Week6readingonframeworks.docx
Step 4: Develop the Theoretical or Conceptual FrameworkAs your literature review is being developed, the synthesis of the research findings should be organized around a viable theoretical or conceptual framework. The review and critique of existing literature should build a logical framework for the research, justify the study by identifying gaps in the literature, and demonstrate how the study will contribute to knowledge development. Development of this framework, which follows the literature review, posits new relationships and perspectives vis-à-vis the literature reviewed, thereby providing the theoretical or conceptual link between the research problem, the literature, and the methodology selected for your research. In this way, this framework is the scaffolding of the study, drawing on theory, research, and experience, and as such, becoming the heuristic device or model that guides your study. Most important, it becomes a working tool consisting of categories that emanate from the literature. These categories then become the repository for reporting the findings and guiding data analysis and interpretation. You may be thinking that this still sounds very abstract, and with good reason.Experience has shown that the theoretical or conceptual framework is one area that many doctoral candidates struggle with as they begin to prepare for their dissertation research. Melding a theoretical or conceptual framework explicitly within the dissertation displays scholarly maturity—that is, increased capacity to think about the conceptual background and context of the research. Students are expected to raise their level of thinking from micro (content) to meta (process) levels of conceptualization. Engaging with the framework is an essential prerequisite for doctoral students, as this is the means through which to articulate the wider theoretical or conceptual significance of their research, their chosen research design, their study’s findings, and how their study makes a contribution to knowledge. As research practitioners, we recognize the significance of seeking intellectual rigor and the role of theoretical or conceptual frameworks in achieving this. We have also observed how students encounter difficulties in conceptualizing the framework vis-à-vis their own research. The reason for this knowledge gap is that the term is a somewhat abstract notion, conjuring up a “model” or “diagram” of some sort. Moreover, there do not appear to be uniform and consistent definitions, and discussions in the literature are often not clear, precise, or fully explained. Moreover, oftentimes experienced researchers and advisors themselves encounter challenges in guiding candidates as to what constitutes a rigorous and meaningful theoretical or conceptual framework (Anfara & Mertz, 2015; Ravitch & Riggan, 2017).These respective difficulties result in large part from research methodology texts lacking a common language regarding the nature of theoretical and conceptual frameworks. As we reviewed the qualitative research literature, it became increasingly clear that those writers who do attempt to explain the notion of theoretical or conceptual frameworks do not do so conclusively and therefore oftentimes offer only vague or insufficient guidance to students in terms of understanding the actual role and place of the framework in the dissertation. Moreover, these two terms are usually used interchangeably in the literature, and some argue that they are in fact two different constructs, both by definition and as actualized during the research process (Imenda, 2014). As such, the structure and function of a conceptual framework continues to mystify and frustrate. Questions that students regularly ask include the following:What is a theoretical or conceptual framework, and from where is it derived?Why should I include this framework in my dissertation? That is, what purpose does it serve in the research process? And what are its role, function, and application in the dissertation?How can the theoretical or conceptual framework strengthen my study? In other words, what is its value?What might be the limitations of a theoretical or conceptual framework in my study?How do I create and develop my study’s framework, and where would I place it in the dissertation?Each of these key questions is addressed next.The Theoretical or Conceptual Framework: An OverviewAt the outset, we want to point out that while the terms theoretical framework and conceptual framework are usually used interchangeably, they are two different constructs, both by definition and as actualized during the research process. This view, proposed by Imenda (2014), claims that whereas a deductive approach to literature review typically makes use of theories and theoretical frameworks, an inductive approach tends to lead to the development of a conceptual framework, which may take the form of a (conceptual) model. According to Imenda (2014), a theoretical framework refers to the theory that researchers may choose to guide them in their research. Thus, a theoretical framework is the application of a theory to offer an explanation of an event or shed some light on a particular phenomenon or research problem. In some cases, a research problem can be meaningfully researched not in reference to a theory but rather in terms of concepts inherent within theory. In such cases, the researcher may have to synthesize existing views in the literature concerning a given situation, both theoretical and from empirical findings. The synthesis that is developed may be called a conceptual framework or model, which essentially represents an integrated way of looking