Topic:
Theoretical Foundation
Paper details:
This section identifies theories or models from seminal sources that provide the foundation for the research, guide the research questions, justify what is
being measured (variables), and describe how the variables are related. In this section, the learner should cite the seminal source(s) along with references
reflective of the foundational, historical, and current literature in the field, and should demonstrate overall understanding of the related theories or models
and their relevance to the proposed study. Additionally, this section describes how the dissertation research will add to or extend the theories or models. For
example, Rutledge (2015) conducted a quantitative study to determine correlation between registered nurse’s perceptions of leader-empowering behavior
and self-reported burnout in North Texas hospital. Kanter’s (1983) structural empowerment theory, Conger and Kanungo’s (1988) model of empowerment,
Thomas and Velthouse’s (1990) cognitive model of empowerment and Maslach and Jackson’s (1981) burnout model comprised the theoretical foundations
of the study. These were aligned to the two variables under study: leader empowerment behaviors and nurse burnout.
A dissertation presents the theories, models, or concepts that provide the foundation or building blocks for developing the research questions and
hypotheses as well as for collecting the data. Once the researcher identifies the theories, models, and/or concepts that will provide the foundation for their
research, they use this information to develop the research questions and hypotheses that provides the focus for their research (see Figure 2).
Figure 2.
Incorporating Theories and Models of Research
The theoretical framework considers the problem statement for the research as it identifies the theories, models, and/or concepts the researcher will use to
develop the research questions and hypotheses for their specific study. In addition, these theories, models, and concepts help the researcher identify or
create instruments to collect data, as well as other data collection approaches. Researchers define the concepts of theories, models, and laws differently.
Table 3 provides definitions and examples.
Table 3.
Description of Building Blocks for the Theoretical Foundations Section
Types of Building Blocks Definition of the Building Blocks Examples of the Building Blocks
Theories A concise and coherent broad explanation for an observed phenomenon, which is predictive. For a theory to be accepted, it must be supported in
multiple forms or evidence or research. The evidence can include different observations and tests and may come from different fields of study. Scapegoat
theory
Planned behavior theory
Game theory
Goal-setting theory
Models A visual display of a theory, showing the relationships between a set of concepts or a list of steps in a process. Resilience model
EI model
Change leadership model
Balanced scorecard model
Concepts or Ideas A general notion or idea; conception. An idea of something formed by mentally combining all of its characteristics or particulars. A
construct. A directly conceived or intuited object of thought (Dictionary.com, 2017).
Concepts can be measured. Trustworthiness
Bias
Gender
Age
Profit
Some researchers go beyond describing the theories, models, and concepts they used to develop their research questions and/or hypotheses. They identify
additional related theories, models, and concepts. When using this broader approach, this section becomes a Conceptual Framework. In this section, the
researcher compares and contrasts the various theories, models, and concepts, ultimately justifying the ones most relevant to the research.
Developing the Theoretical Foundations section requires a step-by-step approach as described in Table 4. To begin, researchers identify the models, theories,
or concepts that are relevant for the problem statement. For a quantitative problem statement, researchers identify a model or theory for each variable. It is
also important to ensure a validated instrument or data source exists to collect the data for each variable. The researcher commonly finds this information in
the same literature in which they found the theory, model, or concept. If the researcher were trying to determine whether there is a relationship between
spirituality in leaders and the organizational climate they develop, they would need one model for the variable, ‘leadership spirituality’, and one model for the
variable, ‘organizational climate’.
Table 4.
Steps for the Theoretical Foundations Section
Steps Focus of Each Step
Step 1: Identify theories, models, and/or concepts. • Review the literature, particularly from the Background of the Problem section, and identify potential
theories, models, and concepts used in similar or related research.
• Or search Google Scholar and Google for terms from the problem statement. Name and describe the ones planned for use in the study.
Step 2: Relate the theories, models, and/or concepts to the problem statement. • Describe how the selected theories, models, and/or concepts are relevant to
the problem statement.
• Focus on variables defined in the problem statement.
Step 3: Develop the research questions and hypotheses based on the problem statement and the selected theories, models and/or concepts. • The selected
theories, models, and concepts help frame the research questions differently for qualitative and quantitative research.• Identify a theory, model, or concept that describes each variable. Develop the research questions and hypotheses using the variables that are based on the
selected theories, models, or concepts.
After selecting the theories, models, and/or concepts, researchers discuss how each relates to the problem statement. For a quantitative study, this means
discussing how the theories, models, and/or concepts define the variables of the study. Finally, researchers develop the research questions for their study
using the models.
The problem space addresses what the researcher will study, and the paradigm—the theoretical foundation—speaks to how the study approaches the
research problem. In other words, the theoretical foundation explains the way the researcher shapes the study as they have.
Criterion
*(Score = 0, 1, 2, or 3) Learner Score Chair Score Methodologist Score Content Expert Score
THEORETICAL FOUNDATIONS
(Minimum two to three pages)
The learner discusses the theoretical foundation and, where appropriate, the extended conceptual framework that undergird and frame the study. X
The learner identifies theory(ies) models, and/or concepts from seminal source(s) that provide the theoretical foundation to use in developing the research
questions, identifying and operationalizing variables, and describing the sources of data. X
The learner cites the appropriate seminal source(s) for each theory, model, or concept. X
The learner includes a cogent discussion/synthesis of the theories, models and concepts, and justifies the theoretical foundation/framework as relevant to
the problem statement for the study. The learner connects the study directly to the theory and describes how the study adds or extends the theory, model, or
concept. X
The learner’s discussion reflects understanding of the foundational and historical research relevant to the theoretical foundation. X
The learner writes this section in a way that is well structured, has a logical flow, uses correct paragraph structure, sentence structure, punctuation, and APA
format. X
*Score each requirement listed in the criteria table using the following scale:
0 = Item Not Present or Unacceptable. Substantial Revisions are Required.
1 = Item is Present. Does Not Meet Expectations. Revisions are Required.
2 = Item is Acceptable. Meets Expectations. Some Revisions May be Suggested or Required.
3 = Item Exceeds Expectations. No Revisions are Required.
Reviewer Comments: