Course reflection. Theoretical Foundations for Nursing
Please respond and state how you have met the following course objectives provide example and supporting material to back up your thoughts.
1. Analyze selected nursing theories using established guidelines.
2. Research the use of theory to generate scientific knowledge as it relates to creating a road map for professional advancement in nursing.
3. Demonstrate critical thinking and creativity in the application of theoretical frameworks and models to the advancement of the nursing profession.
4. Implements chaos and change theory.
5. Critique holistic nursing concepts, models, and theories that relate to nursing practice, education, management, and research.
Please answer the following questions with supporting examples and full explanations.
1. For each of the learning objectives, provide an analysis of how the course supported each objective.
2. Explain how the material learned in this course, based upon the objectives, will be applicable to professional practice and prepare you for certification in your chosen specialty.
Course reflection. Theoretical Foundations for Nursing
Please respond and state how you have met the following course objectives provide example and supporting material to back up your thoughts.
1. Analyze selected nursing theories using established guidelines.
2. Research the use of theory to generate scientific knowledge as it relates to creating a road map for professional advancement in nursing.
3. Demonstrate critical thinking and creativity in the application of theoretical frameworks and models to the advancement of the nursing profession.
4. Implements chaos and change theory.
5. Critique holistic nursing concepts, models, and theories that relate to nursing practice, education, management, and research.
Please answer the following questions with supporting examples and full explanations.
1. For each of the learning objectives, provide an analysis of how the course supported each objective.
2. Explain how the material learned in this course, based upon the objectives, will be applicable to professional practice and prepare you for certification in your chosen specialty.
2
3
4
5
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Library of Congress Cataloging-in-Publication Data
Names: McEwen, Melanie, author. | Wills, Evelyn M., author.
Title: Theoretical basis for nursing / Melanie McEwen, Evelyn M. Wills.
Description: Fifth edition. | Philadelphia : Wolters Kluwer, [2018] |
Includes bibliographical references and index.
Identifiers: LCCN 2017049174 | ISBN 9781496351203
Subjects: | MESH: Nursing Theory
Classification: LCC RT84.5 | NLM WY 86 | DDC 610.73—dc23 LC record available at https://lccn.loc.gov/2017049174
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D E D I C AT I O N
To Kaitlin and Grant—You have helped me broaden my thoughts and consider all kinds of possibilities;
I hope I’ve done the same for you.
Also for Helen and Keith—Our children chose well. Besides, you have given us Madelyn, Logan,
Brenna, Liam, Lucy, Andrew, Michael, and Jacob; they are gifts beyond words.
Melanie McEwen
To Tom, Paul, and Vicki, who light up my life, and to Marian, who left us for a better place. You were
always my best listener. To Teddy, Gwen, Merlyn, and Madelyn, who have been so patient and loving
during this process.
My deepest gratitude to Leslie, who has supported me through this writing process.
Evelyn M. Wills
7
C O N T R I B U T O R S
Sattaria Smith Dilks, DNP, APRN-BC, FNP, PMHNP/CNS
Professor and Co-Coordinator Graduate Program
College of Nursing
McNeese State University
Lake Charles, Louisiana
Chapter 14: Theories From the Behavioral Sciences
Joan C. Engebretson, DrPH, AHN-BC, RN, FAAN
Judy Fred Professor in Nursing
University of Texas Health Science Center at Houston
School of Nursing, Department of Family Nursing
Houston, Texas
Chapter 13: Theories From the Sociologic Sciences
Melinda Granger Oberleitner, DNS, RN
Associate Dean, College of Nursing & Allied Health Professions
Professor, Department of Nursing
SLEMCO/BORSF Endowed Professor of Nursing
University of Louisiana at Lafayette
Lafayette, Louisiana
Chapter 17: Theories, Models, and Frameworks From Leadership and Management
Chapter 21: Application of Theory in Nursing Administration and Management
Cathy L. Rozmus, PhD, RN
PARTNERS Endowed Professorship in Nursing
Vice Dean
Department of Family Health
The University of Texas Health Science Center at Houston
School of Nursing
Houston, Texas
Chapter 16: Ethical Theories and Principles
Jeffrey P. Spike, PhD
Professor of Family and Community Medicine
The University of Texas Health Science Center at Houston
School of Medicine
Professor, Department of Management, Policy, and Community Health
University of Texas Health Science Center School of Public Health
Houston, Texas
Chapter 16: Ethical Theories and Principles
8
R E V I E W E R S
Cynthia Dakin, PhD, RN
Director of Graduate Studies
Associate Professor
Department of Nursing
Elms College
Chicopee, Massachusetts
Janet DuPont, RNC-OB, MSN, MEd, PhD
Master of Science in Nursing Instructor/Developer
Nursing Program
Norwich University
Northfield, Vermont
Ruth Neese, PhD, RN, CEN
Assistant Professor
Department of Nursing
Indian River State College
Fort Pierce, Florida
Brandon N. Respress, PhD, RN, MPH, MSN
Assistant Professor
College of Nursing and Health Innovation
University of Texas at Arlington
Arlington, Texas
Jacqueline Saleeby, PhD, RN, CS
Associate Professor
Department of Nursing
Maryville University
St. Louis, Missouri
Stephen J. Stapleton, PhD, MS, RN, CEN, FAEN
Associate Professor
Mennonite College of Nursing
Illinois State University
Normal, Illinois
Kathleen Williamson, MSN, PhD, RN
Associate Professor and Chair
Wilson School of Nursing
Midwestern State University
Wichita Falls, Texas
Cindy Zellefrow, DNP, MSEd, RN, LSN, APHN-BC
Assistant Professor of Clinical Practice
Assistant Director, Center for Transdisciplinary and Evidence-based Practice
9
College of Nursing
The Ohio State University
Columbus, Ohio
10
P R E FA C E
Rare is the student who enrolls in a nursing program and is excited about the requirement of taking a course
on theory. Indeed, many fail to see theory’s relevance to the real world of nursing practice and often have
difficulty applying the information in later courses and in their research. This book is the result of the
frustration felt by a group of nursing instructors who met a number of years ago to adopt a textbook for a
theory course. Indeed, because of student complaints and faculty dissatisfaction, we were changing textbooks
yet again. A fairly lengthy discussion arose in which we concluded that the available books did not meet the
needs of our students or course faculty. We were determined to write a book that was a general overview of
theory per se, stressing how it is—and should be—used by nurses to improve practice, research, education,
and management/leadership.
As in past editions, an ongoing review of trends in nursing theory and nursing science has shown an
increasing emphasis on middle range theory, evidence-based practice (EBP), and situation-specific theories.
To remain current and timely, in this fifth edition, we have added a new chapter entitled “Ethical Theories and
Principles,” presenting information on these topics and describing how they relate to theory in nursing. We
have also included new middle range and situation-specific nursing theories as well as new “shared” theories
from non-nursing disciplines. One notable addition is a significant section discussing Complexity Science and
Complex Adaptive Systems in Chapter 13 (Theories From the Sociologic Sciences) helping to explain their
importance to nursing. Updates and application examples have been added throughout the discussions on the
various theories.
Organization of the Text
Theoretical Basis for Nursing is designed to be a basic nursing theory textbook that includes the essential
information students need to understand and apply theory in practice, research, education, and
administration/management.
The book is divided into four units. Unit I, Introduction to Theory, provides the background needed to
understand what theory is and how it is used in nursing. It outlines tools and techniques used to develop,
analyze, and evaluate theory so that it can be used in nursing practice, research, administration and
management, and education. In this unit, we have provided a balanced view of “hot” topics (e.g.,
philosophical world views and utilization of shared or borrowed theory). Also, rather than espousing one
strategy for activities such as concept development and theory evaluation, we have included a variety of
strategies.
Unit II, Nursing Theories, focuses largely on the grand nursing theories and begins with a chapter
describing their historical development. This unit divides the grand nursing theories into three groups based
on their focus (human needs, interactive process, and unitary process). The works of many of the grand
theorists are briefly summarized in Chapters 7, 8, and 9. Because this volume is intended to serve as a broad
foundation, these analyses provide the reader with enough information to understand the basis of the work and
to whet the reader’s appetite to select one or more for further study rather than delving into significant detail.
Chapters 10 and 11 cover the significant topic of middle range nursing theory. Chapter 10 presents a
detailed overview of the origins and growth of middle range theory in nursing and gives numerous examples
of how middle range theories have been developed by nurses. Chapter 11 provides an overview of some of the
growing number of middle range nursing theories. The theories presented include some of the most
commonly used middle range nursing theories (e.g., Pender’s Health Promotion Model and Leininger’s
Culture Care Diversity and Universality Theory) as well as some that are less well known but have a growing
body of research support (e.g., Meleis’s Transitions Theory, the Theory of Unpleasant Symptoms, and the
11
Uncertainty in Illness Theory). The intent is to provide a broad range of middle range theories to familiarize
the reader with examples and to encourage them to search for others appropriate to their practice or research.
Ultimately, it is hoped that readers will be challenged to develop new theories that can be used by nurses.
Chapter 12, which discusses EBP, explains and defines the idea/process of EBP and describes how it
relates to nursing theory and application of theory in nursing practice and research. The chapter concludes
with a short presentation and review of five different EBP models that have been widely used by nurses and
are well supported in the literature.
Unit III, Shared Theories Used by Nurses, is rather unique in nursing literature. Our book
acknowledges that “shared” or “borrowed” theories are essential to nursing and negates the idea that the use
of shared theory in practice or research is detrimental. In this unit, we have identified some of the most
significant theories that have been developed outside of the discipline of nursing but are continually used in
nursing. We have organized these theories based on broad disciplines: theories from the sociologic sciences,
behavioral sciences, biomedical sciences, and philosophy as well as from administration, management, and
learning. Each of these chapters was written by a nurse with both educational and practical experience in his
or her respective area. These theories are presented with sufficient information to allow the reader to
understand the theories and to recognize those that might be appropriate for his or her own work. These
chapters also provide original references and give examples of how the concepts, theories, and models
described have been used by other nurses.
Chapter 16, new to the fifth edition, describes ethical theories and principles that apply to nursing practice.
This addition was suggested by nursing faculty who recognized the importance of maintaining an ethical
perspective within the very complex health care system. This information is vital to professional nursing
practice and absolutely essential for nurses in advanced practice, management, or educational roles.
Finally, Unit IV, Application of Theory in Nursing, explains how theories are applied in nursing.
Separate chapters cover nursing practice, nursing research, nursing administration and management, and
nursing education. These chapters include many specific examples for the application of theory and are
intended to be a practical guide for theory use. The heightened development of practice theories and EBP
guidelines are critical to theory application in nursing today, so these areas have been expanded. The unit
concludes with a chapter that discusses some of the future issues in theory within the discipline.
Key Features
In addition to numerous tables and boxes that highlight and summarize important information, Theoretical
Basis for Nursing contains case studies, learning activities, exemplars, and illustrations that help students
visualize various concepts. New to this edition is a special boxed feature in most chapters that highlights how
a topic is outlined in the American Association of Colleges of Nursing (AACN’s) The Essentials of Master’s
Education in Nursing or The Essentials of Doctoral Education for Advanced Nursing Practice. Other key
features include:
■ Link to Practice: All chapters include at least one “Link to Practice” box, which presents useful
information or clinically related examples related to the subject being discussed. The intent is to give
additional tools or resources that can be used by nurses to apply the content in their own practice or
research.
■ Case Studies: At the end of Chapter 1 and the beginning of Chapters 2 to 23, case studies help the
reader understand how the content in the chapter relates to the everyday experience of the nurse,
whether in practice, research, or other aspects of nursing.
■ Learning Activities: At the end of each chapter, learning activities pose critical thinking questions,
propose individual and group projects related to topics covered in the chapter, and stimulate classroom
discussion.
■ Exemplars: In five chapters, an exemplar discusses a scholarly study from the perspectives of concept
analysis (Chapter 3); theory development (Chapter 4); theory analysis and evaluation (Chapter 5);
middle range theory development (Chapter 10); and theory generation via research, theory testing via
research, and use of a theory as the conceptual framework for a research study (Chapter 20).
■ Illustrations: Diagrams and models are included throughout the book to help the reader better
12
understand the many different theories presented.
New to This Edition
■ New Chapter 16, Ethical Theories and Principles
■ Detailed section on Complexity Science and Complex Adaptive Systems in Chapter 13.
■ More detailed explanation of EBP, situation-specific theories, and their relationship to theory in nursing
■ Numerous recent examples of application of theories in nursing practice, nursing research,
leadership/administration, and education
■ Enhanced instructional support, focusing on activities and information directed toward online learning
Student Resources Available on
■ Literature Assessment Activity provides an interactive tool featuring journal articles along with
critical thinking questions that will encourage students to engage with the literature. Students can print
or e-mail their responses to their instructor.
■ Case Studies with applicable questions guide students in understanding how the various theories link
to nursing practice.
■ Learning Objectives for each chapter help focus the student on outcomes.
■ Internet Resources provide live web links to pertinent sites so that students can further their study and
understanding of the various theories.
■ Journal Articles for each chapter offer opportunities to gain more knowledge and understanding of the
chapter content.
Instructor Resources Available on
■ Instructor’s Guide includes application-level discussion questions and classroom/online activities that
Melanie McEwen uses in her own teaching!
■ Strategies for Effective Teaching of Nursing Theory provide ideas for instructors to help make the
nursing theory class come alive.
■ Test Generator Questions provide multiple-choice questions that can be used for testing general
content knowledge.
■ PowerPoints with audience response (Iclicker) questions, based on the ones used by Melanie
McEwen in her own classroom, help highlight important points to enhance the classroom experience.
■ Case Studies with questions, answers, and related activities offer opportunities for instructors to make
the student case studies an exciting, fun, and rewarding classroom/online experience.
■ Image Bank provides images from the text that instructors can use to enhance their own presentations.
In summary, the focus of this learning package is on the application of theory rather than on the study,
analysis, and critique of grand theorists or a presentation of a specific aspect of theory (e.g., construction or
evaluation). It is hoped that practicing nurses, nurse researchers, and nursing scholars, as well as graduate
students and theory instructors, will use this book and its accompanying resources to gain a better
understanding and appreciation of theory.
Melanie McEwen, PhD, RN, CNE, ANEF
Evelyn M. Wills, PhD, RN
13
A C K N O W L E D G M E N T S
Our heartfelt thanks to Senior Development Editor, Michael Kerns, and Editorial Coordinator, Tim Rinehart,
for their assistance, patience, and persistence in helping us complete this project. They made a difficult task
seem easy! We also want to thank Senior Acquisitions Editor, Christina Burns, and Helen Kogut, for their
support and assistance in getting this project started and help with previous editions. Finally, a huge word of
thanks to our contributors who have diligently worked to present the notion of theory in a manner that will
engage nursing students and to look for new examples and applications to help make theory fresh and
relevant.
14
C O N T E N T S
Unit I: Introduction to Theory
1. Philosophy, Science, and Nursing
Melanie McEwen
Case Study
Nursing as a Profession
Nursing as an Academic Discipline
Introduction to Science and Philosophy
Overview of Science
Overview of Philosophy
Science and Philosophical Schools of Thought
Received View (Empiricism, Positivism, Logical Positivism)
Contemporary Empiricism/Postpositivism
Nursing and Empiricism
Perceived View (Human Science, Phenomenology, Constructivism, Historicism)
Nursing and Phenomenology/Constructivism/Historicism
Postmodernism (Poststructuralism, Postcolonialism)
Nursing and Postmodernism
Nursing Philosophy, Nursing Science, and Philosophy of Science in Nursing
Nursing Philosophy
Nursing Science
Philosophy of Science in Nursing
Knowledge Development and Nursing Science
Epistemology
Ways of Knowing
Nursing Epistemology
Other Views of Patterns of Knowledge in Nursing
Summary of Ways of Knowing in Nursing
Research Methodology and Nursing Science
Nursing as a Practice Science
Nursing as a Human Science
Quantitative Versus Qualitative Methodology Debate
Quantitative Methods
Qualitative Methods
Methodologic Pluralism
Summary
Key Points
Learning Activities
2. Overview of Theory in Nursing
Melanie McEwen
Overview of Theory
The Importance of Theory in Nursing
Terminology of Theory
15
Historical Overview: Theory Development in Nursing
Florence Nightingale
Stages of Theory Development in Nursing
Silent Knowledge Stage
Received Knowledge Stage
Subjective Knowledge Stage
Procedural Knowledge Stage
Constructed Knowledge Stage
Integrated Knowledge Stage
Summary of Stages of Nursing Theory Development
Classification of Theories in Nursing
Scope of Theory
Metatheory
Grand Theories
Middle Range Theories
Practice Theories
Type or Purpose of Theory
Descriptive (Factor-Isolating) Theories
Explanatory (Factor-Relating) Theories
Predictive (Situation-Relating) Theories
Prescriptive (Situation-Producing) Theories
Issues in Theory Development in Nursing
Borrowed Versus Unique Theory in Nursing
Nursing’s Metaparadigm
Relationships Among the Metaparadigm Concepts
Other Viewpoints on Nursing’s Metaparadigm
Caring as a Central Construct in the Discipline of Nursing
Summary
Key Points
Learning Activities
3. Concept Development: Clarifying Meaning of Terms
Evelyn M. Wills and Melanie McEwen
The Concept of “Concept”
Types of Concepts
Abstract Versus Concrete Concepts
Variable (Continuous) Versus Nonvariable (Discrete) Concepts
Theoretically Versus Operationally Defined Concepts
Sources of Concepts
Concept Analysis/Concept Development
Purposes of Concept Development
Context for Concept Development
Concept Development and Conceptual Frameworks
Concept Development and Research
Strategies for Concept Analysis and Concept Development
Walker and Avant
Concept Analysis
Concept Synthesis
Concept Derivation
Examples of Concept Analysis Using Walker and Avant’s Techniques
Rodgers
Schwartz-Barcott and Kim
Theoretical Phase
16
Fieldwork Phase
Analytical Phase
Meleis
Concept Exploration
Concept Clarification
Concept Analysis
Morse
Concept Delineation
Concept Comparison
Concept Clarification
Penrod and Hupcey
Comparison of Models for Concept Development
Summary
Key Points
Learning Activities
4. Theory Development: Structuring Conceptual Relationships in Nursing
Melanie McEwen
Overview of Theory Development
Categorizations of Theory
Categorization Based on Scope or Level of Abstraction
Philosophy, Worldview, or Metatheory
Grand Theories
Middle Range Theories
Practice Theories
Relationship Among Levels of Theory in Nursing
Categorization Based on Purpose
Descriptive Theories
Explanatory Theories
Predictive Theories
Prescriptive Theories
Categorization Based on Source or Discipline
Components of a Theory
Purpose
Concepts and Conceptual Definitions
Theoretical Statements
Existence Statements
Relational Statements
Structure and Linkages
Assumptions
Models
Theory Development
Relationship Among Theory, Research, and Practice
Relationship Between Theory and Research
Relationship Between Theory and Practice
Relationship Between Research and Practice
Approaches to Theory Development
Theory to Practice to Theory
Practice to Theory
Research to Theory
Theory to Research to Theory
Integrated Approach
Process of Theory Development
17
Concept Development: Creation of Conceptual Meaning
Statement Development: Formulation and Validation of Relational Statements
Theory Construction: Systematic Organization of the Linkages
Validating and Confirming Theoretical Relationships in Research
Validation and Application of Theory in Practice
Summary
Key Points
Learning Activities
5. Theory Analysis and Evaluation
Melanie McEwen
Definition and Purpose of Theory Evaluation
Theory Description
Theory Analysis
Theory Evaluation
Historical Overview of Theory Analysis and Evaluation
Characteristics of Significant Theories: Ellis
Theory Evaluation: Hardy
Theory Analysis and Theory Evaluation: Duffey and Muhlenkamp
Theory Evaluation: Barnum
Theory Analysis: Walker and Avant
Theory Analysis and Evaluation: Fawcett
Theory Description and Critique: Chinn and Kramer
Theory Description, Analysis, and Critique: Meleis
Analysis and Evaluation of Practice Theory, Middle Range Theory, and Nursing Models:
Whall
Theory Evaluation: Dudley-Brown
Comparisons of Methods
Synthesized Method of Theory Evaluation
Summary
Key Points
Learning Activities
Unit II: Nursing Theories
6. Overview of Grand Nursing Theories
Evelyn M. Wills
Categorization of Conceptual Frameworks and Grand Theories
Categorization Based on Scope
Categorization Based on Nursing Domains
Categorization Based on Paradigms
Parse’s Categorization
Newman’s Categorization
Fawcett’s Categorization
Specific Categories of Models and Theories for This Unit
Analysis Criteria for Grand Nursing Theories
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Usefulness
Testability
Parsimony
18
Value in Extending Nursing Science
The Purpose of Critiquing Theories
Summary
Key Points
Learning Activities
7. Grand Nursing Theories Based on Human Needs
Evelyn M. Wills
Florence Nightingale: Nursing: What It Is and What It Is Not
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Virginia Henderson: The Principles and Practice of Nursing
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Assumptions
Concepts
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Faye G. Abdellah: Patient-Centered Approaches to Nursing
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Assumptions
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Dorothea Orem: The Self-Care Deficit Nursing Theory
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Dorothy Johnson: The Behavioral System Model
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Assumptions
Concepts
Relationships
Usefulness
19
Testability
Parsimony
Value in Extending Nursing Science
Betty Neuman: The Neuman Systems Model
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Summary
Key Points
Learning Activities
8. Grand Nursing Theories Based on Interactive Process
Evelyn M. Wills
Barbara Artinian: The Intersystem Model
Background of the Theorist
Philosophic Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Assumptions
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Helen C. Erickson, Evelyn M. Tomlin, and Mary Ann P. Swain: Modeling and Role-
Modeling
Background of the Theorists
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Imogene King: King’s Conceptual System and Theory of Goal Attainment and
Transactional Process
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Assumptions
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
20
Sister Callista Roy: The Roy Adaptation Model
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Jean Watson: Human Caring Science, A Theory of Nursing
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Assumptions
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Summary
Key Points
Learning Activities
9. Grand Nursing Theories Based on Unitary Process
Evelyn M. Wills
Martha Rogers: The Science of Unitary and Irreducible Human Beings
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Margaret Newman: Health as Expanding Consciousness
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Rosemarie Parse: The Humanbecoming Paradigm
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
21
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Summary
Key Points
Learning Activities
10. Introduction to Middle Range Nursing Theories
Melanie McEwen
Purposes of Middle Range Theory
Characteristics of Middle Range Theory
Concepts and Relationships for Middle Range Theory
Categorizing Middle Range Theory
Development of Middle Range Theory
Middle Range Theories Derived From Research and/or Practice
Middle Range Theory Derived From a Grand Theory
Middle Range Theory Combining Existing Nursing and Non-Nursing Theories
Middle Range Theory Derived From Non-Nursing Disciplines
Middle Range Theory Derived From Practice Guidelines or Standard of Care
Final Thoughts on Middle Range Theory Development
Analysis and Evaluation of Middle Range Theory
Summary
Key Points
Learning Activities
11. Overview of Selected Middle Range Nursing Theories
Melanie McEwen
High Middle Range Theories
Benner’s Model of Skill Acquisition in Nursing
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Leininger’s Cultural Care Diversity and Universality Theory
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Pender’s Health Promotion Model
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Transitions Theory
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
The Synergy Model
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Middle Middle Range Theories
Mishel’s Uncertainty in Illness Theory
Purpose and Major Concepts
Context for Use and Nursing Implications
22
Evidence of Empirical Testing and Application in Practice
Kolcaba’s Theory of Comfort
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Lenz and Colleagues’ Theory of Unpleasant Symptoms
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Reed’s Self-Transcendence Theory
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Low Middle Range Theories
Eakes, Burke, and Hainsworth’s Theory of Chronic Sorrow
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Beck’s Postpartum Depression Theory
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Mercer’s Conceptualization of Maternal Role Attainment/Becoming a Mother
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Summary
Key Points
Learning Activities
12. Evidence-Based Practice and Nursing Theory
Evelyn M. Wills and Melanie McEwen
Overview of Evidence-Based Practice
Definition and Characteristics of Evidence-Based Practice
Concerns Related to Evidence-Based Practice in Nursing
Evidence-Based Practice and Practice-Based Evidence
Promotion of Evidence-Based Practice in Nursing
Theory and Evidence-Based Practice
Theoretical Models of Evidence-Based Practice
Academic Center for Evidence-Based Practice Star Model of Knowledge Transformation
Advancing Research and Clinical Practice Through Close Collaboration Model
The Iowa Model of Evidence-Based Practice to Promote Quality Care
The Johns Hopkins Nursing Evidence-Based Practice Model
Stetler Model of Evidence-Based Practice
Theoretical Models: A Summary
Summary
Key Points
Learning Activities
Unit III: Shared Theories Used by Nurses
13. Theories From the Sociologic Sciences
23
Joan C. Engebretson
Systems Theories
General Systems Theory
Overview
Application to Nursing
Social Ecological Models
Overview
Application to Nursing
Social Networks
Overview
Application to Nursing
Social Construction and Interaction Theories
Symbolic Interactionism
Overview
Application to Nursing
Cultural Diversity
Overview
Application to Nursing
Role Theory
Overview
Application to Nursing
Exchange Theories, Conflict and Critical Theories
Exchange Theories
Historical Overview
Modern Social Exchange Theories
Application to Nursing
Conflict and Critical Theories
Critical Social Theory
Feminist Theory
Complexity Science, Chaos Theory and Complex Adaptive Systems
Chaos Theory
Complex Adaptive Systems
Application to Nursing
Summary
Key Points
Learning Activities
14. Theories From the Behavioral Sciences
Melanie McEwen and Sattaria Smith Dilks
Psychodynamic Theories
Psychoanalytic Theory: Freud
Overview
Application to Nursing
Developmental (or Ego Developmental) Theory: Erikson
Overview
Application to Nursing
Interpersonal Theory: Sullivan
Overview
Application to Nursing
Behavioral and Cognitive-Behavioral Theories
Operant Conditioning: Skinner
Cognitive Theory: Beck
Rational Emotive Theory: Ellis
24
Application of Behavioral and Cognitive-Behavioral Theories to Nursing
Humanistic Theories
Human Needs Theory: Maslow
Overview
Application to Nursing
Person-Centered Theory: Rogers
Overview
Application to Nursing
Stress Theories
General Adaptation Syndrome: Selye
Stress, Coping, and Adaptation Theory: Lazarus
Application of Stress Theories to Nursing
Social Psychology
Health Belief Model
Theory of Reasoned Action (Theory of Planned Behavior)
Transtheoretical Model and Stages of Change
Application of Social Psychology Theories to Nursing
Summary
Key Points
Learning Activities
15. Theories From the Biomedical Sciences
Melanie McEwen
Theories and Models of Disease Causation
Evolution of Theories of Disease Causation
Germ Theory and Principles of Infection
Overview
Application to Nursing
The Epidemiologic Triangle
The Web of Causation
Overview
Application to Nursing
Natural History of Disease
Overview
Application to Nursing
Theories and Principles Related to Physiology and Physical Functioning
Homeostasis
Overview
Application to Nursing
Stress and Adaptation: General Adaptation Syndrome
Overview
Application to Nursing
Theories of Immunity and Immune Function
Overview
Application to Nursing
Genetic Principles and Theories
Overview
Application to Nursing
Cancer Theories
Overview
Application to Nursing
Pain Management
Gate Control Theory
25
Application to Nursing
Summary
Key Points
Learning Activities
16. Ethical Theories and Principles
Cathy L. Rozmus and Jeffrey P. Spike
Ethics and Philosophy: An Overview
Theory in the Humanities and Philosophy
Ethics Versus Morality
Philosophical Theories of Ethics
Virtue Ethics
Background
Application in Nursing
Modern Ethical Theories
Deontology
Utilitarianism
Deontology and Utilitarianism—A Summary
Application to Nursing
Bioethical Principles
Historical Perspective on the Bioethical Principles
Autonomy
Overview
Application to Nursing
Beneficence
Overview
Application to Nursing
Nonmaleficence
Overview
Application to Nursing
Justice
Overview
Application to Nursing
Other Bioethical Principles
Ethical Decision Making
Overview
Application to Nursing
Summary
Key Points
Learning Activities
17. Theories, Models, and Frameworks From Leadership and Management
Melinda Granger Oberleitner
Overview of Concepts of Leadership and Management
Early Leadership Theories
Trait Theories of Leadership
Emotional Intelligence
Behavioral Theories of Leadership
Leader–Member Exchange Theory
Motivational Theories of Leadership
Theory X and Theory Y
Motivation–Hygiene Theory (Herzberg’s Two-Factor Theory)
Contingency Theories of Leadership: Leadership and Management by Situation
26
The Fiedler Contingency Theory of Leadership
Path–Goal Theory
Situational Leadership Theory
Contemporary Leadership Theories
Transactional and Transformational Leadership
Authentic Leadership
Charismatic Leadership
Servant Leadership
Followership Theory
Organizational/Management Theories
Scientific Management
Theory of Bureaucracy/Organizational Theory
Classic Management Theory
Motivational Theories
Achievement–Motivation Theory
Expectancy Theory
Equity Theory
Concepts of Power, Empowerment, and Change
Power
Empowerment
Change
Planned Change Theory
Resilience
Problem-Solving and Decision-Making Processes
The Rational Decision-Making Model
Group Decision Making
Organizational Quantitative Decision-Making Techniques
Conflict Management
Quality Improvement
The Case for Quality Improvement in Health Care
Quality Improvement Frameworks
Quality Improvement Processes and Tools
Evidence-Based Practice
Summary
Key Points
Learning Activities
18. Learning Theories
Evelyn M. Wills and Melanie McEwen
What Is Learning?
What Is Teaching?
Categorization of Learning Theories
Behavioral Learning Theories
Overview
Application to Nursing
Cognitive Learning Theories
Cognitive-Field (Gestalt) Theories
Overview
Application to Nursing
Cognitive Development or Interaction Theories
Piaget
Gagne
Bandura
27
Humanistic Learning Theory
Rogers
Information-Processing Models
Cognitive Load Theory
Application to Nursing
Adult Learning
Overview
Application to Nursing
Summary of Learning Theories
Learning Styles
Principles of Learning
Application of Learning Theories in Nursing
Summary
Key Points
Learning Activities
Unit IV: Application of Theory in Nursing
19. Application of Theory in Nursing Practice
Melanie McEwen
Relationship Between Theory and Practice
Theory-Based Nursing Practice
The Theory–Practice Gap
Closing the Theory–Practice Gap
Situation-Specific/Practice Theories in Nursing
Definition and Characteristics of Situation-Specific/Practice Theories
Examples of Practice and Situation-Specific Theories From Nursing Literature
Situation-Specific Theory and Evidence-Based Practice
Application of Theory in Nursing Practice
Theory in Nursing Taxonomy: Examples From the Nursing Intervention Classification
System
Urinary Catheterization: Intermittent
Patient Contracting
Examples of Theory From Nursing Literature
Application of “Borrowed” and “Implied” Theories in Nursing Practice
Application of Grand and Middle Range Theories in Nursing Practice
Summary
Key Points
Learning Activities
20. Application of Theory in Nursing Research
Melanie McEwen
Historical Overview of Research and Theory in Nursing
Relationship Between Research and Theory
Nursing Research
Purpose of Theory in Research
The Research Framework
Types of Theory and Corresponding Research
Descriptive Theory and Descriptive Research
Overview
Nursing Studies
Explanatory Theory and Correlational Research
28
Overview
Nursing Studies
Predictive Theory and Experimental Research
Overview
Nursing Studies
How Theory Is Used in Research
Theory-Generating Research
Overview
Nursing Studies
Theory-Testing Research
Overview
Nursing Studies
Theory as the Conceptual Framework or Context of a Study
Overview
Nursing Studies
Nursing and Non-Nursing Theories in Nursing Research
Rationale for Using Nursing Theories in Nursing Research
Concerns Over Reliance on Nursing Models to Direct Nursing Research
Other Issues in Nursing Theory and Nursing Research
The Research Report
Nursing’s Research Agenda
Summary
Key Points
Learning Activities
21. Application of Theory in Nursing Administration and Management
Melinda Granger Oberleitner
Organizational Design
Work Specialization
Chain of Command
Span of Control
Authority and Responsibility
Centralization Versus Decentralization
Departmentalization
Shared Governance
Transformational Leadership in Nursing and in Health Care
Patient Care Delivery Models
Total Patient Care (Functional Nursing)
Team Nursing
Primary Nursing
Patient-Focused Care/Patient-Centered Care
Use of Patient Care Delivery Models Today
American Nurses Credentialing Center Magnet Recognition Program
Case Management
Disease/Chronic Illness Management
Disease Management Models
Population Health Accountable Care Organizations and Medical Home Models of Care
Quality Management
Evidence-Based Practice
Summary
Key Points
Learning Activities
29
22. Application of Theory in Nursing Education
Melanie McEwen and Evelyn M. Wills
Theoretical Issues in Nursing Curricula
Curriculum Design in Nursing Education
Nursing Curricula and Regulating Bodies
Conceptual/Organizational Frameworks for Nursing Curricula
Purposes of the Conceptual Framework
Designing a Curriculum Conceptual Framework
Components of the Curricular Conceptual Framework
Patterns of Curricular Conceptual Frameworks
Current Issues in Curriculum Development
Theoretical Issues in Nursing Instruction
Theory-Based Teaching Strategies
Dialectic Learning
Problem-Based Learning Strategies
Operational Teaching Strategies
Logistic Teaching Strategies
Use of Technology in Nursing Education
Issues in Technology-Based Teaching
Summary
Key Points
Learning Activities
23. Future Issues in Nursing Theory
Melanie McEwen
Future Issues in Nursing Science
Future Issues in Nursing Theory
Implications for Theory Development
Theoretical Perspectives on Future Issues in Nursing Practice, Research, Administration
and Management, and Education
Future Issues and Nursing Practice
Theoretical Implications for Nursing Practice
Future Issues and Nursing Research
Theoretical Implications for Nursing Research
Future Issues and Nursing Leadership and Administration
Theoretical Implications for Nursing Administration and Management
Future Issues and Nursing Education
Theoretical Implications for Nursing Education
Summary
Key Points
Learning Activities
Glossary
Author Index
Subject Index
30
UNIT I
Introduction to Theory
31
1
Philosophy, Science, and Nursing
Melanie McEwen
Largely due to the work of nursing scientists, nursing theorists, and nursing scholars over the past five
decades, nursing has been recognized as both an emerging profession and an academic discipline. Crucial to
the attainment of this distinction have been numerous discussions regarding the phenomena of concern to
nurses and countless efforts to enhance involvement in theory utilization, theory generation, and theory testing
to direct research and improve practice.
A review of the nursing literature from the late 1970s until the present shows sporadic discussion of
whether nursing is a profession, a science, or an academic discipline. These discussions are sometimes
pleading, frequently esoteric, and occasionally confusing. Questions that have been raised include: What
defines a profession? What constitutes an academic discipline? What is nursing science? Why is it important
for nursing to be seen as a profession or an academic discipline?
Nursing as a Profession
In the past, there has been considerable discussion about whether nursing is a profession or an occupation.
This is important for nurses to consider for several reasons. An occupation is a job or a career, whereas a
profession is a learned vocation or occupation that has a status of superiority and precedence within a division
of work. In general terms, occupations require widely varying levels of training or education, varying levels of
skill, and widely variable defined knowledge bases. In short, all professions are occupations, but not all
occupations are professions (Finkelman & Kenner, 2016).
Professions are valued by society because the services professionals provide are beneficial for members of
the society. Characteristics of a profession include (1) defined and specialized knowledge base, (2) control
and authority over training and education, (3) credentialing system or registration to ensure competence, (4)
altruistic service to society, (5) a code of ethics, (6) formal training within institutions of higher education, (7)
lengthy socialization to the profession, and (8) autonomy (control of professional activities) (Ellis & Hartley,
2012; Finkelman & Kenner, 2016; Rutty, 1998). Professions must have a group of scholars, investigators, or
researchers who work to continually advance the knowledge of the profession with the goal of improving
practice. Finally, professionals are responsible and accountable to the public for their work (Hood, 2014).
Traditionally, professions have included the clergy, law, and medicine.
Until near the end of the 20th century, nursing was viewed as an occupation rather than a profession.
Nursing has had difficulty being deemed a profession because many of the services provided by nurses have
been perceived as an extension of those offered by wives and mothers. Additionally, historically, nursing has
been seen as subservient to medicine, and nurses have delayed in identifying and organizing professional
knowledge. Furthermore, education for nurses is not yet standardized, and the three-tier entry-level system
(diploma, associate degree, and bachelor’s degree) into practice that persists has hindered professionalization
because a college education is not yet a requirement. Finally, autonomy in practice is incomplete because
nursing is still dependent on medicine to direct much of its practice.
On the other hand, many of the characteristics of a profession can be observed in nursing. Indeed, nursing
has a social mandate to provide health care for clients at different points in the health–illness continuum.
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There is a growing knowledge base, authority over education, altruistic service, a code of ethics, and
registration requirements for practice. Although the debate is not closed, it can be successfully argued that
nursing is an aspiring, evolving profession (Finkelman & Kenner, 2016; Hood, 2014; Judd & Sitzman, 2014).
See Link to Practice 1-1 for more information on the future of nursing as a profession.