at the problem. Such a model could then be used in place of a theoretical framework. A conceptual framework is therefore the result of bringing together a number of related concepts to provide a broader understanding of a phenomenon of interest or of a research problem. The process of arriving at a conceptual framework is an inductive process whereby small individual pieces (concepts) fit together to illustrate possible relationships. Viewed this way, a conceptual framework is derived from concepts, and a theoretical framework is derived from a theory.A research study is a complex system consisting of multiple interconnected parts. The theoretical or conceptual framework will constitute the glue that ties these parts together and establishes a sense of interdependence. Grant and Osanloo (2014) define a theoretical framework asthe 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. (p. 12)Ravitch and Carl (2016) view a conceptual framework in the following way:The conceptual framework is a generative source of thinking, planning, conscious action, and reflection throughout the research process. A conceptual framework makes the case for why a study is significant and relevant, and for how the study design appropriately and rigorously answers the research questions . . . When conceptualized holistically, a conceptual framework serves as the “connective tissue” of a research study in that it helps you to integrate and mobilize your understanding of the various influences on and aspects of a specific research study in ways that create a more intentional systematic process of explicitly connecting the various parts of the study. (pp. 34–35)These authors go on further to explain,The guiding sources for constructing a conceptual framework include (a) the researcher, (b) tacit theory or working conceptualizations, (c) the goals of a study, (d) study setting and context, (e) broader macro-sociopolitical contexts, (f) formal or established theory. (2016, p. 40)This framework therefore guides the entire research process, enabling researchers to make reasoned defensible choices, match research questions with those choices, align analytic tools with research questions, and thereby guide data collection, analysis, and interpretation. Many researchers contend that without a theoretical or conceptual framework, there would be no way to make reasoned decisions in the research process (Marshall & Rossman, 2016; Maxwell, 2013; Miles & Huberman, 1994; Miles, Huberman, & Saldana, 2014; Ravitch & Riggan, 2017). Indeed, the framework that you will develop for your study will no doubt play an extremely central role throughout the entire research process and, most important, in the final analysis. Without theoretical or conceptual development and refinement, and a clear relationship to your research design and implementation, the study could remain weakly conceptualized, undertheorized, and less generative of quality data.Miles et al. (2014) define a conceptual framework as “the current version of the researcher’s map of the territory being investigated” (p. 20). Implicit in this view is that conceptual frameworks evolve as research evolves. This notion accommodates purpose (boundaries) with flexibility (evolution) and coherence of the research (plan/analysis/conclusion), which all stem from the study’s framework. It is important to realize that thinking about your theoretical or conceptual framework and actually building it is an iterative process. As such, an initial framework can—and most likely will—be revised, reflecting emergent findings and new insights (Anfara & Mertz, 2015; Maxwell, 2013; Ravitch & Riggan, 2017). Of interest is that Weaver-Hart (1988) argues that conceptual frameworks contain an inherent dilemma, recognizing that the term itself is a contradiction because concepts are abstract whereas frameworks are concrete. As a consequence, she views the conceptual framework as “a structure for organizing and supporting ideas; a mechanism for systematically arranging abstractions; sometimes revolutionary or original, and usually rigid” (Weaver-Hart, 1988, p. 11). We contend strongly that the framework, while guiding and grounding the research, evolves and unfolds both generatively and recursively as the research process progresses and, as such, should be construed as including both rigor and fluidity in its iterative development and refinement. Because it is so central a component of your dissertation, and because its scope is far reaching throughout the subsequent chapters of a dissertation, development of the theoretical or conceptual framework requires careful, logical, and thoughtful explication.Role, Function, and Application of the Theoretical or Conceptual FrameworkIt should be noted that the terms conceptual framework and theoretical framework are often used interchangeably, and rarely is a clear differentiation made. A theory is a relationship among related concepts, assumptions, and generalizations. 