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The Role of Theory in Research: Perspectives, Applications, and Interdependence

Discusses the role of theory in guiding academic research.

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    The Role of Theory in Research: Perspectives, Applications, and Interdependence Comprehensive Doctoral Review Examination Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Business Administration (or Philosophy) Discuss the role of theory in research, emphasizing how it helps researchers make sense of concepts or situations and present reliable solutions to problems. In your answer, explain the differences between philosophical and scientific theories, their applications in research, and the concepts related to theory such as models, paradigms, concepts, and hypotheses. Additionally, analyze the interdependent relationship between research and theory, including how research contributes to the refinement and expansion of theoretical frameworks. Support your discussion with relevant scholarly perspectives. (Word Count: 1500 - 2000)

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    2 Theory Part 1 In research, theory refers to defined or proposed w ays through which researchers are able to make sense of concepts or situations. It is through a theory that researchers are able to present reliable solutions to a problem (Udo - Akang, 2012). Theory can be viewed as a generalization that is used to explain a phenomenon in line with the reasons why it occurs and how it occurs. General statements that are used to explain the cause or effect of a phenomenon are based on specific theoretical frameworks (Stam, 2010). A theory is a powerful tool through which researchers connect events and observations into a single unified web. The relationship among the statements of a theory defines the power of the theory as a basis upon which problems are solved and phenomena are understood (Harlow, 2009). A theory plays an important function in explaining, describing, controlling or predicting phenomena in different or divergent contexts (Udo - Akang, 2012). The interactions of the various variables of phenomena constitute a theoretical framework. Theory can also be viewed as a system or a group of laws or rules and assumptions that are used to explain the implications of phenomena (Zahra, & Newey, 2009). Theories are used to make inferences or conclusions on a specific issue. The generalizations that are presented within theoretical frameworks often indicate new research observations (Wacker, 1998). These observations are constituted within a theory if they can be tested through scientific inquiry and if they are applicable in predicting or explaining certain phenomena. When knowledge is organized in a systematic manner, it also becomes and constitutes a theory. Theories are specifically applied to solve problems in the real world (Stam, 2010).

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    3 Credible or reliable research should be grounded on a specific theory or theories. This means that research should be informed and guided by theoretical views. Research findings can therefore be used to describe or explain a theory or be used to come up with new theories (Udo - Akang, 2012). There are two main types of theories upon which researches are grounded. These are philosophical theories and scientific theories. Philosophical theories are those whose subject matter or what they postulate is based on ideas rather than empirical research data (Harlow, 2009). The truth behind philosophical theories does not require an empirical research process or inquiry in order to be proven. Ethical theories and frameworks are examples of philosophical theories (Corley & Gioia, 2011). Scientific theory refers to explanations or descriptions of a phenomenon that are based on empirical data or facts. Scientific theories are therefore those that have been proven through observations, surveys or experiments (Zahra, & Newey, 2009). The predictions of a scientific theory must be predictable, accurate and consistent, regardless of the discipline of study or research. The evidence that supports scientific theory is strong because it can be authenticated (Udo - Akang, 2012). Scientific theories are used to define and explain a wide range of concepts, issues and phenomena. The diversity of the concepts that are described by a scientific theory is used to define its level of complexity (Harlow, 2009). As scientific knowledge expands, the accuracy of scientific theory improves. This is due to the role of research in improving theoretical frameworks and making them more evidence based (Wacker, 1998). The real life problems that scientific theory is used to solve include the management or treatment of illnesses and developing new and improved technologies to solve problems with efficiency . Various concepts are related to theory and its application in research processes. These concepts include model, paradigm, concept and hypothesis. Even though these concepts are