Link to Practice 1-1
The Future of Nursing
The Institute of Medicine (IOM, 2011) issued a series of sweeping recommendations directed to the
nursing profession. The IOM explained their “vision” is to make quality, patient-centered care accessible
for all Americans. Recommendations included a three-pronged approach to meeting the goal.
The first “message” was directed toward transformation of practice and precipitated the notion that
nurses should be able to practice to the full extent of their education. Indeed, the IOM advocated for
removal of regulatory, policy, and financial barriers to practice to ensure that “current and future
generations of nurses can deliver safe, quality, patient-centered care across all settings, especially in such
areas as primary care and community and public health” (p. 30).
A second key message related to the transformation of nursing education. In this regard, the IOM
promotes “seamless academic progression” (p. 30), which includes a goal to increase the number and
percentage of nurses who enter the workforce with a baccalaureate degree or who progress to the degree
early in their career. Specifically, they recommend that 80% of registered nurses (RNs) be bachelor of
science in nursing (BSN) prepared by 2020. Last, the IOM advocated that nurses be full partners with
physicians and other health professionals in the attempt to redesign health care in the United States.
These “messages” are critical to the future of nursing as a profession. Indeed, standardization of entry
level into practice at the BSN level, coupled with promotion of advanced education and independent
practice, and inclusion as “leaders” in the health care transformation process, will help solidify nursing as a
true profession.
An update (IOM, 2016) indicated that there has been “significant progress” (p. 50) toward reducing
APRN scope of practices issues from a national perspective, as more states now allow nurse practitioners
(NPs) full practice authority. Furthermore, although there has been some progress with expansion of the
percentage of RNs with a BSN (from 49% to 51%), there is still much to do to meet the goal of 80%.
Finally, the IOM concluded that data are lacking on efforts to develop the skills and competencies nurses
need for leadership. The report reinforced the goal for nurses to seek “leadership positions in order to
contribute their unique perspective and expertise on such issues as health care delivery, quality, and
safety” (p. 149).
Nursing as an Academic Discipline
Disciplines are distinctions between bodies of knowledge found in academic settings. A discipline is “a
branch of knowledge ordered through the theories and methods evolving from more than one worldview of
the phenomenon of concern” (Parse, 1997, p. 74). It has also been termed a field of inquiry characterized by a
unique perspective and a distinct way of viewing phenomena (Fawcett, 2012; Rodgers, 2015).
Viewed another way, a discipline is a branch of educational instruction or a department of learning or
knowledge. Institutions of higher education are organized around disciplines into colleges, schools, and
departments (e.g., business administration, chemistry, history, and engineering).
Disciplines are organized by structure and tradition. The structure of the discipline provides organization
and determines the amount, relationship, and ratio of each type of knowledge that comprises the discipline.
The tradition of the discipline provides the content, which includes ethical, personal, esthetic, and scientific
knowledge (Northrup et al., 2004; Risjord, 2010). Characteristics of disciplines include (1) a distinct
perspective and syntax, (2) determination of what phenomena are of interest, (3) determination of the context
in which the phenomena are viewed, (4) determination of what questions to ask, (5) determination of what
33
methods of study are used, and (6) determination of what evidence is proof (Donaldson & Crowley, 1978).
Knowledge development within a discipline proceeds from several philosophical and scientific
perspectives or worldviews (Litchfield & Jónsdóttir, 2008; Newman, Sime, & Corcoran-Perry, 1991; Risjord,
2010; Rodgers, 2015). In some cases, these worldviews may serve to divide or segregate members of a
discipline. For example, in psychology, practitioners might consider themselves behaviorists, Freudians, or
any one of a number of other divisions.
Several ways of classifying academic disciplines have been proposed. For instance, they may be divided
into the basic sciences (physics, biology, chemistry, sociology, anthropology) and the humanities (philosophy,
ethics, history, fine arts). In this classification scheme, it is arguable that nursing has characteristics of both.
Distinctions may also be made between academic disciplines (e.g., physics, physiology, sociology,
mathematics, history, philosophy) and professional disciplines (e.g., medicine, law, nursing, social work). In
this classification scheme, the academic disciplines aim to “know,” and their theories are descriptive in nature.
Research in academic disciplines is both basic and applied. Conversely, the professional disciplines are
practical in nature, and their research tends to be more prescriptive and descriptive (Donaldson & Crowley,
1978).
Nursing’s knowledge base draws from many disciplines. In the past, nursing depended heavily on
physiology, sociology, psychology, and medicine to provide academic standing and to inform practice (Box 1-
1). In recent decades, however, nursing has been seeking what is unique to nursing and developing those
aspects into an academic discipline (Parse, 2015). Areas that identify nursing as a distinct discipline are as
follows:
An identifiable philosophy
At least one conceptual framework (perspective) for delineation of what can be defined as nursing
Acceptable methodologic approaches for the pursuit and development of knowledge (Oldnall, 1995)
Box 1-1 Theory and the American Association of Colleges of Nursing Essentials
“The scientific foundation of nursing practice has expanded and includes a focus on both the natural and
social sciences. These sciences that provide a foundation for nursing practice include human biology,
genomics, the psychosocial sciences as well as the science of complex organizational structures” (American
Association of Colleges of Nursing, 2006, p. 9).
To begin the quest to validate nursing as both a profession and an academic discipline, this chapter
provides an overview of the concepts of science and philosophy. It examines the schools of philosophical
thought that have influenced nursing and explores the epistemology of nursing to explain why recognizing the
multiple “ways of knowing” is critical in the quest for development and application of theory in nursing.
Finally, this chapter presents issues related to how philosophical worldviews affect knowledge development
through research. This chapter concludes with a case study that depicts how “the ways of knowing” in nursing
are used on a day-to-day, even moment-by-moment, basis by all practicing nurses.
Introduction to Science and Philosophy
Science is concerned with causality (cause and effect). The scientific approach to understanding reality is
characterized by observation, verifiability, and experience; hypothesis testing and experimentation are
considered scientific methods. In contrast, philosophy is concerned with the purpose of human life, the nature
of being and reality, and the theory and limits of knowledge. Intuition, introspection, and reasoning are
examples of philosophical methodologies. Science and philosophy share the common goal of increasing
knowledge (Fawcett, 2012; Polifroni, 2015; Silva, 1977). The science of any discipline is tied to its
philosophy, which provides the basis for understanding and developing theories for science (Gustafsson,
2002; Morse, 2017; Silva & Rothbart, 1984).
Overview of Science
Science is both a process and a product. Parse (1997) defines science as the “theoretical explanation of the
34
subject of inquiry and the methodological process of sustaining knowledge in a discipline” (p. 74). Science
has also been described as a way of explaining observed phenomena as well as a system of gathering,
verifying, and systematizing information about reality (Streubert & Carpenter, 2011). As a process, science is
characterized by systematic inquiry that relies heavily on empirical observations of the natural world. As a
product, it has been defined as empirical knowledge that is grounded and tested in experience and is the result
of investigative efforts. Furthermore, science is conceived as being the consensual, informed opinion about
the natural world, including human behavior and social action (Gortner & Schultz, 1988).
Science has come to represent knowledge, and it is generated by activities that combine advancement of
knowledge (research) and explanation for knowledge (theory) (Powers & Knapp, 2011). Citing Van Laer,
Silva (1977) lists six characteristics of science (Box 1-2).
Box 1-2 Characteristics of Science
1. Science must show a certain coherence.
2. Science is concerned with definite fields of knowledge.
3. Science is preferably expressed in universal statements.
4. The statements of science must be true or probably true.
5. The statements of science must be logically ordered.
6. Science must explain its investigations and arguments.
Source: Silva (1977).
Science has been classified in several ways. These include pure or basic science, natural science, human or
social science, and applied or practice science. The classifications are not mutually exclusive and are open to
interpretation based on philosophical orientation. Table 1-1 lists examples of a number of sciences by this
manner of classification.
Table 1-1 Classifications of Science
Classification Examples
Natural sciences Chemistry, physics, biology, physiology, geology, meteorology
Basic or pure sciences Mathematics, logic, chemistry, physics, English (language)
Human or social sciences Psychology, anthropology, sociology, economics, political science,
history, religion
Practice or applied sciences Architecture, engineering, medicine, pharmacology, law
Some sciences defy classification. For example, computer science is arguably applied or perhaps pure.
Law is certainly a practice science, but it is also a social science. Psychology might be a basic science, a
human science, or an applied science, depending on what aspect of psychology one is referring to.
There are significant differences between the human and natural sciences. Human sciences refer to the
fields of psychology, anthropology, and sociology and may even extend to economics and political science.
These disciplines deal with various aspects of humans and human interactions. Natural sciences, on the other
hand, are concentrated on elements found in nature that do not relate to the totality of the individual. There are
inherent differences between the human and natural sciences that make the research techniques of the natural
sciences (e.g., laboratory experimentation) improper or potentially problematic for human sciences (Gortner
& Schultz, 1988).
It has been posited that although nursing draws on the basic and pure sciences (e.g., physiology and
chemistry) and has many characteristics of social sciences, it is without question an applied or practice
science. However, it is important to note that it is also synthesized, in that it draws on the knowledge of other
established disciplines—including other practice disciplines (Dahnke & Dreher, 2016; Holzemer, 2007;
Risjord, 2010).
35
Overview of Philosophy
Within any discipline, both scholars and students should be aware of the philosophical orientations that are the
basis for developing theory and advancing knowledge (Dahnke & Dreher, 2016; DiBartolo, 1998; Northrup et
al., 2004; Risjord, 2010). Rather than a focus on solving problems or answering questions related to that
discipline (which are tasks of the discipline’s science), the philosophy of a discipline studies the concepts that
structure the thought processes of that discipline with the intent of recognizing and revealing foundations and
presuppositions (Blackburn, 2016).
Philosophy has been defined as “a study of problems that are ultimate, abstract, and general. These
problems are concerned with the nature of existence, knowledge, morality, reason, and human purpose”
(Teichman & Evans, 1999, p. 1). Philosophy tries to discover knowledge and truth and attempts to identify
what is valuable and important.
Modern philosophy is usually traced to Rene Descartes, Francis Bacon, Baruch Spinoza, and Immanuel
Kant (ca. 1600–1800). Descartes (1596–1650) and Spinoza (1632–1677) were early rationalists. Rationalists
believe that reason is superior to experience as a source of knowledge. Rationalists attempt to determine the
nature of the world and reality by deduction and stress the importance of mathematical procedures.
Bacon (1561–1626) was an early empiricist. Like rationalists, he supported experimentation and scientific
methods for solving problems.
The work of Kant (1724–1804) set the foundation for many later developments in philosophy. Kant
believed that knowledge is relative and that the mind plays an active role in knowing. Other philosophers have
also influenced nursing and the advance of nursing science. Several are discussed later in the chapter.
Although there is some variation, traditionally, the branches of philosophy include metaphysics (ontology
and cosmology), epistemology, logic, esthetics, and ethics or axiology. Political philosophy and philosophy of
science are added by some authors (Rutty, 1998; Teichman & Evans, 1999). Table 1-2 summarizes the major
branches of philosophy.
Table 1-2 Branches of Philosophy
Branch Pursuit
Metaphysics Study of the fundamental nature of reality and existence—general
theory of reality
Ontology Study of theory of being (what is or what exists)
Cosmology Study of the physical universe
Epistemology Study of knowledge (ways of knowing, nature of truth, and
relationship between knowledge and belief)
Logic Study of principles and methods of reasoning (inference and argument)
Ethics (axiology) Study of nature of values; right and wrong (moral philosophy)
Esthetics Study of appreciation of the arts or things beautiful
Philosophy of science Study of science and scientific practice
Political philosophy Study of citizen and state
Sources: Blackburn (2016); Teichman and Evans (1999).
Science and Philosophical Schools of Thought
The concept of science as understood in the 21st century is relatively new. In the period of modern science,
three philosophies of science (paradigms or worldviews) dominate: rationalism, empiricism, and human
science/phenomenology. Rationalism and empiricism are often termed received view and human
science/phenomenology and related worldviews (i.e., historicism) are considered perceived view (Hickman,
2011; Meleis, 2012). These two worldviews dominated theoretical discussion in nursing through the 1990s.
More recently, attention has focused on another dominant worldview: “postmodernism” (Meleis, 2012; Reed,
1995).
36
Received View (Empiricism, Positivism, Logical Positivism)
Empiricism has its roots in the writings of Francis Bacon, John Locke, and David Hume, who valued
observation, perception by senses, and experience as sources of knowledge (Gortner & Schultz, 1988; Powers
& Knapp, 2011). Empiricism is founded on the belief that what is experienced is what exists, and its
knowledge base requires that these experiences be verified through scientific methodology (Dahnke & Dreher,
2016; Gustafsson, 2002). This knowledge is then passed on to others in the discipline and subsequently built
on. The term received view or received knowledge denotes that individuals learn by being told or receiving
knowledge.
Empiricism holds that truth corresponds to observable, reduction, verification, control, and bias-free
science. It emphasizes mathematic formulas to explain phenomena and prefers simple dichotomies and
classification of concepts. Additionally, everything can be reduced to a scientific formula with little room for
interpretation (DiBartolo, 1998; Gortner & Schultz, 1988; Risjord, 2010).
Empiricism focuses on understanding the parts of the whole in an attempt to understand the whole. It
strives to explain nature through testing of hypotheses and development of theories. Theories are made to
describe, explain, and predict phenomena in nature and to provide understanding of relationships between
phenomena. Concepts must be operationalized in the form of propositional statements, thereby making
measurement possible. Instrumentation, reliability, and validity are stressed in empirical research
methodologies. Once measurement is determined, it is possible to test theories through experimentation or
observation, which results in verification or falsification (Cull-Wilby & Pepin, 1987; Suppe & Jacox, 1985).
Positivism is often equated with empiricism. Like empiricism, positivism supports mechanistic,
reductionist principles, where the complex can be best understood in terms of its basic components. Logical
positivism was the dominant empirical philosophy of science between the 1880s and 1950s. Logical positivists
recognized only the logical and empirical bases of science and stressed that there is no room for metaphysics,
understanding, or meaning within the realm of science (Polifroni, 2015; Risjord, 2010). Logical positivism
maintained that science is value free, independent of the scientist, and obtained using objective methods. The
goal of science is to explain, predict, and control. Theories are either true or false, subject to empirical
observation, and capable of being reduced to existing scientific theories (Rutty, 1998).
Contemporary Empiricism/Postpositivism
Positivism came under criticism in the 1960s when positivistic logic was deemed faulty (Rutty, 1998). An
overreliance on strictly controlled experimentation in artificial settings produced results that indicated that
much significant knowledge or information was missed. In recent years, scholars have determined that the
positivist view of science is outdated and misleading in that it contributes to overfragmentation in knowledge
and theory development (DiBartolo, 1998). It has been observed that positivistic analysis of theories is
fundamentally defective due to insistence on analyzing the logically ideal, which results in findings that have
little to do with reality. It was maintained that the context of discovery was artificial and that theories and
explanations can be understood only within their discovery contexts (Suppe & Jacox, 1985). Also, scientific
inquiry is inherently value laden, as even choosing what to investigate and/or what techniques to employ will
reflect the values of the researcher.
The current generation of postpositivists accepts the subjective nature of inquiry but still supports rigor
and objective study through quantitative research methods. Indeed, it has been observed that modern
empiricists or postpositivists are concerned with explanation and prediction of complex phenomena,
recognizing contextual variables (Powers & Knapp, 2011; Reed, 2008).
Nursing and Empiricism
As an emerging discipline, nursing has followed established disciplines (e.g., physiology) and the medical
model in stressing logical positivism. Early nurse scientists embraced the importance of objectivity, control,
fact, and measurement of smaller and smaller parts. Based on this influence, acceptable methods for
knowledge generation in nursing have stressed traditional, orthodox, and preferably experimental methods.
Although positivism continues to heavily influence nursing science, that viewpoint has been challenged in
recent years (Risjord, 2010). Consequently, postpositivism has become one of the most accepted
contemporary worldviews in nursing.
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Perceived View (Human Science, Phenomenology, Constructivism, Historicism)
In the late 1960s and early 1970s, several philosophers, including Kuhn, Feyerbend, and Toulmin, challenged
the positivist view by arguing that the influence of history on science should be emphasized (Dahnke &
Dreher, 2016). The perceived view of science, which may also be referred to as the interpretive view, includes
phenomenology, constructivism, and historicism. The interpretive view recognizes that the perceptions of
both the subject being studied and the researcher tend to de-emphasize reliance on strict control and
experimentation in laboratory settings (Monti & Tingen, 1999).
The perceived view of science centers on descriptions that are derived from collectively lived experiences,
interrelatedness, human interpretation, and learned reality, as opposed to artificially invented (i.e., laboratory-
based) reality (Rutty, 1998). It is argued that the pursuit of knowledge and truth is naturally historical,
contextual, and value laden. Thus, there is no single truth. Rather, knowledge is deemed true if it withstands
practical tests of utility and reason (DiBartolo, 1998).
Phenomenology is the study of phenomena and emphasizes the appearance of things as opposed to the
things themselves. In phenomenology, understanding is the goal of science, with the objective of recognizing
the connection between one’s experience, values, and perspective. It maintains that each individual’s
experience is unique, and there are many interpretations of reality. Inquiry begins with individuals and their
experiences with phenomena. Perceptions, feelings, values, and the meanings that have come to be attached to
things and events are the focus.
For social scientists, the constructivist approaches of the perceived view focus on understanding the
actions of, and meaning to, individuals. What exists depends on what individuals perceive to exist.
Knowledge is subjective and created by individuals. Thus, research methodology entails the investigation of
the individual’s world. There is an emphasis on subjectivity, multiple truths, trends and patterns, discovery,
description, and understanding.
Feminism and critical social theory may also be considered to be perceived view. These philosophical
schools of thought recognize the influence of gender, culture, society, and shared history as being essential
components of science (Riegel et al., 1992). Critical social theorists contend that reality is dynamic and
shaped by social, political, cultural, economic, ethnic, and gender values (Streubert & Carpenter, 2011).
Critical social theory and feminist theories will be described in more detail in Chapter 13.
Nursing and Phenomenology/Constructivism/Historicism
Because they examine phenomena within context, phenomenology, as well as other perceived views of
philosophy, are conducive to discovery and knowledge development inherent to nursing. Phenomenology is
open, variable, and relativistic and based on human experience and personal interpretations. As such, it is an
important, guiding paradigm for nursing practice theory and education (DiBartolo, 1998).
In nursing science, the dichotomy of philosophic thought between the received, empirical view of science
and the perceived, interpretative view of science has persisted. This may have resulted, in part, because
nursing draws heavily both from natural sciences (physiology, biology) and social sciences (psychology,
sociology).
Postmodernism (Poststructuralism, Postcolonialism)
Postmodernism began in Europe in the 1960s as a social movement centered on a philosophy that rejects the
notion of a single “truth.” Although it recognizes the value of science and scientific methods, postmodernism
allows for multiple meanings of reality and multiple ways of knowing and interpreting reality (Hood, 2014;
Reed, 1995). In postmodernism, knowledge is viewed as uncertain, contextual, and relative. Knowledge
development moves from emphasis on identifying a truth or fact in research to discovering practical
significance and relevance of research findings (Reed, 1995).
Similar or related constructs and worldviews found in the nursing literature include “deconstruction,”
“postcolonialism,” and, at times, feminist philosophies. In nursing, the postcolonial worldview can be
connected to both feminism and critical theory, particularly when considering nursing’s historical reliance on
medicine (Holmes, Roy, & Perron, 2008; McGibbon, Mulaudzi, Didham, Barton, & Sochan, 2014; Racine,
2009).
Postmodernism has loosened the notions of what counts as knowledge development that have persisted
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among supporters of qualitative and quantitative research methods. Rather than focusing on a single research
methodology, postmodernism promotes use of multiple methods for development of scientific understanding
and incorporation of different ways to improve understanding of human nature (Hood, 2014; Meleis, 2012;
Rodgers, 2015). Increasingly, in postmodernism, there is a consensus that synthesis of both research methods
can be used at different times to serve different purposes (Hood, 2014; Meleis, 2012; Risjord, Dunbar, &
Moloney, 2002).
Criticisms of postmodernism have been made and frequently relate to the perceived reluctance to address
error in research. Taken to the extreme as Paley (2005) pointed out, when there is absence of strict control
over methodology and interpretation of research, “Nobody can ever be wrong about anything” (p. 107). Chinn
and Kramer (2015) echoed the concerns by acknowledging that knowledge development should never be
“sloppy.” Indeed, although application of various methods in research is legitimate and may be advantageous,
research must still be carried out carefully and rigorously.
Nursing and Postmodernism
Postmodernism has been described as a dominant scientific theoretical paradigm in nursing in the late 20th
century (Meleis, 2012). As the discipline matures, there has been recognition of the pluralistic nature of
nursing and an enhanced understanding that the goal of research is to provide an integrative basis for nursing
care (Walker & Avant, 2011).
In terms of scientific methodology, the attention is increasingly on combining multiple methods within a
single research project (Chinn & Kramer, 2015). Postmodernism has helped dislodged the authority of a
single research paradigm in nursing science by emphasizing the blending or integration of qualitative and
quantitative research into a holistic, dynamic model to improve nursing practice. Table 1-3 compares the
dominant philosophical views of science in nursing.
Table 1-3 Comparison of the Received, Perceived, and Postmodern Views of Science
Received View of Science—
Hard Sciences
Perceived View of Science—Soft
Sciences
Postmodernism,
Poststructuralism, and
Postcolonialism
Empiricism/positivism/logical
positivism
Historicism/phenomenology Macroanalysis
Reality/truth/facts considered
acontextual (objective)
Reality/truth/facts considered in
context (subjective)
Contextual meaning; narration
Deductive Inductive Contextual, political, and
structural analysis
Reality/truth/facts considered
ahistorical
Reality/truth/facts considered with
regard to history
Reality/truth/facts considered with
regard to history
Prediction and control Description and understanding Metanarrative analysis
One truth Multiple truths Different views
Validation and replication Trends and patterns Uncovering opposing views
Reductionism Constructivism/holism Macrorelationship;
microstructures
Quantitative research Qualitative research methods Methodologic pluralism methods
Sources: Meleis (2012); Moody (1990).
Nursing Philosophy, Nursing Science, and Philosophy of Science in
Nursing
The terms nursing philosophy, nursing science, and philosophy of science in nursing are sometimes used
interchangeably. The differences, however, in the general meaning of these concepts are important to
39
recognize.
Nursing Philosophy
Nursing philosophy has been described as “a statement of foundational and universal assumptions, beliefs and
principles about the nature of knowledge and thought (epistemology) and about the nature of the entities
represented in the metaparadigm (i.e., nursing practice and human health processes [ontology])” (Reed, 1995,
p. 76). Nursing philosophy, then, refers to the belief system or worldview of the profession and provides
perspectives for practice, scholarship, and research.
No single dominant philosophy has prevailed in the discipline of nursing. Many nursing scholars and
nursing theorists have written extensively in an attempt to identify the overriding belief system, but to date,
none has been universally successful. Most would agree then that nursing is increasingly recognized as a
“multiparadigm discipline” (Powers & Knapp, 2011, p. 129), in which using multiple perspectives or
worldviews in a “unified” way is valuable and even necessary for knowledge development (Giuliano, Tyer-
Viola, & Lopez, 2005).
Nursing Science
Parse (2016) defined nursing science as “the substantive, discipline-specific knowledge that focuses on the
human-universe-health process articulated in the nursing frameworks and theories” (p. 101). To develop and
apply the discipline-specific knowledge, nursing science recognizes the relationships of human responses in
health and illness and addresses biologic, behavioral, social, and cultural domains. The goal of nursing science
is to represent the nature of nursing—to understand it, to explain it, and to use it for the benefit of humankind.
It is nursing science that gives direction to the future generation of substantive nursing knowledge, and it is
nursing science that provides the knowledge for all aspects of nursing (Holzemer, 2007; Parse, 2016).
Philosophy of Science in Nursing
Philosophy of science in nursing helps to establish the meaning of science through an understanding and
examination of nursing concepts, theories, laws, and aims as they relate to nursing practice. It seeks to
understand truth; to describe nursing; to examine prediction and causality; to critically relate theories, models,
and scientific systems; and to explore determinism and free will (Nyatanga, 2005; Polifroni, 2015).
Knowledge Development and Nursing Science
Development of nursing knowledge reflects the interface between nursing science and research. The ultimate
purpose of knowledge development is to improve nursing practice. Approaches to knowledge development
have three facets: ontology, epistemology, and methodology. Ontology refers to the study of being: what is or
what exists. Epistemology refers to the study of knowledge or ways of knowing. Methodology is the means of
acquiring knowledge (Powers & Knapp, 2011). The following sections discuss nursing epistemology and
issues related to methods of acquiring knowledge.
Epistemology
Epistemology is the study of the theory of knowledge. Epistemologic questions include: What do we know?
What is the extent of our knowledge? How do we decide whether we know? and What are the criteria of
knowledge? (Schultz & Meleis, 1988).
According to Streubert and Carpenter (2011), it is important to understand the way in which nursing
knowledge develops to provide a context in which to judge the appropriateness of nursing knowledge and
methods that nurses use to develop that knowledge. This in turn will refocus methods for gaining knowledge
as well as establishing the legitimacy or quality of the knowledge gained.
Ways of Knowing
In epistemology, there are several basic types of knowledge. These include the following:
Empirics—the scientific form of knowing. Empirical knowledge comes from observation, testing, and
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replication.
Personal knowledge—a priori knowledge. Personal knowledge pertains to knowledge gained from
thought alone.
Intuitive knowledge—includes feelings and hunches. Intuitive knowledge is not guessing but relies on
nonconscious pattern recognition and experience.
Somatic knowledge—knowledge of the body in relation to physical movement. Somatic knowledge
includes experiential use of muscles and balance to perform a physical task.
Metaphysical (spiritual) knowledge—seeking the presence of a higher power. Aspects of spiritual
knowing include magic, miracles, psychokinesis, extrasensory perception, and near-death experiences.
Esthetics—knowledge related to beauty, harmony, and expression. Esthetic knowledge incorporates art,
creativity, and values.
Moral or ethical knowledge—knowledge of what is right and wrong. Values and social and cultural
norms of behavior are components of ethical knowledge.
Nursing Epistemology
Nursing epistemology has been defined as “the study of the origins of nursing knowledge, its structure and
methods, the patterns of knowing of its members, and the criteria for validating its knowledge claims”
(Schultz & Meleis, 1988, p. 217). Like most disciplines, nursing has both scientific knowledge and knowledge
that can be termed conventional wisdom (knowledge that has not been empirically tested).
Traditionally, only what stands the test of repeated measures constitutes truth or knowledge. Classical
scientific processes (i.e., experimentation), however, are not suitable for creating and describing all types of
knowledge. Social sciences, behavioral sciences, and the arts rely on other methods to establish knowledge.
Because it has characteristics of social and behavioral sciences, as well as biologic sciences, nursing must rely
on multiple ways of knowing.
In a classic work, Carper (1978) identified four fundamental patterns for nursing knowledge: (1) empirics
—the science of nursing, (2) esthetics—the art of nursing, (3) personal knowledge in nursing, and (4) ethics—
moral knowledge in nursing.
Empirical knowledge is objective, abstract, generally quantifiable, exemplary, discursively formulated,
and verifiable. When verified through repeated testing over time, it is formulated into scientific
generalizations, laws, theories, and principles that explain and predict (Carper, 1978, 1992). It draws on
traditional ideas that can be verified through observation and proved by hypothesis testing.
Empirical knowledge tends to be the most emphasized way of knowing in nursing because there is a need
to know how knowledge can be organized into laws and theories for the purpose of describing, explaining,
and predicting phenomena of concern to nurses. Most theory development and research efforts are engaged in
seeking and generating explanations that are systematic and controllable by factual evidence (Carper, 1978,
1992).
Esthetic knowledge is expressive, subjective, unique, and experiential rather than formal or descriptive.
Esthetics includes sensing the meaning of a moment. It is evident through actions, conduct, attitudes, and
interactions of the nurse in response to another. It is not expressed in language (Carper, 1978).
Esthetic knowledge relies on perception. It is creative and incorporates empathy and understanding. It is
interpretive, contextual, intuitive, and subjective and requires synthesis rather than analysis. Furthermore,
esthetics goes beyond what is explained by principles and creates values and meaning to account for variables
that cannot be quantitatively formulated (Carper, 1978, 1992).
Personal knowledge refers to the way in which nurses view themselves and the client. Personal knowledge
is subjective and promotes wholeness and integrity in personal encounters. Engagement, rather than
detachment, is a component of personal knowledge.
Personal knowledge incorporates experience, knowing, encountering, and actualizing the self within the
practice. Personal maturity and freedom are components of personal knowledge, which may include spiritual
and metaphysical forms of knowing. Because personal knowledge is difficult to express linguistically, it is
largely expressed in personality (Carper, 1978, 1992).
Ethics refers to the moral code for nursing and is based on obligation to service and respect for human life.
Ethical knowledge occurs as moral dilemmas arise in situations of ambiguity and uncertainty and when
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consequences are difficult to predict. Ethical knowledge requires rational and deliberate examination and
evaluation of what is good, valuable, and desirable as goals, motives, or characteristics (Carper, 1978, 1992).
Ethics must address conflicting norms, interests, and principles and provide insight into areas that cannot be
tested.
Fawcett, Watson, Neuman, Walkers, and Fitzpatrick (2001) stress that integration of all patterns of
knowing is essential for professional nursing practice and that no one pattern should be used in isolation from
others. Indeed, they are interrelated and interdependent because there are multiple points of contact between
and among them (Carper, 1992). Thus, nurses should view nursing practice from a broadened perspective that
places value on ways of knowing beyond the empirical (Silva, Sorrell, & Sorrell, 1995). Table 1-4
summarizes selected characteristics of Carper’s patterns of knowing in nursing.
Table 1-4 Characteristics of Carper’s Patterns of Knowing in Nursing
Pattern of
Knowing
Relationship
to Nursing
Source or
Creation
Source of
Validation
Method of
Expression
Purpose or
Outcome
Empirics Science of nursing Direct or indirect
observation and
measurement
Replication Facts, models,
scientific principles,
laws statements,
theories,
descriptions
Description,
explanation,
prediction
Esthetics Art of nursing Creation of value
and meaning,
synthesis of abstract
and concrete
Appreciation;
experience;
inspiration;
perception of
balance, rhythm,
proportion, and
unity
Appreciation;
empathy; esthetic
criticism; engaging,
intuiting, and
envisioning
Move beyond what
can be explained,
quantitatively
formulated,
understanding,
balance
Personal knowledge Therapeutic use of
self
Engagement,
opening, centering,
actualizing self
Response,
reflection,
experience
Empathy, active
participation
Promote wholeness
and integrity in
personal encounters
Ethics Moral component of
nursing
Values clarification,
rational and
deliberate reasoning,
obligation,
advocating
Dialogue,
justification,
universal
generalizability
Principles, codes,
ethical theories
Evaluation of what
is good, valuable,
and desirable
Sources: Carper (1978, 1992); Chinn and Kramer (2015).
Other Views of Patterns of Knowledge in Nursing
Although Carper’s work is considered classic, it is not without critics. Schultz and Meleis (1988) observed
that Carper’s work did not incorporate practical knowledge into the ways of knowing in nursing. Because of
this and other concerns, they described three patterns of knowledge in nursing: clinical, conceptual, and
empirical.
Clinical knowledge refers to the individual nurse’s personal knowledge. It results from using multiple
ways of knowing while solving problems during client care provision. Clinical knowledge is manifested in the
acts of practicing nurses and results from combining personal knowledge and empirical knowledge. It may
also involve intuitive and subjective knowing. Clinical knowledge is communicated retrospectively through
publication in journals (Schultz & Meleis, 1988).
Conceptual knowledge is abstracted and generalized beyond personal experience. It explicates patterns
revealed in multiple client experiences, which occur in multiple situations, and articulates them as models or
theories. In conceptual knowledge, concepts are drafted and relational statements are formulated.
Propositional statements are supported by empirical or anecdotal evidence or defended by logical reasoning.
Conceptual knowledge uses knowledge from nursing and other disciplines. It incorporates curiosity,
imagination, persistence, and commitment in the accumulation of facts and reliable generalizations that
pertain to the discipline of nursing. Conceptual knowledge is communicated in propositional statements
(Schultz & Meleis, 1988).
Empirical knowledge results from experimental, historical, or phenomenologic research and is used to
justify actions and procedures in practice. The credibility of empirical knowledge rests on the degree to which
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the researcher has followed procedures accepted by the community of researchers and on the logical, unbiased
derivation of conclusions from the evidence. Empirical knowledge is evaluated through systematic review and
critique of published research and conference presentations (Schultz & Meleis, 1988).
Chinn and Kramer (2015) also expanded on Carper’s patterns of knowing to include “emancipatory
knowing”—what they designate as the “praxis of nursing.” In their view, emancipatory knowing refers to
human’s ability to critically examine the current status quo and to determine why it currently exists. This, in
turn, supports identification of inequities in social and political institutions and clarification of cultural values
and beliefs to improve conditions for all. In this view, emancipatory knowledge is expressed in actions that
are directed toward changing existing social structures and establishing practices that are more equitable and
favorable to human health and well-being.
Summary of Ways of Knowing in Nursing
For decades, the importance of the multiple ways of knowing has been recognized in the discipline of nursing.
If nursing is to achieve a true integration between theory, research, and practice, theory development and
research must integrate different sources of knowledge. Kidd and Morrison (1988) state that in nursing,
synthesis of theories derived from different sources of knowledge will:
1. Encourage the use of different types of knowledge in practice, education, theory development, and
research.
2. Encourage the use of different methodologies in practice and research.
3. Make nursing education more relevant for nurses with different educational backgrounds.
4. Accommodate nurses at different levels of clinical competence.
5. Ultimately promote high-quality client care and client satisfaction.
Research Methodology and Nursing Science
Being heavily influenced by logical empiricism, as nursing began developing as a scientific discipline in the
mid-1900s, quantitative methods were used almost exclusively in research. In the 1960s and 1970s, schools of
nursing aligned nursing inquiry with scientific inquiry in a desire to bring respect to the academic
environment, and nurse researchers and nurse educators valued quantitative research methods over other
forms.
A debate over methodology began in the 1980s, however, when some nurse scholars asserted that
nursing’s ontology (what nursing is) was not being adequately and sufficiently explored using quantitative
methods in isolation. Subsequently, qualitative research methods began to be put into use. The assumptions
were that qualitative methods showed the phenomena of nursing in ways that were naturalistic and
unstructured and not misrepresented (Holzemer, 2007; Rutty, 1998).
The manner in which nursing science is conceptualized determines the priorities for nursing research and
provides measures for determining the relevance of various scientific research questions. Therefore, the way
in which nursing science is conceptualized also has implications for nursing practice. The philosophical issues
regarding methods of research relate back to the debate over the worldviews of received versus perceived
views of science versus postmodernism and whether nursing is a practice or applied science, a human science,
or some combination. The notion of evidence-based practice has emerged over the last few years, largely in
response to these and related concerns. Evidence-based practice as it relates to the theoretical basis of nursing
will be examined in Chapter 13.
Nursing as a Practice Science
In early years, the debate focused on whether nursing was a basic science or an applied science. The goal of
basic science is the attainment of knowledge. In basic research, the investigator is interested in understanding
the problem and produces knowledge for knowledge’s sake. It is analytical and the ultimate function is to
analyze a conclusion backward to its proper principles.
Conversely, an applied science is one that uses the knowledge of basic sciences for some practical end.
Engineering, architecture, and pharmacology are examples. In applied research, the investigator works toward
solving problems and producing solutions for the problem. In practice sciences, research is largely clinical and
43
action oriented (Moody, 1990). Thus, as an applied or practical science, nursing requires research that is
applied and clinical and that generates and tests theories related to health of human beings within their
environments as well as the actions and processes used by nurses in practice.
Nursing as a Human Science
The term human science is traced to philosopher Wilhelm Dilthey (1833–1911). Dilthey proposed that the
human sciences require concepts, methods, and theories that are fundamentally different from those of the
natural sciences. Human sciences study human life by valuing the lived experience of persons and seek to
understand life in its matrix of patterns of meaning and values. Some scholars believe that there is a need to
approach human sciences differently from conventional empiricism and contend that human experience must
be understood in context (Cody & Mitchell, 2002; Polifroni, 2015).
In human sciences, scientists hope to create new knowledge to provide understanding and interpretation of
phenomena. In human sciences, knowledge takes the form of descriptive theories regarding the structures,
processes, relationships, and traditions that underlie psychological, social, and cultural aspects of reality. Data
are interpreted within context to derive meaning and understanding. Humanistic scientists value the subjective
component of knowledge. They recognize that humans are not capable of total objectivity and embrace the
idea of subjectivity (Streubert & Carpenter, 2011). The purpose of research in human science is to produce
descriptions and interpretations to help understand the nature of human experience.
Nursing is sometimes referred to as a human science (Cody & Mitchell, 2002; Polifroni, 2015). Indeed,
the discipline has examined issues related to behavior and culture, as well as biology and physiology, and
sought to recognize associations among factors that suggest explanatory variables for human health and
illness. Thus, it fits the pattern of other humanistic sciences (i.e., anthropology, sociology).
