This presentation looks at different ways in which 'theory' is linked to a PhD study.

1. Theory in
a PhD study
For PhD Researchers
01 July 2011
Dr Palitha Edirisingha
University of Leicester, UK.

2. References
Gilbert, N. (2008) Researching Social Life, 3rd Edn. London: Sage.
Bryman, A. (2008) Social Research Methods, 3rd Edn. Oxford:
Oxford University Press.
Punch, K. F. (2006) Developing Effective Research Proposals, 2nd
Edn. London: Sage.
Carey, M. (2009) The Social Work Dissertation: Using Small-Scale
Qualitative Methodology. Maidenhead: McGraw-Hill and Open
University Press.
White, P. (2009) Developing Research Questions: A guide for social
scientists: Basingstoke: Palgrave Macmillan.

3. 'Theories are nets to catch what
we call 'the world': to
rationalise, explain and master it'
Popper 1959: 2002, pp. 37-38, in White, 2009, p. 23

4. 'Characterising the nature of the
link between theory and
research is by no means a
straightforward matter'
Bryman, 2008, p. 6

5. '"theory is a contested term.
While many people write about
"theory", they are not always
referring to exactly the same
thing, ...'
White, 2009, p. 23

6. Theory in ....
Role: deductive OR inductive
Knowledge: epistemology, ontology
Research paradigm: interpretivism, positivism
Data collection and analytical strategies: e.g.,
grounded theory

7. • What form of theory?
• Whether the purpose of data is
• to test or
• to build theories
Bryman, 2008, p. 6

8. Types of theory
Literature acting
as proxy for theory
Middle range theories
(Merton 1967)
Grand theories
(Bryman, 2008)

9. Middle range
Grand theories
theories
• social capital • labour process theory
• cultural capital • educational attainment
• symbolic interactionism • assessment theories?
• critical theory • Approaches to learning?
• too abstract and general • between grand theories and empirical
• offer few indications to researchers findings
as to how they might guide or • represent an attempt to understand
influence the collection of empirical and explain a limited aspect of social
evidence. life
(Bryman, 2008, p. 6-7)

10. Linking theory with research
Theory-first Theory-after
Theory testing - 'with the Theory generation -
research questions relating to Identifying gaps in existing
their ability to help us theories - research 'to generate
understand a particular aspect theory in order to make up for
of the social world.' (White, this absence' (White, 2009, p.
2009, p. 24-25) 24-25)

11. Literature acting as proxy for theory
The term theory is frequently
used in a manner that means
little more than the background Purpose:
literature in an area of social • To resolve an inconsistency
inquiry' (Bryman, 2008, p. 8) between different findings/
interpretations of findings
'"theory" may be little more • To address a neglected area of a
than the literature on a certain topic
topic in the form of
• To provide an alternative
accumulated knowledge gleaned approach to that in literature
from books and
articles' (Bryman, 2008, p. 8)
Can be critiqued as 'naive empiricism' (Bryman, 2008)

12. How do you
characterise the
use of theory in
your PhD study?

13. Use of theory in research
• Guides and influences the collection and
analysis of data - deductive theory
• Occurs after the collection and analysis of
some or all of the data associated with a
project - inductive theory
(Bryman, 2008)

14. Deductive theory
Deduce a translated into Operational terms
hypothesis specifying how data
Concepts can be collected in
researchable entities relation to the
questions concepts that make
up the hypothesis
Middle-range theory
based on what is
‘to guide
known in the empirical inquiry’
domain and (Merton, 1967, p. 39)
theoretical
consideration
Findings fed back into the stock of
Theory theory and knowledge in the domain
Empirical
study
[revision of] implications of findings for the theory
Theory (adapted from Bryman, 2008)

15. Inductive theory
• Theory an outcome of research
• Drawing generalisable inferences out of observations.
• Iterative. ‘once the phase of theoretical reflection on a set of data has
been carried out, the researcher ..collect[s] further data in order to
establish the conditions in which a theory will and will not hold’ (p. 12)
• ... ‘weaving back and forth between data and theory. ... particularly
evident in grounded theory (p. 12).
• Evident in the way theoretical ideas being derived from data, rather than
formed before-hand.
• Use of the 'ground theory approach' to the analysis of data and to the
generation of theory.
• ... ‘very often what one ends up with can often be little more than
empirical generalisations (p. 12).
(Bryman, 2008)

16. And what about you?
Inductive?
Deductive?
Mix and match?

17. Grounded
theory
Glaser and Strauss (1967) The Discovery of Grounded Theory: Strategies for
Qualitative Research

18. Grounded theory
'not a theory - ... an approach to the
generation of theory out of data' (Bryman
2008, p. 541)
An strategy of qualitative data analysis
An approach to data collection
An iterative process of data collection and analysis

19. • For the analysis of data and to the
generation of theory
• Useful for generating theory out of data

