Future research could extend this research, for instance, by investigating the relationship between personality traits and the explicit level of entrustment that trainees receive in the workplace, studying other trainee cohorts and different clinical contexts, and focusing on specific facets of personality (e.g., investigating which part of an individual´s neuroticism affects entrustment decisions). Further lines of research may investigate how the personality traits of clinical supervisors influence their entrustment decisions and how the interplay between the personality traits of both trainees and supervisors affects entrustment decision-making. A particularly relevant finding is the strong role of neuroticism in entrustment decisions, which should be further explored in future quantitative and qualitative research. These findings also have implications for the training and development of medical trainees. Although there are already approaches to selecting and training (future) medical students regarding emotional stability [ 29 , 30 ], the findings suggest that even more attention should be given to the emotional stability (or lack thereof) of students and physicians.

This study has some limitations. First, although we managed to recruit a large sample, the context in which the participating students were evaluated was the final clerkship year in Germany. Therefore, future research should investigate the transferability of these findings to other contexts and countries. Second, the study was not based on explicit entrustment decisions by clinical supervisors but rather on the levels of supervision experienced in the workplace and reported by the students. This may have made it unclear whether the supervisors had less confidence in the trainees and therefore preferred to “double check” or whether the trainees themselves had less confidence and therefore preferred to “double check”. Future research should disentangle these two (not mutually exclusive) explanations. Third, the BFI measure is based on a short scale, which has lower internal consistency than longer scales and did not allow us to account for facet differences within the Big Five dimensions. Here, future studies could use longer scales to assess each dimension more thoroughly.

In conclusion, this study introduced personality traits as a new perspective for understanding the role of individual trainees’ personal qualities in clinical supervisors’ decision-making. We found that the level of supervision on a set of end-of undergraduate medical training EPAs was related to the personality traits of final-year medical students. In relation to the existing body of research, the results of this study confirm the role of conscientiousness in entrustment decision-making. In addition, the findings indicate that the personality trait of neuroticism should be considered as an important trainee quality in the context of entrustment decision-making.

Data availability

The data of this study will be made available from the corresponding author upon reasonable request.

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Acknowledgements

The authors wish to thank all the medical students who participated in the STAV survey and all the staff members of the STAV research team for their support and participation in discussions.

This work was supported by the Bundesministerium für Bildung und Forschung (Federal Ministry of Education and Research, Germany) (project number: 01GK1801).

Open Access funding enabled and organized by Projekt DEAL.

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Harm Peters, Amelie Garbe, Sebastian Oberst & Ylva Holzhausen

Institute for Psychology, University of Münster, Münster, Germany

Simon M. Breil

Department of General Practice and Primary Care, University Medical Center Hamburg- Eppendorf, Hamburg, Germany

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Contributions

All the authors made substantial contributions to the conception and design of the study and the interpretation of the data. AG was responsible for the data acquisition, and AG, SMB and YH were responsible for the data analysis. HP, AG SMB, and YH drafted the manuscript. All the authors were involved in critically revising the manuscript draft. All the authors read and approved the final manuscript.

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Correspondence to Harm Peters .

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Author HP is a member of the Editorial Board of BMC Medical Education. The other authors have no competing interests to declare.

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The study protocol was approved by the local psychological ethics committee at the Center for Psychosocial Medicine at the University Medical Center Hamburg-Eppendorf (LPEK-0042). All participants provided informed consent.

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Peters, H., Garbe, A., Breil, S.M. et al. Big five personality traits of medical students and workplace performance in the final clerkship year using an EPA framework. BMC Med Educ 24 , 453 (2024). https://doi.org/10.1186/s12909-024-05434-x

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Received : 17 December 2023

Accepted : 16 April 2024

Published : 25 April 2024

DOI : https://doi.org/10.1186/s12909-024-05434-x

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