Quantitative Versus Qualitative Methodology Debate
Nursing scholars accept the premise that scientific knowledge is generated from systematic study. The
research methodologies and criteria used to justify the acceptance of statements or conclusions as true within
the discipline result in conclusions and statements that are appropriate, valid, and reliable for the purpose of
the discipline.
The two dominant forms of scientific inquiry have been identified in nursing: (1) empiricism, which
objectifies and attempts to quantify experience and may test propositions or hypotheses in controlled
experimentation, and (2) phenomenology and other forms of qualitative research (i.e., grounded theory,
hermeneutics, historical research, ethnography), which study lived experiences and meanings of events
(Gortner & Schultz, 1988; Morse, 2017; Risjord, 2010). Reviews of the scientific status of nursing knowledge
usually contrast the positivist–deductive–quantitative approach with the interpretive–inductive–qualitative
alternative.
Although nursing theorists and nursing scientists emphasize the importance of sociohistorical contexts and
person–environment interactions, they tend to focus on “hard science” and the research process. It has been
argued that there is an overvaluation of the empirical/quantitative view because it is seen as “true science”
(Tinkle & Beaton, 1983). Indeed, the experimental method is held in the highest regard. A viewpoint has
persisted into the 21st century in which scholars assume that descriptive or qualitative research should be
performed only where there is little information available or when the science is young. Correlational research
may follow and then experimental methods can be used when the two lower (“less rigid” or “less scientific”)
levels have been explored.
Quantitative Methods
Traditionally, within the “received” or positivistic worldview, science has been uniquely quantitative. The
quantitative approach has been justified by its success in measuring, analyzing, replicating, and applying the
knowledge gained (Streubert & Carpenter, 2011). According to Wolfer (1993), science should incorporate
methodologic principles of objective observation/description, accurate measurement, quantification of
variables, mathematical and statistical analysis, experimental methods, and verification through replication
whenever possible.
Kidd and Morrison (1988) state that in their haste to prove the credibility of nursing as a profession,
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nursing scholars have emphasized reductionism and empirical validation through quantitative methodologies,
emphasizing hypothesis testing. In this framework, the scientist develops a hypothesis about a phenomenon
and seeks to prove or disprove it.
Qualitative Methods
The tradition of using qualitative methods to study human phenomena is grounded in the social sciences.
Phenomenology and other methods of qualitative research arose because aspects of human values, culture, and
relationships were unable to be described fully using quantitative research methods. It is generally accepted
that qualitative research findings answer questions centered on social experience and give meaning to human
life. Beginning in the 1970s, nursing scientists were challenged to explain phenomena that defy quantitative
measurement, and qualitative approaches, which emphasize the importance of the client’s perspective, began
to be used in nursing research (Kidd & Morrison, 1988).
Repeatedly, scholars state that nursing research should incorporate means for determining interpretation of
the phenomena of concern from the perspective of the client or care recipient. Contrary to the assertions of
early scientists, many later nurse scientists believe that qualitative inquiry contains features of good science
including theory and observation, logic, precision, clarity, and reproducibility (Monti & Tingen, 1999).
Methodologic Pluralism
In many respects, nursing is still undecided about which methodologic approach (qualitative or quantitative)
best demonstrates the essence and uniqueness of nursing because both methods have strengths and limitations.
Beck and Harrison (2016), Risjord (2010), and Wood and Haber (2018), among others, believe that the two
approaches may be considered complementary and appropriate for nursing as a research-based discipline.
Indeed, it is repeatedly argued that both approaches are equally important and even essential for nursing
science development.
Although basic philosophical viewpoints have guided and directed research strategies in the past, recently,
scholars have called for theoretical and methodologic pluralism in nursing philosophy and nursing science as
presented in the discussion on postmodernism. Pluralism of research designs is essential for reflecting the
uniqueness of nursing, and multiple approaches to theory development and testing should be encouraged.
Because there is no one best method of developing knowledge, it is important to recognize that valuing one
standard as exclusive or superior restricts the ability to progress.
Summary
Nursing is an evolving profession, an academic discipline, and a science. As nursing progresses and grows as
a profession, some controversy remains on whether to emphasize a humanistic, holistic focus or an objective,
scientifically derived means of comprehending reality. What is needed, and is increasingly more evident as
nursing matures as a profession, is an open philosophy that ties empirical concepts that are capable of being
validated through the senses with theoretical concepts of meaning and value.
It is important that future nursing leaders and novice nurse scientists possess an understanding of nursing’s
philosophical foundations. The legacy of philosophical positivism continues to drive beliefs in the scientific
method and research strategies, but it is time to move forward to face the challenges of the increasingly
complex and volatile health care environment.
Key Points
Nursing can be considered an aspiring or evolving profession.
Nursing is a professional discipline that draws much of its knowledge base from other disciplines, including
psychology, sociology, physiology, and medicine.
Nursing is an applied or practice science that has been influenced by several philosophical schools of
thought or worldviews, including the received view (empiricism, positivism, logical positivism), the
perceived view (humanism, phenomenology, constructivism), and postmodernism.
Nursing philosophy refers to the worldview(s) of the profession and provides perspective for practice,
scholarship, and research. Nursing science is the discipline-specific knowledge that focuses on the human–
45
environment–health process and is articulated in nursing theories and generated through nursing research.
Philosophy of science in nursing establishes the meaning of science through examination of nursing
concepts, theories, and laws as they relate to nursing practice.
Nursing epistemology (ways of knowing in nursing) has focused on four predominant or “fundamental”
ways of knowledge: empirical knowledge, esthetic knowledge, personal knowledge, and ethical
knowledge.
As nursing science has developed, there has been a debate over what research methods to use (i.e.,
quantitative methods vs. qualitative methods). Increasingly, there has been a call for “methodologic
pluralism” to better ensure that research findings are applicable in nursing practice.
Case Study
The following is adapted from a paper written by a graduate student describing an encounter in nursing
practice that highlights Carper’s (1978) ways of knowing in nursing.
In her work, Carper (1978) identified four patterns of knowing in nursing: empirical knowledge (science
of nursing), esthetic knowledge (art of nursing), personal knowledge, and ethical knowledge. Each is essential
and depends on the others to make the whole of nursing practice, and it is impossible to state which of the
patterns of knowing is most important. If nurses focus exclusively on empirical knowledge, for example,
nursing care would become more like medical care. But without an empirical base, the art of nursing is just
tradition. Personal knowledge is gained from experience and requires a scientific basis, understanding, and
empathy. Finally, the moral component is necessary to determine what is valuable, ethical, and compulsory.
Each of these ways of knowing is illustrated in the following scenario.
Mrs. Smith was a 24-year-old primigravida who presented to our unit in early labor. Her husband, and
father of her unborn child, had abandoned her 2 months prior to delivery, and she lacked close family
support.
I cared for Mrs. Smith throughout her labor and assisted during her delivery. During this process, I
taught breathing techniques to ease pain and improve coping. Position changes were encouraged
periodically, and assistance was provided as needed. Mrs. Smith’s care included continuous fetal monitoring,
intravenous hydration, analgesic administration, back rubs, coaching and encouragement, assistance while
getting an epidural, straight catheterization as needed, vital sign monitoring per policy, oxytocin
administration after delivery, newborn care, and breastfeeding assistance, among many others. All care was
explained in detail prior to rendering.
Empirical knowledge was clearly utilized in Mrs. Smith’s care. Examples would be those practices based
on the Association of Women’s Health, Obstetric and Neonatal Nurses (AWHONN) evidence-based
standards. These include guidelines for fetal heart rate monitoring and interpretation, assessment and
management of Mrs. Smith while receiving her epidural analgesia, the assessment and management of side
effects secondary to her regional analgesia, and even frequency for monitoring vital signs. Other examples
would be assisting Mrs. Smith to an upright position during her second stage of labor to facilitate delivery
and delaying nondirected pushing once she was completely dilated.
Esthetic knowledge, or the art of nursing, is displayed in obstetrical nursing daily. Rather than just
responding to biologic developments or spoken requests, the whole person was valued and cues were
perceived and responded to for the good of the patient. The care I gave Mrs. Smith was holistic; her social,
spiritual, psychological, and physical needs were all addressed in a comprehensive and seamless fashion. The
empathy conveyed to the patient took into account her unique self and situation, and the care provided was
reflexively tailored to her needs. I recognized the profound experience of which I was a part and adapted my
actions and attitude to honor the patient and value the larger experience.
Many aspects of personal knowledge seem intertwined with esthetics, though more emphasis seems to be
on the meaningful interaction between the patient and nurse. As above, the patient was cared for as a unique
individual. Though secondary to the awesome nature of birth, much of the experience revolved around the
powerful interpersonal relationship established. Mrs. Smith was accepted as herself. Though efforts were
made by me to manage certain aspects of the experience, Mrs. Smith was allowed control and freedom of
expression and reaction. She and I were both committed to the mutual though brief relationship. This
knowledge stems from my own personality and ability to accept others, willingness to connect to others, and
46
desire to collaborate with the patient regarding her care and ultimate experience.
The ethical knowledge of nursing is continuously utilized in nursing care to promote the health and well-
being of the patient; and in this circumstance, the unborn child as well. Every decision made must be weighed
against desired goals and values, and nurses must strive to act as advocates for each patient. When caring for
a patient and an unborn child, there is a constant attempt to do no harm to either, while balancing the care of
both. A very common example is the administration of medications for the mother’s comfort that can cause
sedation and respiratory depression in the neonate. This case involved fewer ethical considerations than
many others in obstetrics. These include instances in which physicians do not respond when the nurse feels
there is imminent danger and the chain of command must be utilized, or when assistance is required for the
care of abortion patients or in other situations that may be in conflict with the nurses moral or religious
convictions.
A close bond was formed while I cared for Mrs. Smith and her baby. Soon after admission, she was
holding my hand during contractions and had shared very intimate details of her life, separation, and fears.
Though she had shared her financial concerns and had a new baby to provide for, a few weeks after her
delivery I received a beautiful gift basket and card. In her note she shared that I had touched her in a way she
had never expected and she vowed never to forget me; I’ve not forgotten her either.
Contributed by Shelli Carter, RN, MSN
Learning Activities
1. Reflect on the previous case study. Think of a situation from personal practice in which
multiple ways of knowing were used. Write down the anecdote and share it with classmates.
2. With classmates, discuss whether nursing is a profession or an occupation. What can current
and future nurses do to enhance nursing’s standing as a profession?
3. Debate with classmates the dominant philosophical schools of thought in nursing (received
view, perceived view, postmodernism). Which worldview best encompasses the profession of
nursing? Why?
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2
Overview of Theory in Nursing
Melanie McEwen
Matt Ng has been an emergency room nurse for almost 6 years and recently decided to enroll in a master’s
degree program to become an acute care nurse practitioner. As he read over the degree requirements, Matt
was somewhat bewildered. One of the first courses in his program was entitled Application of Theory in
Nursing. He was interested in the courses in advanced pharmacology, advanced physical assessment, and
pathophysiology and was excited about the advanced practice clinical courses, but a course that focused on
nursing theory did not appear congruent with his goals.
Looking over the syllabus for the theory application course did little to reassure Matt, but he was
determined to make the best of the situation and went to the first class with an open mind. The first few class
periods were increasingly interesting as the students and instructor discussed the historical evolution of the
discipline of nursing and the stages of nursing theory development. As the course progressed, the topics
became more relevant to Matt. He learned ways to analyze and evaluate theories, examined a number of
different types of theories used by nurses, and completed several assignments, including a concept analysis, an
analysis of a middle range nursing theory, and a synthesis paper that examined the use of non-nursing theories
in nursing research.
By the end of the semester, Matt was able to recognize the importance of the study of theory. He
understood how theoretical principles and concepts affected his current practice and how they would be
essential to consider as he continued his studies to become an advanced practice nurse.
When asked about theory, many nurses and nursing students, and often even nursing faculty, will respond
with a furrowed brow, a pained expression, and a resounding “ugh.” When questioned about their negative
response, most will admit that the idea of studying theory is confusing, that they see no practical value, and
that theory is, in essence, too theoretical.
Likewise, some nursing scholars believe that nursing theory is practically nonexistent, whereas others
recognize that many practitioners have not heard of nursing theory. Some nurses lament that nurse researchers
use theories and frameworks from other disciplines, whereas others believe the notion of nursing theory is
outdated and ask why they should bother with theory. Questions and debates about “theory” in nursing
abound in the nursing literature.
Myra Levine, one of the pioneer nursing theorists, wrote that “the introduction of the idea of theory in
nursing was sadly inept” (Levine, 1995, p. 11). She stated,
In traditional nursing fashion, early efforts were directed at creating a procedure—a recipe book for
prospective theorists—which then could be used to decide what was and was not a theory. And there
was always the thread of expectation that the great, grand, global theory would appear and end all
speculation. Most of the early theorists really believed they were achieving that.
Levine (1995) went on to explain that every new theory posited new central concepts, definitions,
relational statements, and goals for nursing and then attracted a chorus of critics. This resulted in nurses
finding themselves confused about the substance and intention of the theories. Indeed, “In early days, theory
was expected to be obscure. If it was clearly understandable, it wasn’t considered a very good theory”
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(Levine, 1995, p. 11).
The drive to develop nursing theory has been marked by nursing theory conferences, the proliferation of
theoretical and conceptual frameworks for nursing, and the formal teaching of theory development in graduate
nursing education. It has resulted in the development of many systems, techniques or processes for theory
analysis and evaluation, a fascination with the philosophy of science, and confusion about theory development
strategies and division of choice of research methodologies.
There is debate over the types of theories that should be used by nurses. Should they be only nursing
theories or can nurses use theories “borrowed” from other disciplines? There is debate over terminology such
as conceptual framework, conceptual model, and theory. There have been heated discussions concerning the
appropriate level of theory for nurses to develop as well as how, why, where, and when to test, measure,
analyze, and evaluate these theories/models/conceptual frameworks. The question has been repeatedly asked:
Should nurses adopt a single theory, or do multiple theories serve them best? It is no wonder, then, that
nursing students display consternation, bewilderment, and even anxiety when presented with the prospect of
studying theory. One premise, however, can be agreed upon: To be useful, a theory must be meaningful and
relevant, but above all, it must be understandable. This chapter discusses many of the issues described
previously. It presents the rationale for studying and using theory in nursing practice, research,
management/administration, and education; gives definitions of key terms; provides an overview of the
history of development of theory utilization in nursing; describes the scope of theory and levels of theory;
and, finally, introduces the widely accepted nursing metaparadigm.
Overview of Theory
Most scholars agree that it is the unique theories and perspectives used by a discipline that distinguish it from
other disciplines. The theories used by members of a profession clarify basic assumptions and values shared
by its members and define the nature, outcome, and purpose of practice (Alligood, 2014a; Fawcett, 2012;
Rutty, 1998).
Definitions of the term theory abound in the nursing literature. At a basic level, theory has been described
as a systematic explanation of an event in which constructs and concepts are identified and relationships are
proposed and predictions made (Streubert & Carpenter, 2011). Theory has also been defined as a “creative
and rigorous structuring of ideas that project a tentative, purposeful and systematic view of phenomena”
(Chinn & Kramer, 2015, p. 255). Finally, theory has been called a set of interpretative assumptions,
principles, or propositions that help explain or guide action (Young, Taylor, & Renpenning, 2001).
In their classic work, Dickoff and James (1968) state that theory is invented rather than found in or
discovered from reality. Furthermore, theories vary according to the number of elements, the characteristics
and complexity of the elements, and the kind of relationships between or among the elements.
The Importance of Theory in Nursing
Before the advent of development of nursing theories, nursing was largely subsumed under medicine. Nursing
practice was generally prescribed by others and highlighted by traditional, ritualistic tasks with little regard to
rationale. The initial work of nursing theorists was aimed at clarifying the complex intellectual and
interactional domains that distinguish expert nursing practice from the mere doing of tasks (Omrey, Kasper, &
Page, 1995). It was believed that conceptual models and theories could create mechanisms by which nurses
would communicate their professional convictions, provide a moral/ethical structure to guide actions, and
foster a means of systematic thinking about nursing and its practice (Chinn & Kramer, 2015; Peterson, 2017;
Sitzman & Eichelberger, 2011; Ziegler, 2005). The idea that a single, unified model of nursing—a worldview
of the discipline—might emerge was encouraged by some (Levine, 1995; Tierney, 1998).
It is widely believed that use of theory offers structure and organization to nursing knowledge and
provides a systematic means of collecting data to describe, explain, and predict nursing practice. Use of theory
also promotes rational and systematic practice by challenging and validating intuition. Theories make nursing
practice more overtly purposeful by stating not only the focus of practice but also specific goals and
outcomes. Theories define and clarify nursing and the purpose of nursing practice to distinguish it from other
caring professions by setting professional boundaries. Finally, use of a theory in nursing leads to coordinated
50
and less fragmented care (Alligood, 2014a; Chinn & Kramer, 2015; Ziegler, 2005).
Ways in which theories and conceptual models developed by nurses have influenced nursing practice are
described by Fawcett (1992), who stated that in nursing they:
Identify certain standards for nursing practice.
Identify settings in which nursing practice should occur and the characteristics of what the model’s
author considers recipients of nursing care.
Identify distinctive nursing processes and technologies to be used, including parameters for client
assessment, labels for client problems, a strategy for planning, a typology of intervention, and criteria
for evaluation of intervention outcomes.
Direct the delivery of nursing services.
Serve as the basis for clinical information systems, including the admission database, nursing orders,
care plan, progress notes, and discharge summary.
Guide the development of client classification systems.
Direct quality assurance programs.
Terminology of Theory
In nursing, conceptual models or frameworks detail a network of concepts and describe their relationships,
thereby explaining broad nursing phenomena. Theories, according to Young and colleagues (2001), are the
narrative that accompanies the conceptual model. These theories typically provide a detailed description of all
of the components of the model and outline relationships in the form of propositions. Critical components of
the theory or narrative include definitions of the central concepts or constructs; propositions or relational
statements; the assumptions on which the framework is based; and the purpose, indications for use, or
application. Many conceptual frameworks and theories will also include a schematic drawing or model
depicting the overall structure of or interactivity of the components (Chinn & Kramer, 2015).
Some terms may be new to students of theory and others need clarification. Table 2-1 lists definitions for a
number of terms that are frequently encountered in writings on theory. Many of these terms will be described
in more detail later in the chapter and in subsequent chapters.
Table 2-1 Definitions and Characteristics of Theory Terms and Concepts
Term Definition and Characteristics
Assumptions Assumptions are beliefs about phenomena one must accept as true to
accept a theory about the phenomena as true. Assumptions may be
based on accepted knowledge or personal beliefs and values. Although
assumptions may not be susceptible to testing, they can be argued
philosophically.
Borrowed or shared theory A borrowed theory is a theory developed in another discipline that is
not adapted to the worldview and practice of nursing.
Concept Concepts are the elements or components of a phenomenon necessary
to understand the phenomenon. They are abstract and derived from
impressions the human mind receives about phenomena through
sensing the environment.
Conceptual model/conceptual
framework
A conceptual model is a set of interrelated concepts that symbolically
represents and conveys a mental image of a phenomenon. Conceptual
models of nursing identify concepts and describe their relationships to
the phenomena of central concern to the discipline.
Construct Constructs are the most complex type of concept. They comprise more
than one concept and are typically built or constructed by the theorist
or philosopher to fit a purpose. The terms concept and construct are
often used interchangeably, but some authors use concept as the more
51
general term—all constructs are concepts, but not all concepts are
constructs.
Empirical indicator Empirical indicators are very specific and concrete identifiers of
concepts. They are actual instructions, experimental conditions, and
procedures used to observe or measure the concept(s) of a theory.
Epistemology Epistemology refers to theories of knowledge or how people come to
have knowledge; in nursing, it is the study of the origins of nursing
knowledge.
Hypotheses Hypotheses are tentative suggestions that a specific relationship exists
between two concepts or propositions. As the hypothesis is repeatedly
confirmed, it progresses to an empirical generalization and ultimately
to a law.
Knowledge Knowledge refers to the awareness or perception of reality acquired
through insight, learning, or investigation. In a discipline, knowledge is
what is collectively seen to be a reasonably accurate understanding of
the world as seen by members of the discipline.
Laws A law is a proposition about the relationship between concepts in a
theory that has been repeatedly validated. Laws are highly
generalizable. Laws are found primarily in disciplines that deal with
observable and measurable phenomena, such as chemistry and physics.
Conversely, social and human sciences have few laws.
Metaparadigm A metaparadigm represents the worldview of a discipline—the global
perspective that subsumes more specific views and approaches to the
central concepts with which the discipline is concerned. The
metaparadigm is the ideology within which the theories, knowledge,
and processes for knowing find meaning and coherence. Nursing’s
metaparadigm is generally thought to consist of the concepts of person,
environment, health, and nursing.
Middle range theory Middle range theory refers to a part of a discipline’s concerns related
to particular topics. The scope is narrower than that of broad-range or
grand theories.
Model Models are graphic or symbolic representations of phenomena that
objectify and present certain perspectives or points of view about
nature or function or both. Models may be theoretical (something not
directly observable—expressed in language or mathematics symbols)
or empirical (replicas of observable reality—e.g., model of an eye).
Ontology Ontology is concerned with the study of existence and the nature of
reality.
Paradigm A paradigm is an organizing framework that contains concepts,
theories, assumptions, beliefs, values, and principles that form the way
a discipline interprets the subject matter with which it is concerned. It
describes work to be done and frames an orientation within which the
work will be accomplished. A discipline may have a number of
paradigms. The term paradigm is associated with Kuhn’s Structure of
Scientific Revolutions.
Phenomena Phenomena are the designation of an aspect of reality; the phenomena
of interest become the subject matter particular to the primary concerns
of a discipline.
Philosophy A philosophy is a statement of beliefs and values about human beings
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and their world.
Practice or situation-specific
theory
A practice or situation-specific theory deals with a limited range of
discrete phenomena that are specifically defined and are not expanded
to include their link with the broad concerns of a discipline.
Praxis Praxis is the application of a theory to cases encountered in experience.
Relationship statements Relationship statements indicate specific relationships between two or
more concepts. They may be classified as propositions, hypotheses,
laws, axioms, or theorems.
Taxonomy A taxonomy is a classification scheme for defining or gathering
together various phenomena. Taxonomies range in complexity from
simple dichotomies to complicated hierarchical structures.
Theory Theory refers to a set of logically interrelated concepts, statements,
propositions, and definitions, which have been derived from
philosophical beliefs of scientific data and from which questions or
hypotheses can be deduced, tested, and verified. A theory purports to
account for or characterize some phenomenon.
Worldview Worldview is the philosophical frame of reference used by a social or
cultural group to describe that group’s outlook on and beliefs about
reality.
Sources: Alligood (2014b); Blackburn (2016); Chinn and Kramer (2015); Powers and Knapp (2011).
Historical Overview: Theory Development in Nursing
Most nursing scholars credit Florence Nightingale with being the first modern nursing theorist. Nightingale
was the first to delineate what she considered nursing’s goal and practice domain, and she postulated that “to
nurse” meant having charge of the personal health of someone. She believed the role of the nurse was seen as
placing the client “in the best condition for nature to act upon him” (Hilton, 1997, p. 1211).
Florence Nightingale
Nightingale received her formal training in nursing in Kaiserswerth, Germany, in 1851. Following her
renowned service for the British army during the Crimean War, she returned to London and established a
school for nurses. According to Nightingale, formal training for nurses was necessary to “teach not only what
is to be done, but how to do it.” She was the first to advocate the teaching of symptoms and what they
indicate. Furthermore, she taught the importance of rationale for actions and stressed the significance of
“trained powers of observation and reflection” (Kalisch & Kalisch, 2004, p. 36).
In Notes on Nursing, published in 1859, Nightingale proposed basic premises for nursing practice. In her
view, nurses were to make astute observations of the sick and their environment, record observations, and
develop knowledge about factors that promoted healing. Her framework for nursing emphasized the utility of
empirical knowledge, and she believed that knowledge developed and used by nurses should be distinct from
medical knowledge. She insisted that trained nurses control and staff nursing schools and manage nursing
practice in homes and hospitals (Chinn & Kramer, 2015; Kalisch & Kalisch, 2004).
Stages of Theory Development in Nursing
Subsequent to Nightingale, almost a century passed before other nursing scholars attempted the development
of philosophical and theoretical works to describe and define nursing and to guide nursing practice. Kidd and
Morrison (1988) described five stages in the development of nursing theory and philosophy: (1) silent
knowledge, (2) received knowledge, (3) subjective knowledge, (4) procedural knowledge, and (5) constructed
knowledge. Table 2-2 gives an overview of characteristics of each of these stages in the development of
nursing theory, and each stage is described in the following sections. To contemporize Kidd and Morrison’s
work, attention will be given to the current decade and a new stage—that of “integrated knowledge.”
53
Table 2-2 Stages in the Development of Nursing Theory
Stage Source of Knowledge Impact on Theory and Research
Silent knowledge Blind obedience to medical
authority
Little attempt to develop theory.
Research was limited to collection
of epidemiologic data.
Received knowledge Learning through listening to
others
Theories were borrowed from
other disciplines. As nurses
acquired non-nursing doctoral
degrees, they relied on the
authority of educators,
sociologists, psychologists,
physiologists, and anthropologists
to provide answers to nursing
problems.
Research was primarily
educational research or sociologic
research.
Subjective knowledge Authority was internalized to
foster a new sense of self.
A negative attitude toward
borrowed theories and science
emerged.
Nurse scholars focused on
defining nursing and on
developing theories about and for
nursing.
Nursing research focused on the
nurse rather than on clients and
clinical situations.
Procedural knowledge Includes both separate and
connected knowledge
Proliferation of approaches to
theory development. Application
of theory in practice was
frequently underemphasized.
Emphasis was placed on the
procedures used to acquire
knowledge, with focused attention
to the appropriateness of
methodology, the criteria for
evolution, and statistical
procedures for data analysis.
Constructed knowledge Combination of different types of
knowledge (intuition, reason, and
self-knowledge)
Recognition that nursing theory
should be based on prior
empirical studies, theoretical
literature, client reports of clinical
experiences and feelings, and the
nurse scholar’s intuition or related
knowledge about the phenomenon
of concern
Integrated knowledge Assimilation and application of
“evidence” from nursing and
other health care disciplines
Nursing theory will increasingly
incorporate information from
published literature with enhanced
54
emphasis on clinical application
as situation-specific/practice
theories and middle range
theories.
Source: Kidd and Morrison (1988).
Silent Knowledge Stage
Recognizing the impact of the poorly trained nurses on the health of soldiers during the Civil War, in 1868,
the American Medical Association advocated the formal training of nurses and suggested that schools of
nursing be attached to hospitals with instruction being provided by medical staff and resident physicians. The
first training school for nurses in the United States was opened in 1872 at the New England Hospital. Three
more schools, located in New York, New Haven, and Boston, opened shortly thereafter (Kalisch & Kalisch,
2004). Most schools were under the control of hospitals and superintended by hospital administrators and
physicians. Education and practice were based on rules, principles, and traditions that were passed along
through an apprenticeship form of education.
There followed rapid growth in the number of hospital-based training programs for nurses, and by 1909,
there were more than 1,000 such programs (Kalisch & Kalisch, 2004). In these early schools, a meager
amount of theory was taught by physicians, and practice was taught by experienced nurses. The curricula
contained some anatomy and physiology and occasional lectures on special diseases. Few nursing books were
available, and the emphasis was on carrying out physicians’ orders. Nursing education and practice focused
on the performance of technical skills and application of a few basic principles, such as aseptic technique and
principles of mobility. Nurses depended on physicians’ diagnosis and orders and as a result largely adhered to
the medical model, which views body and mind separately and focuses on cure and treatment of pathologic
problems (Donahue, 2011). Hospital administrators saw nurses as inexpensive labor. Nurses were exploited
both as students and as experienced workers. They were taught to be submissive and obedient, and they
learned to fulfill their responsibilities to physicians without question (Chinn & Kramer, 2015).
Unfortunately, with a few exceptions, this model of nursing education persisted for more than 80 years.
One exception was Yale University, which started the first autonomous school of nursing in 1924. At Yale,
and in other later collegiate programs, professional training was strengthened by in-depth exposure to the
underlying theory of disease as well as the social, psychological, and physical aspects of client welfare. The
growth of collegiate programs lagged, however, due to opposition from many physicians who argued that
university-educated nurses were overtrained. Hospital schools continued to insist that nursing education meant
acquisition of technical skills and that knowledge of theory was unnecessary and might actually handicap the
nurse (Donahue, 2011; Judd & Sitzman, 2014; Kalisch & Kalisch, 2004).
Received Knowledge Stage
It was not until after World War II that substantive changes were made in nursing education. During the late
1940s and into the 1950s, serious nursing shortages were fueled by a decline in nursing school enrollments. A
1948 report, Nursing for the Future, by Esther Brown, PhD, compared nursing with teaching. Brown noted
that the current model of nursing education was central to the problems of the profession and recommended
that efforts be made to provide nursing education in universities as opposed to the apprenticeship system that
existed in most hospital programs (Donahue, 2011; Kalisch & Kalisch, 2004).
Other factors during this time challenged the tradition of hospital-based training for nurses. One of these
factors was a dramatic increase in the number of hospitals resulting from the Hill-Burton Act, which worsened
the ongoing and sometimes critical nursing shortage. In addition, professional organizations for nurses were
restructured and began to grow. It was also during this time that state licensure testing for registration took
effect, and by 1949, 41 states required testing. The registration requirement necessitated that education
programs review the content matter they were teaching to determine minimum criteria and some degree of
uniformity. In addition, the techniques and processes used in instruction were also reviewed and evaluated
(Kalisch & Kalisch, 2004).
Over the next decade, a number of other events occurred that altered nursing education and nursing
practice. In 1950, the journal Nursing Research was first published. The American Nurses Association (ANA)
55
began a program to encourage nurses to pursue graduate education to study nursing functions and practice.
Books on research methods and explicit theories of nursing began to appear. In 1956, the Health Amendments
Act authorized funds for financial aid to promote graduate education for full-time study to prepare nurses for
administration, supervision, and teaching. These events resulted in a slow but steady increase in graduate
nursing education programs.
The first doctoral programs in nursing originated within schools of education at Teachers College of
Columbia University (1933) and New York University (1934). But it would be 20 more years before the first
doctoral program in nursing began at the University of Pittsburgh (1954) (Kalisch & Kalisch, 2004).
Subjective Knowledge Stage
Until the 1950s, nursing practice was principally derived from social, biologic, and medical theories. With the
exceptions of Nightingale’s work in the 1850s, nursing theory had its beginnings with the publication of
Hildegard Peplau’s book in 1952. Peplau described the interpersonal process between the nurse and the client.
This started a revolution in nursing, and in the late 1950s and 1960s, a number of nurse theorists emerged
seeking to provide an independent conceptual framework for nursing education and practice (Donahue, 2011).
The nurse’s role came under scrutiny during this decade as nurse leaders debated the nature of nursing
practice and theory development.
During the 1960s, the development of nursing theory was heavily influenced by three philosophers, James
Dickoff, Patricia James, and Ernestine Wiedenbach, who, in a series of articles, described theory development
and the nature of theory for a practice discipline. Other approaches to theory development combined direct
observations of practice, insights derived from existing theories and other literature sources, and insights
derived from explicit philosophical perspectives about nursing and the nature of health and human experience.
Early theories were characterized by a functional view of nursing and health. They attempted to define what
nursing is, describe the social purposes nursing serves, explain how nurses function to realize these purposes,
and identify parameters and variables that influence illness and health (Chinn & Kramer, 2015).
In the 1960s, a number of nurse leaders (Abdellah, Orlando, Wiedenbach, Hall, Henderson, Levine, and
Rogers) developed and published their views of nursing. Their descriptions of nursing and nursing models
evolved from their personal, professional, and educational experiences and reflected their perception of ideal
nursing practice.
Procedural Knowledge Stage
By the 1970s, the nursing profession viewed itself as a scientific discipline evolving toward a theoretically
based practice focusing on the client. In the late 1960s and early 1970s, several nursing theory conferences
were held. Also, significantly, in 1972, the National League for Nursing implemented a requirement that the
curricula for nursing educational programs be based on conceptual frameworks. During these years, many
nursing theorists published their beliefs and ideas about nursing and some developed conceptual models.
During the 1970s, a consensus developed among nursing leaders regarding common elements of nursing.
These were the nature of nursing (roles/actions/interventions), the individual recipient of care (client), the
context of nurse–client interactions (environment), and health. Nurses debated whether there should be one
conceptual model for nursing or several models to describe the relationships among the nurse, client,
environment, and health. Books were written for nurses on how to critique, develop, and apply nursing
theories. Graduate schools developed courses on analysis and application of theory, and researchers identified
nursing theories as conceptual frameworks for their studies. Through the late 1970s and early 1980s, theories
moved to characterizing nursing’s role from “what nurses do” to “what nursing is.” This changed nursing
from a context-dependent, reactive position to a context-independent, proactive arena (Chinn & Kramer,
2015).
Although master’s programs were growing steadily, doctoral programs grew more slowly, but by 1970,
there were 20 such programs. This growth in graduate nursing education allowed nurse scholars to debate
ideas, viewpoints, and research methods in the nursing literature. As a result, nurses began to question the
ideas that were taken for granted in nursing and the traditional basis in which nursing was practiced.
Constructed Knowledge Stage
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During the late 1980s, scholars began to concentrate on theories that provide meaningful foundation for
nursing practice. There was a call to develop substance in theory and to focus on nursing concepts grounded
in practice and linked to research. The 1990s into the early 21st century saw an increasing emphasis on
philosophy and philosophy of science in nursing. Attention shifted from grand theories to middle range
theories as well as application of theory in research and practice.
In the 1990s, the idea of evidence-based practice (EBP) was introduced into nursing to address the
widespread recognition of the need to move beyond attention given to research per se in order to address the
gap in research and practice. The “evidence” is research that has been completed and published (LoBiondo-
Wood & Haber, 2014). Ostensibly, EBP promotes employment of theory-based, research-derived evidence to
guide nursing practice.
During this period, graduate education in nursing continued to grow rapidly, particularly among programs
that produced advanced practice nurses (APNs). A seminal event during this time was the introduction of the
doctor of nursing practice (DNP). The DNP was initially proposed by the American Association of Colleges
of Nursing (AACN) in 2004 to be the terminal degree for APNs. The impetus for the DNP was based on
recognition of the need for expanded competencies due to the increasing complexity of clinical practice,
enhanced knowledge to improve nursing practice and outcomes, and promotion of leadership skills (AACN,
2004).
Integrated Knowledge Stage
More recently, development of nursing knowledge shifted to a trend that blends and uses a variety of
processes to achieve a given research aim as opposed to adherence to strict, accepted methodologies (Chinn &
Kramer, 2015). In the second decade of the 21st century, there has been significant attention to the need to
direct nursing knowledge development toward clinical relevance, to address what Risjord (2010) terms the
“relevance gap.” Indeed, as Risjord states, and virtually all nursing scholars would agree, “The primary goal .
. . of nursing research is to produce knowledge that supports practice” (p. 4). But he continues to note that in
reality, a significant portion of research supports practice imperfectly, infrequently, and often insignificantly.
In the current stage of knowledge development, considerable focus in nursing science has been on
integration of knowledge into practice, largely with increased attention on EBP and translational research
(Chinn & Kramer, 2015). Indeed, it is widely accepted that systematic review of research from a variety of
health disciplines, often in the form of meta-analyses, should be undertaken to inform practice and policy
making in nursing (Melnyk & Fineout-Overholt, 2015; Schmidt & Brown, 2015). Furthermore, this involves
or includes application of evidence from across all health-related sciences (i.e., translational research).
Translational research was designated a priority initiative by the National Institutes of Health in 2005
(Powers & Knapp, 2011). The idea of translational research is to close the gap between scientific discovery
and translation of research into practice; the intent is to validate evidence in the practice setting (Chinn &
Kramer, 2015). Translational research shifts focus to interdisciplinary efforts and integration of the
perspectives of different disciplines to “a contemporary movement aimed at producing a concerted
multidisciplinary effort to address recognized health disparities and care delivery inadequacies” (Powers &
Knapp, 2011, p. 191).
Into the second decade of the 21st century, the number of doctoral programs in the United States
continued to grow steadily, and by 2016, there were 128 doctoral programs granting a doctor of philosophy
(PhD) in nursing (AACN, 2017a). Furthermore, after a sometimes contentious debate, the DNP gained
widespread acceptance, and by 2017, there were 303 programs granting the DNP, with many more being
planned (AACN, 2017b).
In this current stage of theory development in nursing, it is anticipated that there will be ongoing interest
in EBP and growth of translational research. In this regard, development and application of middle range and
practice theories will continue to be stressed, with attention increasing on practical/clinical application and
relevance of both research and theory.
Summary of Stages of Nursing Theory Development
A number of events and individuals have had an impact on the development and utilization of theory in
nursing practice, research, and education. Table 2-3 provides a summary of significant events.
