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Research Methods Information: Theoretical Models (Using Theory)

A comprehensive resource for faculty and students who are teaching and conducting research.

Theoretical Models

What is Meant by Theory?

 

theory of everything comic strip


A theory is a well-established principle that has been developed to explain some aspect of the natural world.


Defining Theory

Theories are formulated to explain, predict, and understand phenomena and, in many cases, to challenge and extend existing knowledge, within the limits of the critical bounding assumptions.

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

 


COMIC: Theory of Everything comic by ThadGuy.com and used with permission.

The Importance of Theory


Why is Theory Important in Research?


A theoretical framework consists of concepts, together with their definitions, and existing theory/theories that are 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 will relate it to the broader fields of knowledge in the class you are taking.

The theoretical framework is not something that is found readily available in the literature. You must review course readings and pertinent research literature for theories and analytic models 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.

The theoretical framework strengthens the study in the following ways.

  1. An explicit statement of  theoretical assumptions permits the reader to evaluate them critically.
  2. The theoretical framework connects the researcher to existing knowledge. Guided by a relevant theory, you are given a basis for your hypotheses and choice of research methods.
  3. Articulating the theoretical assumptions of a research study forces you to address questions of why and how. It permits you to move from simply describing a phenomenon observed to generalizing about various aspects of that phenomenon.
  4. Having a theory helps you to identify the limits to those generalizations. A theoretical framework specifies which key variables influence a phenomenon of interest. It alerts you to examine how those key variables might differ and under what circumstances.

By virtue of its application nature, good theory in the social sciences is of value precisely because it fulfills one primary purpose: to explain the meaning, nature, and challenges of a phenomenon, often experienced but unexplained in the world in which we live, so that we may use that knowledge and understanding to act in more informed and effective ways.


SOURCES:
The Conceptual Framework. College of Education. Alabama State University; Corvellec, Hervé, ed. What is Theory?: Answers from the Social and Cultural Sciences. Stockholm: Copenhagen Business School Press, 2013; Asher, Herbert B. Theory-Building and Data Analysis in the Social Sciences. Knoxville, TN: University of Tennessee Press, 1984; Drafting an Argument. Writing@CSU. Colorado State University; Ravitch, Sharon M. and Matthew Riggan. Reason and Rigor: How Conceptual Frameworks Guide Research. Second edition. Los Angeles, CA: SAGE, 2017; Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006; Jarvis, Peter. The Practitioner-Researcher. Developing Theory from Practice. San Francisco, CA: Jossey-Bass, 1999.

 


Labaree, Robert. Types of Research Designs. Organizing Your Social Sciences Research Papers: Types of Designs research guide. USC Libraries, 2016.
The content of this section was created by Dr. Labaree and used with his permission.

Theory vs Hypothesis

 

What is a Theory? What is a Hypothesis?


The terms theory and hypothesis are often used interchangeably in everyday use. However, the difference between them in scholarly research is important, particularly when using an experimental design. A theory is a well-established principle that has been developed to explain some aspect of the natural world.

Theories arise from repeated observation and testing and incorporates facts, laws, predictions, and tested hypotheses that are widely accepted [e.g., rational choice theory; grounded theory].

A hypothesis is a specific, testable prediction about what you expect to happen in your study. For example, an experiment designed to look at the relationship between study habits and test anxiety might have a hypothesis that states, "We predict that students with better study habits will suffer less test anxiety." Unless your study is exploratory in nature, your hypothesis should always explain what you expect to happen during the course of your research.

The key distinctions are:

  • A theory predicts events in a broad, general context; a hypothesis makes a specific prediction about a specified set of circumstances.
  • A theory has been extensively tested and is generally accepted among scholars; a hypothesis is a speculative guess that has yet to be tested.
     


SOURCES: Cherry, Kendra. Introduction to Research Methods: Theory and Hypothesis. About.com Psychology; Gezae, Michael et al. Welcome Presentation on Hypothesis. Slideshare presentation.


Labaree, Robert. Types of Research Designs. Organizing Your Social Sciences Research Papers: Types of Designs research guide. USC Libraries, 2016.
The content of this section was created by Dr. Labaree and used with his permission.

Relationship Between Theories and Methods

 

Knowing the Relationship Between Theories and Methods


There can be multiple meaning associated with the term "theories" and the term "methods" in social sciences research. A helpful way to delineate between them is to understand "theories" as representing different ways of characterizing the social world when you research it and "methods" as representing different ways of generating and analyzing data about that social world. Framed in this way, all empirical social sciences research involves theories and methods, whether they are stated explicitly or not. However, while theories and methods are often related, it is important that as a researcher, you deliberately separate them in order to avoid your theories playing a disproportionate role in shaping what outcomes your chosen methods produce.

Introspectively engage in an ongoing dialectic between the application of theories and methods to help enable you to use the outcomes from your methods to interrogate and develop new theories, or ways of framing conceptually the research problem. This is how scholarship grows and branches out into new intellectual territory.


SOURCES: Reynolds, R. Larry. Ways of Knowing. Alternative Microeconomics. Part 1, Chapter 3. Boise State University; The Theory-Method Relationship. S-Cool Revision. United Kingdom.


Labaree, Robert. Types of Research Designs. Organizing Your Social Sciences Research Papers: Types of Designs research guide. USC Libraries, 2016.
The content of this section was created by Dr. Labaree and used with his permission.