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. Concepts are defined as interrelated ideas. As Cohen, Lawrence, and Morrison (2000) point out, concepts enable us to impose some sort of meaning on the world; through them, reality is given sense, order, and coherence (that is, concepts are the means by which we are able to come to terms with our experience). This idea suggests conceptualization as “meaning making” in research. The implication is that a conceptual framework is more than just a set of theories and issues related to the research topic.What is key is the cyclical role for theoretical or conceptual frameworks in providing coherence for research. A well-conceived conceptual framework is influenced by and at the same time influences the research process at all levels and at all stages. Developing a conceptual framework compels researchers to be explicit about what they think they are doing and also helps them to be selective—to decide which are the important features of the research, which relationships are likely to be of significance, and hence what data they are going to go ahead and collect and analyze (Maxwell, 2013; Ravitch & Riggan, 2017).It becomes clear, then, that the relationships between theoretical variables, constructs, or concepts are an essential component of high-quality research and are expressed explicitly through conceptualizations and frameworks. The conceptual framework itself gives meaning to the relationship between variables by illustrating that theories have the potential to provide insight and understanding regarding research topics; it is the device that makes sense of data. In this way, the conceptual framework becomes the lens through which your research problem is viewed, providing a theoretical overview of intended research as well as some sort of methodological order within that process.A well-defined theoretical or conceptual framework contributes toward thinking more acutely about your research: It frames and grounds your entire study. It helps define the research problem and purpose, as well as aids in the selection of appropriate bodies of literature for review. It serves as a filter for developing appropriate research questions. And it acts as a guide for data collection and analysis, and interpretation of findings. This way of viewing the framework locates it as fulfilling an integrating function between highlighting theories that offer explanations of the issues under investigation and providing a scaffold within which strategies for the research design can be determined and fieldwork undertaken. This view of the framework thus locates it as providing coherence to the research act through providing traceable connections between theoretical perspectives, research strategy and design, fieldwork, and the conceptual significance of the evidence. A framework is simply the structure of the research idea or concept and how it is put together. The conceptual framework is therefore essentially a bridge between paradigms that explain the research issue and the actual practice of investigating that issue.Viewed this way, then, the framework fulfills two distinct roles: First, it provides a theoretical or conceptual clarification of what researchers intend to investigate and enables readers to be clear about what the research seeks to achieve and how that will be achieved. Second, the conceptual framework forms the theoretical and methodological bases for development of the study and analysis of the findings. Students often do not realize how critical the conceptual framework is in guiding the analysis of the data that have been collected. We stress that the conceptual framework is a practical working tool for guiding the analysis of the data collected, and it becomes the foundation for what will become the coding legend or coding scheme.The Value of the Theoretical or Conceptual FrameworkTheory or concepts help to situate a study within ongoing conversations in relevant fields, guiding all aspects of the study and adding new dimensions and layers of understanding about the phenomenon of interest, and hence extend the meaningfulness of data. The theoretical or conceptual framework strengthens your study in the following ways:Organizes and focuses the study. Qualitative researchers can feel overwhelmed by the mountain of data that confronts them. First, by serving as a “sieve” or “lens,” the framework assists the researcher in the process of sorting through the data and knowing how the pieces drawn from the various data relate to each other and where they “fit” in the larger picture. Second, framework “frames” every aspect of the study in terms of both the process and the product, illustrating how theory or concepts intersect with other components of the study, including research questions, methods, working assumptions, data analysis, and analysis and interpretation of findings.Provides the “idea context,” making an argument for the rationale and significance of the study for its intended field and discipline.Is an explicit statement of theoretical or conceptual assumptions that permits the reader to evaluate them critically.Situates the research within a scholarly conversation and connects the researcher to the existing body of knowledge. Guided by relevant theory or concepts, the framework provides you with labels and categories that help explain and develop descriptions and analyses.Articulating the theoretical or conceptual 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.Having a theoretical or conceptual structure helps you to identify the limits to those generalizations. The framework specifies which key variables or factors influence a phenomenon of interest. It alerts you to examine how those key variables or factors might differ and under what circumstances.The framework, once developed and articulated, becomes the means by which new research data can be interpreted and coded for future use, as well as a means to guide and inform future research efforts and improve professional practice.The framework ultimately serves as a mechanism to consider and reflect on the significance and value of your research once it is completed, as well as to consider next steps and actionable recommendations.Limitations of the Theoretical or Conceptual FrameworkWhile the theoretical or conceptual framework has a role and function in the dissertation process, there are some