57
Table 2-3 Significant Events in Theory Development in Nursing
Event Year
Nightingale publishes Notes on Nursing 1859
American Medical Association advocates formal training for nurses 1868
Teacher’s College—Columbia University—Doctorate in Education degree for nursing 1920
Yale University begins the first collegiate school of nursing 1924
Report by Dr. Esther Brown—“Nursing for the Future” 1948
State licensure for registration becomes standard 1949
Nursing Research first published 1950
H. Peplau publishes Interpersonal Relations in Nursing 1952
University of Pittsburgh begins the first doctor of philosophy (PhD) program in nursing 1954
Health Amendments Act passes—funds graduate nursing education 1956
Process of theory development discussed among nursing scholars (works published by
Abdellah, Henderson, Orlando, Wiedenbach, and others)
1960–
1966
First symposium on Theory Development in Nursing (published in Nursing Research in 1968) 1967
Symposium Theory Development in Nursing 1968
Dickoff, James, and Wiedenbach—“Theory in a Practice Discipline”
First Nursing Theory Conference 1969
Second Nursing Theory Conference 1970
Third Nursing Theory Conference 1971
National League for Nursing adopts Requirement for Conceptual Framework for Nursing
Curricula
1972
Key articles publish in Nursing Research (Hardy—Theories: Components, Development, and
Evaluation; Jacox—Theory Construction in Nursing; and Johnson—Development of Theory)
1974
Nurse educator conferences on nursing theory 1975,
1978
Advances in Nursing Science first published 1979
Books written for nurses on how to critique theory, develop theory, and apply nursing theory 1980s
Graduate schools of nursing develop courses on how to analyze and apply theory in nursing 1980s
Research studies in nursing identify nursing theories as frameworks for study 1980s
Publication of numerous books on analysis, application, evaluation, and development of
nursing theories
1980s
Philosophy and philosophy of science courses offered in doctoral programs 1990s
Increasing emphasis on middle range and practice theories for nursing 1990s
Nursing literature describes the need to establish interconnections among central nursing
concepts
1990s
Introduction of evidence-based practice into nursing 1990s
Philosophy of Nursing first published 1999
Books published describing, analyzing, and discussing application of middle range theory and
evidence-based practice
2000s
Introduction of the doctor of nursing practice (DNP) 2004
Growing emphasis on development of situation-specific and middle range theories in nursing 2010+
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Attention to theory utilization and development of theories to guide nursing research, practice,
education, and administration
2010+
Focus on clinical application of evidence-based practice, practice-based evidence, and
translational research
2010+
Sources: Alligood (2014a); Chinn and Kramer (2015); Donahue (2011); Kalisch and Kalisch (2004); Meleis (2012); Moody (1990).
Beginning in the early 1950s, efforts to represent nursing theoretically produced broad conceptualizations
of nursing practice. These conceptual models or frameworks proliferated during the 1960s and 1970s.
Although the conceptual models were not developed using traditional scientific research processes, they did
provide direction for nursing by focusing on a general ideal of practice that served as a guide for research and
education. Table 2-4 lists the works of many of the nursing theorists and the titles and year of key theoretical
publications. The works of a number of the major theorists are discussed in Chapters 7 through 9. Reference
lists and bibliographies outlining application of their work to research, education, and practice are described in
those chapters.
Table 2-4 Chronology of Publications of Selected Nursing Theorists
Theorist Year Title of Theoretical Writings
Florence Nightingale 1859 Notes on Nursing
Hildegard Peplau 1952 Interpersonal Relations in Nursing
Virginia Henderson 1955 Principles and Practice of Nursing, 5th edition
1966 The Nature of Nursing: A Definition and Its Implications for
Practice, Research, and Education
1991 The Nature of Nursing: Reflections After 25 Years
Dorothy Johnson 1959 “A Philosophy of Nursing”
1980 “The Behavioral System Model for Nursing”
Faye Abdellah 1960 Patient-Centered Approaches to Nursing
1968 2nd edition
Ida Jean Orlando 1961 The Dynamic Nurse–Patient Relationship
Ernestine Wiedenbach 1964 Clinical Nursing: A Helping Art
Lydia E. Hall 1964 Nursing: What Is It?
Joyce Travelbee 1966 Interpersonal Aspects of Nursing
1971 2nd edition
Myra E. Levine 1967 The Four Conservation Principles of Nursing
1973 Introduction to Clinical Nursing
1996 “The Conservation Principles of Nursing: A Retrospective”
Martha Rogers 1970 An Introduction to the Theoretical Basis of Nursing
1980 “Nursing: A Science of Unitary Man”
1983 Science of Unitary Human Being: A Paradigm for Nursing
1989 “Nursing: A Science of Unitary Human Beings”
Dorothea E. Orem 1971 Nursing: Concepts of Practice
1980 2nd edition
1985 3rd edition
1991 4th edition
1995 5th edition
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2001 6th edition
2011 Self-Care Science, Nursing Theory and Evidence-Based Practice
(Taylor and Renpenning)
Imogene M. King 1971 Toward a Theory for Nursing: General Concepts of Human
Behavior
1981 A Theory for Nursing: Systems, Concepts, Process
1989 “King’s General Systems Framework and Theory”
Betty Neuman 1974 “The Betty Neuman Health-Care Systems Model: A Total
Person Approach to Patient Problems”
1982 The Neuman Systems Model
1989 2nd edition
1995 3rd edition
2002 4th edition
2011 5th edition
Evelyn Adam 1975 A Conceptual Model for Nursing
1980 To Be a Nurse
1991 2nd edition
Callista Roy 1976 Introduction to Nursing: An Adaptation Model
1980 “The Roy Adaptation Model”
1984 Introduction to Nursing: An Adaptation Model, 2nd edition
1991 The Roy Adaptation Model
1999 2nd edition
2009 3rd edition
Josephine Paterson and
Loretta Zderad
1976 Humanistic Nursing
Jean Watson 1979 Nursing: The Philosophy and Science of Caring
1985 Nursing: Human Science and Human Care
1989 Watson’s Philosophy and Theory of Human Caring in Nursing
1999 Human Science and Human Care
2006 Caring Science as Sacred Science
2012 Human Caring Science: A Theory of Nursing, 2nd edition
Margaret A. Newman 1979 Theory Development in Nursing
1983 Newman’s Health Theory
1986 Health as Expanding Consciousness
2000 2nd edition
Madeleine Leininger 1980 Caring: A Central Focus of Nursing and Health Care Services
1988 “Leininger’s Theory of Nursing: Cultural Care Diversity and
Universality”
2001 Culture Care Diversity and Universality
2006 2nd edition
2015 3rd edition (Edited by M. R. McFarland and H. B. Wehbe-
Alamah)
Joan Riehl Sisca 1980 The Riehl Interaction Model
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1989 2nd edition
Rosemary Parse 1981 Man-Living-Health: A Theory for Nursing
1985 Man-Living-Health: A Man-Environment Simultaneity Paradigm
1987 Nursing Science: Major Paradigms, Theories, Critiques
1989 “Man-Living-Health: A Theory of Nursing”
1999 Illuminations: The Human Becoming Theory in Practice and
Research
Joyce Fitzpatrick 1983 A Life Perspective Rhythm Model
1989 2nd edition
Helen Erickson et al. 1983 Modeling and Role Modeling
Nancy Roper, Winifred
Logan, and Alison Tierney
1980 The Elements of Nursing
1985 2nd edition
1996 The Elements of Nursing: A Model for Nursing Based on a
Model of Living
2000 Roper-Logan-Tierney Model of Nursing
Patricia Benner and Judith
Wrubel
1984 From Novice to Expert: Excellence and Power in Clinical
Nursing Practice
1989 The Primacy of Caring: Stress and Coping in Health and Illness
Anne Boykin and Savina
Schoenhofer
1993 Nursing as Caring
2001 2nd edition
Barbara Artinian 1997 The Intersystem Model: Integrating Theory and Practice
2011 2nd edition
Brendan McCormack and
Tanya McCance
2010 Person-Centred Nursing: Theory and Practice
Sources: Chinn and Kramer (2015); Hickman (2011); Hilton (1997).
Classification of Theories in Nursing
Over the last 40 years, a number of methods for classifying theory in nursing have been described. These
include classification based on range/scope or abstractness (grand or macrotheory to practice or situation-
specific theory) and type or purpose of the theory (descriptive, predictive, or prescriptive theory). Both of
these classification schemes are discussed in the following sections.
Scope of Theory
One method for classification of theories in nursing that has become common is to differentiate theories based
on scope, which refers to complexity and degree of abstraction. The scope of a theory includes its level of
specificity and the concreteness of its concepts and propositions. This classification scheme typically uses the
terms metatheory, philosophy, or worldview to describe the philosophical basis of the discipline; grand theory
or macrotheory to describe the comprehensive conceptual frameworks; middle range or midrange theory to
describe frameworks that are relatively more focused than the grand theories; and situation-specific theory,
practice theory, or microtheory to describe those smallest in scope (Higgins & Moore, 2000; Peterson, 2017;
Whall, 2016). Theories differ in complexity and scope along a continuum from practice or situation-specific
theories to grand theories. Figure 2-1 compares the scope of nursing theory by level of abstractness.
61
Figure 2-1 Comparison of the scope of nursing theories.
Metatheory
Metatheory refers to a theory about theory. In nursing, metatheory focuses on broad issues such as the
processes of generating knowledge and theory development, and it is a forum for debate within the discipline
(Chinn & Kramer, 2015; Powers & Knapp, 2011). Philosophical and methodologic issues at the metatheory or
worldview level include identifying the purposes and kinds of theory needed for nursing, developing and
analyzing methods for creating nursing theory, and proposing criteria for evaluating theory (Hickman, 2011;
Walker & Avant, 2011).
Walker and Avant (2011) presented an overview of historical trends in nursing metatheory. Beginning in
the 1960s, metatheory discussions involved nursing as an academic discipline and the relationship of nursing
to basic sciences. Later discussions addressed the predominant philosophical worldviews (received view
versus perceived view) and methodologic issues related to research (see Chapter 1). Recent metatheoretical
issues relate to the philosophy of nursing and address what levels of theory development are needed for
nursing practice, research, and education (i.e., grand theory versus middle range and practice theory) and the
increasing focus on the philosophical perspectives of critical theory, postmodernism, and feminism.
Grand Theories
Grand theories are the most complex and broadest in scope. They attempt to explain broad areas within a
discipline and may incorporate numerous other theories. The term macrotheory is used by some authors to
describe a theory that is broadly conceptualized and is usually applied to a general area of a specific discipline
(Higgins & Moore, 2000; Peterson, 2017).
Grand theories are nonspecific and are composed of relatively abstract concepts that lack operational
definitions. Their propositions are also abstract and are not generally amenable to testing. Grand theories are
developed through thoughtful and insightful appraisal of existing ideas as opposed to empirical research
(Fawcett & DeSanto-Madeya, 2013). The majority of the nursing conceptual frameworks (e.g., Orem, Roy,
and Rogers) are considered to be grand theories. Chapters 6 through 9 discuss many of the grand nursing
theories.
Middle Range Theories
Middle range theory lies between the grand nursing models and more circumscribed, concrete ideas (practice
or situation-specific theories). Middle range theories are substantively specific and encompass a limited
number of concepts and a limited aspect of the real world. They are composed of relatively concrete concepts
that can be operationally defined and relatively concrete propositions that may be empirically tested (Higgins
& Moore, 2000; Peterson, 2017; Whall, 2016).
A middle range theory may be (1) a description of a particular phenomenon, (2) an explanation of the
relationship between phenomena, or (3) a prediction of the effects of one phenomenon or another (Fawcett &
DeSanto-Madeya, 2013). Many investigators favor working with propositions and theories characterized as
middle range rather than with conceptual frameworks because they provide the basis for generating testable
hypotheses related to particular nursing phenomena and to particular client populations (Chinn & Kramer,
2015; Roy, 2014). The number of middle range theories developed and used by nurses has grown significantly
over the past two decades. Examples include social support, quality of life, and health promotion. Chapters 10
and 11 describe middle range theory in more detail.
Practice Theories
Practice theories are also called situation-specific theories, prescriptive theories, or microtheories and are the
62
least complex. Practice theories are more specific than middle range theories and produce specific directions
for practice (Higgins & Moore, 2000; Peterson, 2017; Whall, 2016). They contain the fewest concepts and
refer to specific, easily defined phenomena. They are narrow in scope, explain a small aspect of reality, and
are intended to be prescriptive. They are usually limited to specific populations or fields of practice and often
use knowledge from other disciplines. Examples of practice theories developed and used by nurses are
theories of postpartum depression, infant bonding, and oncology pain management. Chapters 12 and 18
present additional information on practice theories.
Type or Purpose of Theory
In their seminal work, Dickoff and James (1968) defined theories as intellectual inventions designed to
describe, explain, predict, or prescribe phenomena. They described four kinds of theory, each of which builds
on the other. These are:
Factor-isolating theories (descriptive theories)
Factor-relating theories (explanatory theories)
Situation-relating theories (predictive theories or promoting or inhibiting theories)
Situation-producing theories (prescriptive theories)
Dickoff and James (1968) stated that nursing as a profession should go beyond the level of descriptive or
explanatory theories and attempt to attain the highest levels—that of situation-relating/predictive and
situation-producing/prescriptive theories.
Descriptive (Factor-Isolating) Theories
Descriptive theories are those that describe, observe, and name concepts, properties, and dimensions.
Descriptive theory identifies and describes the major concepts of phenomena but does not explain how or why
the concepts are related. The purpose of descriptive theory is to provide observation and meaning regarding
the phenomena. It is generated and tested by descriptive research techniques including concept analysis, case
studies, literature review phenomenology, ethnography, and grounded theory (Young et al., 2001).
Examples of descriptive theories are readily found in the nursing literature. Barkimer (2016), for example,
used the process of concept analysis to develop a model of clinical growth for nursing educators. In other
works, using grounded theory methodology, Sacks and Volker (2015) developed a theoretical model
describing hospice nurses’ responses to patient suffering, and El Hussein and Hirst (2016) constructed a
theory describing the clinical reasoning processes nurses use to recognize delirium.
Explanatory (Factor-Relating) Theories
Factor-relating theories, or explanatory theories, are those that relate concepts to one another, describe the
interrelationships among concepts or propositions, and specify the associations or relationships among some
concepts. They attempt to tell how or why the concepts are related and may deal with cause and effect and
correlations or rules that regulate interactions. They are developed by correlational research and increasingly
through comprehensive literature review and synthesis. An example of an explanatory theory is the theory of
health-related outcomes of resilience in middle adolescents (Scoloveno, 2015). This theory was developed
from a correlational research study that surveyed the effects of resilience on hope, well-being, and health-
promoting lifestyle in middle adolescents. In other works, comprehensive literature review and synthesis were
used by Noviana, Miyazaki, and Ishimaru (2016) to develop a conceptual model for meaning in life and by
Lor, Crooks, and Tluczek (2016) to propose a model of person, family, and culture-centered nursing care.
Predictive (Situation-Relating) Theories
Situation-relating theories are achieved when the conditions under which concepts are related are stated and
the relational statements are able to describe future outcomes consistently. Situation-relating theories move to
prediction of precise relationships between concepts. Experimental research is used to generate and test them
in most cases.
Predictive theories are relatively difficult to find in the nursing literature. In one example, Cobb (2012)
used a quasi-experimental, model-building approach to predict the relationship between spirituality and health
63
status among adults living with HIV. In another example, Fearon-Lynch and Stover (2015) merged two
research-based, extant theories to develop a middle range theory explaining mastery of diabetes self-
management.
Another example of a predictive theory in nursing can be found in the caregiving effectiveness model. The
process outlining development of this theory was described by Smith and colleagues (2002) and combined
numerous steps in theory construction and empirical testing and validation. In the model, caregiving
effectiveness is dependent on the interface of a number of factors including the characteristics of the
caregiver, interpersonal interactions between the patient and caregiver, and the educational preparedness of
the caregiver, combined with adaptive factors, such as economic stability, and the caregiver’s own health
status and family adaptation and coping mechanisms. The model itself graphically details the interaction of
these factors and depicts how they collectively work to impact caregiving effectiveness.
Prescriptive (Situation-Producing) Theories
Situation-producing theories are those that prescribe activities necessary to reach defined goals. Prescriptive
theories address nursing therapeutics and consequences of interventions. They include propositions that call
for change and predict consequences of nursing interventions. They should describe the prescription, the
consequence(s), the type of client, and the conditions (Meleis, 2012).
Prescriptive theories are among the most difficult to identify in the nursing literature. One example is a
work by Walling (2006) that presented a “prescriptive theory explaining medical acupuncture” for nurse
practitioners. The model describes how acupuncture can be used to reduce stress and enhance well-being. In
another example, Auvil-Novak (1997) described the development of a middle range theory of
chronotherapeutic intervention for postsurgical pain based on three experimental studies of pain relief among
postsurgical clients. The theory uses a time-dependent approach to pain assessment and provides directed
nursing interventions to address postoperative pain.
Issues in Theory Development in Nursing
A number of issues related to use of theory in nursing have received significant attention in the literature. The
first is the issue of borrowed versus unique theory in nursing. A second issue is nursing’s metaparadigm, and
a third is the importance of the concept of caring in nursing.
Borrowed Versus Unique Theory in Nursing
Since the 1960s, the question of borrowing—or sharing—theory from other disciplines has been raised in the
discussion of nursing theory. The debate over borrowed/shared theory centers in the perceived need for theory
unique to nursing discussed by many nursing theorists.
The main premise held by those opposed to borrowed theory is that only theories that are grounded in
nursing should guide the actions of the discipline. A second premise that supports the need for unique theory
is that any theory that evolves out of the practice arena of nursing is substantially nursing. Although one might
“borrow” theory and apply it to the realm of nursing actions, it is transformed into nursing theory because it
addresses phenomena within the arena of nursing practice.
Opponents of using borrowed theory believe that nursing knowledge should not be tainted by using theory
from physiology, psychology, sociology, and education. Furthermore, they believe “borrowing” requires
returning and that the theory is not in essence nursing if concepts are borrowed (Levine, 1995; Risjord, 2010).
Proponents of using borrowed theory in nursing believe that knowledge belongs to the scientific
community and to society at large, and it is not the property of individuals or disciplines (Powers & Knapp,
2011). Indeed, these individuals feel that knowledge is not the private domain of one discipline, and the use of
knowledge generated by any discipline is not borrowed but shared. Furthermore, shared theory does not lessen
nursing scholarship but enhances it (Levine, 1995; Rodgers, 2015).
Furthermore, advocates of borrowed or shared theory believe that, like other applied sciences, nursing
depends on the theories from other disciplines for its theoretical foundations. For example, general systems
theory is used in nursing, biology, sociology, and engineering. Different theories of stress and adaptation are
valuable to nurses, psychologists, and physicians.
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In reality, all nursing theories incorporate concepts and theories shared with other disciplines to guide
theory development, research, and practice. However, simply adopting concepts or theories from another
discipline does not convert them into nursing concepts or theories. It is important, therefore, for theorists,
researchers, and practitioners to use concepts from other disciplines appropriately. Emphasis should be placed
on redefining and synthesizing the concepts and theories according to a nursing perspective (Fawcett &
DeSanto-Madeya, 2013; Rodgers, 2015).
Nursing’s Metaparadigm
The most abstract and general component of the structural hierarchy of nursing knowledge is what Kuhn
(1974) called the metaparadigm. A metaparadigm refers “globally to the subject matter of greatest interest to
member of a discipline” (Powers & Knapp, 2011, p. 107). The metaparadigm includes major philosophical
orientations or worldviews of a discipline, the conceptual models and theories that guide research and other
scholarly activities, and the empirical indicators that operationalize theoretical concepts (Fawcett, 1996). The
purpose or function of the metaparadigm is to summarize the intellectual and social missions of the discipline
and place boundaries on the subject matter of that discipline (Kim, 1989). Fawcett and DeSanto-Madeya
(2013) identified four requirements for a metaparadigm. These are summarized in Box 2-1.
Box 2-1 Requirements for a Metaparadigm
1. A metaparadigm must identify a domain that is distinctive from the domains of other disciplines . . . the
concepts and propositions represent a unique perspective for inquiry and practice.
2. A metaparadigm must encompass all phenomena of interest to the discipline in a parsimonious manner .
. . the concepts and propositions are global and there are no redundancies.
3. A metaparadigm must be perspective-neutral . . . the concepts and propositions do not represent a
specific perspective (i.e., a specific paradigm or conceptual model or combination of perspectives).
4. A metaparadigm must be global in scope and substance . . . the concepts and propositions do not reflect
particular national, cultural, or ethnic beliefs and values.
Adapted from: Fawcett and DeSanto-Madeya (2013).
According to Fawcett and DeSanto-Madeya (2013), in the 1970s and early 1980s, a number of nursing
scholars identified a growing consensus that the dominant phenomena within the science of nursing revolved
around the concepts of man (person), health, environment, and nursing. Fawcett first wrote on the central
concepts of nursing in 1978 and formalized them as the metaparadigm of nursing in 1984. This articulation of
four metaparadigm concepts (person, health, environment, and nursing) served as an organizing framework
around which conceptual development proceeded.
Wagner (1986) examined the nursing metaparadigm in depth. Her sample of 160 doctorally prepared
chairpersons, deans, or directors of programs for bachelors of science in nursing revealed that between 94%
and 98% of the respondents agreed that the concepts that comprise the nursing metaparadigm are person,
health, nursing, and environment. She concluded that these findings indicated a consensus within the
discipline of nursing that these are the dominant phenomena within the science. A summary of definitions for
each term is presented here.
Person refers to a being composed of physical, intellectual, biochemical, and psychosocial needs; a human
energy field; a holistic being in the world; an open system; an integrated whole; an adaptive system; and a
being who is greater than the sum of his or her parts (Wagner, 1986). Nursing theories are often most
distinguishable from each other by the various ways in which they conceptualize the person or recipient of
nursing care. Most nursing models organize data about the individual person as a focus of the nurse’s
attention, although some nursing theorists have expanded to include family or community as the focus
(Thorne et al., 1998). Health is the ability to function independently; successful adaptation to life’s stressors;
achievement of one’s full life potential; and unity of mind, body, and soul (Wagner, 1986). Health has been a
phenomenon of central interest to nursing since its inception. Nursing literature indicates great diversity in the
explication of health and quality of life (Thorne et al., 1998). Indeed, in a recent work, following a critical
65
appraisal of the works of several nurse theorists, Plummer and Molzahn (2009) suggested replacing the term
“health” with “quality of life.” They posited that quality of life is a more inclusive notion, as health is often
understood in terms of physical status. Alternatively, quality of life better encompasses a holistic perspective,
involving physical, psychological, and social well-being, as well as the spiritual and environmental aspects of
the human experience.
Environment typically refers to the external elements that affect the person; internal and external
conditions that influence the organism; significant others with whom the person interacts; and an open system
with boundaries that permit the exchange of matter, energy, and information with human beings (Wagner,
1986). Many nursing theories have a narrow conceptualization of the environment as the immediate
surroundings or circumstances of the individual. This view limits understanding by making the environment
rigid, static, and natural. A multilayered view of the environment encourages understanding of an individual’s
perspective and immediate context and incorporates the sociopolitical and economic structures and underlying
ideologies that influence reality (Thorne et al., 1998).
Nursing is a science, an art, and a practice discipline and involves caring. Goals of nursing include care of
the well, care of the sick, assisting with self-care activities, helping individuals attain their human potential,
and discovering and using nature’s laws of health. The purposes of nursing care include placing the client in
the best condition for nature to restore health, promoting the adaptation of the individual, facilitating the
development of an interaction between the nurse and the client in which jointly set goals are met, and
promoting harmony between the individual and the environment (Wagner, 1986). Furthermore, nursing
practice facilitates, supports, and assists individuals, families, communities, and societies to enhance,
maintain, and recover health and to reduce and ameliorate the effects of illness (Thorne et al., 1998).
In addition to these definitions, many grand nursing theorists, and virtually all of the theoretical
commentators, incorporate these four terms into their conceptual or theoretical frameworks. Table 2-5
presents theoretical definitions of the metaparadigm concepts from selected nursing conceptual frameworks
and other writings.
Table 2-5 Selected Theoretical Definitions of the Concepts of Nursing’s Metaparadigm
Metaparadigm
Concept
Author/Source of
Definition Definition
Person/human
being/client
D. Johnson A behavioral system with patterned, repetitive, and
purposeful ways of behaving that link person to the
environment
B. Neuman A dynamic composite of the interrelationships between
physiologic, psychological, sociocultural, developmental,
spiritual, and basic structure variables; may be an
individual, group, community, or social system
D. Orem Are distinguished from other living things by their
capacity (1) to reflect upon themselves and their
environment, (2) to symbolize what they experience, and
(3) to use symbolic creations (ideas, words) in thinking, in
communicating, and in guiding efforts to do and to make
things that are beneficial for themselves or others
M. Rogers An irreducible, indivisible, pan-dimensional energy field
identified by pattern and manifesting characteristics that
are specific to the whole and that cannot be predicted from
knowledge of the parts
Nursing M. Leininger A learned humanistic and scientific profession and
discipline that is focused on human care phenomena and
activities to assist, support, facilitate, or enable individuals
or groups to maintain or regain their well-being (or health)
in culturally meaningful and beneficial ways, or to help
66
people face handicaps or death
M. Newman Caring in the human health experience
D. Orem A specific type of human service required whenever the
maintenance of continuous self-care requires the use of
special techniques and the application of scientific
knowledge in providing care or in designing it
J. Watson A human science of persons and human health–illness
experiences that are mediated by professional, personal,
scientific, esthetic, and ethical human care transactions
Health M. Leininger A state of well-being that is culturally defined, valued, and
practiced and that reflects the ability of individuals (or
groups) to perform their daily role activities in culturally
expressed, beneficial, and patterned lifeways
M. Newman A pattern of evolving, expanding consciousness regardless
of the form or direction it takes
C. Roy A state and process of being and becoming an integrated
and whole person. It is a reflection of adaptation, that is,
the interaction of the person and the environment.
J. Watson Unity and harmony within the mind, body, and soul.
Health is also associated with the degree of congruence
between the self as perceived and the self as experienced.
Environment M. Leininger The totality of an event, situation, or particular experience
that gives meaning to human expressions, interpretations,
and social interactions in particular physical, ecologic,
sociopolitical, and cultural settings
B. Neuman All internal and external factors of influences that surround
the client or client system
M. Rogers An irreducible, pan-dimensional energy field identified by
pattern and integral with the human field
C. Roy All conditions, circumstances, and influences that surround
and affect the development and behavior of human
adaptive systems with particular consideration of person
and earth resources
Sources: Johnson (1980); Leininger (1991); Neuman (1995); Newman (1990); Orem (2001); Rogers (1990); Roy and Andrews (1999); Watson
(1985).
Relationships Among the Metaparadigm Concepts
The concepts of nursing’s metaparadigm have been linked in four propositions identified in the writings of
Donaldson and Crowley (1978) and Gortner (1980). These are as follows:
1. Person and health: Nursing is concerned with the principles and laws that govern human processes of
living and dying.
2. Person and environment: Nursing is concerned with the patterning of human health experiences within
the context of the environment.
3. Health and nursing: Nursing is concerned with the nursing actions or processes that are beneficial to
human beings.
4. Person, environment, and health: Nursing is concerned with the human processes of living and dying,
recognizing that human beings are in a continuous relationship with their environments (Fawcett &
DeSanto-Madeya, 2013, p. 6).
In addressing how the four concepts meet the requirements for a metaparadigm, Fawcett and DeSanto-
67
Madeya (2013) explain that the first three propositions represent recurrent themes identified in the writings of
Nightingale and other nursing scholars. Furthermore, the four concepts and propositions identify the unique
focus of the discipline of nursing and encompass all relevant phenomena in a parsimonious manner. Finally,
the concepts and propositions are perspective-neutral because they do not reflect a specific paradigm or
conceptual model and they do not reflect the beliefs and values of any one country or culture.
Other Viewpoints on Nursing’s Metaparadigm
There is some dissension in the acceptance of person/health/environment/nursing as nursing’s metaparadigm.
Kim (1987, 1989, 2010) identified four domains (client, client–nurse, practice, and environment) as an
organizing framework or typology of nursing. In this framework, the most significant difference appears to be
in placing health issues (i.e., health care experiences and health care environment) within the client domain
and differentiating the nursing practice domain from the client–nurse domain. The latter focuses specifically
on interactions between the nurse and the client.
Meleis (2012) maintained that nursing encompasses seven central concepts: interaction, nursing client,
transitions, nursing process, environment, nursing therapeutics, and health. Addition of the concepts of
interaction, transitions, and nursing process denotes the greatest difference between this framework and the
more commonly described person/health/environment/nursing framework. (See Link to Practice 2-1 for
another thought on expanding the metaparadigm to include social justice.)
Link to Practice 2-1
Should Social Justice Be Part of Nursing’s Metaparadigm?
Schim, Benkert, Bell, Walker, and Danford (2007) proposed that the construct of “social justice” be added
to nursing’s metaparadigm. They argued that social justice is interconnected with the four acknowledged
metaparadigm concepts of nursing, person, health, and environment. In their model, social justice actually
acts as the central, organizational foundation that links the other four concepts, particularly within the
context of public health nursing, and more specifically in urban settings.
Using this macroperspective, the goal of nursing is to ensure adequate distribution of resources to
benefit those who are marginalized. Suggested strategies to enhance attention to social justice in nursing
include shifting to a population health and health promotion/disease prevention perspective; diversifying
nursing by recruiting and educating underrepresented minorities into the profession; and engaging in
political action at local, state, national, and international levels. They concluded that as a caring profession,
nursing should expand efforts with a social justice orientation to help ensure equal access to benefits and
protections of society for all.
Caring as a Central Construct in the Discipline of Nursing
A final debate that will be discussed in this chapter centers on the place of the concept of caring within the
discipline and science of nursing. This debate has been escalating over the last decade and has been motivated
by the perceived urgency of identifying nursing’s unique contribution to the health care disciplines and
revolves around the defining attributes and roles within the practice of nursing (Thorne et al., 1998).
The concept of caring has occupied a prominent position in nursing literature and has been touted as the
essence of nursing by renowned nursing scholars, including Leininger, Watson, and Erickson. Indeed, it has
been proposed that nursing be defined as the study of caring in the human health experience (Newman, Sime,
& Corcoran-Perry, 1991).
Although some theorists (i.e., Watson, Leininger, and Boykin) have gone so far as to identify caring as the
essence of nursing, there is little if any rejection of caring as a central concept for nursing, although not
necessarily the most significant concept. Thorne and colleagues (1998) cited three major areas of contention
in the debate about caring in nursing. The first is the diverse views on the nature of caring. These range from
caring as a human trait to caring as a therapeutic intervention and differ according to whether the act of caring
68
is conceptualized as being client centered, nurse centered, or both.
A second major issue in the caring debate concerns the use of caring terminology to conceptualize a
specialized role. It has been asked whether there is a compelling reason to lay claim to caring as nursing’s
unique domain when so many professions describe their function as involving caring, and the concept of
caring is prominent in the work of many other disciplines (e.g., medicine, social work, and psychology)
(Thorne et al., 1998).
A third issue centers on the implications for the future development of the profession that nursing should
espouse caring as its unique mandate. It has been observed that nurses should ask themselves if it is politically
astute to be the primary interpreters of a construct that is both gendered and devalued (Meadows, 2007;
Thorne et al., 1998).
Thus, it is argued by Fawcett (1996) that although caring is included in several conceptualizations of the
discipline of nursing, it is not a dominant term in every conceptualization and therefore does not represent a
discipline-wide viewpoint. Furthermore, caring is not uniquely a nursing phenomenon, and caring behaviors
may not be generalizable across national and cultural boundaries.
Summary
Like Matt Ng, the graduate nursing student described in the opening case study, nurses who are in a position
to learn more about theory, and to recognize how and when to apply it, must often be convinced of the
relevance of such study to understand the benefits. The study of theory requires exposure to many new
concepts, principles, thoughts, and ideas as well as a student who is willing to see how theory plays an
important role in nursing practice, research, education, and administration.
Although study and use of theoretical concepts in nursing dates back to Nightingale, little progress in
theory development was made until the 1960s. The past five decades, however, have produced significant
advancement in theory development for nursing. This chapter has presented an overview of this evolutionary
process. In addition, the basic types of theory and purposes of theory were described. Subsequent chapters
will explain many of the ideas introduced here to assist professional nurses to understand the relationship
among theory, practice, and research and to further develop the discipline, the science, and the profession of
nursing.
Key Points
“Theory” refers to the systematic explanation of events in which constructs and concepts are identified,
relationships are proposed, and predictions are made.
Theory offers structure and organization to nursing knowledge and provides a systematic means of collecting
data to describe, explain, and predict nursing practice.
Florence Nightingale was the first modern nursing theorist; she described what she considered nurses’ goals
and practice domain to be.
There has been an evolution of stages of theory development in nursing. Nursing is currently in the
“integrated knowledge” stage, which emphasizes EBP and translational research. Theory development
increasingly sources meta-analyses, as well as nursing research, and is largely directed toward middle
range and situation-specific/practice theories.
Theories can be classified by scope of level of abstraction (e.g., metatheory, grand theory, middle range
theory, and situation-specific theory) or by type or purpose of the theory (e.g., description, explanation,
prediction, and prescription).
Nursing “borrows” or “shares” theories and concepts from other disciplines to guide theory development,
research, and practice. It is critical that nurses redefine and synthesize these shared concept and theories
according to a nursing perspective.
The concepts of nursing, person, environment, and health are widely accepted as the dominant phenomena in
nursing; they have been identified as nursing’s metaparadigm.
Learning Activities
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1. Examine early issues of Nursing Research (1950s and 1960s) and determine whether theories
or theoretical frameworks were used as a basis for research. What types of theories were
used? Review current issues to analyze how this has changed.
2. Examine early issues of American Journal of Nursing (1900–1950). Determine if and how
theories were used in nursing practice. What types of theories were used? Review current
issues to analyze how this has changed.
3. Find reports that present middle range or practice theories in the nursing literature. Identify if
these theories are descriptive, explanatory, predictive, or prescriptive in nature.
4. Like Matt, the nurse from the opening case study, many nurses initially struggle with
recognizing the need to study how “theory” can be important in their practice. With
classmates, discuss perceptions, beliefs, and attitudes felt when you learned you were to take a
course on “nursing theory.” How have your thoughts changed? Why?
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3
Concept Development
Clarifying Meaning of Terms
Evelyn M. Wills and Melanie McEwen
Rebecca Wallis is a certified oncology nurse who is midway through her graduate studies to become an adult
nurse practitioner. Recently, she helped care for Mrs. Janet Benson, a woman in her mid-50s who had
undergone a lumpectomy for breast cancer. Mrs. Benson’s pathology report revealed a slow-growing,
noninvasive carcinoma in situ; there were no involved nodes, and further tests showed no metastasis.
In the hospital, Mrs. Benson progressed well. But after she was discharged and began radiation, she would
frequently weep over things that seemed trivial. Her husband called Rebecca because he was concerned as this
was not Mrs. Benson’s usual behavior. Typically, she was self-contained, stoic, and accepting of life’s
circumstances, seldom demonstrating excessive emotion. Rebecca set up an appointment with the Bensons.
During the consultation, Rebecca asked each to explain how they felt about Mrs. Benson’s cancer. Mr.
Benson replied that the change in his wife’s breast was a small matter to him; he was very grateful that she
was getting well. In response to Rebecca’s questioning, Mrs. Benson focused on her sadness and inquired if
this was normal in women who had undergone a partial mastectomy.
Rebecca explained that the reaction was quite common and that oncology nurses in the region used the
term postmastectomy grief (PMG) reaction to describe it. She told the Bensons how nurses in their facility
had worked out a protocol of nursing therapy for PMG, but it had not been formally tested. In the protocol, the
nurses would request that the oncologist refer the patient to a psychiatric home health nurse for an assessment.
The psychiatric home health nurse would confer with the oncologist and the nurse practitioner and, if needed,
would request a referral to a licensed therapist. Additionally, a group called “Breast Cancer Support” had been
organized in the area by women who had been diagnosed with breast cancer. In this group, problems, such as
sadness, were discussed by women who had experienced them, and support was given to those who were
going through recovery from breast cancer surgery. Rebecca recommended that the Bensons attend a meeting.
Mrs. Benson’s case, and the problem of PMG in general, prompted Rebecca to seek more information
about this reaction of breast cancer patients. Her review of the literature suggested that the phenomena needed
further study to develop the knowledge base for practice. Because of what she had learned in her theoretical
foundations course, she realized that she first needed to define and name the problem. To this end, she chose
to use one of the concept development strategies she had learned to initiate preparation for a formal research
study for her capstone project.
Experienced nurses who are focused on the practical application of evidence-based nursing knowledge
demonstrate an inclination toward generalizing what they have learned from a group of clients to other clients
with similar problems. This is obvious in the professional discussions of clinical nurses, particularly those
educated for advanced practice, who might state, “We see certain phenomenon frequently enough in practice
that we have developed clinical protocols or interventions.”
These observed phenomena are considered by nurses to be reliable, enduring, and stable features of
practical experience, whether or not they have acquired a name and whether or not they have been studied in
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research (Kim, 2010). Expert practice and enhanced education lead advanced practice nurses to recognize
commonalities in phenomena that suggest the need for inquiry. This, in turn, may guide development of
clinical hypotheses and testing of interventions. With the current focus on evidence-based practice, clear
delineation of the concepts under study in research requires that the linkages among phenomena, concepts,
and practice be clarified (Penrod & Hupcey, 2005).
For the nurse who desires to discriminately, formally, and concretely examine a phenomenon in depth,
such as described earlier, the most logical place to start is by defining the phenomenon or concept for further
study. This is not an easy task, however, and significant time, research, and effort must be made to adequately
define nursing concepts. To simplify the process, a number of strategies and methods for concept analysis,
concept development, and concept clarification have been proposed and used by nursing scholars for many
years.