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    4 related to theory, they can be distinguished from both philosophical and scientific theories (Stam, 2010). A model refers to the tool that is applied in the process of constructing a theory. A m odel is often presented graphically or in a written format , and it is used to represent the components of a theory or its entirety. Models are not used to explain the components of a theory. Instead , they act as a method or approach through which researchers can explore a theory (Colquitt & Zapata - Phelan, 2007). Models are effectively used to illustrate a theory and its constituent components. Examples of models that are used to explore theories include molecular models and structural models (Gelso, 2006). A paradigm is a group or framework of worldviews or beliefs , which researchers use to define the boundaries, methods and values upon which their research processes are based (Udo - Akang, 2012). The approach through which a research topic is tackled is therefore part of the research paradigm. Researchers use paradigms to distinguish between what is important and warrants scientific inquiry from what is not important (Stam, 2010). In addition, paradigms allow researchers to determine and explain what they can possibly achieve during the research and what is impossible. In this sense, paradigms are the divergent views of a theory which are necessary to direct the research towards the end objective. (Colquitt & Zapata - Phelan, 2007). A concept is a unit of a theory. It acts as a building block upon which the postulates of a theory are constructed. This means that concepts are used to come up with a theory or a theoretical framework (Stam, 2010). The manner in which researchers interpret, explain and describe a theory is base d on its concepts. Theoretical concepts can also be viewed as the items within a research topic or concerns that are being investigated (Harlow, 2009). Researchers often compare a wide range of items in line with how they relate and how they affect each other. These items are described as the main concepts of the research (Zahra, & Newey, 2009). Concept is

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    5 therefore a method that researchers use to describe a theory or theoretical work. Education is an example of a concept that is used to describe the learning experiences of an individual. A hypothesis is an important ele ment of a research process that describes the educated prediction or informed guess of the way the research subject is to be tested statistically . Researchers come up with hypotheses on the basis of their prior knowledge, experiences or observations (Wacker, 1998). A hypothesis differs from a theory because it is not yet proven or substantiated. Research hypotheses must be testable in order to become a theory. This is different from a theory which does not need to be tested in order to be applicable in understanding a phenomenon (Corley & Gioia, 2011). One or more hypotheses can be presented by researchers with a view of using scientific evidence to prove or substantiate them. This implies that a hypothesis is one of the components of a scientific theory (Stam, 2010). From a review of the views of different scholars, it becomes apparent that there are different perspectives of what constitutes a scientific theory. For instance, one view of a theory is that it is made of different constructs. There are a wid e range of constructs that make up a theory (Jeanjean & Ramirez, 2009). They include its delimitation, level of clarity, comprehens iv eness, testability, heuristic value, descriptive ability, integration and explanatory ability. Research is used to refine a research and to achieve an understanding of its constituent constructs. This view of a theory is different from the views that describe a theory as a system of rules or a set of organized knowledge (Gelso, 2006). The three main approaches of research to theory like realism, instrumentalism and reductionism are too be understood clearly if theory has to be applied in research.While t he view of realism is that entities live and exist independently and beyond the scope of being perceived as they are real . (Jeanjean & Ramirez, 2009). This means that people should view the

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    6 world on the basis of what research findings suggest and not their own subjective perceptions. This view of theory links theoretical frameworks with the importance of research processes in achieving an objective understanding of the world (Stam, 2010). The instrumentalism view of theory provides that theory acts as instruments through which people can understand the world. Instrumentalism further speaks of whether the theory is effective in explaining why a particular phenomena is used and how predicable it is . The reductionism view of theory indicates that the ability of an individual to learn about complex systems is based on an understanding of its units or constituent parts (Wacker, 1998). Part 2 Different scholarly perspectives and views on research theory reveal the significant relationship that exists between research and theory. For instance, theory is viewed as that which covers specific laws, brings about some form of enlightenment and is applicable in narrating or explaining phenomena (Ellis & Levy, 2008). The role of research findings in bringing about enlightenment or informing people about phenomena that was previously not understood demonstrates how research and theory are interrelated (Harlow, 2009). Both theory and research processes are used to educate people on methods, strategies and approaches through which they can mitigate or solve problems within the society (Leedy & Ormond, 2005). Because theory is a set of knowledge or rules, it is used to define the procedures and standards that would be applicable in implementing the most effective solutions to a problem (Ellis & Levy, 2008). Research and theory have a special relationship. On one hand, theory is used to explain or to predict phenomena. On the other hand, research is used to gather, analyze and interpret data and information in order to improve the understanding of a phenomenon (Harlow, 2009). This means that both theory and research are important in enhancing people’s understanding of the

