Division for Postgraduate Studies

Theoretical Discourse in Research

Dr. Bingwen YAN

31 August 2019

Outline

Definitions of ‘theory’

Characteristics of ‘theory’

Theories vs. hypotheses

How to evaluate the quality of a theory

The dynamic relationship between theory and research

Deductive theory

Inductive theory

Example of theories relevant to a particular research question

Theories and findings related to second language learning

The role of theory in research

Models of social research

Conceptual framework

Theoretical framework

Difference between conceptual and theoretical framework

Definition of Theory

• Hempel (1952:36) compared theory with “a complex spatial network” whereby “system” and “observation” are the floating device, while “rules of interpretation” control and guide them.

• Homans (1952:812) believes that essentially no theory exists unless there is a clear “explanation” on the “properties” and “propositions” which clarify their relations and finally forming a “deductive system.

• Burr (1973) was concerned with deductive theory and assumes that propositions “explain why certain things occur”; afterwards deducing them. He then concludes that these propositions are examined and tested as science has a purpose; elimination of “invalid propositions” and increasing the number of “useful and valid” propositions (Burr, 1973:3).

• Silver (1983) defines theory as a unique way for perception of reality, expressing someone’s prominent insight about a nature’s aspect in addition to a fresh and new understanding about a world aspect.

Definition of Theory (cont’)

• A theory is an organized body of concepts and principles intended to explain aparticular phenomenon (Leedy & Ormrod, 2005:4).

• Thus, theories explain “How” and “Why” something operates as it does(Johnson & Christensen, 2007:7).

• Theories are formulated to explain, predict, and understand phenomena and, inmany cases, to challenge and extend existing knowledge within the limits ofcritical bounding assumptions (Abend, 2008).

• The theoretical framework is the structure that can hold or support a theory of aresearch study. The theoretical framework introduces and describes the theorythat explains why the research problem under study exists (Abend, 2008).

Other definitions of ‘theory’

• Theory is a model or framework for observation and understanding,

which shapes both what we see and how we see it. Theory allows the

researcher to make links between the abstract and the concrete; the

theoretical and the empirical; thought statements and observational

statements etc.

• Theory is a generalised statement that asserts a connection between

two or more types of phenomena–any generalised explanatory principle.

• Theory is a system of interconnected abstractions or ideas that

condenses and organises knowledge about the world.

• Theory explains and predicts the relationship between variables.

Theory

Theories are constructed in order to explain, predict

and master phenomena (e.g. relationships, events, or

the behavior). In many instances we are constructing

models of reality.

A theory makes generalizations about observations and

consists of an interrelated, coherent set of ideas and

models.

Some characteristics of ‘theory’

Theory guides research and organises its ideas. The

analogy of bricks lying around haphazardly in the

brickyard: ‘facts’ of different shapes and sizes have no

meaning unless they are drawn together in a theoretical or

conceptual framework.

Theory becomes stronger as more supporting evidence is

gathered; and it provides a context for predictions.

Theory has the capacity to generate new research.

Theory is empirically relevant and always tentative.

Theories vs. Hypotheses

Hypotheses usually predicts the relationship between two or more variables.

Hypothesesare more specific than theories. Multiple hypotheses may relate

to one theory.

The theories that you use in your research operates at different levels:

Micro-level theory explains behaviour at the level of the individual or

family environment (e.g. psychology, frustration, aggression hypothesis,

etc.)

Meso-level theory explain the interactions of micro-level organisations

(e.g. social institutions, communities etc.)

Macro-level theory seeks to explain behaviour at the level of large groups

of people (e.g. ethnicity, class, gender etc.)

Exercise

• What level of explanation do you think will be most appropriate for

researching your topic? (micro, meso, macro).

• Will you be trying to explain causal links? Or people’s own meanings

(phenomenological)? Or historical developments?

• Have you read any books or journal articles which could support and

help you to develop your argument? If so, which? Were these authors

working in similar or different contexts to you? Are there any theorists

who refute your arguments or take a different perspective? If so, who?

Do they work in similar or different contexts to you?

