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UNDERSTANDING, SELECTING, AND INTEGRATING A THEORETICAL FRAMEWORK IN DISSERTATION RESEARCH: CREATING THE BLUEPRINT FOR YOUR “HOUSE” Cynthia Grant, PhD University of Colorado-Denver

Azadeh Osanloo, PhD New Mexico State University

The theoretical framework is one of the most important aspects in the research process, yet is often misunderstood by doctoral candidates as they prepare their dissertation research study. The importance of theory-driven thinking and acting is emphasized in relation to the selection of a topic, the development of research questions, the conceptualization of the literature review, the design approach, and the analysis plan for the dissertation study. Using a metaphor of the “blueprint” of a house, this article explains the application of a theoretical framework in a dissertation. Steps for how to select and integrate a theoretical framework to structure all aspects of the research process are described, with an example of how to thread theory throughout the dissertation.

Keywords: theoretical framework, dissertation, doctoral, academic writing, research methods

The dissertation is a labor of love requiring much work, sweat, and tears, as well as organization skills and extensive resources from others who are involved with the process. The final product is a document that one can recognize as a once-in-a-lifetime achievement. We liken this experience to the task of building your own home. As any architect or contractor knows, prior to building a house, one must develop drawings called a blueprint for the structure. A blueprint serves as a guide for all those who are involved in the construction of the home. The drawing permits the foundation of the home to be built, and it dictates the overall floor plan of rooms, the flow of plumbing, electrical, and mechanical systems—even the direction in which the house will face. Like housing construction, much critical thinking and planning must be put into developing a blueprint for the dissertation. We believe the blueprint is an appropriate analogy of the theoretical framework of the dissertation.

The theoretical framework is one of the most important aspects in the research process, and a component that is often minimally covered in doctoral coursework. Iqubal described the struggle to identify and prepare the theoretical framework for the dissertation as “the most difficult but not impossible part of [the] proposal” (2007, p.17). As professors and dissertation committee members of doctoral students in the fields of education, policy, leadership, curriculum and instruction, and social work, we have heard students express confusion, a lack of knowledge, and frustration with the challenge of choosing a theoretical framework and understanding how to apply it throughout the dissertation. Some students briefly make mention of a theoretical framework at the start of the dissertation and never return to it throughout the rest of the document; others omit the inclusion of a theoretical framework in the proposal and are required to restructure their document after committee review.

The importance of utilizing a theoretical framework in a dissertation study cannot be stressed enough. The theoretical framework is the foundation from which all knowledge is constructed (metaphorically and literally) for a research study. It serves as the structure and support for the rationale for the study, the problem statement, the purpose, the significance, and the research questions. The theoretical framework provides a grounding base, or an anchor, for the literature review, and most importantly, the methods and analysis. Lysaght (2011) highlighted the necessity of identifying one’s theoretical framework for a dissertation study:

A researcher’s choice of framework is not arbitrary but reflects important personal beliefs and understandings

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13 Grant & Osanloo DOI: 10.5929/2014.4.2.9

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about the nature of knowledge, how it exists (in the metaphysical sense) in relation to the observer, and the possible roles to be adopted, and tools to be employed consequently, by the researcher in his/her work. (p. 572)

Without a theoretical framework, the structure and vision for a study is unclear, much like a house that cannot be constructed without a blueprint. By contrast, a research plan that contains a theoretical framework allows the dissertation study to be strong and structured with an organized flow from one chapter to the next.

Over the past 30 years, there has been an increasing trend to include a theoretical framework in the dissertation (Melendez, 2002). There is an expectation by most chairpersons and committee members that a dissertation study will be informed by theory. Despite these realities, oftentimes students begin the dissertation process at a loss for how to accomplish working with a theoretical framework. Concurrently, incorporating a theoretical framework into research studies is a task that some may continue to struggle with post-graduation. Silver and Herbst (as cited in Lester, 2005) have acknowledged that journal submissions are often rejected for being atheoretical, or having no theory. This underscores the importance of teaching students how to implement a theoretical framework in their research, as it pertains not only to the dissertation, but also to scholarship and research activities in the professorate.