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    7 world or society. New knowledge, which can be identified and proven, must be produced by a credible research. It is on the basis of this new knowledge that more understanding of phenomena is achieved (Ellis & Levy, 2008). Therefore, both research findings and theoretical perspectives can be used at the same time to satisfy the needs of achieving more understanding of happenings. Research and theory have a symbiotic relationship, which makes them interdependent (Ng & Hase, 2008). This is depicted by the fact that researchers rely on theory to interpret and explain their findings and theory is proven through a research process (Harlow, 2009). The credibility and reliability of research findings and inferences are based on the ability of a researcher to test and prove theoretical ideas and postulates. Research process focuses on contributing or building upon the existing knowledge and theory (Ellis & Levy, 2008). This is achieved by adding new facts, which are important in expanding theory. Researchers define the problem that their research findings aim at achieving before engaging in the actual research process (Weick, 1995). During the process of defining the research problem, the relationship between research and theory becomes apparent. This is because the research problem is related with the need to fill gaps in existing theory or providing more understanding on theoretical perspectives on a phenomenon (Gelso, 2006). This means that theory plays an important role in advancing research or scientific inquiry. Research processes that aim at verifying theory also reveal the relationship that exists between theory and research. Research process can also be used to refute or to explore a theory (Ellis & Levy, 2008). Qualitative and quantitative research are the two main methods that researcher use in conducting scientific inquiry. In qualitative research, researchers seek to achieve in - depth understanding and interpretation of phenomena that is associated with human interaction or the

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    8 socialization process (Harlow, 2009). The kind of data that is gathered and analyzed during qualitative research is non - statistical. Therefore, qualitative research entails investigation and understanding of the complex issues within the society, such as the perceptions, views and beliefs of members of the community (Ellis & Levy, 2008). On the other hand, quantitative research entails scientific inquiry that employs statistical and mathematical approaches and techniques to gather, analyze and interpret quantifiable data (Lynham, 2002). These two methods of the research process are important in the process of developing theories. Quantitative method of research inquiry contributes to the development of theory because it provides researchers with a measurable and specified approach of collecting and analyzing the gathered data (Weick, 1995). Through this method, access to statistical or mathematical data is facilitated. This data is then used to create a theory or refine an existing theory (Ellis & Levy, 2008). Qualitative research method plays an important role in the process of developing a theory because it provides researchers with a way or means of measuring observations, documenting them and interpreting their meaning (Harlow, 2009). Since theories emanate from the observations of scholars or researchers, the role of qualitative research method in the developing theories becomes apparent. Theories on the management of organizations are commonly based on qualitative research findings, inferences and recommendations (Ng & Hase, 2008). Through qualitative research methods, researchers are able to gather and interpret data on human behavior and the factors that influence this behavior. This data is used to develop theories on the styles and approaches of managing people, which are based on understanding of their behavioral attributes (Ellis & Levy, 2008). The complexities that characterize human interactions within the society are also understood best through qualitative research. Therefore, theories, such as those on

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    9 criminal behavior are developed through the application of qualitative research methods (Leedy & Ormond, 2005). Through qualitative research methods, researchers are able to achieve in - depth thoughts and description of various phenomena (Harlow, 2009). These thoughts are then used to formulate theories. In addition, qualitative research allows researchers to probe deeper into an issue during the data collection process, which is used to develop theories that describe social issues that are deviant of the norm (Ellis & Levy, 2008). the research process, both qualitative and quantitative, also plays a critical role in testing theories or shading more light on the concepts or components of existing theories (Lynham, 2002). Examples of constructs that can be used to illustrate the importance of research in the formulation of theories include causal relationships, predictive model development, developmental studies for product development and efficacy evaluation (Ng & Hase, 2008). Research is used to describe causal effect relationships, which are important in development of theories on the consequences of specific actions. Predictive models are developed through research observations or findings (Ellis & Levy, 2008). These models are then used to develop theories. Therefore, the important role of research in the creation, formulation and validation of theory should not be taken for granted. However, it is important to note that the need to refute a theory does not necessarily have to be supported by research. In some cases, researchers use their research findings to draft proposals for the refinement of an existing theory (Harlow, 2009). Part 3 Reductionism is one of the main views on research theory. This view of theory maintains that the understanding of complex systems should be based on an understanding of its units or constituent parts (Gershenson, 2013). I would use reductionism to conduct my study on the topic

