Chapter 3
The Uses of
Theory
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Chapter 3 Learning Objectives
• 1. Identify the seven steps in locating and using theories for
incorporation into a proposal or a study.
• 2. Identify the major distinctions between an inductive and
deductive use of theory in a research study.
• 3. Define variables, their measurement, and a causal model
for inclusion in quantitative research.
• 4. Distinguish between the deductive approach, a theoretical
standpoint, and an end point as ways to incorporate theories
into qualitative research.
• 5. Describe the difference between discipline-based theory
and social justice use of theories
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Introduction
• What theories might be used?
• Quantitative researchers test hypotheses from theory
• Qualitative researchers may use as a lens or generate a
theory
• Mixed methods researchers may do both
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The Varied Use of Theory
• 1. Identify the theory from literature search
• 2. Place the theory at the beginning of the article as an a
priori framework
• 3. Name the theory to be used and describe how it informs the
quantitative, qualitative or mixed methods study
• 4. Discuss studies using the theory
• 5. Diagram the theory
• 6. Theory provides framework for the study
• 7. Review theory’s role at end of study in findings and results,
and compare to other studies
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Definition of a Theory in
Quantitative Research (1 of 2)
• Theory is a scientific prediction or explanation of what the
Researcher expects to find
• Interrelated set of constructs or variables
• Hypothesis: predictive statement that is tested
• Theory emerges from testing hypotheses over and over
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Definition of a Theory in
Quantitative Research (2 of 2)
• Micro-level theories – limited to a small segment of time,
place or number of people
• Meso-level theories – link micro-level and macro-level
theories
• Macro-level theories – explain larger scales, for
example the entire society
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Variables in Quantitative Research (1 of
5)
• Variable – characteristic of an individual or group that
can be measured or observed
• Examples: age, gender, socioeconomic status,
attitudes
• Variables may have temporal order or be measurable
or observable
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Variables in Quantitative Research (2 of 5)
• Independent
– Variables that probably cause outcomes
• Dependent
– The outcomes that depend on the independent
variables
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Variables in Quantitative Research (3 of
5)
• Predictor
– Used to predict outcome of interest in survey method
studies
• Outcome
– Result or outcome of interest in survey method studies
– Share properties with dependent variables
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Variables in Quantitative Research (4 of 5)
• Intervening or mediating
– Variables that stand between the independent and
dependent variables
– Transmit the effects
• Moderating
– Predictor variables that affect the relationship between
independent and predictor variables
• Confounding
– “Third variable” that is both related to the independent
and dependent variables
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Variables in Quantitative Research (5 of 5)
– Hypothesis – prediction about a specific event or
relationship between variables
– Scale of Measurement – response options available
to participants on instruments or collected by
researcher observing participants
– Categorical scales – nominal and ordinal
– Continuous scales – interval and ratio
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Testing Causal Claims in
Quantitative Research
– Causality – we would expect variable X to cause
variable Y
– Consider whether confounding variable (Z) may cause
the outcome
– Temporal order – one variable precedes another in
time
– Quantitative researchers order variables left to
right by temporal order in purpose statements,
research questions, and visual models
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Stating Theories in
Quantitative Research (1 of 6)
– Hypotheses
– If-then logic statements
– Visual models
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Stating Theories in
Quantitative Research (2 of 6)
• Hypotheses
– The higher one’s rank, the greater one’s centrality.
– The greater one’s centrality, the greater one’s observability.
– The higher one’s rank, the greater one’s observability.
– The greater one’s centrality, the greater one’s conformity.
– The higher one’s rank, the greater one’s conformity.
– The greater one’s observability, the greater one’s conformity.
– The greater one’s conformity, the greater one’s observability.
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Stating Theories in
Quantitative Research (3 of 6)
• If-Then Statements
– Explain why one would expect independent
variables to influence or cause the dependent
variables
• Visual Model
– Translate variables into a visual picture to help
readers visualize interconnections of variables
– Sample models (Figures 3.1-3.3)
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Stating Theories in
Quantitative Research (4 of 6)
Figure 3.1: Three Predictor Variables Influence a Single
Dependent Variable Mediated by Two Intervening Variables
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Stating Theories in
Quantitative Research (5 of 6)
Figure 3.2: Two Groups With Different Treatment on X Are
Compared in Terms of Y
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Stating Theories in
Quantitative Research (6 of 6)
Figure 3.3: A Visual Model of a Theory of Faculty Scholarly Performance
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Placement of Quantitative Theories
(1 of 2)
• Towards the beginning of the study
• Used deductively (Figure 3.4)
• Framework for study
• Organizing model for
– Research questions or hypotheses
– Data collection procedure
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Placement of Quantitative Theories (2 of 2)
Figure 3.4: The Deductive Approach Typically Used in
Quantitative Research
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Writing a Quantitative Theoretical
Perspective (1 of 2)
Writing a quantitative theoretical perspective:
• Examine discipline specific literature (psychological,
sociological, etc.)