critiques that are worthy of mention and that should be taken into consideration:Anfara and Mertz (2015) make an important statement about the role and function of the theoretical framework in qualitative research. In acknowledging that the term does not have a clear and consistent definition, they also point out very clearly that a framework allows the researcher to “see” and understand certain aspects of the phenomenon being studied while hiding other aspects. A theoretical framework can reveal and/or conceal meaning and understanding. It can allow us to see familiar phenomena in novel ways, but it can also blind us to certain aspects of the phenomena or distort the phenomena being studied by filtering out critical pieces of data. As such, it is important to bear in mind that while your framework provides a meaningful way of seeing, thinking, and understanding, no theoretical or conceptual framework provides one perfect or complete explanation of what is being studied, an important consideration in your research process in terms of the effects of your framework on your research (including data collection as well as data analysis). Indeed, as exemplified in Anfara and Mertz (2015), using different frameworks on the same data can broaden and deepen the understanding derived. Moreover, “a framework can potentially disrupt the dominant narrative in the field, and even what counts as knowledge about a phenomenon” (Anfara & Mertz, 2015, p. 229). These authors also point out two other potential additional limitations of conceptual or theoretical frameworks: First, while the framework certainly has the ability to organize and focus a study, the framework could be too reductionist, stripping the phenomenon of its complexity and interest. Second, the framework could be too deterministic, forcing the researcher to “fit” the data into predetermined categories.In the following section, we describe how a theoretical or conceptual framework is developed, how it is used as a coding legend or coding scheme to sort and analyze the data, and how it can subsequently be logically simplified and presented graphically as a model that represents the overall design of a given research project.Creating Your Theoretical or Conceptual FrameworkConceptualization and development of a theoretical or conceptual framework for your study is an evolving, iterative, generative, and reflexive process that integrates all aspects of the study in an explicit and transparent way. Remember, this framework is not something that is found readily available in the literature. You will have to review pertinent research literature for theories, concepts, and analytic models that are relevant to the research problem you are investigating. The selection of theories or concepts should depend on appropriateness, ease of application, and explanatory power. There are some useful strategies for developing a theoretical or conceptual framework for your study:Reflect on your study’s title and research problem. The research problem anchors your entire study and forms the basis from which you construct your theoretical or conceptual framework.Think of a philosophy, theory, and/or any relevant concepts on which the topical issue of your dissertation is based. Brainstorm all possibilities.Review any key social science theories that might be related to your study and choose one or more that can explain or shed light on your research problem and purpose.Discuss with your advisor the assumptions or propositions of these theories, with a focus on their potential relevance or connection to your research.Although presented in a stepwise fashion, please remember that this process is not linear but rather cyclical and iterative. Building your framework is in effect a dynamic sense-making process, helping to refine the research as it progresses—as much guiding the study as it is derived from the study. Indeed, the framework generates the focus of the research as much as it is informed and shaped by it (Ravitch & Riggan, 2017). The process of development requires deep thinking and critical analysis on your part. It also requires creativity and innovation, since your framework will become the basis for understanding, analyzing, and designing ways to investigate relationships within the social system you are studying. Remember, too, that it is quite usual to develop and discard several potential theoretical or conceptual frameworks until one is finally chosen. Again, this is part of the iterative qualitative research process. A review of the literature for studies similar to yours will reveal what types of theoretical or conceptual frameworks other researchers have utilized. We encourage you to read through the literature review chapters or sections of dissertations and journal articles related to your study because in this way, you will begin to see how this topic was approached by other scholars.Presenting Your Theoretical or Conceptual FrameworkThe review and critique of existing literature culminates in a conceptual framework. The conceptual framework is described in detailed narrative form and can also be summarized and displayed as a schematic diagram—that is, a visual device that represents the overall design of a research project including key concepts and their relationships. Thinking and reflective inquiry require that you create structures that will enable you to examine your own assumptions and ask deep questions of your research. In this regard, diagrams of various kinds become useful and relevant.Diagrams may include mind maps, flowcharts, tree diagrams, and so on. A concept map (Cañas & Novak, 2005; Kane & Trochim, 2006; Maxwell, 2013; Miles & Huberman, 1994; Miles