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    10 “The Impact of Privatization on the Quality of Healthcare in Prisons”. I will utilize reductionism to understand the constituent parts or components of health care quality, such as responsiveness to the needs of patients, patient centeredness, and evidence based care, efficiency and safety in line to how the privatization of health care services within correctional facilities affects them (Ahalt, Trestman, Rich, Greifinger & Williams, 2013). Reductionism has three main parts. These are ontological reductionism, theory reductionism and methodological reductionism (Theurer, 2013). Ontological reductionism is a view of research theory that proposes that specific parts form a whole (Goldstein, 2012). On the basis of this view of research theory, I will identify the specific parts of the health care quality that define the holistic quality of care that private health care providers give to patients within correctional facilities. After identifying these parts, I will collect data related to each of the aspects of quality and relate it with how it is impacted by the privatization of health care services within correctional facilities. I will use qualitative method to gather data on the views and perceptions of inmates on the responsiveness of private health care providers to their health care needs. I will then analyze the gathered data with a goal of proving or refuting theoretical views on privatization and the quality of health care services within correctional facilities. I will do the same for the other aspects or indicators of health care quality. In doing this I will also focus on the development or creation of a theory that explains the decreasing quality of care within correctional facilities (Penrod, Loeb & Smith, 2014). I will achieve this by determining whether the decreasing quality of health care is related to privatization of health care services within prisons or other factors that affect health, such as availability of resources and overcrowding (Stern, Greifinger & Mellow, 2010).

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    11 Methodological reductionism provides that the use of research inquiry to explain phenomena should focus on the smaller entities of these phenomena (Pattaro, 2008). This view of research theory is therefore effective in my research because it will enable me to determine the institutional factors that led to the transfer of health care services within prisons from public health care organizations to private contractors and the associated implications on the quality of health care services that are given to patients within federal and state correctional facilities (Ahalt, Trestman, Rich, Greifinger & Williams, 2013). For instance, I will be able to gather and interpret data on the smaller entities or factors that are associated with privatization, such as the control of health care by private contractors and allocation of resources, including medical equipment and private health care providers. I will then use this analysis to formulate a theory that links privatization of health care systems in prisons and the outcomes of health care service delivery. Reductionism can be applied to meanings, explanations, phenomena, theories and objects (Mackinnon, 2008). This makes it suitable for my research because of the fact that I will analyze several interrelated variables, such as the quality of health care in prisons, health care outcomes, privatization, cost containment and allocation of resources (Rieder, Casillas, Mary, Secretan, Gaspoz & Wolff, 2013). In addition to the theoretical aspects of health care and the delivery of high quality services, I will employ reductionism as the most appropriate theoretical view in understanding objects, such health care equipment and environment, and relate them to privatization and the safety of health care services that are provided to inmates by private health care professionals. Theory reductionism suggests that when researchers use their findings to formulate a new theory, this theory does not absorb or replace and older theory (Gershenson, 2013). Instead, the

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    12 new theory reduces the older theory into more basic concepts and terms. Through theory reductionism I will be able to explore into more specific and basic aspects of the existing theory on privatization and the quality of health care within correctional facilities. For instance, I will break the general theory on quality and private health care systems in prisons into the specific components or indicators of the quality of health care (Stern, Greifinger & Mellow, 2010). It is through this that my research will indicate how the specific aspects of health care quality, such as patient centeredness, safety, efficiency and responsiveness to the needs of inmate patients are affected by the privatization of correctional health care systems. Reductionism will also allow me to achieve an in - depth understanding of the role of privatization of correctional health care systems on the preservation of the ethics of health care. This is attributed to the fact the preservation of the ethical framework of health care is one of the many components of care that defines the quality of services that patients receive. The ethics of health care provide that the needs of patients are met through the delivery of safe health care services, which are aimed at minimizing harm and promoting the physiological and psychological wellbeing of patients (Ahalt, Trestman, Rich, Greifinger & Williams, 2013). Through reductionism, I will be able to gather comprehensive data on all aspects of health care quality and determine the indicators of health care quality within correctional facilities that is affected most through privatization. Even though reductionism would contribute significantly, there are two areas of controversy about this theory that I will have to put in mind in order to ensure that I use it appropriately in order to achieve the objectives of my study. First, it is notable that not all phenomena can be reduced to their constituent parts. For this reason, this theory may not be effective in explaining complex systems, such as those that have feedback loops (Kauffman,