The rationale for concept development and several methods commonly used by nurses are discussed in
this chapter. This will allow expert nurse clinicians and advanced practice nurses to develop or clarify
meanings for the phenomena encountered in practice. The outcome can then serve as the basis for further
development of theory for research and practice by master’s- and doctorally prepared nurses (Box 3-1).
Box 3-1 Theory and American Association of Colleges of Nursing Essentials
“The master’s-prepared nurse applies and integrates broad, organizational, patient centered, and culturally
responsive concepts into daily practice” (American Association of Colleges of Nursing, 2011, p. 25).
The Concept of “Concept”
Concepts are terms that refer to phenomena that occur in nature or in thought. Concept has been defined as an
abstract term derived from particular attributes (Kerlinger, 1986) and “a symbolic statement describing a
phenomenon or a class of phenomena” (Kim, 2010, p. 22). Concepts may be abstract (e.g., hope, love, desire)
or relatively concrete (e.g., airplane, body temperature, pain). Concepts are formulated in words that enable
people to communicate their meanings about realities in the world (Cutcliffe & McKenna, 2005; Kim, 2010;
Penrod & Hupcey, 2005) and give meaning to phenomena that can directly or indirectly be seen, heard, tasted,
smelled, or touched (Fawcett, 1999). A concept may be a word (e.g., grief, empathy, power, pain), two words
(e.g., job satisfaction, need fulfillment, role strain), or a phrase (e.g., maternal role attachment, biomarkers of
preterm labor, health-promoting behaviors). Finally, when they are operationalized, concepts become
variables used in hypotheses to be tested in research.
Concepts have been compared to bricks in a wall that lend structure to science (Hardy, 1973). Chinn and
Kramer (2015) believe that concepts are more than terms, and constructing conceptual meaning is a vital
approach to theory building in which mental constructions or ideas are used to represent experiences.
Similarly, Parse (2006) agrees that formal study of concepts enhances knowledge development for nursing
through naming, creating, and confirming the phenomena of interest.
Although it was once thought that concepts could be defined once and for all, that idea has been disputed
(Penrod & Hupcey, 2005; Rodgers & Knafl, 2000). Theorists now understand that conceptual meaning is
created by scholars to assist in imparting the meaning to their readers and, ultimately, to benefit the discipline.
Conceptual fluidity and dependence on the context is common in writings on concept analysis in the nursing
literature (Duncan, Cloutier, & Bailey, 2007; Penrod & Hupcey, 2005). Furthermore, Risjord (2009)
suggested that there are two forms of concept analysis, theoretical and colloquial, each with its own purpose
and evidence, although the two can and often must be used together. Therefore, it is critical that scholars and
researchers define concepts clearly and distinctly so that their readers may thoroughly and accurately
comprehend their work. Because conceptual meanings are dynamic, they should be defined for each specific
use the writer or researcher makes of the term. Indeed, concepts are defined and their meanings are
understood only within the framework of the theory of which they are a part (Hardy, 1973).
Types of Concepts
Concepts explicate the subject matter of the theories of a discipline. For example, concepts from psychology
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include personality, intelligence, and cognition; concepts from biology include cell, species, and protoplasm
(Jacox, 1974). Dubin (1978) explained the differences between various types of concepts, characterizing them
as enumerative, associative, relational, statistical, and summative. Table 3-1 shows characteristics and
examples of each of these types of concepts.
Table 3-1 Types of Concepts
Concept Characteristics Examples
Enumerative concepts Are always present and universal Age, height, weight
Associative concepts Exist only in some conditions
within a phenomenon; may have a
zero value
Income, presence of disease, anxiety
Relational concepts Can be understood only through
the combination or interaction of
two or more enumerative or
associative concepts
Elderly (must combine concepts of age and
longevity), mother (must combine man,
woman, and birth)
Statistical concepts Relate the property of one thing
in terms of its distribution in the
population rate
Average blood pressure, HIV/AIDS
prevalence rate
Summative concepts Represent an entire complex
entity of a phenomenon; are
complex and not measurable
Nursing, health, and environment
Source: Dubin (1978).
In nursing, concepts have been borrowed or derived from other disciplines (e.g., adaptation, culture,
homeostasis) as well as developed directly from nursing practice and research (e.g., maternal–infant bonding,
health-promoting behaviors, breastfeeding attrition). In nursing literature, concepts have been categorized in
several ways. For example, they have been described as concrete or abstract, variable or nonvariable (Hardy,
1973), and as operationally or theoretically defined.
Abstract Versus Concrete Concepts
Concepts may be viewed on a continuum from concrete (specific) to abstract (general). At one end of the
continuum are concrete concepts, which have simple, directly observable empirical referents that can be seen,
felt, or heard (e.g., a chair, the color red, jazz music). Concrete concepts are limited by time and space and are
observable in reality.
At the other end of the continuum are abstract concepts (e.g., art, social support, personality, role). These
are not clearly observable directly or indirectly and must be defined in terms of observable concepts (Jacox,
1974). Abstract concepts are independent of time and space. The more abstract a concept is, the more it
transcends time and geography (Meleis, 2012).
Some concepts are formed from direct experiences with reality, whereas others are formed from indirect
experiences. Relatively concrete or “empirical” concepts are formed from direct observations of objects,
properties, or events. Concepts describing objects (e.g., desk or dog) or properties (e.g., cold, hard) are more
empirical because the object or property that represents the idea (the empirical indicator) can be directly
observed. Slightly more abstract properties, such as height, weight, and gender, can also be observed or
measured.
As concepts become more abstract, their empirical indicators become less concrete and less directly
measurable, and assessment of abstract concepts increasingly depends on indirect measures. For example,
cardiovascular fitness, social support, and self-esteem are not directly observable properties or objects. To
study these and similar concepts, their empirical referents must be defined and means must be identified or
developed to measure them.
Variable (Continuous) Versus Nonvariable (Discrete) Concepts
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Concepts may be categorized as variable or nonvariable (Hardy, 1973). Concepts that describe phenomena
according to some dimensions of the phenomena are termed variables. A discrete (noninterval level) concept
identifies categories or classes of characteristics. Discrete concepts include gender, ethnic background,
religion, and marital status. Discrete variables can be single variable categories that may be answered as “yes”
or “no” (e.g., either one is pregnant or not pregnant; one is a nurse or is not a nurse) or fits into a predefined
category (e.g., religion, marital status, educational attainment).
Continuous (variable) concepts permit classification of dimension or graduation of phenomena on a
continuum (e.g., blood pressure, pain) (Hardin, 2014). Variable concepts include quality of life, health-
promoting behaviors, and cultural identity. An examination of nursing research will lead to numerous
examples of continuous or variable concepts that have been being studied. These include the concepts of hope,
quality of life, resilience, and grief. In each case, the concept was defined operationally and measured by
tools, scales, or some other indicator to show where the respondent’s level of the variable fell relative to
others or relative to a predefined norm.
Theoretically Versus Operationally Defined Concepts
Concepts may be theoretically or operationally defined. A theoretical definition gives meaning to a term in
context of a theory and permits any reader to assess the validity of the definition. The operational definition
tells how the concept is linked to concrete situations and describes a set of procedures that will be performed
to assign a value for the concept. Operational definitions permit the concept to be measured and allow
hypotheses to be tested. Thus, operational definitions form the bridge between the theory and the empirical
world (Hardy, 1973). Examples of theoretically and operationally defined concepts are shown in Table 3-2.
Table 3-2 Examples of Theoretically and Operationally Defined Concepts
Concept
Theoretical
Definition Operational Definition Source
Binge eating “Consuming a large
amount of food in a
short period of time
while experiencing
loss of control over
eating” (p. 7)
Binge eating was determined to
be “consuming an amount of
food that is definitely greater
than what most people would eat
within a two hour period” (p. 8).
Responses to four open-ended
questions and demographics
Phillips, K. E., Kelly-Weeder, S.,
& Farrell, K. (2016). Binge
eating behavior in college
students: What is a binge?
Applied Nursing Research, 9, 7–
11.
Health
literacy
“The degree in
which individuals
have the capacity to
obtain, process and
understand basic
health information
and services needed
to make appropriate
health decisions” (p.
94)
Health literacy is measured using
the Omaha System’s Problem
Rating Score for Outcomes
Knowledge (p. 96).
Monsen, K. A., Chatterjee, S. B.,
Timm, J. E., Poulsen, J. K., &
McNaughton, D. B. (2015).
Factors explaining variability in
health literacy outcomes of
public health nursing clients.
Public Health Nursing, 32(2),
94–100.
Health-
promoting
lifestyle
“ . . . activities that
encourage or
improve overall
general health” (p.
328)
Help promotion behaviors were
measured by the Health-
Promoting Lifestyle Profile II.
Fisher, K., & Kridli, S.A. (2014).
The role of motivation and self-
efficacy on the practice of health
promoting behaviours in the
overweight and obese middle-
aged American women.
International Journal of Nursing
Practice, 20(4), 327–335.
Emotional “The ability to Emotional intelligence was Lana, A., Baizan, E. M., Faya-
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intelligence monitor one’s own
and others’ feelings
and emotions to
discriminate among
them and to use this
information to guide
one’s thinking and
action” (p. 464)
measured using the Schutte Self-
Report Inventory, a 33-item
Likert tool which measures
perceptions about emotional
skills.
Ornia, G., & Lopez, M. L.
(2015). Emotional intelligence
and health risk behaviors in
nursing students. The Journal of
Nursing Education, 54(8), 464–
467.
Sources of Concepts
When beginning a review of concepts found in nursing practice, research, education, and administration, one
may look to several places or sources for relevant concepts. Indeed, the source of nursing concepts may be
from the natural world, from research, or derived from other disciplines.
Naturalistic concepts are concepts seen in nature or in nursing practice such as body weight,
thermoregulation, hematologic complications, depression, pain, and spirituality. These may be on a continuum
from concrete to abstract, and some may be measurable in fact (e.g., body weight and temperature) and others
(e.g., pain or spirituality) measurable only indirectly and only in principle.
Research-based concepts are the result of conceptual development that is grounded in research processes.
The theorist/researcher studies the realm of interest and identifies themes. Through qualitative,
phenomenologic, or grounded theory approaches, the researcher may uncover meanings of the phenomena of
interest and their theoretical relationships (Parse, 1999; Rodgers, 2000). Examples include Alzheimer’s
caregiver stress (Llanque, Savage, Rosenburg, & Caserta, 2016), food insecurity (Schroeder & Smaldone,
2015), joy and happiness (Cottrell, 2016), and chronic disease self-management (Miller, Lasiter, Ellis, &
Buelow, 2015).
Existing concepts are the final type of concept. The nursing literature is filled with adapted concepts, more
or less well synthesized through derivation from other disciplines. Such concepts include human needs from
Maslow’s (1954) hierarchy of needs and stress from Selye’s (1956) physiologic theory of the stress of life.
Theories of bodily function come from the study of physiology (Guyton & Hall, 1996). Borrowed concepts
from medicine are clearly seen in clinical practice, especially in critical care areas of institutions. Other
existing concepts commonly used in nursing research, administration, and practice are empathy, suffering,
abuse, hope, and burnout. Table 3-3 summarizes the three sources of concepts for nursing.
Table 3-3 Sources of Concepts
Concept Source Characteristics
Examples From Nursing
Literature
Naturalistic
concepts
Present in nursing
practice
May be defined and developed
for use in research and theory
development Often have medical
implications as well as nursing
use
Body weight, pain,
thermoregulation, depression,
hematologic complications,
circadian dysregulation
Research-
based
concepts
Developed through
qualitative research
processes (e.g.,
grounded theory or
existential
phenomenology)
Often relate to a nursing
specialty
Hope, grief, cultural competence,
chronic pain
Existing
concepts
Borrowed from other
disciplines
Developed for nursing practice
but are useful in research and
theory
Job satisfaction, quality of life,
abuse, adaptation, stress
Sources: Cowles and Rogers (1993); Parse (1999); Verhulst and Schwartz-Barcott (1993); Wang (2000).
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Concept Analysis/Concept Development
Concept analysis, concept development, concept synthesis (Walker & Avant, 2011), and other terms refer to
the rigorous process of bringing clarity to the definition of the concepts used in science. Concept analysis and
concept development are the terms used most commonly in nursing and are generally applied to the process of
inquiry that examines concepts for their level of development as revealed by their internal structure, use,
representativeness, and relationship to other concepts. Thus, concept analysis/concept development explores
the meaning of concepts to promote understanding.
Purposes of Concept Development
Clarifying, recognizing, and defining concepts that describe phenomena is the purpose of concept
development or concept analysis. These processes serve as the basis for development of conceptual
frameworks, theories, and research studies.
Because a considerable portion of the conceptual basis of nursing theory, research, and practice has been
constructed using concepts adopted from other disciplines, reexamination of these concepts for relevance and
fit is important. The process of applying “borrowed” or “shared” concepts may have altered their meaning,
and it is important to review them for appropriateness of application (Hupcey, Morse, Lenz, & Tasón, 1996).
Also, as knowledge is continually developing, new concepts are being introduced and accepted, and concepts
are continually being investigated and refined. Furthermore, some concepts are poorly defined with
characteristics that have not been described, whereas other concepts that have been defined may present with
inconsistency between the definition and its use in research (Morse, Hupcey, Mitcham, & Lenz, 1996).
In summary, concept analysis can be used to evaluate the level of maturity or development of nursing
concepts by:
Identifying gaps in nursing knowledge
Determining the need to refine or clarify a concept when it appears to have multiple meanings
Evaluating the adequacy of competing concepts in their relation to other phenomena
Examining the congruence between the definition of the concept and the way it has been
operationalized
Determining the fit between the definition of the concept and its clinical application (Morse et al.,
1996)
Link to Practice 3-1 gives examples of a number of different concepts that have been suggested for
development by graduate nursing students. Some of the examples (e.g., “first-time parentitis in the ED” and
“normal birth experience reconciliation”) were derived from clinical practice, and others (e.g., chemo brain
and hoarding) were derived from non-nursing sources. A few (e.g., chemo brain, wholeness, and successful
aging) may have already been presented in the nursing literature and even been a component of nursing
research, but most have not.
Link to Practice 3-1
Student-Generated Examples of Concepts of Interest to Nurses
Like Rebecca, the oncology nurse specialist (ONS) in the opening case study, nurses routinely encounter
ideas, concepts, and phenomena in practice. Here are some concepts suggested by graduate students in the
past that might be amenable to concept analysis or concept development and ultimately to theory
development and research.
Concepts from the literature and other disciplines:
Chemo brain
Chronic fatigue
Denial
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Forgiveness
Functional status
Healing
Hoarding
Inner strength
Postdeployment reassimilation
Second victim
Successful aging
Thermoregulation
Waiting
Wholeness
Genetic health promotion
Phenomena from observation in clinical settings:
First-time parentitis in the emergency department (ED)
Males are nurturing caregivers
Normal birth experience reconciliation
Palliative care in the neonatal intensive care unit (NICU)
Rally at the end-of-life
Context for Concept Development
In the course of nursing practice, multiple instances of a problem will be seen as shown in the opening case
study. When talking among peers, nurses may clarify a problem so that colleagues can understand the
situation. Eventually, the nurse will develop a term, a word, or a phrase as a name for the problem. This
illustrates the starting point for studying a theoretical phenomenon—concept naming.
In refining the phenomenon so that the phenomenon can be studied, the steps of the concept development
process are instituted. In this process, instances of the phenomenon are collected, the similarities and
differences between the concept being studied and other concepts are reviewed, and those that are material to
the use of the concept are extracted and the concept is defined from its existence in nature. Isolating specific
information from all the surrounding information (the context) is important, but nurses must see the concept
emerging and take note of the context in which the concept occurs.
In the case study at the beginning of the chapter, the nurses recognized the problem of women with breast
cancer and their periodic sadness and noted the context in which the phenomenon occurred. It was important
to focus on those situations that are relevant. Questions that might be asked to assess the context include: Did
the women have unsupportive husbands? Were their lives threatened by nodal involvement and metastasis?
What were the previous experiences of the women with disease or injury? What is the history of cancer in the
women’s families?
Concept Development and Conceptual Frameworks
Once concepts have been identified, named, and developed, the nurse can test them in descriptive studies,
particularly qualitative studies to further develop the concept and make explicit its use in real situations. The
concept can be analyzed for its relation to many facets of the nursing discipline and the meaning made explicit
for the nurse’s use in daily work or scholarly endeavors.
Conceptual frameworks are structures that relate concepts together in a meaningful way. Although
relationships are posited in conceptual frameworks, frequently neither the direction nor the strength of the
relationships is made explicit for use in practice or for testing in a research project. Chapter 4 provides a
detailed discussion of the processes used in the development of theories and conceptual frameworks.
Concept Development and Research
A common language is necessary for communicating the meanings of concepts that comprise theories.
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Theory, research, and practice are linked, and most scholars recognize that they cannot be separated.
Researchers relate concepts together into structures that are called models and theories and derive from them
testable relationships called hypotheses (Kerlinger, 1986).
Hickman (2011) points out that nursing research, theory, and practice form a cycle and that entry into this
cycle may be at any point. Research both precedes theory and is guided by theory. Both theory and research
direct practice, and conversely, research and theory are derived from practice situations. Thus, theory, while
guiding research, is simultaneously being tested in the research process. The conceptual elements of the
theory that guide the research or are being tested by the research are named and defined during concept
analysis.
Difficulties with studying a problem in nursing may be related to the exactness with which the terms in
use are developed and defined. Poorly defined concepts may lead to faulty construction of research
instruments and methods (Morse, 1995). Frequently, a nursing problem does not lend itself precisely to
existing terminology. In this situation, the nurse should engage in the effort of concept development.
Furthermore, if one cannot successfully define the problem so that other professionals can understand it,
concept development is necessary.
Strategies for Concept Analysis and Concept Development
There are multiple methods of constructing meaning for concepts. This can be accomplished through review
of research literature, scholarly critique, and thoughtful definition. When a formal or detailed meaning is
warranted, however, a more structured method for concept development will need to be used.
In the early 1960s, John Wilson (1963), a social scientist, developed a process for defining concepts to
improve communication and comprehension of the meanings of terms in scientific use. Wilson used 11 steps,
or techniques, to guide the concept analysis process. A few recent examples, which used Wilson’s method of
concept development, were discovered in the nursing literature. In one example, Llanque and colleagues
(2016) employed a modification of Wilson’s method to analyze the concept of Alzheimer’s caregiver’s stress.
Similarly, Lynch and Lobo (2012) used Wilson’s method to examine compassion fatigue in family caregivers,
and Chee (2014) used Wilson’s method to describe “deliberate practice” in the context of clinical simulation
in nursing education.
Building on the process presented by Wilson (1963), nurses have published several techniques, methods,
and strategies for concept development. Strategies devised by several nurse scholars will be presented briefly
in the following sections, and examples of published works using these methods will be provided where
available.
Walker and Avant
Walker and Avant first explicated the process of concept analysis for nurses in 1986. Their procedures were
based on Wilson’s method and clarified his methods so that graduate students could apply them to examine
phenomena of interest to nurses. Three different processes were described by Walker and Avant (2011):
concept analysis, concept synthesis, and concept derivation.
Concept Analysis
Concept analysis is an approach espoused by Walker and Avant (2011) to clarify the meanings of terms and
to define terms (concepts) so that writers and readers share a common language. Concept analysis should be
conducted when concepts require clarification or further development to define them for a nurse scholar’s
purposes, whether that is research, theory development, or practice. This method for concept analysis requires
an eight-step approach, as listed in Box 3-2.
Box 3-2 Steps in Concept Analysis
1. Select a concept.
2. Determine the aims or purposes of analysis.
3. Identify all the uses of the concept possible.
4. Determine the defining attributes.
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5. Identify model case.
6. Identify borderline, related, contrary, invented, and illegitimate cases.
7. Identify antecedents and consequences.
8. Define empirical referents.
Source: Walker and Avant (2011, p. 160).
Concept Synthesis
Concept synthesis is used when concepts require development based on observation or other forms of
evidence. The individual must develop a way to group or order the information about the phenomenon from
his or her own viewpoint or theoretical requirement. Methods of synthesizing concepts follow:
1. Qualitative synthesis—relies on sensory data and looking for similarities, differences, and patterns
among the data to identify the new concept
2. Quantitative synthesis—requires numerical data to delineate those attributes that belong to the concept
and those that do not
3. Literary synthesis—involves reviewing a wide range of the literature to acquire new insights about the
concept or to find new concepts
4. Mixed methods—use of any of the three methods described together, either sequentially or combined
(Walker & Avant, 2011)
Concept Derivation
Concept derivation from Walker and Avant’s (2011) perspective is often necessary when there are few
concepts currently available to a nurse that explain a problem area. It is applicable when a comparison or
analogy can be made between one field or area that is conceptually defined and another that is not. Concept
derivation can be helpful in generating new ways of thinking about a phenomenon of interest. A four-step
plan for the work of moving likely concepts from disciplines outside nursing into the nursing lexicon has been
developed (Box 3-3).
Box 3-3 Steps in Concept Derivation
1. Become thoroughly familiar with the existing literature related to the topic of interest.
2. Search other fields for new ways of looking at the topic of interest.
3. Select a parent concept or set of concepts from another field to use in the derivation process.
4. Redefine the concept(s) from the parent field in terms of the topic of interest.
Source: Walker and Avant (2011, p. 76).
Examples of Concept Analysis Using Walker and Avant’s Techniques
Walker and Avant’s techniques have been taught for more than three decades in graduate nursing programs,
and their method of concept analysis is the most commonly used in nursing. Table 3-4 lists several examples
from recent nursing literature. In their most recent edition, Walker and Avant (2011) outline the processes for
each of the methods described in depth and provide a number of examples for clarification. The reader is
referred to their work, as well as to the examples listed, for more information.
Table 3-4 Examples of Concept Analyses Using Walker and Avant’s Methods
Concept Reference
Body image
disturbance
Rhoten, B. A. (2016). Body image disturbance in adults treated for cancer—a
concept analysis. Journal of Advanced Nursing, 72(5), 1001–1011.
Concealed pregnancy Tighe, S. M., & Lalor, J. G. (2015). Concealed pregnancy: A concept analysis.
Journal of Advanced Nursing, 72(1), 50–61.
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Ethical competence Kulju, K., Stolt, M., Suhonen, R., & Leino-Kilpi, H. (2016). Ethical competence: A
concept analysis. Nursing Ethics, 23(4), 401–412.
Food insecurity Schroeder, K., & Smaldone, A. (2015). Food insecurity: A concept analysis.
Nursing Forum, 50(4), 274–284.
Meaning in work Lee, S. (2015). A concept analysis of ‘Meaning in work’ and its implications for
nursing. Journal of Advanced Nursing, 71(10), 2258–2267.
Nurse–patient
interaction
Evans, E. C. (2016). Exploring the nuances of nurse-patient interaction through
concept analysis: Impact on patient satisfaction. Nursing Science Quarterly, 29(1),
62–70.
Proactive behavior in
midwifery
Mestdagh, E., Van Rompaey, B., Beekman, K., Bogaerts, A., & Timmermans, O.
(2016). A concept analysis of proactive behavior in midwifery. Journal of
Advanced Nursing, 72(6), 1236–1250.
Role transition Barnes, H. (2015). Nurse practitioner role transition: A concept analysis. Nursing
Forum, 50(3), 137–146.
Survivor in the
cancer context
Hebdon, M., Foli, K., & McComb, S. (2015). Survivor in the cancer context: A
concept analysis. Journal of Advanced Nursing, 71(8), 1774–1786.
Rodgers
Rodgers first published her evolutionary method for concept analysis in 1989. According to Rodgers (2000),
concept analysis is necessary because concepts are dynamic, “fuzzy,” and context dependent and possess
some pragmatic utility or purpose. Furthermore, because phenomena, needs, and goals change, concepts must
be continually refined and variations introduced to achieve a clearer and more useful meaning.
Rodgers (2000) examined two viewpoints or schools of thought regarding concept development and
showed that the methods of each differ significantly. She termed these methods “essentialism” and
“evolutionary” viewpoints. In her work, she contrasted the essentialist method of concept development as
exemplified by Wilson (1963) and Walker and Avant (1995) with concept development using the
evolutionary method.
The evolutionary method of concept development is a concurrent task approach. In it, the tasks may be
going on all at the same time rather than a sequence of specific steps that are completed before going to the
next step. The activities involved in the evolutionary method are listed in Box 3-4.
Box 3-4 Steps in Rodgers’s Process of Concept Analysis
1. Identify the concept and associated terms.
2. Select an appropriate realm (a setting or a sample) for data collection.
3. Collect data to identify the attributes of the concept and the contextual basis of the concept (i.e.,
interdisciplinary, sociocultural, and temporal variations).
4. Analyze the data regarding the characteristics of the concept.
5. Identify an exemplar of the concept, if appropriate.
6. Identify hypotheses and implications for further development.
Source: Rodgers (2000, p. 85).
Rodgers (2000) defined many terms and explained the process of concept analysis using the evolutionary
view. The goal of the concept analysis will, to an extent, determine how the researcher identifies the concept
of interest and terms and expressions selected. The incorporation of a new term into a nurse’s way of viewing
a client situation is often a circumstance warranting analysis of a new concept.
The goal of the analysis will also influence selection of the setting and sample for data collection. For
instance, the setting may be a library and the sample might be literature. The sampling might be time-oriented,
say literature from the previous 5 years. In any case, the researcher’s goal is to develop a rigorous design
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consistent with the purpose of the analysis. The selection of literature from related disciplines might include
those that typically use the concept. An exhaustive review includes all the indexed literature using the concept
and may be limited by a time frame such as several years.
A randomization process is then used to select the sample across each discipline over time. In collecting
and managing the data, a discovery approach is preferred. The focus of the data analysis is on identifying the
attributes, antecedents, and consequences and related concepts or surrogate terms. The attributes located by
this means constitute a “real definition as opposed to a nominal or dictionary definition” (Rodgers, 2000, p.
91).
Rodgers (2000) defines surrogate terms as ways of expressing the concept other than by the term of
interest. She distinguishes between surrogate terms and related concepts by showing that surrogate terms are
different words that express the concept, whereas “related concepts are part of a network that provide a
background” and “lend significance to the concept of interest” (Rodgers, 2000, p. 92).
Analyzing the data can go on simultaneously with its collection according to Rodgers (2000), or it can be
delayed until all the data are collected. The latter is allowed in concept analysis using the evolutionary process
because data are currently available rather than being constantly created by the subjects as in qualitative
research study. The researcher must beware of considering the data “saturated,” that is, redundant, too early.
Identifying an exemplar from the literature, field observation, or interview is important and will provide a
clear example of the concept. Examples of real cases are preferred over constructed cases (in contrast to
Wilson’s [1963] method). The goal is to illustrate the characteristics of the concept in relevant contexts to
enhance the clarity and effective application of the concept.
Interpreting the results involves gaining insight on the current status of the concept and generating
implications for inquiry based on this status and identified gaps. Interpreting the results may involve
interdisciplinary comparison, temporal comparison, and assessment of the social context within which the
concept analysis was conducted.
Identifying implications for further development and formal inquiry may be the result. The results of the
analysis may direct further inquiry rather than giving the final answer on the meaning of the concept. The
implications of this form of research-based concept analysis may yield questions for further research, or
hypotheses may be extracted from the findings. The major outcome of the evolutionary method of concept
analysis is the generation of further questions for research rather than the static definition of the concept.
Table 3-5 lists a number of references for concept analyses using this method. For more information, the
reader is referred to Rodgers (2000).
Table 3-5 Examples of Concept Analyses Using Rodgers’s Methods
Concept Reference
Chronic disease self-
management
Miller, W., Lasiter, S., Ellis, R. B., & Buelow, J. M. (2015). Chronic disease self-
management: A hybrid concept analysis. Nursing Outlook, 63(2), 154–161.
Cultural competence Garneau, A. B., & Pepin, J. (2015). Cultural competence: A constructivist
definition. Journal of Transcultural Nursing, 26(1), 9–15.
Joy and happiness Cottrell, L. (2016). Joy and happiness: A simultaneous and evolutionary concept
analysis. Journal of Advanced Nursing, 72(7), 1506–1517.
Nursing workload Swiger, P. A., Vance, D. E., & Patrician, P. A. (2016). Nursing workload in the
acute-care setting: A concept analysis of nursing workload. Nursing Outlook,
64(3), 244–254.
Patient autonomy Lindberg, C., Fagerström, C., Sivberg, B., & Willman, A. (2014). Concept
analysis: Patient autonomy in a caring context. Journal of Professional Nursing,
70(10), 2208–2221.
Person-, family-, and
culture-centered
nursing care
Lor, M., Crooks, N., & Tluczek, A. (2016). A proposed model of person-, family-,
and culture-centered nursing care. Nursing Outlook, 64(4), 352–366.
Resilient aging Hicks, M. M., & Conner, N. E. (2014). Resilient ageing: A concept analysis.
82
Journal of Advanced Nursing, 70(4), 744–755.
Spiritual care of the
child with cancer at
the end of life
Petersen, C. L. (2014). Spiritual care of the child with cancer at the end of life: A
concept analysis. Journal of Advanced Nursing, 70(6), 1243–1253.
Recovery in mental
illness
McCauley, C. O., McKenna, H. P., Keeney, S., & McLauhlin, D. F. (2015).
Concept analysis of recovery in mental illness in young adulthood. Journal of
Psychiatric and Mental Health Nursing, 22(8), 579–589.
Schwartz-Barcott and Kim
A hybrid model of concept development was initially presented by Schwartz-Barcott and Kim in 1986 and
expanded and revised in 1993 and 2000. This method for concept development involves a three-phase
process, which is summarized in Table 3-6.
Table 3-6 Phases of Schwartz-Barcott and Kim’s Hybrid Model of Concept Development
Phase Activities
Theoretical phase Select a concept.
Review the literature.
Determine meaning and measurement.
Choose a working definition.
Fieldwork phase Set the stage.
Negotiate entry into a setting.
Select cases.
Collect and analyze data.
Final analytical phase Weigh findings.
Write report.
Source: Schwartz-Barcott and Kim (2000).
Theoretical Phase
In the theoretical phase, a borrowed concept, an underdeveloped nursing concept, or a concept from clinical
practice may be selected. The main consideration is that the concept has relevance for nursing. A clinical
encounter may be described in detail to arrive at the concept through analysis. The literature is searched
broadly and systematically across disciplines that may use the concept. A set of questions that provides
inquiry into the essential nature of the concept, the means of clear definition, and ways to enhance its
measurability focuses on questions of measurement and definition. Meaning and measurement are dealt with.
This requires thought for comparing and contrasting the data. A working definition is chosen to be used in the
final phase. The definition should maintain a nursing perspective.
Fieldwork Phase
In the fieldwork phase, the concept is corroborated and refined. The fieldwork phase integrates with the
literature phase and expands into a modified qualitative research approach (e.g., participant observation). The
steps of this phase are setting the stage, negotiating entry, selecting cases, and collecting and analyzing the
data.
Analytical Phase
The final analytical phase includes examination of the details in the light of the literature review. The
researcher reviews the findings with the original purpose in view. Three questions guide the final analysis:
1. How much is the concept applicable and important to nursing?
2. Does the initial selection of the concept seem justified?
3. To what extent do the review of literature, theoretical analysis, and empirical findings support the
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presence and frequency of the concept within the population selected for empirical study? (Schwartz-
Barcott & Kim, 2000, p. 147)
The final step of the process is to write up the findings. The work may be reported as either fieldwork or
as a concept analysis. Elements the researcher must consider when writing the findings are length of the study,
the intended audience, timing, pacing of the authorship process, anticipated length of the manuscript, how
much detail of the process to include, and ethics of the interpretation of the analysis (Schwartz-Barcott &
Kim, 2000).
Several results can be realized by this type of analysis:
1. The current meaning of the concept can be supported or refined.
2. A different definition than previously used may stand out.
3. The concept may be completely redefined.
4. A new or refined way of measuring the concept may be the result (Schwartz-Barcott & Kim, 1993).
Examples of published reports using this model are listed in Table 3-7.
Table 3-7 Examples of Concept Analyses Using Schwartz-Barcott and Kim’s Hybrid Method
Concept Reference
Breastfeeding Sherriff, N., Hall, V., & Panton, C. (2014). Engaging and supporting fathers to
promote breast feeding: A concept analysis. Midwifery, 30(6), 667–677.
Compassion
competence
Lee, Y., & Seomun, G. (2016). Development and validation of an instrument to
measure nurses’ compassion competence. Applied Nursing Research, 30, 76–82.
Grief Zucker, D. M., Dion, K., & McKeever, R. P. (2015). Concept clarification of grief
in mothers of children with an addiction. Journal of Advanced Nursing, 71(4), 751–
767.
Meleis
Meleis (2012) described three strategies to develop conceptual meaning for use in nursing theory, research,
and practice. These are concept exploration, concept clarification, and concept analysis.
Concept Exploration
Concept exploration is used when concepts are new and ambiguous in a discipline, when concepts are
camouflaged by being embedded in the daily nursing discussion, or when a concept from another discipline is
being redesigned for use in nursing. Concept exploration may awaken nurses to a new concept or revitalize
the meanings of an overused concept to make it explicit for practice, research, and theory building. The steps
Meleis (2012) suggests for this endeavor follow:
1. Identifying the major components and dimensions of the concept
2. Raising appropriate questions about the concept
3. Proposing triggers for continuing the exploration
4. Identifying and defining the advantages to the discipline of continuing the exploration of this concept
(p. 373)
Concept Clarification
Concept clarification is used to “refine concepts that have been used in nursing without a clear, shared, and
conscious agreement on the properties of meanings attributed to them” (Meleis, 2012, p. 374). Concept
clarification is a way to refine existing concepts when they lack clarity for a specific nursing endeavor. The
processes involved in concept clarification allow for reduction of ambiguities while critically reviewing the
properties. The processes are presented in Box 3-5.
Box 3-5 Process of Concept Clarification
1. Clarify the boundaries of the concept, including what attributes should be included and what should be
84
excluded.
2. Critically review the properties of the concept.
3. Bring to light new dimensions that had not been considered.
4. Compare, contrast, delineate, and differentiate these properties and provide exemplars of the concept.
5. Identify assumptions and philosophical bases about the events that trigger the phenomena and propose
questions from a nursing perspective.
Source: Meleis (2012, p. 374).
Concept Analysis
Concept analysis, according to Meleis (2012), assumes that the concept has been introduced into nursing
literature but is ready to move to the level of development for research. This process implies that the concept
will be broken down to its essentials and then reconstructed for its contribution to the nursing lexicon. The
goal of the analysis is to bring the concept close to use in research or clinical practice and to ultimately
contribute to instrument development and theory testing.
Meleis (2012) focused on an integrated approach to concept development, which includes defining,
differentiating, delineating antecedents and consequences, modeling, analogizing, and synthesizing. Table 3-8
lists each of these components and presents related activities or tasks to be accomplished for each phase. A
few examples using Meleis’s strategies were located in the literature. For example, Olsen and Harder (2010)
combined Meleis’s strategies with Schwartz-Barcott and Kim’s to describe “network-focused nursing.” Clark
and Robinson (2000) used Meleis’s earlier work to describe the concept of multiculturalism, and Felten and
Hall (2001) used Meleis’s strategies to describe the concept of resilience in elderly women.
Table 3-8 Meleis’s Processes for Concept Development
Process Task or Activity
Defining Creating theoretical and operational definitions that clarify ambiguities, enhance
precision, and relate concepts to empirical referents
Differentiating Sorting in and out similarities and differences between the concept being developed
and other like concepts
Delineating
antecedents
Defining the contextual conditions under which the concept is perceived and
expected to occur
Delineating
consequences
Defining events, situations, or conditions that may result from the concept
Modeling Defining and identifying exemplars (i.e., clinical referents or research referents) to
illustrate some aspect of the concept. Models may be same or like models, or
contrary models
Analogizing Describing the concept through another concept or phenomenon that is similar and
has been studied more extensively
Synthesizing Bringing together findings, meanings, and properties that have been discovered and
describing future steps in theorizing
Source:Meleis ( 2012, pp. 384–386).
Morse
In response to concerns that some concepts in the nursing lexicon had been derived and not developed
adequately for nursing, or had become overused by those who did not clarify them, Morse (1995) developed a
method of concept development to enhance clarity and distinctiveness of nursing concepts. In this method, she
used the term “advanced techniques of concept analysis” and described the processes of concept delineation,
concept comparison, and concept clarification.
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Concept Delineation
Concept delineation is a strategy that requires an extensive literature search and assists in separating two
terms that seem closely linked. The concepts are then compared and contrasted to identify commonalities,
similarities, and differences such that distinctions may be drawn between the terms (Morse, 1995).
Concept Comparison
Concept comparison clarifies competing concepts, again using an extensive literature review and keeping the
literature for each concept separate. Three phases are used in the comparison:
1. Preconditions—the status of the concept in nursing and its use in teaching or clinical practice
2. Process—the type of nursing response to the concept, at what level of consciousness it occurs, and, if
it is identified with the client, at what level
3. Outcomes—whether the concept was used to identify process or product, its accuracy in prediction,
the client’s condition, and the client’s experience with the concept (Morse, 1995, pp. 39–41)
Concept Clarification
For Morse (1995), concept clarification is used with concepts that are “mature” and have a large body of
literature identifying and using them. The concept clarification process requires a “literature review to identify
the underlying values and to identify, describe and compare and contrast the attributes of each” (p. 41).