How to evaluate the quality of a theory or explanation

Is the theory logical and coherent?

Does it fit the available data?

Does it provide testable claims?

Have the theory-based predictions been tested?

Does the theory work better than rival theories or explanations?

Is it general enough to apply to more than one place, situation, or

person?

Can practitioners use it to control or influence things in the world e.g.:

• A good theory of teaching helps teachers to positively influence students

learning.

• a good theory of counselling helps counsellors to positively influence their

clients’ mental health

The dynamic relationship between theory and research

Theory and research are interrelated in the following ways:

Theory frames what we look at, how we think and look at it.

It provides basic concepts and directs us to the important questions.

It suggests ways for us to make sense of research data.

Theory enables us to connect a single study to the immense base of

knowledge to which other researchers contribute.

It helps a researcher see the forest instead of just a single tree.

Theory increases a researcher ’s awareness of interconnections and of

the broader significance of data.

The dynamic relationship continues.....

Theories are, by their nature, abstract and provide a selective and one-sided

account of the many-sided concrete social world.

Theory allows the researcher to make links between the abstract and the

concrete, the theoretical and the empirical, thought statements and

observational statements etc.

There is a two-way relationship between theory and research. Social theory

informs our understanding of issues, which, in turn, assists us in making

research decisions and making sense of the world.

Theory is not fixed; it is provisional, open to revision and grows into more

accurate and comprehensive explanations about the make-up and operation

of the social world.

The dynamic relationship continues.....

Theory makes the most significant progress by interacting with research findings

(empirical data). In adopting a theory-based approach to research, the researcher

must adopt the following assumptions:

• Research problems must fit within a larger, logically consistent conceptual

framework which incorporates research done to date

• Variables useful in the explanation and prediction of phenomena become the

‘significant’ facts

• To work towards objectivity, empirical testing and replication by others is

essential.

• Research findings must be situated within, the theoretical framework in order to

identify further research which can continue the process of theory confirmation.

Deductive theory

• In a deductive approach, researchers use theory to guide the design of a

study and the interpretation of results. As researchers continue to conduct

empirical research in testing a theory, they develop confidence that some

parts of it are true.

• Researchers may modify some propositions of a theory or reject them if

several well-conducted studies have negative findings.

• A theory’s core propositions and central tenets are more difficult to test

and are refuted less often.

• In a slow process, researchers may decide to abandon or change a theory

as the evidence against it mounts over time and cannot be logically

reconciled.

Inductive theory

• Inductive theorising begins with a few assumptions and broad orienting

concepts.

• Theory develops from the ground up as the researchers gather and analyse

the data.

• Theory emerges slowly, concept by concept, and proposition by proposition,

in a specific area. Over time, the concepts and empirical generalisations

emerge and mature. Soon, relationships become visible and researchers

weave knowledge from different studies into more abstract theory.

• Empirical generalizations posit the most basic relationship between

concepts: e.g. ‘most people I know who drive small Japanese cars are under

30 years of age’.

Who has done research in this area

before?

EMPIRICAL STUDIES

What data do I need to answer my question?

EVIDENCE Data generated and relevance to research question

Problem / conceptdefinitions

Frameworks for understanding / explaining patterns and relationships

Problem / concept definition

Findings / conclusions

Areas for further

research

What am I going to study?

RESEARCH QUESTION

Methods / techniques used

Problems experienced

How am I going to generate and

analyse this data?

METHODS

The role of theory in research

THEORY

What existing ideas are there

about my research problem?

Three ways of thinking about theory

• That which underpins research design• Theory as paradigm

• That which may inform our understanding of the phenomenon under investigation

• Theory as a ‘lens’

• That which may emerge from our study• Theory as new knowledge

Theory as paradigm

• Philosophical assumptions about what constitutes social reality (ontology)

• What we accept as valid evidence of that reality (epistemology)

• The means by which we investigate that context (methodology)

• The means by which we gather evidence (methods)

4 key ‘paradigm’ questions

1. What do we believe exists? (Ontology)• Fundamental beliefs that someone holds about the

nature of the social world and its relationship to individual social actors.