• Examine prior studies on the topic and related topics
• Ask the question that bridges independent and the
dependent variables
• Script out the theory section (Example 3.1)
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Writing a Quantitative Theoretical
Perspective (2 of 2)
• Script for the theory section
– Name the theory
– Identify origin, source
– Identify topics where it is applied
– Identify propositions or hypotheses
– State independent variables
– State dependent variables
– Provide a rationale
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Variation in Theory Use in
Qualitative Research (1 of 4)
• Used for a broad explanation
• Used a theoretical lens or perspective – overall
orienting lens for question of gender, class, and race
• Theory becomes the end point in an inductive
approach (Figure 3.5)
• Do not employ any explicit theory
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Variation in Theory Use in
Qualitative Research (2 of 4)
Figure 3.5: The Inductive Logic of Research in a Qualitative Study
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Variation in Theory Use in
Qualitative Research (3 of 4)
• Qualitative theoretical perspectives
– Feminist perspective
– Racialized discourse
– Critical theory
– Queer theory
– Disability inquiry
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Variation in Theory Use in
Qualitative Research (4 of 4)
• Decide if you will use a theory in your qualitative
proposal
• If used, identify how theory will be used
• Locate theory early in the research proposal or at the
end
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Locating the Theory in
Qualitative Research
Locating the theory in qualitative research:
• Studies with cultural themes or theoretical lens
– In the opening passages
• Studies with an emerging design of qualitative inquiry
– At the beginning, may be modified
• Studies based on grounded theory
– Theory derived inductively
– Placed at the end
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Types of Mixed Methods Theory Use
(1 of 5)
• Mixed methods studies may:
– Include theory deductively (theory testing and
validity)
– Include theory inductively (an emerging theory or
pattern)
– Use a discipline-based or participatory-social justice
framework
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Types of Mixed Methods Theory Use
(2 of 5)
Discipline-based theory use:
• Placed at the beginning as an a priori framework to
guides questions/hypothesis
• Named and described, used to inform the explanation of
the major variables in the study
• Diagrammed to indicate the causal links
• Used to guide the data collection process
• Returned to at the end to inform findings and results
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Types of Mixed Methods Theory Use
(3 of 5)
Participatory-social justice theory use:
• Growing use of transformative theory and mixed methods
• Theoretical framework to inform a mixed methods project
• Ethical stance of inclusion and challenging oppression
• Designed to build trust
• Use of results to enhance social justice
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Types of Mixed Methods Theory Use
(4 of 5)
Participatory-social justice theory use:
• Incorporating into a mixed methods study
– Indicate at the beginning that transformative theory is
in use
– Early in the study, outline the framework.
– Connect the theory with the existing body of
knowledge on the topic
– Involve the community of interest in the process of the
research
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Types of Mixed Methods Theory Use
(5 of 5)
Participatory-social justice theory use:
• Incorporating into a mixed methods study
– Take a stand with the research question
– Advance in the design qualitative and quantitative
methods
– Talk about your experience as a researcher
– End the study by advocating for change
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Distinctions Between a
Theory and a Worldview (1 of 2)
Theories and worldviews are not the same
• Worldview relates to beliefs and values of researcher and
how these inform the study (Figure 3.6)
• Theories are less abstract, drawn from literature, and
guide many research process aspects (e.g.,
methodological approaches to design, data collection
methods)
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Distinctions Between a
Theory and a Worldview (2 of 2)
Figure 3.6: The Four Levels for Developing a Research Study (Adapted
from Crotty, 1998)
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Summary
Theory is used to:
• Provide an explanation or prediction about the
relationship among variables in quantitative research
• Provide broad explanation, a theoretical lens, or as an
end-point in qualitative research
• Inform the design, data collection, analysis, and
interpretation in mixed methods research
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