Published reports using Morse’s methods for concept development can be found in the nursing literature.
For example, Hawkins and Morse (2014) modified the technique to describe the concept of courage as a
foundation for care. Other examples of concepts developed by nurse scholars using Morse’s techniques are:
quality pain management in hospitalized adults (Zoëga, Gunnarsdottir, Wilson, & Gordon, 2016), “crying that
heals” (Griffith, Hall, & Fields, 2011), and rest (Bernhofer, 2016).
Penrod and Hupcey
Penrod and Hupcey (2005) built on Morse’s method and termed their method “principle-based concept
analysis.” Explaining their intent to “determine and evaluate the state of the science surrounding the concept”
(p. 405) and “produce evidence that reveals scholars’ best estimate of ‘probable truth’ in the scientific
literature” (p. 406), they outlined four principles for their method: epistemologic, pragmatic, linguistic, and
logical (Box 3-6).
Box 3-6 Four Principles of Concept Analysis
Epistemologic principle is based on the question “Is the concept clearly defined and well differentiated
from other concepts?” (p. 405).
Pragmatic principle, in which the question to be answered is “Is the concept applicable and useful within
the scientific realm or inquiry? Has it been operationalized?” In this principle, they believe that an
operationalized concept has achieved a level of maturity (p. 405).
Linguistic principle asks, “Is the concept used consistently and appropriately within context?” (p. 406).
Similarly to Morse and to Rodgers, they find that context or lack of context is a factor important in this
type of analysis (p. 406).
Logical principle applies the question “Does the concept hold its boundaries through theoretical integration
with other concepts?” (p. 406). The authors require that the concept not be blurred with respect to other
concepts but that it remains logically clear and distinct.
Source: Penrod and Hupcey (2005, pp. 405–406).
Penrod and Hupcey (2005) explain that in their method of concept analysis, the findings “are summarized
as a theoretical definition that integrates an evaluative summary of each of the criteria posed by the four over-
arching principles.” To do this, the researcher must consider three issues: (1) selection of appropriate
disciplinary literature for review, (2) assurance of the adequacy and appropriateness of the sample derived
86
from the literature, and (3) employment of “within- and across-discipline analytic techniques.” They have
elucidated that this advanced level of concept development seems to be more relevant to the research
endeavor, as it is a research-based concept analysis.
Despite being developed relatively recently, examples of published works using Penrod and Hupcey’s
(2005) method for concept analysis can be found. For example, Lindauer and Harvath (2014) used a hybrid of
Penrod and Hupcey’s principle-based method to analyze the concept of predeath grief in the context of family
care giving with a dementia victim, and Watson (2015) used the principle-based method of Penrod and
Hupcey to analyze the concept of wrong site surgery. Lastly, Mikkelsen and Frederiksen (2011) analyzed the
concept of “family-centered care” of hospitalized children using Penrod and Hupcey’s method.
Comparison of Models for Concept Development
The nursing literature contains several comparisons and critiques of the various models and methods for
concept development/concept analysis. Indeed, Hupcey and colleagues (1996) and Morse and colleagues
(1996) provided a detailed and well-researched comparison of the techniques presented by Walker and Avant
(1983), Schwartz-Barcott and Kim (1993), and Rodgers (1989). Strengths and weaknesses of each method
were described in their papers. More recently, Duncan and colleagues (2007) and Weaver and Mitcham
(2008) reviewed the history of concept analysis comparing the major methods in common use. Finally,
Risjord (2009) reexamined the philosophical basis and intent of concept analysis and concluded that rather
than preceding theory development, it must be a part of theory development. Table 3-9 compares the various
formats for concept development/concept analysis described earlier.
Table 3-9 Comparison of Selected Methods of Concept Development
Author(s) Method Purpose No. of Steps
Constructed
Cases
Other
Factors/Steps
Walker and
Avant
Concept
analysis
Clarify
meaning of
terms
8 Model,
borderline,
related,
contrary
Identify empirical
referents and
defining
attributes;
delineate
antecedents and
consequences
Rodgers Evolutionary
concept
analysis
Refine and
clarify
concepts for
use in research
and practice
5 Model only
(identified—
not
constructed)
Identify
appropriate realm
(setting and
sample); analyze
data about
characteristics,
conduct
interdisciplinary
or temporal
comparisons;
identify
hypotheses and
implications for
further study
Schwartz-
Barcott and
Kim
Hybrid model
of concept
development
Support or
refine the
meaning of a
concept and/or
develop a new
or refined way
3 phases Model case,
contrary case
Develop working
definitions, search
literature,
participant
observation,
collect and
87
to measure a
concept
analyze data, write
findings
Meleis Concept
development
Define
concepts
theoretically
and
operationally,
clarify
ambiguities,
relate concepts
to empirical
referents
7 Same or like
models;
contrary
models
Define concept,
use an analogy to
describe a similar
concept,
synthesize
findings;
differentiate
similarities and
differences
between like
concepts;
delineate
antecedents and
consequences
Morse Concept
comparison
Clarifies the
meaning of
competing
concepts
3 phases Not specified Use extensive
literature review
to examine and
describe
preconditions
(status of use of
the concepts in
teaching or
practice), process,
and outcomes of
use of the concept
Penrod and
Hupcey
Principle-
based concept
analysis
Concept
analysis
4 phases based
on principles
Not specified Sampling within
bodies of large
multidisciplinary
literature yields a
theoretically based
scientific
definition
Summary
Rebecca Wallis, the nurse from the opening case study, identified a new phenomenon that was pertinent to her
practice of oncology nursing and decided to develop the concept more fully. By applying techniques of
concept analysis to the PMG reaction, she began the process of formulating information on this concept that
could ultimately be used by other nurses in practice or research.
The process of developing concepts includes reviewing the nurse’s area of interest, examining the
phenomena closely, pondering the terms that are relevant and that fit together with reality, and
operationalizing the concept for practice, research, or educational use. Whether advanced practice nurses or
nursing scholars elect to use the methods proposed by Wilson (1963), Walker and Avant (2011), Morse
(1995), Rodgers (2000), Schwartz-Barcott and Kim (2000), Meleis (2012), Penrod and Hupcey (2005), or a
combination, it is clear that the process of developing, clarifying, comparing and contrasting, and integrating
well-derived and defined concepts is necessary for theory development and to guide research studies. This
will, in turn, ultimately benefit practice. Chapter 4 builds on the process of concept development by
describing the processes used to link concepts to form relationship statements and to construct conceptual
models, frameworks, and theories.
88
Key Points
A concept is a symbolic statement that describes a phenomenon or a class of phenomena.
There are many different ways to explain or classify concepts (e.g., abstract vs. concrete and variable vs.
discrete).
Concepts used in nursing practice, research, education, and administration can come from the natural world
(e.g., biology and environment), from research, or from other disciplines.
Concept analysis/concept development refers to the rigorous process of bringing clarity to the definition of
the concepts used in nursing science.
When theoretically and operationally defined, the concepts can be readily applied in nursing practice,
research, education, and administration.
Several methods for concept analysis/concept development have been described in the nursing literature.
CONCEPT ANALYSIS EXEMPLAR
The following is an outline delineating the steps of a concept analysis using Rodgers’s
(2000) evolutionary method.
Barkimer, J. (2016). Clinical growth: An evolutionary concept analysis. Advances in
Nursing Science, 39(3), E28–E29.
1. Identify the concept and associated terms.
Concept: Clinical growth
Associated terms: student preparedness, student growth, student development, clinical
learning, student learning, student experiences
2. Select an appropriate realm (setting) for data collection.
The realm for the study was a search of the Cumulative Index to Nursing and Allied
Health Literature (CINAHL), Health Science in ProQuest, Cochrane Library,
MEDLINE, PubMed, Ovid, Web of Science, ERIC, and PsycINFO between 2004 and
2015.
3. Identify the attributes of the concept and the contextual basis of the concept.
Attributes of clinical growth:
a. Higher level thinking
b. Socialization
c. Skill development
d. Self-reflection
e. Self-investment
f. Interpersonal communication
g. Linking theory to practice
4. Specify the characteristics of the concept.
Antecedents:
a. Having a quality educator
b. Supportive environment
c. Intrinsic characteristics
Consequences: Five themes were presented.
a. Lifelong learning
b. Transition toward autonomy
c. Personal growth
d. Competency
89
e. Confidence
5. Identify an exemplar of the concept.
An exemplar case study was presented:
It described a senior-level nursing student who was completing his pediatric rotation. Each
of the critical attributes (e.g., quality educator, self-investment, socialization) were
present. The resulting consequences included personal growth, competency, and
confidence.
6. Identify hypotheses and implications for development.
For further study and application, the author suggested:
Development of a clinical performance evaluation tool based on the identified critical
attributes to facilitate student-entered learning
Learning Activities
1. Collect and review several of the concept analyses mentioned in the chapter. How are they
operationalized? How can they be used for research? In what form(s) of research would you
expect to see the concepts you have chosen used?
2. Review the different methods for concept development presented. How are the methods alike?
How are they different? Which method appears to be the most likely to reveal a concept suited
to the process that the author desires?
3. Consider a phenomenon you have observed in your practice that might be appropriate for
further development. Discuss the phenomenon with colleagues and try to name it and
determine how you might develop it further.
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4
Theory Development
Structuring Conceptual Relationships in Nursing
Melanie McEwen
Jill Watson is enrolled in a master’s nursing program and is beginning work on her thesis. As an occupational
health nurse at a large telecommunication manufacturing company for the past 7 years, Jill has concentrated
much of her practice on health promotion. She has organized numerous health fairs, led countless health help
sessions, regularly posted health information on intranet bulletin boards, and provided screening programs for
many illnesses. Despite her efforts to improve the health of the workers, many still smoke, are overweight, do
not exercise, and have other deleterious lifestyle habits. Realizing that lack of information about health-related
issues is not a problem, Jill has focused on trying to understand why people choose not to engage in positive
health practices. As a result, she became interested in the concept of motivation.
In one of her early courses in her master’s program, Jill completed an analysis of the concept of health
motivation. During this exercise, she defined the concept; identified antecedents, consequences, and empirical
referents; and developed a number of case studies, including a model case, a related case, and a contrary case.
As her studies progressed, Jill reviewed the literature from nursing, psychology, and sociology on health
beliefs and health motivation and discovered several related theories. The Health Belief Model appeared to
best explain her impressions of the issues at hand, but the model had not been developed for nursing and did
not completely fit her concept of the variables and issues in health motivation. For her thesis, she decided to
modify the Health Belief Model to focus on the concept of health motivation and to develop an instrument to
measure the variables she had generated in her earlier work.
In nursing, theories are systematic explanations of events in which constructs and concepts are identified;
relationships are proposed; and predictions are made to describe, explain, predict, or prescribe practice and
research (Dickoff, James, & Wiedenbach, 1968; Streubert & Carpenter, 2011). Without nursing theory,
nursing activities and interventions are guided by rote, tradition, some outside authority, or hunches, or they
may simply be random.
Theories are not discovered; rather, they are constructed or developed to describe, explain, or understand
phenomena or solve nagging problems (e.g., Why don’t people apply knowledge of positive health
practices?). In the past, nursing leaders saw theory development as a means of clearly establishing nursing as
a profession, and throughout the last 50 years, many nursing scholars developed models and theories to guide
nursing practice, nursing research, nursing administration and management, and nursing education. As
discussed in Chapter 2, these models and theories have been created at different levels (grand, middle range,
practice) and for different purposes (description, explanation, prediction, etc.).
Theory development seeks to help the nurse understand practice in a more complete and insightful way
and provides a method of identifying and expressing key ideas about the essence of practice. Theories help
organize existing knowledge and aid in making new and important discoveries to advance practice (Walker &
Avant, 2011). As illustrated earlier in the case study, development and application of nursing theory are
essential to revise, update, and refine the practice of nursing and to further advance the profession.
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Overview of Theory Development
Several terms related to the creation of theory are found in the nursing literature. Theory construction, theory
development, theory building, and theory generation are sometimes used synonymously or interchangeably. In
other cases (Cesario, 1997; Walker & Avant, 2011), authors have differentiated the constructs or subsumed
one term as a component or process within another. In this chapter, the term theory development is used as the
global term to refer to the processes and methods used to create, modify, or refine a theory. Theory
construction is used to describe one of the final steps of theory development in which the components of the
theory are organized and linkages specified.
Theory development is a complex, time-consuming process that covers a number of stages or phases from
inception of concepts to testing of theoretical propositions through research (Powers & Knapp, 2010). In
general, the process of theory development begins with one or more concepts that are derived from within a
discipline’s metatheory or philosophy. These concepts are further refined and related to one another in
propositions or statements that can be submitted to empirical testing (Chinn & Kramer, 2015; Peterson, 2017;
Reynolds, 1971).
Categorizations of Theory
As described in Chapter 2, theories are often categorized using different criteria. Theories may be grouped
based on scope or level of abstraction (grand theory, middle range theory, practice theory), the purpose of the
theory, or the source or discipline in which the theory was developed.
Categorization Based on Scope or Level of Abstraction
An overview of “levels of theory” was presented in Chapter 2. In nursing, theories are often viewed based on
scope or level of abstraction, where the most global or abstract level is the philosophical, or metatheory level,
followed by grand theory, middle range theory, and practice theory. In the early years of nursing theory
(1950–1980), theory development was largely at the metatheory and grand theory levels. Recently, however,
there has been a significant shift with recognition of the need to focus more on middle range and practice
(situation-specific) theories that are more relevant to nursing practice and more amenable to testing through
research. The following sections will review and expand on each level of theory.
Philosophy, Worldview, or Metatheory
Metatheory refers to the philosophical and methodologic questions related to developing a theoretical base for
nursing. It has also been termed “worldview” by some (Hickman, 2011). According to Walker and Avant
(2011), metatheory deals with the processes of generating knowledge and debating broad issues related to the
nature of theory, types of theory needed, and suitable criteria for theory evaluation. Chapter 1 discussed a
number of philosophical issues related to a worldview or metatheory in nursing, including epistemology,
research methods, and related questions.
Grand Theories
In nursing, grand theories are composed of relatively abstract concepts that are not operationally defined and
attempt to explain or describe very comprehensive aspects of human experience and response. Grand theories
consist of conceptual frameworks defining broad perspectives for practice and ways of looking at nursing
phenomena based on these perspectives. They provide global viewpoints for nursing practice, education, and
research, but they are limited because of their generality and abstractness. Indeed, because of their level of
abstraction, these theories are often considered to be difficult to apply to the daily practice of nurses and are
difficult to test (Hickman, 2011; Higgins & Shirley, 2000; Peterson, 2017; Walker & Avant, 2011).
Early grand nursing theories focused on the nurse–client relationship and the role of the nurse. Later grand
theories expanded to more encompassing concepts (holistic perspective, interpersonal relations, social
systems, and health). Recent grand theories have attempted to address phenomenologic aspects of nursing
(caring, transcultural issues) (Moody, 1990). Chapters 6 through 9 provide an examination of grand nursing
theories.
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Middle Range Theories
The need for practice disciplines to develop middle range theories was first proposed in the field of sociology
in the 1960s. In nursing, development of middle range theory is growing to fill the gaps between grand
nursing theories and nursing practice.
Compared to grand theories, middle range theories contain fewer concepts and are limited in scope.
Within the scope of middle range theories, however, some degree of generalization is possible across specialty
areas and settings. Propositions are clear, and testable hypotheses can be derived. Middle range theories cover
such concepts as pain, symptom management, cultural issues, and health promotion (Higgins & Shirley, 2000;
Peterson, 2017; Walker & Avant, 2011). Chapters 10 and 11 provide a detailed discussion of middle range
theories and their application in nursing.
Practice Theories
Practice theories (microtheories, situation-specific, or prescriptive theories) explain prescriptions or modalities
for practice. The essence of practice theory is a defined or identified goal and descriptions of interventions or
activities to achieve this goal (Walker & Avant, 2011). Practice theories can cover particular elements of a
specialty, such as oncology nursing, obstetric nursing, or operating room nursing, or they may relate to
another aspect of nursing, such as nursing administration or nursing education. Such theories typically
describe specific elements of nursing care, such as cancer pain relief, or a specific experience, such as dying
and end-of-life care.
Practice theories contain few concepts, are narrow in scope, and explain a relatively small aspect of
reality. They are derived from middle range theories, practice experiences, comprehensive literature reviews,
and empirical testing (Peterson, 2017). Furthermore, when the concepts and statements are operationally
defined, they may be tested by appropriate research strategies (Higgins & Shirley, 2000). Chapters 12 and 18
cover practice—or situation-specific—theories in more detail.
Relationship Among Levels of Theory in Nursing
Walker and Avant (2011) state that the four levels of theory may be linked in order to direct and focus the
discipline of nursing. As they describe, metatheory (worldview or philosophy) clarifies the methodologies and
roles for each subsequent level of theory development (grand, middle range, and practice). Each level of
theory provides material for further analysis and clarification at the level of metatheory. Grand nursing
theories guide the phenomena of concern at the middle range level. Middle range theories assist in refinement
of grand theories and direct prescriptions of practice theories. Practice theories are constructed from
scientifically based propositions about reality and test the empirical validity of those propositions as they are
incorporated into client care (Higgins & Shirley, 2000). Figure 4-1 illustrates the relationships among the
levels of theory in nursing.
Figure 4-1 Relationship among levels of theory.
(From Walker , L. O. , & Avant , K. C. Strategies for Theory Construction in Nursing, 5th ed., © 2011. Reprinted by permission of Pearson
Education, Inc., New York, New York.)
Categorization Based on Purpose
As discussed in Chapter 2, Dickoff and James (1968) described four kinds of theory: factor-isolating theories
(descriptive theories), factor-relating theories (explanatory theories), situation-relating theories (predictive
theories), and situation-producing theories (prescriptive theories). Each higher level of theory builds on the
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lower levels (Dickoff et al., 1968), and each is reviewed and expanded upon in the following sections.
Descriptive Theories
Descriptive theories describe, observe, and name concepts, properties, and dimensions, but they typically do
not explain the interrelationships among the concepts or propositions, and they do not indicate how changes in
one concept affect other concepts. According to Barnum (1998), descriptive theory is the first and most
important level of theory development because it determines what will be perceived as the essence of the
phenomenon under study. Subsequent theory development expands or refines those elements and specifies
relationships that are determined to be important in the descriptive phase. Thus, it is critical that the most
significant constituents of the phenomenon be recognized and named in this earliest phase of theory
development.
The two types of descriptive theory are naming and classification. Naming theories describe the dimension
or characteristics of a phenomenon. Classification theories describe dimensions or characteristics of a
phenomenon that are structurally interrelated and are sometimes referred to as typologies or taxonomies
(Barnum, 1998; Fawcett, 1999).
Descriptive theories are generated and tested by descriptive or explanatory research. Techniques for
generating and testing descriptive theory include concept analysis, case studies, comprehensive literature
review, surveys, phenomenology, ethnography, grounded theory, and historical inquiry (Fawcett, 1999).
Examples of descriptive theory found in recent nursing literature include the development of a conceptual
model of “almost normal,” which describes the experience of adolescents living with implantable cardioverter
defibrillators (phenomenology) (Zeigler & Tilley, 2011); development of a middle range theory describing the
process of death imminence awareness by family members (grounded theory) (Baumhover, 2015); and a
middle range theory of nursing presence (comprehensive literature review) (McMahon & Christopher, 2011).
In other examples, concept analysis was used as the method to develop a theoretical model of food insecurity
(Schroeder & Smaldone, 2015) and by Lindauer and Harvath (2014) who proposed a situation-specific theory
of predeath grief among caregivers of dementia patients.
Explanatory Theories
Explanatory theory is the second level in theory development. Once phenomena have been identified and
named, they can be viewed in relation to other phenomena. Explanatory theories relate concepts to one
another and describe and specify some of the associations or interrelations between and among the concepts.
Furthermore, explanatory theories attempt to tell how or why the concepts are related and may deal with
causality, correlations, and rules that regulate interactions (Barnum, 1998; Dickoff et al., 1968).
Explanatory theories can be developed only after the parts of the phenomena have been identified and
tested, and they are generated and tested by correlational research. Correlational research requires collection
or measurement of data gathered by observation or self-report instruments that will yield either qualitative or
quantitative data (Fawcett, 1999). Explanatory theories may also be generated by processes involving in-depth
integrative/systematic and rigorous review of extant research literature. Examples of explanatory theories
from recent nursing literature include meta-synthesis of qualitative study data in development of a model
describing the experience of cancer among teenagers and young adults (Taylor, Pearce, Gibson, Fern, &
Whelan, 2013) and a model of nursing care dependence as experienced by adult patients (Piredda et al., 2015).
Similarly, Carr (2014) synthesized findings from three qualitative studies to develop a middle range theory of
family vigilance, which describes the day-to-day experiences of family members staying with hospitalized
relatives.
Predictive Theories
Predictive theories describe precise relationships between concepts and are the third level of theory
development. Predictive theories presuppose the prior existence of the more elementary types of theory. They
result after concepts are defined and relational statements are generated and are able to describe future
outcomes consistently. Predictive theories include statements of causal or consequential relatedness (Dickoff
et al., 1968).
Predictive theories are generated and tested by experimental research involving manipulation of a
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phenomenon to determine how it affects or changes some dimension or characteristic of another phenomenon
(Fawcett, 1999). Different research designs may be used in this process. These include pretest–posttest
designs, quasi-experiments, and true experiments. These research studies produce quantifiable data that are
statistically analyzed. Metasynthesis of research studies or comprehensive reviews of research can also be the
source of predictive theories. Examples of predictive theories include a model describing the health-related
outcomes of resilience in adolescents (Scoloveno, 2015), a theory of family interdependence that predicted the
relationships between spirituality and psychological well-being among elders and their family caregivers
(Kim, Reed, Hayward, Kang, & Koenig, 2011), and a model predicting emotional exhaustion among
hemodialysis nurses (Hayes, Douglas, & Bonner, 2014). In an interesting work, Tourangeau (2005)
synthesized research literature from multiple sources to propose a theoretical model predicting patient
mortality. She identified the following contributing or determining factors to mortality: nurses’ staffing,
burnout, satisfaction, skill mix, experience, and role support as well as such factors as physician expertise,
hospital location, and patient characteristics (e.g., age, gender, comorbidity, socioeconomic status, and
chronicity).
Prescriptive Theories
Prescriptive theories are perceived to be the highest level of theory development (Dickoff et al., 1968).
Prescriptive theories prescribe activities necessary to reach defined goals. In nursing, prescriptive theories
address nursing therapeutics and predict the consequence of interventions (Meleis, 2012). Prescriptive theories
have three basic components: (1) specified goals or outcomes, (2) explicit activities to be taken to meet the
goal, and (3) a survey list that articulates the conceptual basis of the theory (Dickoff et al., 1968).
According to Dickoff and colleagues (1968), the outcome or goal of a prescriptive theory serves as the
norm or standard by which to evaluate activities. The goal must articulate the context of the situation, and this
provides the basis for testing to determine whether the goal has been achieved. The specified actions or
activities are those nursing interventions that should be taken to realize the goal. The goal will not be realized
without the activity, and prescriptions for activities directly affect the goals.
The survey list augments and supplements the prescribed activities. In addition, it serves to prepare for
future prescriptive activities. The survey list asks six questions about the prescribed activity that relate to the
delineated goal (Box 4-1). In current vernacular, as practice guidelines based on research, evidence-based
practice (EBP) consists of many attributes of prescriptive theory. This will be discussed in more detail in
Chapter 12.
Box 4-1 Survey List of Questions for Prescriptive Theories
1. Who performs the activity? (agency)
2. Who or what is the recipient of the activity? (patiency)
3. In what context is the activity performed? (framework)
4. What is the end point of the activity? (terminus)
5. What is the guiding procedure, technique, or protocol of the activity? (procedure)
6. What is the energy source for the activity? (dynamics)
Source: Dickoff et al. (1968).
Examples of prescriptive theory are becoming more common in the literature, enhanced by the expanding
volume of nursing research and increasing calls for EBP. In one work, Ade-Oshifogun (2012) presented a
research-tested and research-supported model to assist and support clinicians to develop interventions to
reduce or minimize truncal obesity in people with chronic obstructive pulmonary disease (COPD). The
descriptions of feeding, pelvic floor exercise, therapeutic touch, and latex precautions are only a few of many
excellent examples of nursing interventions presented by Bulechek, Butcher, Dochterman, and Wagner
(2012). Lastly, Finnegan, Shaver, Zenk, Wilkie, and Ferrans (2010) developed the “symptom cluster
experience profile” framework to anticipate symptom clusters and derive interventions and clinical practice
guidelines among survivors of childhood cancers.
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Categorization Based on Source or Discipline
Theories may be classified based on the discipline or source of origin. As briefly discussed in Chapter 1,
many of the theories used in nursing are borrowed, shared, or derived from theories developed in other
disciplines. Because nursing is a human science and a practice discipline, incorporation of shared theories into
practice and modification of them for use and testing are common.
Nurses use theories and concepts from the behavioral sciences, biologic sciences, and sociologic sciences
as well as learning theories and organizational and management theories, among others. In many cases, these
concepts and theories will overlap. For example, adaptation and stress are concepts found in both the
behavioral and biologic sciences, and multiple theories have been developed using these concepts.
Additionally, some theories defy placement in one discipline but relate to many. These include such basic
concepts as systems theory, change theory, and chaos.
This book discusses a number of theories and concepts organized in terms of sociologic sciences,
behavioral sciences, biomedical sciences, administration and management sciences, and learning theories.
Table 4-1 presents examples of theories from each of these areas. Although by no means exhaustive, Chapters
13 through 17 provide information on many of the shared theories commonly used in nursing practice,
research, education, and administration.
Table 4-1 Shared Theory Used in Nursing Practice and Research
Disciplines Examples of Theories Used by Nurses
Theories from sociologic sciences Family systems theory
Feminist theory
Role theory
Critical social theory
Theories from behavioral sciences Attachment theory
Theories of self-determination
Lazarus and Folkman’s theory of stress, coping, and
adaptation
Theory of planned behavior
Theories from biomedical sciences Pain
Self-regulation theory
Immune function
Symptomology
Germ theory
Theories from administration and management
sciences
Donabedian’s quality framework
Theories of organizational behavior
Models of conflict and conflict resolution
Job satisfaction
Learning theories Bandura’s social cognitive learning theory
Developmental learning theory
Prospect theory
Components of a Theory
A theory has several components, including purpose, concepts and definitions, theoretical statements,
structure/linkages and ordering, and assumptions (Chinn & Kramer, 2015; Hardin, 2014; Powers & Knapp,
2010). Creation of conceptual models is also a component of theory development that is promoted to further
explain and define relationships, structure, and linkages.
Purpose
The purpose of a theory explains why the theory was formulated and specifies the context and situations in
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which it should be applied. The purpose might also provide information about the sociopolitical context in
which the theory was developed, circumstances that influenced its creation, the theorist’s past experiences,
settings in which the theory was formulated, and societal trends. The purpose of the theory is usually
explicitly described and should be found within the discussion of the theory (Chinn & Kramer, 2015).
Concepts and Conceptual Definitions
Concepts and concept development are described in detail in Chapter 3. Concepts are linguistic labels that are
assigned to objects or events and are considered to be the building blocks of theories. The theoretical
definition defines the concept in relation to other concepts and permits the description and classification of
phenomena. Operationally defined concepts link the concept to the real world and identify empirical referents
(indicators) of the concept that will permit observation and measurement (Chinn & Kramer, 2015; Hardin,
2014; Walker & Avant, 2011). Theories should include explicit conceptual definitions to describe and clarify
the phenomenon and explain how the concept is expressed in empirical reality.
Theoretical Statements
Once a concept is fully developed and presented, it can be combined with other concepts to create statements
to describe the real world. Theoretical statements, or propositions, are statements about the relationship
between two or more concepts and are used to connect concepts to devise the theory. Statements must be
formulated before explanations or predictions can be made, and development of statements asserting a
connection between two or more concepts introduces the possibility of analysis (Hardin, 2014). The several
types of theoretical statements include propositions, laws, axioms, empirical generalizations, and hypotheses
(Table 4-2).
Table 4-2 Types of Relationship Statements
Type of Statement Characteristics
Axioms Consist of a basic set of statements or propositions that state the general
relationship between concepts. Axioms are relatively abstract; therefore, they are
not directly observed or measured.
Empirical
generalizations
Summarize empirical evidence. Empirical generalizations provide some confidence
that the same pattern will be repeated in concrete situations in the future under the
same conditions.
Hypotheses Statements that lack support from empirical research but are selected for study. The
source of hypotheses may be a variation of a law or a derivation from an axiomatic
theory, or they may be generated by a scientist’s intuition (a hunch). All concepts
in a hypothesis must be measurable, with operational definitions in concrete
situations.
Laws Well-grounded, with strong empirical support and evidence of empirical
regulatory. Laws contain concepts that can be measured or identified in concrete
settings.
Propositions Statements of a constant relationship between two or more concepts or facts.
Sources: Hardy (1973); Jacox (1974); Reynolds (1971).
Theoretical statements can be classified into two groups. The first group consists of statements that claim
the existence of phenomena referred to by concepts (existence statements). The second group describes
relationships between concepts (relational statements) (Reynolds, 1971).
Existence Statements
Existence statements and definitions relate to specific concepts and make existence claims about that concept
(e.g., that chair is brown or that man is a nurse). Each statement has a concept and is identified by a term that
is applied to another object or phenomena. Existence statements serve as adjuncts to relational statements and
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clarify meanings in the theory. Existence statements are also termed nonrelational statements and may be
right or wrong depending on the circumstances (Reynolds, 1971).
Relational Statements
Existence statements can only name and classify objects. Knowing the existence of one concept may be used
to convey information about the existence of other concepts. Relational statements assert that a relationship
exists between the properties of two or more concepts. This relationship is basic to development of theory and
is expressed in terms of relational statements that explain, predict, understand, or control.
Like concepts, statements may have different levels of abstraction (theoretical and operational). The more
general statements contain theoretically defined concepts. If the theoretical concepts are replaced with
operational definitions, then the statement is “operationalized.” The two broad groups of relational statements
are those that describe an association between two concepts and those that describe a causal relationship
between two concepts (Reynolds, 1971).
Associational or Correlational Relationships. Associational statements describe concepts that occur or exist
together (Reynolds, 1971; Walker & Avant, 2011). The nature of the association/correlation may be positive
(when one concept occurs or is high, the other concept occurs or is high). For example, as the external
temperature rises during the summer, consumption of ice cream increases. An example in human beings is a
positive correlation between height and weight—as people get taller, in general, their weight will increase.
The association may be neutral when the occurrence of one concept provides no information about the
occurrence of another concept. For example, there is no correlation between gender and scores on a
pharmacology examination. Finally, the association may be negative. In this case, when one concept occurs or
is high, the other concept is low and vice versa. For example, failure to use condoms regularly is associated
with an increase in the occurrence of sexually transmitted infections.
Causal Relationships. In causal relationships, one concept is considered to cause the occurrence of a second
concept. For example, as caloric intake increases, weight increases. In scientific research, the concept or
variable that is the cause is typically referred to as the independent variable and the variable that is affected is
referred to as the dependent variable.
In science, there is often disagreement about whether a relationship is causal or simply highly correlated.
A classic example is the relationship between cigarette smoking and lung cancer. As early as the 1940s, an
association between smoking and lung cancer was recognized, but not until the 1980s was it determined that
smoking actually caused lung cancer. Likewise, genetic predisposition is associated with development of
heart disease; it has not been shown to cause heart disease.
Structure and Linkages
Structuring the theory by logical arrangement and specifying linkages of the theoretical concepts and
statements is critical to the development of theory. The structure of a theory provides overall form to the
theory. Theory structuring includes determination of the order of appearance of relationships, identification of
central relationships, and delineation of direction, strength, and quality of relationships (Chinn & Kramer,
2015).
Although theoretical statements assert connections between concepts, the rationale for the stated
connections needs to be developed. Theoretical linkages offer a reasoned explanation of why the variables in
the theory may be connected in some manner, which brings plausibility to the theory. When developed
operationally, linkages contribute to the testability of the theory by specifying how variables are connected.
Thus, conceptual arrangement of statements and linkages can lead to hypotheses (Hardin, 2014).
Assumptions
Assumptions are notations that are taken to be true without proof. They are beliefs about a phenomenon that
one must accept as true to accept a theory, and although they may not be empirically testable, they can be
argued philosophically. The assumptions of a theory are based on what the theorist considers to be adequate
empirical evidence to support propositions, on accepted knowledge, or on personal beliefs or values (Jacox,
1974; Powers & Knapp, 2010). Assumptions may be in the form of factual assertions or they may reflect
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value positions. Factual assumptions are those that are known through experience. Value assumptions assert
or imply what is right, or good, or ought to be (Chinn & Kramer, 2015).
In a given theory, assumptions may be implicit or explicit. In many nursing theories, they must be “teased
out.” Furthermore, it is often difficult to separate assumptions that are implicit or integrated into the narrative
of the theory from relationship statements (Powers & Knapp, 2010).
Models
Models are schematic representations of some aspect of reality. Various media are used in construction of
models; they may be three-dimensional objects, diagrams, geometric formulas, or words. Empirical models
are replicas of observable reality (e.g., a plastic model of a uterus or an eye). Theoretical models represent the
real world through language or symbols and directional arrows.
In a classic work, Artinian (1982) described the rationale for creating a theoretical or conceptual model.
She determined that models help illustrate the processes through which outcomes occur by specifying the
relationships among the variables in graphic form where they can be examined for inconsistency,
incompleteness, or errors. By creating a model of the concepts and relationships, it is possible to trace the
effect of certain variables on the outcome variable rather than making assertions that each variable under
study is related to every other variable. Furthermore, the model depicts a process that starts somewhere and
ends at a logical point. Using the model, a person should be able to explain what happened, predict what will
happen, and interpret what is happening. Finally, Artinian stated that once a model has been conceptually
illustrated, the phenomenon represented can be examined in different settings testing the usefulness and
generalizability of the underlying theory. The figure in the exemplar at the end of the chapter shows a model
illustrating the relationships between the variables of the perceived access to breast health care in African
American women theory.
Theory Development
Several factors are vital for nurses to examine the process of theory development. First, an understanding of
the relationship among theory, research, and practice should be recognized. Second, the nurse should be aware
that there are various approaches to theory development based on the source of initiation (i.e., practice, theory,
or research). Finally, the process of theory development should be understood. Each of these factors is
discussed in the following sections.
Relationship Among Theory, Research, and Practice
Many nurses lack a true understanding of the interrelationship among theory, research, and practice and its
importance to the continuing development of nursing as a profession (Pryjmachuk, 1996). As early as the
1970s, nursing scholars commented on the relationships among theory, research, and practice. Indeed, at that
time, nursing leaders urged that nursing research be combined with theory development to provide a rational
basis for practice (Flaskerud, 1984; Moody, 1990).
In applied disciplines such as nursing, practice is based on the theories that are validated through research.
Thus, theory, research, and practice affect each other in a reciprocal, cyclical, and interactive way (Hickman,
2011; Marrs & Lowry, 2006) (Figure 4-2).
Figure 4-2 Research–theory–practice cycle.
Relationship Between Theory and Research
Research validates and modifies theory. In nursing, theories stimulate nurse scientists to explore significant
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problems in the field of nursing. In doing so, the potential for the development of nursing knowledge
increases (Meleis, 2012). Theories can be used to formulate a set of generalizations to explain relationships
among variables. When empirically tested, the results of research can be used to verify, modify, disprove, or
support a theoretical proposition.
Relationship Between Theory and Practice
Theory guides practice. One of the primary uses of theory is to contribute insights about nursing practice
situations through provision of goals for assessment, diagnosis, and intervention. Likewise, through practice,
nursing theory is shaped, and guidelines for practice evolve. Theory renders practice more efficient and more
effective, and the ultimate benefit of theory application in nursing is the improvement in client care (Meleis,
2012).
Relationship Between Research and Practice
Research is the key to the development of a discipline. Middle range and practice theories may be tested in
practice through clinical research (Hickman, 2011). If individual practitioners are to develop expertise, they
must participate in research. In summary, there is a need to encourage nurses to test and refine theories and
models to develop their own personal models of practice (Marrs & Lowry, 2006; Pryjmachuk, 1996).
Approaches to Theory Development
Several different approaches may be used to initiate the process of theory development. Meleis (2012) cites
four major strategies differentiated by their origin (theory, practice, or research) and by whether sources from
outside of nursing were used to develop the theory. These approaches are theory to practice to theory, practice
to theory, research to theory, and theory to research to theory. She then proposes employment of an integrated
approach to theory development. Table 4-3 summarizes these different approaches.
Table 4-3 Strategies for Theory Development
Origin of Theory
Basis for
Development Type of Theory Methods for Development
Theory–practice–
theory
An existing non-
nursing theory that
can help describe and
explain a
phenomenon, but the
theory is not
complete or not
completely developed
for nursing
Borrowed or shared
theory
Theorist selects a non-nursing
theory; analyzes the theory;
defines and evaluates each
component; and redefines
assumptions, concepts, and
propositions to reflect nursing.