et al., 2014; Novak, 1998; Wheeldon & Ahlberg, 2012) is one type of diagram that lays out key ideas related to your area of research and indicates relationships between these areas. Concept mapping entails plotting the conceptual “space” of your research and is a useful medium for thinking about information and visualizing relationships in different ways, developing and testing ideas, and containing the study by indicating and highlighting connections, gaps, and/or contradictions. Concept maps can also assist in data analysis in a number of ways, assisting researchers in the development of deeper insights by recognizing explicit and implicit meanings and assumptions (Wheeldon & Ahlberg, 2012).Used as a learning and teaching technique, concept mapping visually illustrates the relationships among a set of concepts and ideas. Often represented in circles or boxes, concepts are linked by words and phrases that explain the connections between the ideas, helping students organize and structure their thoughts to further understand information and discover new relationships. Most concept maps represent a hierarchical structure, with the overall broad concept first, with connected subtopics and more specific concepts following.Concepts are usually presented as boxes or circles, and are connected to each other (or not) with lines, arrows, or symbols, indicating some type of relationship among them. For a thematic analysis, boxes typically represent concepts such as themes identified in the data (i.e., codes) or higher-level conceptual themes the researcher generates. Current qualitative software packages are becoming increasingly sophisticated in terms of concept-mapping functions that depict complex conceptual relationships. Concept maps can be developed collaboratively with colleagues or advisors and as such can engender the high-level conversation and dialogue that is necessary to promote, stimulate, and expand reflective inquiry.A diagram is more than just a repository of thought, however; it is a working and living document that arises from analysis. As such, the diagram becomes an important analytic tool in your qualitative research process. As Corbin and Strauss (2015) explain, diagrams “begin as rudimentary representations of thought, and grow in complexity, density, clarity, and accuracy as the research progresses” (p. 117). It is important that while you may choose to present your conceptual framework in diagrammatic or pictorial form, you should be prepared to explain, describe, and articulate that diagram in great detail, including all major constructs or concepts as well as relationships among all the key elements.Remember that there is no single way to go about developing, using, articulating, and presenting a conceptual framework. A useful starting point is to engage in a process of critical inquiry and self-examination, and to continue this critical stance throughout the research process. Identification of your own personal and professional motivation for engaging in your chosen research topic or phenomenon is a useful beginning. Ask yourself why you have engaged in your research, what about it interests you, how your motivation might impact your research approach, what are your underlying assumptions and hunches, and what informs these assumptions and hunches. Next, proceed to ask yourself questions that relate to the broader intellectual conversations in your field, as these constitute the context and background for your research: Ask yourself what are some of the key arguments, what your stance is vis-à-vis these arguments, what are the key critical questions that you have vis-à-vis conversations in the field, how you conceptualize your research in relation to these conversations, and what you hope your study will contribute to the overall intellectual conversation.In Section II of this chapter, we explain the development of the theoretical or conceptual framework and illustrate its application. An example of a completed conceptual framework is also included as Appendix E. The intent is that with new insights and knowledge regarding the role and function of a conceptual framework, you will be able to craft one that is distinctively yours and unique to your own study. How the theoretical or conceptual framework functions specifically with regard to data analysis is elaborated upon in Chapter 9 (“Analyzing Data and Reporting Findings”).The reflexive questions that follow can serve as prompts for journaling throughout the dissertation process, and in this case, for Chapter 2 of your dissertation, in which you are developing your literature review and your study’s theoretical or conceptual framework.Remember, the major purpose of reviewing the literature is to determine what has already been examined as it relates to your topic, thereby highlighting the significance of your research problem. This affords you the understanding and insight needed to situate your study within an existing “conversation”; acquire a deep understanding of your topic and research problem; discover what contributions other writers and researchers have made relative to your topic and/or research problem; and become aware of any key issues and debates in the field, thereby beginning to develop a “space” for your own work. A review of the literature guides your study, both during the development phase as well as during analysis. Development of a theoretical or conceptual framework is for the purpose of proposing new relationships and perspectives vis-à-vis the literature reviewed, thereby providing a theoretical or conceptual link between the research problem, the literature, and the methodology selected for your research.