• Social reality exists independent of the observer

• Social reality is constructed by people in particular social, cultural and historical contexts

2. What constitutes reliable & valid knowledge? (Epistemology)

• Causal relationships between observable phenomena

• Interpretations of meaning

4 key ‘paradigm questions (contd.)

• How we produce reliable and valid knowledge? (Methodology)

• What ‘Strategies of inquiry’ (Creswell) are appropriate to our ontological/epistemological position

• (descriptive/confirmatory <-> explanatory/exploratory)• (‘Flat world’ theory <-> Exploring other cultures)

• How can we collect data to test our theories or describe social phenomena? (Methods)

• What data collection approaches/tools are appropriate to the methodology

Models of social research1. Qualitative study

An inquiry which seeks to understand social phenomena through the exploration and interpretation of the meanings people attach to, and make sense of, their experiences of the social world.

• Associated with the Interpretive paradigm

• Key principle: Subjectivity/interpretation

• Theory developed: during and/or after (‘a posteriori’) the study (theory generation)

• Process: Inductive

Models of social research:2. Quantitative study

An inquiry based on testing a theory composed of variables, measured with numbers and analysed with statistical procedures, in order to determine whether the predictive generalisations of the theory hold true.

• Associated with: Post/positivist paradigm

• Key principle: Objectivity

• Theory stated: before (‘a priori’) the study (theory verification)

• Process: Deductive

Models of social research:3. Mixed-method study

Qualitative and quantitative strategies used in a single study:

Concurrent: Quantitative and qualitative strategies employed in parallel

Sequential: Qualitative informs quantitative (or vice versa)

Theory as a lens

• Existing theory(s) which seek to explain how aspects of social reality ‘work’ (models). E.g.

• Models of learning• Behaviourist (Skinner); Constructivist (Piaget); Social constructivist (Vygotsky);

Deep learning (Anderson)

• Models of professional/expertise development• Situated learning; Communities of practice (Lave; Wenger)

• Models of second language acquisition• Krashen’s SLA theory; Oxford’s S2R;

Theory as new knowledge

• Adaptation, revision or confirmation of existing theory

• Generation of new theory

• Relates to conceptual framework

Conceptual framework

• A written or visual presentation that:

–“explains either graphically, or in narrative

form, the main things to be studied – the key

factors, concepts or variables - and the

presumed relationship among them”

(Miles & Huberman, 1994:18)

Conceptual Framework (Cont’)

• A conceptual framework represents the researcher’s synthesis of literature on how to explain a phenomenon. It maps out the actions required in the course of the study given his previous knowledge of other researchers’ point of view and his observations on the subject of research.

• The understanding of how the particular variables in your study connect with each other. Thus, it identifies the variables required in the research investigation. It is the researcher’s “map” in pursuing the investigation.

--Regoniel (2015)

Conceptual Framework (Cont’)

• The conceptual framework “sets the stage” for the presentation of the particular research question that drives the investigation being reported based on the problem statement (McGaghie et al., 2001).

• The problem statement of a thesis presents the context and the issues that caused the researcher to conduct the study.

• The conceptual framework lies within a much broader framework called theoretical framework. The latter draws support from time-tested theories that embody the findings of many researchers on why and how a particular phenomenon occurs.

Conceptual framework (Cont’)

• Quantitative research

• Typically developed after literature review

• Provides the structure/content for the whole study based on literature and personal experience

• Revisited at the conclusion of the study

• Qualitative research

• Initial framework after literature review

• Further developed as participants’ views and issues are gathered and analysed.

Theoretical framework

A theoretical framework consists of concepts and, together with their definitions and reference to relevant scholarly literature, existing theory that is used for your particular study.

• The theoretical framework must demonstrate an understanding of theories and concepts that are relevant to the topic of your research paper and that relate to the broader areas of knowledge being considered.

Formulating the theoretical framework:

• The theoretical framework of the study is a structure that can hold or support a theory of a research work. It presents the theory which explains why the problem under study exists.

• Thus, the theoretical framework is but a theory that serves as a basis for conducting research.