Practice–theory Existing theories are
not useful in
describing the
phenomenon of
interest; theory is
derived from clinical
situations.
Grounded theory Researcher observes phenomenon
of interest, analyzes similarities
and differences, compares and
contrasts responses, and develops
concepts and linkages.
Research–theory Development of
theory is based on
research; theories
evolve from
replicated and
confirmed research
findings.
Scientific theory Researcher selects a common
phenomenon, lists and measures
characteristics of the phenomenon
in a variety of situations, analyzes
the data to determine if there are
patterns that need further study,
and formalizes patterns as
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theoretical statements.
Theory–research–
theory
Theory drives the
research questions;
the result of the
research informs and
modifies the theory.
Theory testing Theorist defines a theory and
determines propositions for
testing; the theory is modified,
refined, or further developed
based on research findings; in
some cases, a new theory will be
formed.
Source: Meleis (2012).
Theory to Practice to Theory
The theory to practice to theory approach to theory development begins with a theory (typically non-nursing)
that describes a phenomenon of interest (Meleis, 2012). This approach assumes that the theory can help
describe or explain the phenomenon, but it is not completely congruent with nursing and/or is not directly
defined for nursing practice. Thus, the focus of the theory is different from the focus needed for nursing.
Using the theory to practice to theory strategy, the nurse would select a theory that may be used to explain
or describe a clinical situation (e.g., adaptation, stress, health beliefs). The nurse could modify concepts and
consider relationships between concepts that were not proposed in the original theory. To accomplish this, the
nurse would need to (1) have a basic knowledge of the theory; (2) analyze the theory by reducing it into
components where each component is defined and evaluated; (3) use assumptions, concepts, and propositions
to describe the clinical area; (4) redefine assumptions, concepts, and propositions to reflect nursing; and (5)
reconstruct a theory using exemplars representing the redefined assumptions, concepts, and propositions
(Meleis, 2012). Examples of a theory to practice to theory strategy include Benner’s use of Dreyfus’s Model
of Skill Acquisition to describe novice to expert practice (Benner, 2001) and Roy’s use of Helson’s
Adaptation Theory to describe human responses (Roy & Roberts, 1981). Other examples of theory to practice
to theory in recent nursing literature include a work that applied the theory of mastery and organismic
integration theory in practice to develop a middle range theory for diabetes self-management mastery (Fearon-
Lynch & Stover, 2015) and Davidson’s (2010) middle range theory, facilitated sense-making, which supports
families of ICU patients. The latter was derived from the work of Karl Weick (2001), an expert in
organizational psychology.
Practice to Theory
If no appropriate theory appears to exist to describe or explain a phenomenon, theories may be inductively
developed from clinical practice situations. The practice to theory approach is based on the premise that in a
given situation, existing theories are not useful in describing the phenomenon of interest. It assumes that the
phenomenon is important enough to pursue and that there is a clinical understanding about it that has not been
articulated. Furthermore, insight gained from describing the phenomenon has potential for enhancing the
understanding of other similar situations through development of a set of propositions (Meleis, 2012).
This strategy is a grounded theory approach, which begins with a question evolving from a practice
situation. It relies on observation of new phenomena in a practice situation; development of concepts; and
then labeling, describing, and articulating properties of these concepts. To accomplish this, the researcher
observes the phenomenon, analyzes similarities and differences, and then compares and contrasts responses.
Following this, the researcher may develop concepts and propositional statements and propose linkages
(Meleis, 2012). Examples of the practice to theory strategy of theory development include a model of
“becoming normal,” which describes the emotional process of recovery from stroke (Gallagher, 2011) and a
middle range theory of self-care of chronic illness (Riegel, Jaarsma, & Strömberg, 2012). Similarly, Falk-
Rafael and Betker (2012) developed the “critical caring theory” following detailed interviews of practice
accounts of 25 public health nurses, and Sacks and Volker (2015) created a theory describing hospice nurses’
responses to patient suffering following interviews with 22 hospice nurses.
Research to Theory
The research to theory strategy is the most accepted strategy for theory development in nursing, largely due to
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the early emphasis on empiricism described in Chapter 1. For empiricists, theory development is considered a
product of research because theories evolve from replicated and confirmed research findings. The research to
theory strategy assumes that there is truth in real life, that the truth can be captured through the senses, and
that the truth can be verified (Meleis, 2012). Furthermore, the purpose of scientific theories is to describe,
explain, predict, or control a part of the empirical world.
In the research to theory strategy for theory development, the researcher selects a phenomenon that occurs
in the discipline and lists characteristics of the phenomenon. A method to measure the characteristics of the
phenomenon is developed and implemented in a controlled study. The results of the measurement are
analyzed to determine if there are any systematic patterns, and once patterns have been discovered, they are
formalized into theoretical statements (Meleis, 2012). Examples of the research to theory strategy from
nursing include the development of the middle range theory of family vigilance, which was developed
following in-depth review of three ethnographic research studies (Carr, 2014), and “tracking the footsteps” (El
Hussein & Hirst, 2016), which describes the clinical reasoning processes used by registered nurses to
recognize delirium in acute care settings.
Theory to Research to Theory
In the theory to research to theory approach, theory drives the research questions and the results of the
research are used to modify the theory. In this approach, the theorist will begin by defining a theory and
determining propositions for testing. If carried through, the research findings may be used to further modify
and develop the original theory (Meleis, 2012).
In this process, a theory is selected to explain the phenomenon of interest. The theory is a framework for
operational definitions, variables, and statements. Concepts are redefined and operationalized for research.
Findings are synthesized and used to modify, refine, or develop the original theory or, in some cases, to create
a new theory. The goal is to test, refine, and develop theory and to use theory as a framework for research and
theory modification. The researcher/theorist concludes the investigation with a refined, modified, or further
developed explanation of the theory (Meleis, 2012). Examples of the theory to research to theory approach
from recent nursing literature include a middle range theory of weight management developed from Orem’s
theory of self-care (Pickett, Peters, & Jarosz, 2014) and Dobratz’s (2016) middle range theory of adaptive
spirituality (which was derived from Roy’s Adaptation Model). Another example is the theory of diversity of
human field pattern, which was developed from Martha Rogers’s science of unitary human beings using a
quantitative research design (Hastings-Tolsma, 2006).
Integrated Approach
An integrated approach to theory development describes an evolutionary process that is particularly useful in
addressing complex clinical situations. It requires gathering data from the clinical setting, identifying
exemplars, discovering solutions, and recognizing supportive information from other sources (Meleis, 2012).
Integrated theory development is rooted in clinical practice. Practice drives the basic questions and
provides opportunities for clinical involvement in research that is designed to answer the questions. In this
process for theory development, hunches and conceptual ideas are communicated with other clinicians or
participants to allow for critique and further development. Among other strategies, the integrated approach
uses skills and tools from clinical practice, various research methods, clinical diaries, descriptive journals, and
collegial dialogues in developing a framework or conceptualization (Meleis, 2012).
Process of Theory Development
The process of theory development has been described in some detail by several nursing scholars (Jacox,
1974; Walker & Avant, 2011). Despite slight variations related to terminology and sequencing, the sources
are similar in explaining the processes used to develop theory. The three basic steps are concept development,
statement/proposition development, and theory construction. Chinn and Kramer (2015) add two additional
steps that involve validating, confirming, or testing the theory and applying theory in practice. Each of the
steps is described in the following sections, and Table 4-4 summarizes the theory development process.
Table 4-4 Process of Theory Development
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Step Description
Concept development Specifying, defining, and clarifying the concepts used to describe a phenomenon of
interest
Statement
development
Formulating and analyzing statements explaining relationships between concepts;
also involves determining empirical referents that can validate them
Theory construction Structuring and contextualizing the components of the theory; includes identifying
assumptions and organizing linkages between and among the concepts and
statements to form a theoretical structure
Testing theoretical
relationships
Validating theoretical relationships through empirical testing
Application of theory
in practice
Using research methods to assess how the theory can be applied in practice;
research should provide evidence to evaluate the theory’s usefulness
Concept Development: Creation of Conceptual Meaning
This first step or process of theory development involves creating conceptual meaning. This provides the
foundation for theory development and includes specifying, defining, and clarifying the concepts used to
describe the phenomenon of interest (Jacox, 1974).
Creating conceptual meaning uses mental processes to create mental structures or ideas to be used to
represent experience. This produces a tentative definition of the concept(s) and a set of criteria for
determining if the concept(s) exists in a particular situation (Chinn & Kramer, 2015). Methods of concept
development are described in detail in Chapter 3.
Statement Development: Formulation and Validation of Relational Statements
Relational statements are the skeletons of theory; they are the means by which the theory comes together. The
process of formulation and validation of relational statements involves developing the relational statements
and determining empirical referents that can validate them.
After a statement has been delineated initially, it should be scrutinized or analyzed. Statement analysis is a
process described by Walker and Avant (2011) to thoroughly examine relational statements. Statement
analysis classifies statements and examines the relationships between the concepts and helps direct theoretical
construction. There are seven steps in the process of statement analysis (Box 4-2). Following the process of
statement analysis, the statements are refined and may be operationalized.
Box 4-2 Steps in Statement Analysis
1. Select the statement to be analyzed.
2. Simplify the statement.
3. Classify the statement.
4. Examine concepts within the statement for definition and validity.
5. Specify relationship between concepts.
6. Examine the logic.
7. Determine stability.
Source: Walker and Avant (2011).
Theory Construction: Systematic Organization of the Linkages
The third stage in theory development involves structuring and contextualizing the components of the theory.
This includes formulating systematic linkages between and among concepts, which results in a formal,
coherent theoretical structure. The format used depends on what is known or assumed to be true about the
phenomena in question (Chinn & Kramer, 2015). Aspects of theory construction include identifying and
defining the concepts; identifying assumptions; clarifying the context within which the theory is placed;
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designing relationship statements; and delineating the organization, structure, or relationship among the
components.
Theory synthesis is a theory construction strategy developed by Walker and Avant (2011). In theory
synthesis, concepts and statements are organized into a network or whole. The purposes of theory synthesis
are to represent a phenomenon through an interrelated set of concepts and statements, to describe the factors
that precede or influence a particular phenomenon or event, to predict effects that occur after some event, or to
put discrete scientific information into a more theoretically organized form.
Theory synthesis can be used to produce a compact, informative graphic representation of research
findings on a topic of interest, and synthesized theories may be expressed in several ways such as graphic or
model form. The three steps in theory synthesis are summarized in Box 4-3.
Box 4-3 Steps in Theory Synthesis
1. Select a topic of interest and specify focal concepts (may be one concept/variable or a framework of
several concepts).
2. Conduct a review of the literature to identify related factors and note their relationships. Identify and
record relationships indicating whether they are bidirectional, unidirectional, positive, neutral or
negative, weak or ambiguous, or strong in support evidence.
3. Organize concepts and relational statements into an integrated representation of the phenomena of
interest. Diagrams may be used to express the relationships among the concepts.
Source: Walker and Avant (2011).
Validating and Confirming Theoretical Relationships in Research
Chinn and Kramer (2015) include the process of validating and confirming theoretical relationships as a
component of theory development. Validating theoretical relationships involves empirically refining concepts
and theoretical relationships, identifying empirical indicators, and testing relationships through empirical
methods. In this step, the focus is on correlating the theory with demonstrable experiences and designing
research to validate the relationships. Additionally, alternative explanations are considered based on the
empirical evidence.
Validation and Application of Theory in Practice
An important final step in theory development identified by Chinn and Kramer (2015) is applying the theory
in practice. In this step, research methods are used to assess how the theory can be applied in practice. The
theoretical relationships are examined in the practice setting, and results are recorded to determine how well
the theory achieves the desired outcomes. The research design should provide evidence of the effect of the
interventions on the well-being of recipients of care. Questions to be considered in this step include: Are the
theory’s goals congruent with practice goals? Is the intended context of the theory congruent with the practice
situation? Are explanations of the theory sufficient for use in the nursing situation? Is there research evidence
supporting use of the theory? See Link to Practice 4-1 for more information on the process of theory
development.
Link to Practice 4-1
Where Do I Begin?
An experienced emergency department (ED) registered nurse wants to conduct a research study on
“frequent flyers in the ED” (i.e., patients who return multiple times for the same or similar health problem)
and is not sure how to proceed.
Following the guidelines in the chapter, the nurse should begin with developing the concept. For this
step, he or she can search the health literature. Has a concept study of “frequent flyers” been published? If
105
not, he or she can perform a formal or informal concept analysis, following one of the strategies presented
in Chapter 3. If an analysis of “frequent flyers” has been published, the nurse might use it to set up the next
steps—statement development and theory construction.
In the second and third steps, the nurse should continue to search the literature to learn all he or she can
about the various aspects of “frequent flyers” and related phenomena. What studies have been published
on patients who return to the EDs repeatedly during a short period of time? What characteristics or
diagnoses are typically reported? What other factors are usually found? How do they present? How do ED
personnel care for them? From this review, the nurse can propose linkages between and among the various
concepts/characteristics and draft a conceptual model. This might send him or her back to the literature to
search for other, potentially related terms and phenomena. The literature and published studies can also
lead him or her to instruments or tools that have been developed to measure some of the concepts and
phenomena. Following these steps, the nurse can develop a research study to try to validate and refine the
conceptual linkages. Completion and publication of research will contribute to the evidence that can then
be used to improve nursing practice.
Summary
Jill Watson, the nurse/graduate student introduced in the case study at the beginning of this chapter, was
unable to identify a theory or conceptual model that completely met the needs for her study on health
motivation. Because of this, she determined that it would be appropriate and feasible to use theory
development techniques to revise an existing theory to use in her research project.
Theory development is an important but complex and time-consuming process. This chapter has presented
a number of issues related to the process of theory development. These issues included the purpose of
developing theory and the components of a theory. Discussion focused on concepts, theoretical statements,
assumptions, and model development and explained the relationships among theory, research, and practice.
Finally, the process of theory development was presented.
Key Points
In nursing, theories are constructed or developed to describe, explain, or understand phenomena to help
solve clinical problems or improve practice outcomes.
Nursing theory can be categorized based on level (grand theory, middle range theory, or practice theory),
based on purpose (descriptive theories, explanatory theories, predictive theories, or prescriptive theories),
or based on source or background.
Components of theories include purpose, concepts, definitions, theoretical statements, structure/linkages,
assumptions, and often a diagram or model.
There is a reciprocal relationship among theory, research, and practice that is critical for professional nurses
to recognize and understand.
Several approaches to theory development (e.g., theory to practice to theory, theory to research to theory,
practice to theory, and research to theory) are found in the nursing literature.
The process of theory development often follows these steps: concept development, statement development,
theory construction, validation/confirmation of relationships in research, and validation/application of
theory in practice.
To further illustrate the process of theory development, a summary report of a theory published in the nursing
literature is presented. In the following exemplar, each of the components of the theory is clearly identified. In
addition, Chapter 5 expands on the process of theory development by examining the processes of theory
analysis and evaluation.
THEORY DEVELOPMENT EXEMPLAR
Garmon , S. C. ( 2012 ). Theory of perceived access to breast health care in African American women . ANS. Advances in
106
Nursing Science , 35 ( 2 ), E13 – E23 .
Garmon developed the perceived access to breast health care in African American women
theory to help direct future research studies exploring the relationship between access to care
and utilization of preventive services related to breast health care.
Scope of theory: Middle range
Purpose: The perceived access to breast health care in African American women theory was
developed to “propose an alternative view of access to breast health care and to
demonstrate the importance of testing the relationships between culture, definitions of
health, health behaviors, and practices and their influence on the perception of access to
breath health care in AAW [African American women]” (p. E16).
Concepts and definitions are listed in the following table.
Concept Definition
Culture Combination of age, ethnicity, race, gender,
socioeconomic status, religious beliefs, family history,
and geographical origin that shapes and guides the
values, beliefs, practices, thinking, decisions, and actions
of individuals
Health A state of well-being that is culturally defined, valued,
and practiced and that refl ects the ability of individuals
or groups to perform their daily role activities in a
culturally satisfactory way
Health promotion Behavior(s) aimed at increasing the level of well-being
and actualization of health
Health protection Behavior(s) aimed at decreasing the likelihood of
experiencing health problems by active protection or
early detection of health problems in the asymptomatic
stage
Health behaviors and
practices
Culturally guided activities that are performed by an
individual to help maintain his or her definition of health
and well-being. These include health promotion and
disease prevention breast care practices.
Access The perceived necessity, availability, and
appropriateness of breast health care provided by the
health care delivery system, which purposes to assist an
individual in maintaining his or her cultural definition of
health and well-being
Perception of
availably of care
Influenced by economic factors such as location of care;
fit with time schedules; fit with family; and fit with
cultural beliefs, values, and expectations
Perception of
necessity of care
Influenced by incorporation of health promotion and
disease prevention into definitions of health,
symptomatology, and cultural definitions of severity and
personal and family priorities
Perception of
appropriateness of
care
Influenced by fit of the breast health care with cultural
values, beliefs, and practices; interactions and
relationships with providers of care; and previous
experience associated with breast cancer and breast
health care
107
Theoretical Statement and Linkages
1. Culture shapes the definition of health.
2. Perceived access to breast health care is postulated to be a product of three subconcepts:
necessity, availability, and appropriateness of care.
3. Health behaviors and practices are a function of the perception of necessity of care, the
availably of care, and the appropriateness of care.
4. When (a) the definition of health includes perspectives of health promotion and disease
prevention; (b) health behaviors and practices include breast health practices; and (c)
access to breast health care is perceived as necessary, available, and appropriate, then
breast cancer diagnosis is likely to occur in its early stages.
5. Delayed diagnosis of breast cancer influences cultural beliefs, values, and practices and
also reshapes individual definitions of health, health practices, and behaviors.
Model: Garmon’s schematic diagram illustrates the main concepts and their
interrelationships. It also depicts how perceptions may lead to either early or delayed
diagnosis of breast cancer.
A theory of perceived access to breast health care in African American women (From
Garmon, S. C. [2012]. Theory of perceived access to breast health care in African American
women. Advances in Nursing Science, 35[2], E13–E23).
Assumptions
1. Definitions of health care are shaped by culture and determine an individual’s
participation in health promotion and disease prevention strategies.
2. Perceived access to necessary care will result in seeking breast health care for health
promotion and disease prevention.
108
3. Seeking breast health care in a health care delivery system with perceived appropriate and
available care will result in diagnosis of breast cancer in its early stages.
Implications for Nursing
The theory of perceived access provides nurses with an opportunity for testing the
relationships among culture; health definitions; health practices; and perceived necessity,
availability, and appropriateness of breast cancer screening. The theory may aid in the
discovery of the culturally appropriate approaches for promoting breast health care.
Learning Activities
1. Find an example of a nursing theory in a current book or periodical. Review the theory and
classify it based on scope or level of abstraction (grand theory, middle range theory, or
practice theory), the purpose of the theory (describe, explain, predict, or control), and the
source or discipline in which the theory was developed.
2. Find an example of a middle range nursing theory (see Chapter 10 or 11 for ideas). Following
the preceding exemplar, identify the components of the theory (e.g., scope of the theory,
purpose, concepts, and definitions).
3. Find an example of a middle range theory that does not contain a model. With classmates, try
to create a model that depicts the relationships between and among the concepts. Discuss the
challenges posed by this exercise.
4. Jill, the nurse from the opening case study, chose a non-nursing theory to modify to best
explain a phenomenon that she had observed in practice. Review the various theories
described in the unit on “shared theories” and select one that is applicable to one nursing
specialty area. Consider how it might be modified to best reflect advanced nursing practice.
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5
Theory Analysis and Evaluation
Melanie McEwen
Jerry Thompson is nearing completion of his master’s degree in nursing leadership. He is currently a case
manager for a home health agency, and his goal is to become an agency director after he completes his degree.
For his research application project, Jerry wants to compare the effectiveness of health teaching in the hospital
setting with the effectiveness of health teaching in the home setting. He has identified several areas to
examine. These include the quality and type of health information provided, professional competencies of the
nurses providing the information, the client’s support system, and environmental resources. Outcome
variables he will measure focus on utilization of health care (e.g., length of time on home health service,
hospital readmissions, development of complications).
As his research project began to take shape, Jerry realized he needed a conceptual framework to help him
set it up and organize it. His advisor suggested Pender’s Health Promotion Model. To determine if the model
would be appropriate for his study, Jerry obtained the latest edition of Pender’s book (Pender, Murdaugh, &
Parsons, 2015), which described the model in depth. He then read commentaries in nursing theory books that
analyzed Pender’s work and completed a literature search to find examples of research studies using the
Health Promotion Model as a conceptual framework. After he had compiled the information, Jerry
summarized his findings by using Whall’s (2016) criteria for analysis and evaluation of middle range theories.
This exercise helped Jerry gain insight into the major concepts of the model and let him examine its
important assumptions and linkages. From the evaluation, he determined that the model would be appropriate
for use as the conceptual framework for his research study.
As nurses began to participate in the processes of theory development in the 1960s, they realized that there
was a corresponding need to identify criteria or develop mechanisms to determine if those theories served
their intended purpose. As a result, the first method to describe, analyze, and critique theory was published in
1968. Over the following decades, a number of methods or techniques for theory evaluation were proposed. A
general understanding of these methods will help nurses select an evaluation method for theory, which is
appropriate to the stage of theory development and for the intended application of the theory (research,
practice, administration, or education). This will, in turn, help ensure that the theory is valid and is being used
correctly. It will also provide information for developing and testing new theories by identifying gaps and
inconsistencies.
Definition and Purpose of Theory Evaluation
Theory evaluation has been defined as the process of systematically examining a theory. Criteria for this
process are variable, but they generally include examination of the theory’s origins, meaning, logical
adequacy, usefulness, generalizability, and testability. Theory evaluation does not generate new information
outside the confines of the theory, but it often leads to new insights about the theory being examined.
In short, theory evaluation identifies a theory’s degree of usefulness to guide practice, research, education,
and administration. Such evaluation gives insight into relationships among concepts and their linkages to each
other and allows the reviewer to determine the strengths and weaknesses of a theory. It also assists in
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identifying the need for additional theory development or refinement. Finally, theory evaluation provides a
systematic, objective way of examining a theory that may lead to new insights and new formulations that will
add to the body of knowledge and thereby affects practice or research (Walker & Avant, 2011). The ultimate
goal of theory evaluation is to determine the potential contribution of the theory to scientific knowledge.
In nursing practice, theory evaluation may provide a clinician with additional knowledge about the
soundness of the theory. It also helps identify which theoretical relationships are supported by research,
provides guidelines for the choice of appropriate interventions, and gives some indication of their efficacy. In
research, theory evaluation helps clarify the form and structure of a theory being tested or will allow the
researcher to determine the relevance of the content of a theory for use as a conceptual framework, as
described in the case study. Evaluation will also identify inconsistencies and gaps in the theory when used in
practice or research (Walker & Avant, 2011). See Link to Practice 5-1 for another example.
Link to Practice 5-1
The Synergy Model for Patient Care
The Synergy Model for Care was developed by the American Association of Critical-Care Nurses (AACN)
to be used as the basis for the AACN’s certification examination (Curley, 1998). Although the model was
explicitly designed to be used to direct nursing care for critically ill patients in the acute care settings
(practice), it has also been used in numerous research studies as well as in many different types of settings
and for varying types of patients.
When considering its original intended purpose, what processes or methods might a nurse use to
determine the Synergy Model’s suitability for:
Directing nursing practice in a high school or occupational health setting?
Working with elders in a long-term care facility?
Planning care for a home-based hospice patient?
Guiding a research study in a pediatric hospital?
Various methods have been outlined to assist with this process. The methods are described by several
overlapping terms or terms that are used in different ways by different authors. For example, theory analysis,
theory description, theory evaluation, and theory critique all describe the process of critically reviewing a
theory to assess its relevance and applicability to nursing practice, research, education, and administration. In
this chapter, “theory evaluation” is used as a global term to discuss the process of reviewing theory.
Theory evaluation has been described as a single-phase process (theory analysis) by Alligood (2014a) as
well as Hardy (1974) (theory evaluation), a two-phase process (theory analysis and theory critique/evaluation)
by Fawcett and DeSanto-Madeya (2013) and Duffey and Muhlenkamp (1974), or a three-phase process
(theory description, theory analysis, and theory critique/evaluation) by scholars including Meleis (2012) and
Moody (1990). It should be noted that the methods are similar whether they describe one, two, or three
phases. A three-phase process is outlined briefly in the following section. Later sections provide more detailed
discussions of each phase.
Theory Description
Theory description is the initial step in the evaluation process. In theory description, the works of a theorist
are reviewed with a focus on the historical context of the theory (Hickman, 2011). In addition, related works
by others are examined to gain a clear understanding of the structural and functional components of the
theory. The structural components include assumptions, concepts, and propositions. The functional
components consist of the concepts of the theory and how they are used to describe, explain, predict, or
control (Meleis, 2012; Moody, 1990).
Theory Analysis
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Theory analysis is the second phase of the evaluation process. It refers to a systematic process of objectively
examining the content, structure, and function of a theory. Theory analysis is conducted if the theory or
framework has potential for being useful in practice, research, administration, or education. Theory analysis is
a nonjudgmental, detailed examination of a theory, the main aim of which is to understand the theory (Fawcett
& DeSanto-Madeya, 2013; Meleis, 2012).
Theory Evaluation
Theory evaluation, or theory critique, is the final step of the process. Evaluation follows analysis and assesses
the theory’s potential contribution to the discipline’s knowledge base (Fawcett & DeSanto-Madeya, 2013;
Walker & Avant, 2011). In theory evaluation, critical reflection involves ascertaining how well a theory
serves its purpose, with the process of evaluation resulting in a decision or action about use of the theory
(Chinn & Kramer, 2015). This includes consideration of how the theory is used to direct nursing practice and
interventions and whether or not it contributes to favorable outcomes (Hickman, 2011).
Historical Overview of Theory Analysis and Evaluation
Since the late 1960s, a number of nursing scholars have published systems or methods for theory
analysis/evaluation. Table 5-1 provides a list of these works. Basic components of the processes described by
each are presented in the following sections.
Table 5-1 Publications of Methods for Nursing Theory Analysis and Evaluation
Nursing Scholar Dates of Publications
Techniques Described (Most
Recent Publication)
Rosemary Ellis 1968 Characteristics of significant
theories
Margaret Hardy 1974, 1978 Theory evaluation
Mary Duffey and Ann
Muhlenkamp
1974 Theory analysis and theory
evaluation
Barbara Barnum (Stevens) 1979, 1984, 1990, 1994, 1998 Theory evaluation—internal
criticism, external criticism
Lorraine Walker and Kay Avant 1983, 1988, 1995, 2005, 2011 Theory analysis
Jacqueline Fawcett and DeSanto-
Madeya
1980, 1993, 1995, 2000, 2005,
2013
Theory (conceptual framework)
analysis and theory (conceptual
framework) evaluation
Peggy Chinn and Maeona Kramer
(Jacobs)
1983, 1987, 1991, 1995, 1999,
2004, 2008, 2011, 2015
Theory description and critical
reflection
Afaf Meleis 1985, 1991, 1997, 2007, 2012 Theory description, theory
analysis, theory critique
Joyce Fitzpatrick and Ann Whall 1989, 1996, 2005, 2016 Analysis and evaluation of
practice theory, middle range
theory, and nursing models
Sharon Dudley-Brown 1997 Theory evaluation
It should be noted that most of the processes/methods for theory analysis and theory evaluation were
implicitly or explicitly developed to review grand nursing theories and conceptual frameworks. Only in recent
years have the processes and methods been applied to middle range theories and, rarely, practice theories.
This observation, however, does not negate the need for analysis and evaluation (whether formal or informal)
of middle range and practice theories. Furthermore, the processes should be applicable to all levels of theory.
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Characteristics of Significant Theories: Ellis
Probably the first nursing scholar to document criteria for analyzing theories for use by nurses was Rosemary
Ellis. Although not specifically describing a process or method of theory analysis or evaluation, Ellis (1968)
identified characteristics of significant theories. The characteristics she specified were scope, complexity,
testability, usefulness, implicit values of the theorist, information generation, and meaningful terminology.
Her discussion of these characteristics produced the foundation on which later writers developed their criteria.
Theory Evaluation: Hardy
A few years after Ellis, Margaret Hardy (1974) wrote that theory should be evaluated according to certain
universal standards. In her writings, Hardy provided a more detailed description of criteria for theory
evaluation and presented personal insight on the processes needed. Criteria or standards she suggested for
theory evaluation were as follows:
Meaning and logical adequacy
Operational and empirical adequacy
Testability
Generality
Contribution to understanding
Predictability
Pragmatic adequacy
In a later work, Hardy (1978) discussed logical adequacy (diagramming) and stated that because a theory
is a set of interrelated concepts and statements, its structure can be analyzed for internal consistency by
examining the syntax of the theory as well as its content. Diagramming involves identifying all major
theoretical terms (concepts, constructs, operational definitions, and referents). Once identified, each
component can be represented by a symbol, and a model may be drawn illustrating relationships or linkages
between or among the terms. These linkages should specify the direction, the type of relationship (whether
positive or negative), and the form of the relationship.
According to Hardy (1974), empirical adequacy is the single most important criterion for evaluating a
theory applied in practice. Assessing empirical adequacy requires reviewing literature and critically reading
relevant research; it is necessary to determine if hypotheses testing the theory are clearly deduced from the
theory. The entire body of relevant studies should be evaluated in terms of the extent to which it supports the
theory or a part of the theory. Finally, the criteria of usefulness and significance refer to the theory’s use in
controlling, altering, or manipulating major variables and conditions specified by the theory to realize a
desired outcome.
Theory Analysis and Theory Evaluation: Duffey and Muhlenkamp
Writing at approximately the same time as Hardy, Duffey and Muhlenkamp (1974) published a two-phase
approach to critically examining nursing theory. Theory analysis was the first phase, for which they posited
four questions for examination. For theory evaluation, they suggested six additional questions (Box 5-1).
Box 5-1
Questions for Theory Analysis and Theory Evaluation: Duffey and
Muhlenkamp
Theory Analysis
1. What is the origin of the problem(s) with which the theory is concerned?
2. What methods were used in theory development (induction, deduction, synthesis)?
3. What is the character of the subject matter dealt with by the theory?
4. What kind of outcomes of testing propositions is generated by the theory?
Theory Evaluation
1. Does the theory generate testable hypotheses?
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2. Does the theory guide practice or can it be used as a body of knowledge?
3. Is the theory complete in terms of subject matter and perspective?
4. Are the biases or values underlying the theory made explicit?
5. Are the relationships among the propositions made explicit?
6. Is the theory parsimonious?
Theory Evaluation: Barnum
Barbara Barnum (Stevens) first published her ideas for theory evaluation in 1979. Subsequent editions were
published in 1984, 1990, 1994, and 1998. Barnum suggested a method of theory evaluation that differentiates
internal and external criticisms. Internal criticism examines how the components of the theory fit with each
other; external criticism examines how a theory relates to the extant world. Box 5-2 lists points to be
examined for both.
Box 5-2 Theory Evaluation Criteria: Barnum
Internal Criticism
Clarity
Consistency
Adequacy
Logical development
Level of theory development
External Criticism
Reality convergence (how the theory relates to the real world)
Utility
Significance
Discrimination (differentiation between nursing and other health professions)
Scope
Complexity
Theory Analysis: Walker and Avant
Lorraine Walker and Kay Avant first presented their detailed methods for theory analysis in 1983. Their work
was subsequently revised in 1988, 1995, 2005, and 2011. Building on a multiphase background of concept
and statement development, which involves concept and statement analysis, synthesis, and derivation, they
expanded the processes to include theory analysis. Table 5-2 gives a brief synopsis of the process of theory
analysis they propose.
Table 5-2 Theory Analysis: Walker and Avant
Step Questions or Tasks
Determine the origins of the theory. Identify the basis of the original development of the
theory. Why was it developed? Was the process of
development inductive or deductive? Is there evidence to
support or refute the theory?
Examine the meaning of the theory. Identify concepts. Examine definitions and their use
(theoretical and operational definitions). Identify
statements. Examine relationships.
Analyze the logical adequacy of the theory. Determine if scientists agree on predictive ability of the
theory. Determine if the content makes sense. Identify any
logical fallacies.
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Determine the usefulness of the theory. Is the theory practical and helpful to nursing? Does it
contribute to understanding and predicting outcomes?
Define the degree of generalizability. Is the theory highly generalizable or specific?
Determine if the theory is parsimonious. Can the theory be stated briefly and simply or is it
complex?
Determine the testability of the theory. Can the theory be supported with empirical data? Can
testable hypotheses be generated from the theory?
Source: Walker and Avant (2011).
Theory Analysis and Evaluation: Fawcett
Jacqueline Fawcett (Fawcett, 1980, 1993, 1995, 2000, 2005; Fawcett & DeSanto-Madeya, 2013) used a two-
phase process for analysis and evaluation of theories and conceptual frameworks. In her writings, she noted
that analysis is a nonjudgmental, detailed examination of a theory. In Fawcett’s most recent work (Fawcett &
DeSanto-Madeya, 2013), components of the analysis process include the theory’s origins, unique focus, and
content. The theory’s “origins” refers to the historical evolution of the model/theory, the author’s motivation,
philosophical assumptions about nursing, the author’s inclusion of works of nursing and non-nursing scholars,
and the worldview reflected by the model.
The unique focus refers to distinctive views of the metaparadigm concepts, different problems in nurse–
patient situations or interactions, and differences in modes of nursing interventions. She notes that theories
can be categorized as developmental, systems, interaction, needs, client-focused, person–environment
interaction–focused, or nursing therapeutics–focused. The content of the model is examined to analyze the
abstract and general concepts and propositions. Fawcett’s method of theory analysis specifically identifies
whether and how the concepts and propositions of the metaparadigm (nursing, environment, health, and
person) are included in the theory. Representative questions to be addressed relative to the content include:
“How are human beings defined and described? How is environment defined and described? How is health
defined? . . . What is the goal of nursing? . . . and What statements are made about the relations among the
four metaparadigm concepts?” (Fawcett & DeSanto-Madeya, 2013, p. 49).
Theory evaluation requires judgments to be made about a theory’s significance based on how it satisfies
certain criteria (Fawcett & DeSanto-Madeya, 2013). The process of theory evaluation includes review of
previously published critiques, research reports, and reports of practical application of the theory. During the
process of theory evaluation, the criteria to be examined are the explication of the origins of the theory, the
comprehensiveness of the content, its logical congruence, how well it can lead to generation of new theory,
and its legitimacy. The legitimacy is determined by reviewing the theory’s social utility, social congruence,
and social significance. The final step in theory evaluation is to examine the theory’s contribution to the
discipline of nursing.
Theory Description and Critique: Chinn and Kramer
Peggy Chinn and Maeona Kramer (Jacobs) initially wrote on the processes used to analyze theory in 1983.
They used the terms theory description and critical reflection to describe a two-phase process. Theory
description has six elements: purpose, concepts, definitions, relationships, structure, and assumptions. Table
5-3 presents these elements and their defining characteristics.
Table 5-3 Components of Theory Description: Chinn and Kramer
Component Characteristics
Purpose The purpose of the theory should be stated explicitly or at least be identifiable in
the text of the theory.
Concepts The concepts of the theory should be linguistically expressed.
Definitions Meanings of concepts are conveyed in theoretical definitions; these definitions give
character to the theory.
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Relationships Concepts are structured into a systematic form that links each concept with others.
Structure The relationships are linked to form a whole when the ideas of the theory
interconnect; structure makes it possible to follow the reasoning of the theory.
Assumptions Assumptions refer to underlying truths that determine the nature of concepts,
definitions, purpose, relationship, and structure; may not be explicitly stated.
Source: Chinn and Kramer (2015).
Critical reflection of a theory involves determining how well a theory serves its purpose. Critical
reflection analyzes clarity and consistency of the theory as well as its complexity, generality, accessibility, and
importance. In assessing clarity and consistency, Chinn and Kramer’s (2015) critical reflection would
examine:
Semantic clarity: Are the concepts defined? Do the concepts establish empirical meaning?
Semantic consistency: Are the concepts used consistently? Are the concepts congruent with their
definitions?
Structural clarity: Are the connections and reasoning within the theory understandable?
Structural consistency: Is the structure of the theory consistent in its form?
Simplicity or complexity: Is the theory simple? Is the theory complex?
Generality: Does the theory cover a wide scope of experiences and phenomena?
Accessibility: How accessible is the theory? How well are concepts grounded in empirically identifiable
phenomena?
Importance: How can the theory contribute to nursing practice, research, and education?
Theory Description, Analysis, and Critique: Meleis
According to Meleis (1985, 2007, 2012), there are three stages involved in theory evaluation: theory
description, theory analysis, and theory critique. During the process of theory description, the reviewer closely
examines the structural and functional components of the theory. The structural components include
assumptions (implicit and explicit), concepts, and propositions. The functional assessment considers the
anticipated consequence of the theory and its purpose. Components that should be examined are the focus of
the theory and how it addresses the client, nursing, health, the nurse–client interactions, environment, nursing
problems, and nursing therapeutics.
Theory analysis involves considering important variables that may have influenced the development of the
theory. These include the theorist, paradigmatic origins of the theory, and internal dimensions of the theory.