Thus, the purpose of this article is to provide an overview of the theoretical framework and to outline a blueprint for how to understand, select, and integrate a theoretical framework into one’s research when writing the dissertation. We offer the analogy of using a blueprint when building a house to provide the reader with a visual representation of the importance of this step in the development of a dissertation idea. We hope the necessity of this step in preparing the dissertation will be metaphorically obvious—a contractor could not possibly know what kind of house to build without instructions mapped out ahead of time. Similarly, one cannot guide a reader through thinking about a dissertation study without a clear explication of the study’s theoretical framework. This article is intended to be a resource for faculty working with doctoral students in the classroom or in an advisory role; however, it is primarily aimed towards doctoral candidates who are seeking guidance with this foundational piece of the dissertation.

This article first covers the basics of understanding a theoretical framework, while simultaneously introducing the analogy of the blueprint for a house, which is a running theme throughout the entire article. This section also focuses on the differences between a theoretical and conceptual framework. Next, the article describes the important tenets of selecting an appropriate theoretical framework for one’s research. Finally, we highlight strategies and techniques for implementing a theoretical framework in a dissertation study.

UNDERSTANDING THE THEORETICAL FRAMEWORK What is a Theoretical Framework? The theoretical framework is the “blueprint” for the entire dissertation inquiry. It serves as the guide on which to build and support your study, and also provides the structure to define how you will philosophically, epistemologically, methodologically, and analytically approach the dissertation as a whole. Eisenhart defined a theoretical framework as “a structure that guides research by relying on a formal theory…constructed by using an established, coherent explanation of certain phenomena and relationships” (1991, p. 205). Thus, the theoretical framework consists of the selected theory (or theories) that undergirds your thinking with regards to how you understand and plan to research your topic, as well as the concepts and definitions from that theory that are relevant to your topic. Lovitts (2005) empirically defines criteria for applying or developing theory to the dissertation that must be appropriate, logically interpreted, well understood, and align with the question at hand.

We assert that students must select and clarify a theoretical framework from the time the dissertation topic is initially conceptualized. Philosophers such as Dooyeweerd (as cited in Sire, 2004, p. 35) have even gone so far as to call for “pretheoretical commitments” by the researcher to specifically identify one’s “worldview of the heart rather than the mind.” We profess that the researcher’s choice of theory must be clearly stated and explicitly mentioned early in the writing of the dissertation.

Mertens acknowledged that the theoretical framework “has implications for every decision made in the research process” (1998, p. 3), which supports our belief that the theoretical framework for a study must be identified at the

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inception of dissertation work. We also believe that all research is theoretical. The importance of theory-driven thinking and acting should be emphasized in relation to the selection of a topic, development of research questions, focus of the literature review, the design approach, and analysis plan for the dissertation study. Anderson, Day, and McLaughlin (2006) capture the necessity of including a sound theoretical underpinning in a dissertation study with a quote from a dissertation supervisor who stated, “I don’t see how you can do a good piece of work that’s atheoretical” (p. 154). Similarly, Sarter (2005, p. 494) addressed the “limited usefulness of findings and conclusions” when a study is not justified by a theoretical framework. Evidence across disciplines is clear that the explicit identification and inclusion of a theoretical framework is a necessity of sound research.

The Blueprint We liken the theoretical framework to the blueprint for a house—you (the student and researcher) are the architect who is charged with choosing what you are going to build and how the property will be constructed as you imagine it. Once you create the blueprint, others will have a basic idea of what concepts and principles you will use to establish the ideas and approaches to your dissertation. Only after a plan for the house has been determined can you begin to build the dissertation study.

There are two types of blueprint drawings that are used in the construction industry that correlate to the theoretical framework of the dissertation. First, an architect must create an elevation drawing to display the exterior of the home. This drawing offers an outside view of the style and structure, as shown in Figure 1.

Figure 1. Traditional style elevation blueprint drawing

Types of houses vary across the country, from a ranch, bungalow, an American Four Square, adobe style, Craftsman, split-level, etc. There is no one perfect or right style of house, although certain home styles dominate certain parts of the country. All can provide shelter and residency. Similarly, there is no one perfect or right theory for a dissertation, but certain theories are popular within each discipline. As an architect or construction developer must select the type of house to build, the researcher must choose a theory to structure the dissertation.

Theories come from a multitude of sources in each discipline, and there are always more being created and applied across fields. For example, there is a plethora of options within the realm of educational leadership for selecting a theoretical framework. The researcher must select the appropriate theory of how his/her “house” will look on the exterior. The following list details a sampling of commonly used theories across disciplines.

• Transformational/relational theories • Transactional/management theories • Servant leadership/moral theories • Trait theories • Situational theories

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