Theoretical framework (Cont’)

Purpose of formulating the theoretical framework:

• It helps the researcher see clearly the variables of the study;

• It can provide him with a general framework for data analysis;

• It is essential in preparing a research proposal using descriptive and experimental methods.

Theoretical framework (Cont’)

Theoretical framework (Cont’)

The theoretical framework is most often not something readily found within the literature.

• To review course readings and pertinent research studies for theories and analytic models that are relevant to the research problem you are investigating.

• The selection of a theory should depend on its appropriateness, ease of application and explanatory power.

Theoretical framework (Cont’)

It strengthens the study in the following ways:

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

• It connects the researcher to existing knowledge.

• Guided by a relevant theory, you are given a basis for your hypotheses and choice of research methods.

• Articulating the theoretical assumptions of a research study forces you to address questions of why and how.

• It permits you to intellectually transition from simply describing a phenomenon you have observed to generalizing about various aspects of that phenomenon.

• It helps you identify the limits to those generalizations. A theoretical framework specifies which key variables influence a phenomenon of interest and highlights the need to examine how those key variables might differ and under what circumstances.

Strategies for Developing the Theoretical Framework

• Examine your thesis title and research problem.

• Brainstorm about what you consider to be the key variables in your research.

• Review related literature to find how scholars have addressed your research problem.

• Identify the assumptions from which the author(s) addressed the problem.

• List the constructs and variables that might be relevant to your study. Group these variables into independent and dependent categories.

• Review key social science theories that are introduced to you in your course readings and choose the theory that can best explain the relationships between the key variables in your study.

• Discuss the assumptions or propositions of this theory and point out their relevance to your research.

Difference between theoretical and conceptual framework

• A theoretical framework is a group of related ideas that provides guidance to a research project or business endeavour. The appropriateness of a theoretical framework that a marketing department/counselling is using to promote its corporate and product image to the consuming public/target for example can be an important determinant of its ultimate success.

• A conceptual framework is an analytical tool with several variations and contexts. It is used to make conceptual distinctions and organize ideas. Strong conceptual frameworks capture something real and do this in a way that is easy to remember and apply.

(Miles & Huberman, 1994:18)

References

• Abend, Gabriel. "The Meaning of Theory." Sociological Theory 26 (June 2008): 173–199.

• Corvellec, Hervé, ed. What is Theory?: Answers from the Social and Cultural Sciences. Stockholm: Copenhagen Business School Press, 2013

• Jacard, James and Jacob Jacoby. Theory Construction and Model-Building Skills: A Practical Guide for Social Scientists. New York: Guilford, 2010.

• Jarvis, Peter. The Practitioner-Researcher. Developing Theory from Practice. San Francisco, CA: Jossey-Bass, 1999.

• Leedy, P. D., & Ormrod, J. E. Practical Research Planning and Design (5th ed.). New Jersey: Pearson Merrill Prentice Hall. 2005.

• Neuman, WL. Social Research methods. Qualitative and quantitative approaches. Boston, London Toronto: Allyn & Bacon. 1997.

• Ravitch, Sharon M. and Matthew Riggan.Reason and Rigor: How Conceptual Frameworks Guide Research. Second edition. Los Angeles, CA: SAGE, 2017.

• Sutton, Robert I. and Barry M. Staw. “What Theory is Not.” Administrative Science Quarterly 40 (September 1995): 371-384.

• Swanson, Richard A. Theory Building in Applied Disciplines. San Francisco, CA: Berrett-Koehler Publishers 2013.

• Torraco, R. J. “Theory-Building Research Methods.” In Swanson R. A. and E. F. Holton III , editors. Human Resource Development Handbook: Linking Research and Practice. (San Francisco, CA: Berrett-Koehler, 1997): pp. 114-137.

• Trochim, William M.K.Philosophy of Research. Research Methods Knowledge Base. 2006

• The Conceptual Framework. College of Education. Alabama State University

• Regoniel, Patrick A. 2015. Conceptual framework: a step by step guide on how to make one https://simplyeducate.me/2015/01/05/conceptual-framework-guide/