Strategies for Developing the Theoretical Framework


Developing the Framework


Here are some strategies to develop of an effective theoretical framework:

  1. Examine your thesis title and research problem. The research problem anchors your entire study and forms the basis from which you construct your theoretical framework.
  2. Brainstorm on what you consider to be the key variables in your research. Answer the question, what factors contribute to the presumed effect?
  3. Review related literature to find answers to your research question.
  4. List  the constructs and variables that might be relevant to your study. Group these variables into independent and dependent categories.
  5. Review the key social science theories that are introduced to you in your course readings and choose the theory or theories that can best explain the relationships between the key variables in your study [note the Writing Tip on this page].
  6. Discuss the assumptions or propositions of this theory and point out their relevance to your research.

A theoretical framework is used to limit the scope of the relevant data by focusing on specific variables and defining the specific viewpoint (framework) that the researcher will take in analyzing and interpreting the data to be gathered, understanding concepts and variables according to the given definitions, and building knowledge by validating or challenging theoretical assumptions.



Purpose


Think of theories as the conceptual basis for understanding, analyzing, and designing ways to investigate relationships within social systems. To the end, the following roles served by a theory can help guide the development of your framework.*

  • Means by which new research data can be interpreted and coded for future use,
  • Response to new problems that have no previously identified solutions strategy,
  • Means for identifying and defining research problems,
  • Means for prescribing or evaluating solutions to research problems,
  • Way of telling us that certain facts among the accumulated knowledge are important and which facts are not,
  • Means of giving old data new interpretations and new meaning,
  • Means by which to identify important new issues and prescribe the most critical research questions that need to be answered to maximize understanding of the issue,
  • Means of providing members of a professional discipline with a common language and a frame of reference for defining boundaries of their profession, and
  • Means to guide and inform research so that it can, in turn, guide research efforts and improve professional practice.

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


Labaree, Robert. Types of Research Designs. Organizing Your Social Sciences Research Papers: Types of Designs research guide. USC Libraries, 2016.
The content of this section was created by Dr. Labaree and used with his permission.

Incorporating Theory in Your Structure and Writing Style


Structure and Writing Style


The theoretical framework may be rooted in a specific theory, in which case, you are expected to test the validity of an existing theory in relation to specific events, issues, or phenomena. Many social science research papers fit into this rubric. For example, Peripheral Realism theory, which categorizes perceived differences between nation-states as those that give orders, those that obey, and those that rebel, could be used as a means for understanding conflicted relationships among countries in Africa.

 

A test of this theory could be the following: Does Peripheral Realism theory help explain intra-state actions, such as, the growing split between southern and northern Sudan that may likely lead to the creation of two nations?

However, you may not always be asked by your professor to test a specific theory in your paper, but to develop your own framework from which your analysis of the research problem is derived. Given this, it is perhaps easiest to understand the nature and function of a theoretical framework if it is viewed as the answer to two basic questions:

  1. What is the research problem/question? [e.g., "How should the individual and the state relate during periods of conflict?"]
  2. Why is your approach a feasible solution? [I could choose to test Instrumentalist or Circumstantialists models developed among Ethnic Conflict Theorists that rely upon socio-economic-political factors to explain individual-state relations and to apply this theoretical model to periods of war between nations].

The answers to these questions come from a thorough review of the literature and your course readings [summarized and analyzed in the next section of your paper] and the gaps in the research that emerge from the review process. With this in mind, a complete theoretical framework will likely not emerge until after you have completed a thorough review of the literature.



In writing this part of your research paper, keep in mind the following:

  • Clearly describe the framework, concepts, models, or specific theories that underpin your study. This includes noting who the key theorists are in the field who have conducted research on the problem you are investigating and, when necessary, the historical context that supports the formulation of that theory. This latter element is particularly important if the theory is relatively unknown or it is borrowed from another discipline.
  • Position your theoretical framework within a broader context of related frameworks, concepts, models, or theories. There will likely be several concepts, theories, or models that can be used to help develop a framework for understanding the research problem. Therefore, note why the framework you've chosen is the appropriate one.
  • The present tense is used when writing about theory.
  • You should make your theoretical assumptions as explicit as possible. Later, your discussion of methodology should be linked back to this theoretical framework.
  • Don’t just take what the theory says as a given! Reality is never accurately represented in such a simplistic way; if you imply that it can be, you fundamentally distort a reader's ability to understand the findings that emerge. Given this, always note the limitiations of the theoretical framework you've chosen [i.e., what parts of the research problem require further investigation because the theory does not explain a certain phenomena].

SOURCES: The Conceptual Framework. College of Education. Alabama State University; Conceptual Framework: What Do You Think is Going On? College of Engineering. University of Michigan; Drafting an Argument. Writing@CSU. Colorado State University; Lynham, Susan A. “The General Method of Theory-Building Research in Applied Disciplines.” Advances in Developing Human Resources 4 (August 2002): 221-241; Tavallaei, Mehdi and Mansor Abu Talib. A General Perspective on the Role of Theory in Qualitative Research. Journal of International Social Research 3 (Spring 2010); Trochim, William M.K. Philosophy of Research. Research Methods Knowledge Base. 2006.


Labaree, Robert. Types of Research Designs. Organizing Your Social Sciences Research Papers: Types of Designs research guide. USC Libraries, 2016.
The content of this section was created by Dr. Labaree and used with his permission.

Selected Journals on Theory

 

Selected Journals in the APUS Library

Selected Books on Theory

 

Selected Books in the APUS Library

 

VIDEO: Creating a Theoretical Framework


A short introduction to theoretical frameworks and how to approach constructing one.

Presented by Francois J. Desjardins, Associate Professor at University of Ontario Institute of Technology.
Published on Jul 19, 2010 | Duration: 7:54

NOTE: Dr. Desjardins speaks a bit quickly at times but the content of his presentation is very good. If viewing directly on YouTube, click on MORE for the transcript.