20. ...grounded theory is honoured more in breach than in
the observance, .... claims are often made that grounded
theory has been used but ... Evidence of this being the
case is at best uncertain (Brayman, 1988: 85, 91; Locke
1996; Charmaz, 2000, in Brayman, 2008: p. 541)

21. 'Before applying this label to a research project,
however, you should be aware that grounded theory
entails a specific set of procedures and strategies for the
achievement of such empirically embedded forms of
understanding' (Hodkinson 2008)

22. 'The tendency for dissertation and research students to
claim the use of grounded theory in their methodology
chapters, without any details or reflection on the way in
which they used these procedures and strategies, does
not go down at all well with examiners' (Hodkinson
2008, p. 83)

23. 'When describing your methodology, provide detail and
reflection on the approach you took to the collection
and analysis of data - don't use a label like grounded
theory without elaborating' (Hodkinson 2008, p. 83).

24. Any grounded
theory users?

25. Theory as
Perspective
Overall design and orientation
Theory as
Substantive
theory

26. Perspective
• A particular perspective, philosophical
position, paradigm or meta-theory which lies
behind and informs research
(Punch, 2006)

27. Paradigm
• A set of assumptions about the social world
• What constitute proper techniques and
topics for inquiring into that world
• A broad term encompassing elements of
epistemology, theory, philosophy, methods..
• Positivism, post-positivism, critical theory,
constructivism
(Punch, 2006)

28. Meta-theory
• Ideas about conceptions of science. … what a
scientist should and can do. Thoughts about
what is scientifically possible and what is not.
• Logical empirisism, post-empiricism, critical
rathinalism, critical theory, phenomenology.
Ermeneutics, systems theory.
(Punch, 2006)

29. Perspectives or positions
• Paradigms and meta-theories as perspectives or
'positions' lie behind research
• The idea that there might be a particular paradigm or
meta-theory or philosophical position behind the
research
• Other perspectives than noted above as paradigms and
meta-theories …
• Feminism, post-modernism, symbolic interactionism,
semiotics, ethnomethodology, discourse analysis,
conversational analysis.
(Punch, 2006)

30. Perspectives or positions
• Influences the researcher in many ways
• Making certain assumptions
• Influence on what issues to focus
• How research questions are asked
• Choice of methods
(Punch, 2006)

31. Perspectives or positions - Examples
• a feminist study of participation in unions
• a critical theory study of life in asylums
• a constructivist study of curriculum development in science
• a post-positivist study of quality assurance procedures in
education
(Punch, 2006)

32. However....
• Not all research begins or proceeds from a
'perspective'
• Some research can begin with a 'pragmatic'
approach of questions that need answers
(Punch, 2006)

33. Theory (substantive theory)
• theory about a substantive issue or
phenomenon
• both describes and explains the
phenomenon of substantive interest
(Punch, 2006)

34. Theory (substantive theory)
Important for us because ...
'a common criterion among universities for
the award of the doctorate centres on the
"substantial and original contribution to
knowledge" the study makes, and the
"substantial" part of the criterion is often
interpreted in terms of substantive theory'.
(Punch, 2006, p. 33)

35. Theory (substantive theory)
Examples:
• learning theories and personal construct theory
(psychology)
• reference group theory and social stratification theory
(sociology)
• theories of children’s moral development and of teachers
career styles (education)
• leadership theories (management and administration)
(Punch, 2006)

36. The relationship of the study to the literature
• Where does the study fit in relation to
literature?
• What is its connection to that literature?
• How will the research move beyond
previous work / beyond what we already
know?
• What contributions will this study make
to the literature?
(Punch, 2006)

37. The relationship of the study to the literature
• Fills a gap in the literature
• Sits in line with the main trends in the literature
• Seeks to extend these trends
• Takes a different direction from those in the literature
• Confirms, challenges or disconfirms other findings (a
replication study)
• Tests / extends a theory from the literature
• Uses a theoretical framework or model from the
literature
(Punch, 2006)

38. Quan%ta%ve Qualita%ve
Role of theory deduc%ve, tes%ng theory induc%ve, genera%on of theory
Epistemological prac%ces and norms of the preference for an emphasis on how
orienta%on natural science model (posi%vism) people interpret their world
(interpre%vism)
Ontological social reality as an external, social reality as constantly shiAing
orienta%on objec%ve reality (objec%vism) emergent property of individuals
crea%on (construc%onism)
quan%fica%on in the collec%on words rather than quan%fica%on in the
and analysis of data collec%on and analysis of data
(Bryman, 2008)

39. How are you doing
with theory so far?

40. Research questions?
Research strategy?

41. deductive (theory guides research)
Theory and
research
inductive (theory as an outcomes of research)
Epistemological positivism (a natural science epistemology)
considerations interpretivism
Ontological objectivism
considerations constructivism
Research
quantitative and qualitative
strategy
Influences on values
the conduct practical considerations
(Bryman, 2008)

42. Thank u!
pe27@le.ac.uk