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    13 2009). Social systems are highly complex and therefore the role of reductionism in understanding its component parts may be limited. Prisons are examples of complex social systems. This means that the extent to which I will apply reductionism to understand the specific components of the prisons social system, such as interaction between private health care providers and prisoners and social factors that impact health care incomes within prisons, may be limited (Davies, Charles & Handscomb, 2013). There is also controversy on reductionism that is related to criticisms that it fragments knowledge. The fact that reductionism provides for the isolation of a system or phenomenon into its small parts results in concerns that knowledge on the components of a system may not appropriate in understanding the functioning of the system as a whole (Lausen, 2014). The indicators of health care quality and the factors associated with the privatization of health care services within correctional facilities are the components of my study, which would be fragmented as a result of applying the reductionism theoretical view (Rieder, Casillas, Mary, Secretan, Gaspoz & Wolff, 2013). However, I will limit this fragmentation by analyzing all research findings in line with two main variables: privatization correctional health care systems and the quality of health care. This will allow me to ensure that the research findings are credible and reliable to inform the decisions of policy makers.

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    14 Practical Application Part 1 Theory is described as a systematic process of organizing knowledge. The organized knowledge should be applicable in providing solutions to problems in real world or in practice (Gilbert, 2010). Various professional disciplines or fields employ different theories in solving problems that are unique to the field of practice. A theory is also described as a guideline upon which a problem is formulated or understood. It therefore indicates the most effective approaches or methods that can be used to overcome a problem (Aertsen, Jaspaert & Van Gorp, 2013). The outcomes of a solution are effectively measured through the use of relevant theoretical perspectives or frameworks. When a theory is used to determine or identify a problem and to measure the solution or methods of solving the problem, then it is said that theory has been applied in practice (Yardley, Teunissen, & Dornan, 2012). In the process of conducting research, theories are used to formulate the structure of the research process. This is unlike practitioners who employ theories to respond to a situation in practical settings or work environment and devise appropriate course of action in the addressing of the problem (Mizik, 2010). For instance, in health care practice, theoretical perspectives on the quality of health care are used by practitioners in order to determine the methods, procedures and approaches through which they can be able to achieve the highest outcomes of quality in the care of patients (Aertsen, Jaspaert & Van Gorp, 2013). A theory is credible and reliable when it can be used to address a problem in real life situations. For instance, theories in developmental psychology are used by psychologists and health care providers to determine the needs of patients and their challenges in order to formulate and implement patient centered health care approaches, which are aligned with the unique psychological and social needs of patients.

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    15 On one hand, researchers examine theories and use them to inform their research findings. On the other hand, practitioners use theory to inform their practice or work activities (Yardley, Teunissen, & Dornan, 2012). In question 1, the uses of theories are discussed including their role in explaining and predicting phenomena. In addition, researchers use theory for the purposes of validation of evidence and discovery of more evidence. However, practitioners, such as health care providers apply theory to explain behavior and use it to formulate the most effective approach of managing disordered behavior (Aertsen, Jaspaert & Van Gorp, 2013). Theories can also be used in practice to discover and apply new approaches of solving problems (Mizik, 2010). For instance, theory can be applied in determining how to manage workers in order to motivate them and enhance the quality of services. Realism and instrumentalism are two main views of theory, as discussed in question 1. It is on the basis of these two views of theory that practitioners are able to discover and apply new strategies that enhances the efficiency of solving problems or addressing issues in the real world (Yardley, Teunissen, & Dornan, 2012). Through instrumentalism and realism, practitioners devise innovative and creative solutions to problems within the society. This means that theory only acts as a tool or instrument through which the creative or innovative solutions are implemented (Aertsen, Jaspaert & Van Gorp, 2013). In practical settings, such as therapy or health care, education and training, testing, assessment and business practice, theories are applied to solve problems in the most appropriate manner (Mizik, 2010). Theory is effectively applied when the requirements of an institution, agency or organizations are understood and implemented in the application of the theory. For instance, the use of theory in the health care business must be congruent with the needs of stakeholders or the parties involved, such as cost containment and improvement of the quality of care (Gilbert,

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