During the analysis procedure, Meleis (2012) recommends reviewing external and internal factors that
influenced the theorist as well as the theorist’s experiential background, educational background, and
employment history. Likewise, a reconstruction of the professional and academic networks that surrounded
the theorist while the theory was evolving should be examined.
Second, Meleis (2012) argues that careful consideration of use of theories from other fields or paradigms
is to be encouraged. To identify the paradigm(s) from which the theory may have evolved, or to recognize
other theorists who may have influenced the development of the theory, the reviewer would consider
references, educational and experiential background of the theorist, and the sociocultural context of the theory
as it was developed.
Finally, internal dimensions of the theory should be analyzed. This will provide information about the
rationale on which the theory is built, systems of relationships, content of the theory, goal of the theory, scope
of the theory, context of the theory, abstractness of the theory, and method of development.
Critique of a theory may follow analysis, and Meleis (2012) identified five elements to consider in this
phase: the relationship between structure and function, diagram of the theory, circle of contagiousness,
usefulness, and external components. The relationship between structure and function involves evaluating the
theory’s clarity and consistency, level of simplicity or complexity, and tautology/teleology. In assessing the
tautology of the theory, the reviewer would observe for needless repetition of an idea in different parts of the
theory, which Meleis claims will decrease the clarity of the theory. Teleology occurs when definitions of
concepts, conditions, and events are described by consequences rather than properties and dimensions; this
117
should be avoided.
Although not all theories contain models graphically or pictorially depicting the structure of the theory,
Meleis (2012) states that theories and models are enhanced by visual representation. The reviewer should
determine if the model does indeed help clarify linkages among the concepts and propositions and, thereby,
enhance clarity of the theory.
The circle of contagiousness refers to whether, and to what extent, the model or theory has been adopted
by other experts in the field. In evaluating usefulness, Meleis (2012) suggests analysis of the theory’s
usefulness in practice, research, education, and administration.
The final component of this method is the review of external components of the theory. These include
implicit and explicit personal values of both the theorist and the critic. It also refers to congruence with other
professional values as well as with social values. Finally, the critic would determine whether the theory has
social significance.
Analysis and Evaluation of Practice Theory, Middle Range Theory, and Nursing Models:
Whall
Whall (2016) is the only nurse scholar to explicitly outline three separate criteria for analysis and evaluation
for the three levels of nursing theory. In her most recent edition, she noted that middle range and practice
theories have achieved status equal to that of nursing conceptual models, but it has only been nursing models
that have been systematically examined. Following this observation, she outlined distinct, although similar,
criteria for evaluation of all three levels of nursing theory using a three-phase approach that reviews basic
considerations, internal analysis and evaluation, and external analysis and evaluation.
According to Whall (2016), practice theory (or microtheory) is produced from practice and deduced from
middle range theory as well as from research. Because practice theory is designed for immediate application
to practice, questions regarding the fit with empirical data are important in the evaluation process. Operational
definitions and descriptions of how to apply practice theory are also important. Internal analysis of practice
theory may be accomplished by diagramming the interrelationships of all concepts to detect lapses and
inconsistencies in the theory’s structure. The assumptions of the theory should be considered in light of
historical and current perspectives of nursing. This should include ethical and cultural implications of the
theory. External analysis should compare standards of care with the theory and examine nursing research to
determine if it supports the theory, is neutral, or is in opposition.
Analysis and evaluation of middle range theory modifies the guidelines used for nursing conceptual
models. It examines whether the theory fits with the existing nursing perspective and domains. Propositional
statements should be examined to determine if they are causal or associative in nature, to assess their relative
importance, and to find missing linkages between concepts. It is suggested that diagramming of the
relationships may help identify missing relationships. Concepts should be operationally defined to support
empirical adequacy. External analysis refers to congruence with more global theories and other related middle
range theories. Examination of ethical, cultural, and social policy implications is crucial.
Whall (2016) believes nursing conceptual models should be assessed from a postmodern or neomodern
view. In addition, conceptual models should consider the major paradigm concepts (person, environment,
health, and nursing) as well as additional concepts specific to the model. Analysis should examine whether the
definitions of the concepts and statements are consistently used throughout the model and whether the
interrelationships among the concepts are consistent. Internal analysis considers the assumptions and
philosophical basis of the model and looks at the uniformity of discussion throughout the model. External
consistency examines the model in relation to views external to the model (i.e., whether the model is being
evaluated consistent with other nursing conceptual models and with nursing intervention classification
systems). Table 5-4 lists some of the questions for consideration by Whall in analysis and evaluation of all
three levels of nursing theory.
Table 5-4 Criteria for Analysis and Evaluation of Theory: Whall
Level of Theory
Basic
Considerations
Internal Analysis and
Evaluation
External Analysis
and Evaluation
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Practice theory Can the concepts be
operationalized? Are
operationalized
concepts congruent
with empirical data?
Do statements lead to
directives for nursing
care? Are statements
sufficient to practice
and not
contradictory?
Are there gaps or inconsistencies
within the theory that may lead to
conflicts and difficulties? Are
assumptions congruent with
nursing’s historical perspective?
Are assumptions congruent with
ethical standards and social
policy? Are assumptions in
conflict with given cultural
groups?
Is the theory
produced with
existing nursing
standards? Is the
theory consistent with
existing standards of
education within
nursing? Is the theory
related to nursing
diagnoses and nursing
intervention
practices? Is the
theory supported by
existing research
internal and external
to nursing?
Middle range theory What are the
definitions and
relative importance of
major concepts?
What is the type and
relative importance of
major theoretical
statements?
What are the assumptions of the
theory? What is the relationship
of the theory to philosophy of
science? Are concepts related/not
related via statements? Is there
loss of information? Is there
internal consistency and
congruency of all component
parts of the theory? What is the
empirical adequacy of the theory?
Has the theory been examined in
practice and research, and has it
held up to this scrutiny?
What is the
congruency with
related theory and
research internal and
external to nursing?
What is the
congruence with the
perspective of
nursing, the domains,
and the persistent
questions? What
ethical, cultural, and
social policy issues
are related to the
theory?
Nursing models What are the
definitions of person,
nursing, health, and
environment? What
are additional
understandings of the
metaparadigm
concepts? What are
the interrelationships
among the
metaparadigm
concepts? What are
the descriptions of
other concepts found
in the model?
What are the underlying
assumptions of the model? What
are the definitions of other
components of the model? What
is the relative importance of basic
concepts or other components of
the model? What are the analyses
of internal and external
consistency? What are the
analyses of adequacy?
Is nursing research
based on the model or
related to the model?
Is nursing education
based on the model or
related to the model?
Is nursing practice
based on the model?
What is the
relationship to
existing nursing
diagnoses and
interventions
systems?
Source: Whall (2016).
Theory Evaluation: Dudley-Brown
One of the most contemporary methods for theory evaluation was presented by Dudley-Brown (1997), who
strongly relied on Kuhn’s (1977) criteria for theory evaluation. In this method, evaluation should consider
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accuracy, consistency, fruitfulness, simplicity/complexity, scope, acceptability, and sociocultural utility.
To Dudley-Brown (1997), accuracy is essential because the theory should describe nursing as it exists
today—not the nursing of the future or of the past. The theory should contain a worldview of nursing
consistent with the present reality. Consistency relates to the importance of the nursing theory being internally
consistent. There should be logical order: Terms, concepts, and statements should be used consistently and
defined operationally.
Another criterion Dudley-Brown (1997) identifies for evaluation is fruitfulness. For this criterion, the
theory should be useful in generating information and significant in contributing to the development of
nursing knowledge.
Simplicity/complexity is a fourth criterion for evaluation. Both simple and complex theories are needed. In
general, a theory should be balanced and logical. The theory should describe the phenomenon consistently in
terms of simplicity or complexity.
Scope is a fifth criterion because theories of both broad and limited scope are needed. Scope should be
dependent on the phenomenon and its context. Acceptability refers to the adoption of the theory by others.
Theories should be useful in practice, education, research, or administration.
Sociocultural utility is the final criterion for evaluation. Social congruence encompasses the beliefs,
values, and expectations of different cultures. The theory should be measured against the criterion of social
utility according to the culture for which it was proposed. Theories proposed for Western societies need to be
evaluated for their philosophical and theoretical relevance in other societies and cultures.
Comparisons of Methods
Several authors (Dudley-Brown, 1997; Meleis, 2012; Moody, 1990) have compared many of the theory
analysis and evaluation methods described here. A number of similarities can be found between and among all
the methods. Table 5-5 provides a list of the methods reviewed and criteria specified by each author. It is
important to note that different authors use different terms for similar concepts; thus, some interpretation of
meaning of terms was necessary for the comparison.
Table 5-5 Comparison of Theory Evaluation Criteria
Evaluation Criteria Ellis Hardy Barnum
Walker
and
Avant Fawcett
Chinn
and
Kramer Meleis Whall
Dudley-
Brown
Complexity/simplicity X X X X X X X
Testability X X X X
Generality/scope X X X X X X X
Usefulness X X X X X X
Contribution to understanding X X X X X
Implicit values X X
Information generation X
Meaningful terminology
(definitions)
X X X X X X
Logical adequacy X X X X
Validity/accuracy/empirical
adequacy
X X X X
Predictability/tested X X X
Origins X X X
Clarity X X X
Consistency X X X X X X
Context X X
Pragmatic adequacy X X
Reality convergence X
Discrimination X
Metaparadigm concepts X X X
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Assumptions X X X
Purpose X X
Consequences X
Nursing therapeutics
interventions
X X X
Method of development X
Circle of contagion X X X
Social/cultural significance X X X X
Correspondence to
standards/professional values
X X
As Table 5-5 shows, the most common criteria identified among the theory evaluation methods were an
examination of complexity/simplicity (seven of nine) and scope/generality (seven of nine). Other common
criteria were inclusion of meaningful terminology, definitions of concepts (six of nine), consistency (six of
nine), contribution to understanding (five of nine), usefulness (six of nine), testability (four of nine), logical
adequacy (four of nine), and validity/accuracy/empirical adequacy (six of nine). Criteria mentioned in only
one or two methods were implicit values of the theorist, information generation, reality convergence,
discrimination between nursing and other health professions, consequences, method of development,
correspondence to existing standards, origins of the theory, context, pragmatic adequacy, and application of or
to nursing therapeutics.
There appears to be an evolution of the processes over the past three decades. Similarities of criteria were
evident based on time of initial writing. Ellis (1968), Duffey and Muhlenkamp (1974), and Hardy (1974) were
the first nurses to describe the processes of theory evaluation, and their criteria are similar. The methods
proposed by Walker and Avant (1983, 1988, 1995, 2005, 2011) are also consistent with those of Hardy and
Ellis. Fawcett’s model (1980, 1993, 2005) is similar to Chinn and Kramer’s (1983, 1987, 1991, 1995)
approach and to Barnum’s (1984, 1990, 1994) internal criticism criteria. Meleis (1985, 1991, 1997) and Whall
(Fitzpatrick & Whall, 1989, 1996) present the most detailed methods. Meleis’s (2012) system has three
components (description, analysis, and critical reflection), and Whall’s (2016) examines three levels of theory.
Barnum (1998) and Whall (2016) are similar in that they describe separate internal and external dimensions.
The later works of Whall (2016), Meleis (2012), and Dudley-Brown (1997) are similar because they include
characteristics of circle of contagion and consideration of social and cultural significance as evaluation
criteria.
Most methods for analysis and evaluation were developed and used to review grand nursing theories.
Indeed, a literature review resulted in no published report of theory evaluation in nursing beyond those in
nursing theory textbooks. Books that focus on analysis and evaluation of grand nursing theories include those
by Alligood (2014b), Fawcett & DeSanto-Madeya (2013), Fitzpatrick and Whall (2005, 2016), George
(2011), Masters (2015), and M. C. Smith and Parker (2015). Alligood (2014b), M. C. Smith and Parker
(2015), Peterson and Bredow (2017), and M. J. Smith and Liehr (2013) also analyze/evaluate selected middle
range nursing theories in their works.
Synthesized Method of Theory Evaluation
Following the detailed review and comparison of the many methods for theory analysis and evaluation, a
method specifically designed to evaluate middle range and practice theories was developed (Box 5-3). These
criteria were synthesized from the works of noted nursing scholars described earlier and are intended to be
contemporary and responsive to both recent and anticipated changes in use of theory in nursing practice,
research, education, and administration.
Box 5-3 Synthesized Method for Theory Evaluation
Theory Description
What is the purpose of the theory (describe, explain, predict, prescribe)?
What is the scope or level of the theory (grand, middle range, practice/situation specific)?
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What are the origins of the theory?
What are the major concepts?
What are the major theoretical propositions?
What are the major assumptions?
Is the context for use described?
Theory Analysis
Are concepts theoretically and operationally defined?
Are statements theoretically and operationally defined?
Are linkages explicit?
Is the theory logically organized?
Is there a model/diagram? Does the model contribute to clarifying the theory?
Are the concepts, statements, and assumptions used consistently?
Are outcomes or consequences stated or predicted?
Theory Evaluation
Is the theory congruent with current nursing standards?
Is the theory congruent with current nursing interventions or therapeutics?
Has the theory been tested empirically? Is it supported by research? Does it appear to be accurate/valid?
Is there evidence that the theory has been used by nursing educators, nursing researchers, or nursing
administrators?
Is the theory relevant socially?
Is the theory relevant cross-culturally?
Does the theory contribute to the discipline of nursing?
What are implications for nursing related to implementation of the theory?
Summary
Nurses in clinical practice, as well as graduate students like Jerry Thompson from the case study, should know
how to analyze or evaluate a theory to determine if it is reliable and valid and to determine when and how to
apply it in practice, research, administration, or education. This chapter has presented and analyzed a number
of different methods for evaluation of theory. Like many issues in the study of use of theory in nursing, the
process of theory evaluation, although important, is often confusing. In addition, with very few exceptions,
the methods or techniques were developed and used almost exclusively to analyze and evaluate grand nursing
theories. It is hoped that with the current emphasis on development and use of both practice and middle range
theories, there will be a concurrent emphasis on the analysis and evaluation of those theories. In this chapter,
the most commonly used methods were described in some detail and compared. Following this comparison, a
synthesized and simplified method for examination of theory was presented.
Key Points
Theory evaluation is the process of systematically examining a theory; the intent of evaluation is to
determine how well the theory guides practice, research, education, or administration.
The process of theory evaluation typically includes examination of the theory’s origins, meaning, logical
adequacy, usefulness, generalizability, and testability. Additional criteria are also considered, depending on
which process or technique is being used.
Several different methods for theory analysis/theory evaluation have been proposed in the nursing literature.
The synthesized method for theory evaluation was derived from other published methods and is intended to
be used to evaluate middle range and practice theories.
To further help the reader understand the theory evaluation process, this chapter presents an exemplar of the
synthesized method for theory evaluation.
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THEORY EVALUATION EXEMPLAR:
THEORY OF CHRONIC SORROW
Primary References for the Theory of Chronic Sorrow
Burke, M. L., Eakes, G. G., & Hainsworth, M. A. (1999). Milestones of chronic sorrow:
Perspectives of chronically ill and bereaved persons and family caregivers. Journal of
Family Nursing, 5(4), 374–387.
Eakes, G. G. (1993). Chronic sorrow: A response to living with cancer. Oncology Nursing
Forum, 20(9), 1327–1334.
Eakes, G. G. (1995). Chronic sorrow: The lived experience of parents of chronically mentally
ill individuals. Archives of Psychiatric Nursing, 9(2), 77–84.
Eakes, G. G. (2016). Chronic sorrow. In S. J. Peterson & T. S. Bredow (Eds.), Middle range
theories: Application to nursing research (4th ed., pp. 93–105). Philadelphia, PA: Wolters
Kluwer.
Eakes, G. G., Burke, M. L., & Hainsworth, M. A. (1998). Middle-range theory of chronic
sorrow. Image—The Journal of Nursing Scholarship, 30(2), 179–184.
Schreier, A. M., & Droes, N. S. (2014). Theory of chronic sorrow. In M. R. Alligood (Ed.),
Nursing theorists and their work (8th ed., pp. 609–625). Maryland Heights, MO: Mosby.
References for Examples of Application of the Theory of Chronic Sorrow in
Practice and Research
Bowes, S., Lowes, L., Warner, J., & Gregory, J. W. (2009). Chronic sorrow in parents of
children with type 1 diabetes. Journal of Advanced Nursing, 65(5), 992–1000.
Glenn, A. D. (2015). Using online health communication to manage chronic sorrow: Mothers
of children with rare diseases speak. Journal of Pediatric Nursing, 30(1), 17–24.
Gordon, J. (2009). An evidence-based approach for supporting parents experiencing chronic
sorrow. Pediatric Nursing, 35(2), 115–159.
Hobdell, E. F., Grant, M. L., Valencia, I., Mare, J., Kothare, S. V., Legido, A., et al. (2007).
Chronic sorrow and coping in families of children with epilepsy. The Journal of
Neuroscience Nursing, 39(2), 76–82.
Isaksson, A. K., & Ahlstrom, G. (2008). Managing chronic sorrow: Experiences of patients
with multiple sclerosis. The Journal of Neuroscience Nursing, 40(3), 180–191.
Joseph, H. A. (2012). Recognizing chronic sorrow in the habitual ED patient. Journal of
Emergency Nursing, 38(6), 539–540.
Kendall, L. C. (2005). The experience of living with ongoing loss: Testing the Kendall
Chronic Sorrow Instrument (Unpublished doctoral dissertation). Virginia Commonwealth
University, Richmond, VA.
Olwit, C., Musisi, S., Leshabari, S., & Sanyu, I. (2015). Chronic sorrow: Lived experiences
of caregivers of patients diagnosed with schizophrenia in Butabika mental Hospital,
Kampala, Uganda. Archives of Psychiatric Nursing, 29(1), 43–48.
Smith, C. S. (2009). Substance abuse, chronic sorrow, and mothering loss: Relapse triggers
among female victims of child abuse. Journal of Pediatric Nursing, 24(5), 401–410.
Vitale, S. A., & Falco, C. (2014). Children born prematurely: Risk of parental chronic
sorrow. Journal of Pediatric Nursing, 29(6), 248–251.
Theory Description
Scope of theory: Middle range
Purpose of theory: Explanatory theory—“to explain the experiences of people across the
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lifespan who encounter ongoing disparity because of significant loss” (Eakes, Burke, &
Hainsworth, 1998, p. 179)
Origins of theory: “Chronic sorrow” appeared in the literature in 1962 to describe recurrent
grief experienced by parents of children with disabilities. A number of research projects
were conducted in the 1980s and 1990s describing chronic sorrow among various groups
with loss situations. The resulting theory of chronic sorrow, therefore, was inductively
developed using concept analysis, extensive review of the literature, critical review of
research, and validation in 10 qualitative studies of various loss situations (Eakes, 2016;
Eakes et al., 1998).
Major concepts: Chronic sorrow, loss experience, disparity, trigger events (milestones),
external management methods, internal management methods. All are defined and
explained (Schreier & Droes, 2014).
Major theoretical propositions are as follows:
1. Disparity between a desired relationship and an actual relationship or a disparity between
current reality and desired reality is created by loss experiences.
2. Trigger events bring the negative disparity into focus or exacerbate the experience of
disparity.
3. For individuals with chronic or life-threatening illnesses, chronic sorrow is most often
triggered when the individual experiences disparity with accepted norms (social,
developmental, or personal).
4. For family caregivers, disparity between the idealized and actual is associated with
developmental milestones.
5. For bereaved individuals, disparity from the ideal is created by the absence of a person
who was central in the life of the bereaved.
Major assumptions: Not stated
Context for use: “Experienced by individuals across the lifespan”; implied that it may be used
in multiple settings and nursing situations
Theory Analysis
Theoretical definitions for major concepts:
Chronic sorrow—the periodic recurrence of permanent, pervasive sadness or other grief-
related feelings associated with ongoing disparity resulting from a loss experience
Loss experience—a significant loss, either actual or symbolic, that may be ongoing, with no
predictable end, or a more circumscribed single-loss event
Disparity—a gap between the current reality and the desired as a result of a loss experience
Trigger events or milestones—a situation, circumstance, or condition that brings the negative
disparity resulting from the loss into focus or exacerbates the disparity
External management methods—interventions provided by professionals to assist individuals
to cope with chronic sorrow
Internal management methods—positive personal coping strategies used to deal with the
periodic episodes of chronic sorrow
Operational definitions for major concepts: No operational definitions are provided in the
original works.
Statements theoretically defined: Theoretical propositions are implicitly stated in the body of
the text.
Statements operationally defined: Theoretical propositions are not operationally defined.
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Linkages explicit: Linkages are described in the text and explicated in the model.
Logical organization: Theory is logically organized and described in detail.
Model/diagram: A model is provided and assists in explaining linkages of the concepts.
Consistent use of concepts, statements, and assumptions: Concepts and propositions are used
consistently. Assumptions are not explicitly addressed.
Predicted or stated outcomes or consequences: Anticipated outcomes are stated in the model.
Theory Evaluation
Congruence with nursing standards: The theory appears congruent with nursing standards. A
number of articles were identified in recent nursing literature describing how the construct
of chronic sorrow has been identified among various aggregates (Eakes, 2016).
Congruence with current nursing interventions or therapeutics: Literature-based descriptions
of application of components of the theory in nursing practice include caring for bereaved
persons and family caregivers (Burke, Eakes, & Hainsworth, 1999), a discussion of caring
for children with type 1 diabetes (Bowes, Lowes, Warner, & Gregory, 2009), interventions
for community nurses to help assist families resolving chronic sorrow (Gordon, 2009),
using online health communication to manage chronic sorrow among mothers of children
with rare diseases (Glenn, 2015).
Evidence of empirical testing/research support/validity: The theory was derived from
multiple research studies and a review of the literature.
The Burke/CCRCS Chronic Sorrow Questionnaire is an interview guide comprising 10 open-
ended questions that explore the theory’s concepts.
Research using the questionnaire includes investigation of chronic sorrow among cancer
patients (Eakes, 1993), chronic sorrow in chronically mentally ill individuals (Eakes,
1995), chronic sorrow in women who were victims of child abuse (Smith, 2009), chronic
sorrow in habitual emergency department patients (Joseph, 2012), chronic sorrow and
coping in families of children with epilepsy (Hobdell et al., 2007), chronic sorrow among
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parents of children born prematurely (Vitale & Falco, 2014), and chronic sorrow among
patients with multiple sclerosis (Isaksson & Ahlstrom, 2008). Further, a second instrument
designed to measure chronic sorrow (Kendall, 2005) has been developed.
Use by nursing educators, nursing researchers, or nursing administrators: The references
listed previously indicate that the theory has been used in practice and research. Other
studies have cited the work of Eakes and colleagues related to chronic sorrow (Eakes,
2016).
Social relevance: Theory is relevant to individuals, families, and groups, irrespective of age
or socioeconomic status.
Transcultural relevance: Theory is potentially relevant across cultures; theorist notes that
“relevance for various cultural groups should be explored” (Eakes et al., 1998, p. 184). For
example Olwit and team (2015) studied chronic sorrow among caregivers of patients with
schizophrenia in a hospital in Uganda.
Contribution to nursing: Authors note that the theory is applicable to different groups, but
more study is needed to test the theory and to identify strategies to reduce disparity created
by loss (prescriptive interventions). Despite the relative newness of the theory, there is a
growing body of nursing literature reporting on use both related to interventions and
research (Eakes, 2016).
Conclusions and implications: The theory is useful and appropriate for nurses practicing in a
variety of settings. Implications for research were described and implications for education
can be inferred. Further development of the theory is warranted to better explicate
relationships and operationalize the concepts and propositions to allow testing.
Learning Activities
1. Obtain the original works of two of the nursing scholars whose theory analysis/evaluation
strategies are discussed. Use the strategies to evaluate a recently published middle range
nursing theory (see Chapter 11 for examples). How are the conclusions similar? How are they
different?
2. For one of the nursing scholars who has published several versions or editions of her work
(e.g., Fawcett, Chinn and Kramer, Meleis), obtain a copy of the oldest version and a copy of
the most recent version and compare the strategies suggested. Have they changed?
3. Search the literature for examples of published accounts of nursing theory evaluation or
theory analysis. Share your findings with classmates.
R E F E R E N C E S
Alligood, M. R. (2014a). Introduction to nursing theory: Its history, significance, and analysis. In M. R. Alligood (Ed.), Nursing theorists and
their work (8th ed., pp. 2–13). St. Louis, MO: Mosby.
Alligood, M. R. (2014b). Nursing theorists and their work (8th ed.). St. Louis, MO: Mosby.
Barnum, B. S. (1984). Nursing theory: Analysis, application, evaluation (2nd ed.). Boston, MA: Little, Brown.
Barnum, B. S. (1990). Nursing theory: Analysis, application, evaluation (3rd ed.). Glenview, IL: Scott, Foresman/Little, Brown Higher
Education.
Barnum, B. S. (1994). Nursing theory: Analysis, application, evaluation (4th ed.). Philadelphia, PA: Lippincott Williams & Wilkins.
Barnum, B. S. (1998). Nursing theory: Analysis, application, evaluation (5th ed.). Philadelphia, PA: Lippincott Williams & Wilkins.
Chinn, P. L., & Jacobs, M. K. (1983). Theory and nursing: A systematic approach. St. Louis, MO: Mosby.
Chinn, P. L., & Jacobs, M. K. (1987). Theory and nursing: A systemic approach (2nd ed.). St. Louis, MO: Mosby.
Chinn, P. L., & Kramer, M. K. (1991). Theory and nursing: A systematic approach (3rd ed.). St. Louis, MO: Mosby.
Chinn, P. L., & Kramer, M. K. (1995). Theory and nursing: A systematic approach (4th ed.). St. Louis, MO: Mosby.
Chinn, P. L., & Kramer, M. K. (1999). Theory and nursing: Integrated knowledge development (5th ed.). St. Louis, MO: Mosby.
Chinn, P. L., & Kramer, M. K. (2004). Integrated theory and knowledge development in nursing (6th ed.). St. Louis, MO: Mosby.
Chinn, P. L., & Kramer, M. K. (2008). Integrated theory and knowledge development in nursing (7th ed.). St. Louis, MO: Mosby.
Chinn, P. L., & Kramer, M. K. (2011). Integrated theory and knowledge development in nursing (8th ed.). St. Louis, MO: Mosby.
Chinn, P. L., & Kramer, M. K. (2015). Integrated theory and knowledge development in nursing (9th ed.). St. Louis, MO: Elsevier.
Curley, M. A. Q. (1998). Patient-nurse synergy: Optimizing patients’ outcomes. American Journal of Critical Care, 7(1), 64–72.
Dudley-Brown, S. L. (1997). The evaluation of nursing theory: A method for our madness. International Journal of Nursing Studies, 34(1), 76–
83.
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Duffey, M., & Muhlenkamp, A. F. (1974). A framework for theory analysis. Nursing Outlook, 22(9), 570–574.
Ellis, R. (1968). Characteristics of significant theories. Nursing Research, 17(3), 217–222.
Fawcett, J. (1980). A framework of analysis and evaluation of conceptual models of nursing. Nurse Educator, 5(6), 10–14.
Fawcett, J. (1993). Analysis and evaluation of nursing theories. Philadelphia, PA: Davis.
Fawcett, J. (1995). Analysis and evaluation of conceptual models of nursing (3rd ed.). Philadelphia, PA: Davis.
Fawcett, J. (2000). Analysis and evaluation of contemporary nursing knowledge: Nursing models and theories. Philadelphia, PA: Davis.
Fawcett, J. (2005). Contemporary nursing knowledge: Analysis and evaluation of nursing models and theories (2nd ed.). Philadelphia, PA:
Davis.
Fawcett, J., & DeSanto-Madeya, S. (2013). Contemporary nursing knowledge: Analysis and evaluation of nursing models and theories (3rd
ed.). Philadelphia, PA: Davis.
Fitzpatrick, J. J., & Whall, A. L. (1989). Conceptual models of nursing: Analysis and application. Stamford, CT: Appleton & Lange.
Fitzpatrick, J. J., & Whall, A. L. (1996). Conceptual models of nursing: Analysis and application (3rd ed.). Stamford, CT: Appleton & Lange.
Fitzpatrick, J. J., & Whall, A. (2005). Conceptual models of nursing: Analysis and application (4th ed.). Upper Saddle River, NJ: Prentice-Hall.
Fitzpatrick, J. J., & Whall, A. (2016). Conceptual models of nursing: Global perspective (5th ed.). Boston, MA: Pearson.
George, J. B. (2011). Nursing theories: The base for professional nursing practice (6th ed.). Upper Saddle River, NJ: Pearson.
Hardy, M. E. (1974). Theories: Components, development, evaluation. Nursing Research, 23, 100–107.
Hardy, M. E. (1978). Perspectives on nursing theory. ANS. Advances in Nursing Science, 1(1), 37–48.
Hickman, J. S. (2011). An introduction to nursing theory. In J. B. George (Ed.), Nursing theories: The base for professional nursing practice
(6th ed., pp. 1–22). Upper Saddle River, NJ: Pearson.
Kuhn, T. S. (1977). Second thoughts on paradigms. In F. Suppe (Ed.), The structure of scientific theories (pp. 459–482). Urbana, IL: University
of Illinois Press.
Masters, K. (2015). Nursing theories: A framework for professional practice (2nd ed.). Burlington, MA: Jones & Bartlett Learning.
Meleis, A. I. (1985). Theoretical nursing: Development and progress. Philadelphia, PA: J.B. Lippincott.
Meleis, A. I. (1991). Theoretical nursing: Development and progress (2nd ed.). Philadelphia, PA: J.B. Lippincott.
Meleis, A. I. (1997). Theoretical nursing: Development and progress (3rd ed.). Philadelphia, PA: J.B. Lippincott.
Meleis, A. I. (2007). Theoretical nursing: Development and progress (4th ed.). Philadelphia, PA: Lippincott Williams & Wilkins.
Meleis, A. I. (2012). Theoretical nursing: Development and progress (5th ed.). Philadelphia, PA: Lippincott Williams & Wilkins.
Moody, L. E. (1990). Advancing nursing science through research. Newbury Park, CA: Sage.
Pender, N. J., Murdaugh, C. L., & Parsons, M. A. (2015). Health promotion in nursing practice (7th ed.). Upper Saddle River, NJ: Prentice-
Hall.
Peterson, S. J., & Bredow, T. S. (2017). Middle range theories: Application to nursing research and practice (4th ed.). Philadelphia, PA:
Wolters Kluwer.
Smith, M. C., & Parker, M. E. (2015). Nursing theories & nursing practice (4th ed.). Philadelphia, PA: Davis.
Smith, M. J., & Liehr, P. R. (2013). Middle range theory for nursing (3rd ed.). New York, NY: Springer Publishing.
Stevens, B. J. (1979). Nursing theory: Analysis, application, evaluation. Boston, MA: Little, Brown.
Walker, L. O., & Avant, K. (1983). Strategies for theory construction in nursing. Norwalk, CT: Appleton-Century-Crofts.
Walker, L. O., & Avant, K. (1988). Strategies for theory construction in nursing (2nd ed.). Norwalk, CT: Appleton & Lange.
Walker, L. O., & Avant, K. (1995). Strategies for theory construction in nursing (3rd ed.). Norwalk, CT: Appleton & Lange.
Walker, L. O., & Avant, K. (2005). Strategies for theory construction in nursing (4th ed.). Upper Saddle River, NJ: Prentice-Hall.
Walker, L. O., & Avant, K. (2011). Strategies for theory construction in nursing (5th ed.). Upper Saddle River, NJ: Prentice-Hall.
Whall, A. L. (2016). Philosophy of science positions and their importance in cross-national nursing. In J. J. Fitzpatrick & A. L. Whall (Eds.),
Conceptual models of nursing: Global perspectives (5th ed., pp. 8–28). Upper Saddle River, NJ: Prentice-Hall.
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UNIT II
Nursing Theories
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6
Overview of Grand Nursing Theories
Evelyn M. Wills
Janet Turner works as a nurse on a postsurgical, cardiovascular floor. Because she desires a broader view of
nursing knowledge and wants to become an acute care nurse practitioner, she recently began a master’s degree
program in nursing. The requirements for a course entitled “Theoretical Foundations of Nursing Practice” led
Janet to become familiar with some of the many nursing theories. From her readings, she learned about a
number of ways to classify theories: grand theory, conceptual model, middle range theory, practice theory,
borrowed theory, interactive–integrative model, totality paradigm, and simultaneous action paradigm. She
came to the conclusion that there is no consistency among nursing theorists and even questioned their
relevance to her practice.
Janet’s theory course was conducted via distance learning technology including online classrooms, chats,
Twitter, Wikis, and other social media formats. To better understand the material, she consulted with her
theory professor and classmates via the Twitter feed and participated in the course’s live chat room. Lively
online discussions resulted in sharing interesting ways of conceptualizing the grand nursing theories.
As Janet continued to study and work with her professor and classmates, she learned that nursing theories
have evolved from several schools of philosophical thought and various scientific traditions. Growing more
confident, she considered ways to group or categorize them based on similarities of perspective; thus, she was
able to read and analyze the theories more effectively. Ultimately, she selected two to examine further for one
of her assignments.
In Chapter 2, the reader was introduced to grand nursing theories and given a brief historical overview of their
development. Fawcett and DeSanto-Madeya (2013) distinguish between conceptual models and grand
theories, explaining that conceptual models are broad formulations of philosophy based on an attempt to
include the whole of nursing reality as the scholar understands it. The concepts and propositions of conceptual
models are abstract and not likely to be testable in fact. Grand nursing theories, by contrast, may be derived
from conceptual models and are the most complex and widest in scope of the levels of theory; they attempt to
explain broad issues within the discipline. Grand theories are composed of relatively abstract concepts and
propositions that are less abstract than those of conceptual models and may not be directly amenable to testing
(Butts, 2015; Fawcett & DeSanto-Madeya, 2013; Higgins & Moore, 2000). They were developed through
thoughtful and insightful appraisal of existing ideas as opposed to empirical research and may provide the
basis for scholars to produce innovative middle range or practice theories (Figure 6-1).
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Figure 6-1 Relationship of conceptual model, theory, and hypotheses.
The grand nursing theories guide research and assist scholars to integrate the results of numerous diverse
investigations so that the findings may be applied to education, practice, further research, and administration.
Eun-Ok and Chang (2012), in their review of literature, found support for the idea that grand theories have an
important place in nursing, for example, in research and clinical practice. They also found that theorists are
further refining concepts and theories. They stated that theories are “essential for our discipline at multiple
levels” (p. 162) (Box 6-1). Eun-Ok and Chang also noted that the grand theories provide a background of
philosophical reasoning that allows nurse scientists to develop organizing principles for research or practice,
sometimes referred to as middle range theory (middle range theories will be discussed in Chapters 10 and 11).
One of the most important benefits of invoking theories in education, administration, research, and practice
has been the systematization of those domains of nursing activity. Indeed, according to Bachmann, Danuser,
and Morin (2015), a theoretical base is essential in that it provides a firm connection between new or adapted
knowledge or information and nursing science, thus promoting development of the science.
Box 6-1
Nursing Theories and the American Association of Colleges of Nursing
Essentials
Essential I of the Essentials of Master’s Education in Nursing (American Association of Colleges of Nursing
[AACN], 2011) specifically notes that “master’s-prepared nurses use a variety of theories and frameworks
including nursing and ethical theories in the analysis of clinical problems, illness prevention and health
promotion strategies” (p. 9). Furthermore, “nursing theories” is listed as one content area to be included in
master of science in nursing (MSN) programs.
Advanced practice nurses are more likely to succeed in analyzing research results for evidence-based
practice (EBP) when the research fits into a particular theoretical framework. Cody (2003) stated that “nursing
theory guided practice can be shown to enhance health and quality of life when it is implemented with strong,
well-qualified guidance” (p. 226). Mark, Hughes, and Jones (2004) echoed their beliefs and posited that
theory-guided research results not only in greater patient safety but also in more predictable outcomes. These
beliefs among nursing scientists provide clear direction that theory-guided research is necessary for evaluating
nursing interventions in practice.
Over the last five decades of theory development, review of the health care literature demonstrates that
changes in health care, society, and the environment as well as changes in population demographics (e.g.,
aging, urbanization, and growth of minority populations) led to a need to renew or update existing theories
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and to develop different theories. Furthermore, contemporary theories, such as complexity science, need to be
adapted and adopted within theories to make them more applicable, especially within certain aspects of the
discipline (Engebretson & Hickey, 2015). In fact, some theoretical writers would exclude the grand theory–
middle range theory–microtheory relationship in favor of value-based and socially attuned constructions of
nursing knowledge that fit contemporary understanding of human interactions (Risjord, 2009).
Chapters 7 through 9 provide additional information about some of the more commonly known and
widely recognized nursing frameworks and theories. To better assist the reader in understanding the
conceptual frameworks and grand nursing theories, this chapter presents methods for categorizing or
classifying them and describes the criteria that will be used to examine them in the subsequent chapters.
Categorization of Conceptual Frameworks and Grand Theories
The sheer number and scope of the conceptual frameworks and grand theories are daunting. Students and
novice nursing scholars are understandably intimidated when asked to study them, as illustrated in the
opening case study. To help understand the formulations, a number of methods categorizing them have been
described in the nursing literature. Several are presented in the following sections.
Categorization Based on Scope
One of the most logical ways to categorize grand nursing theories is by scope. For example, Alligood (2014)
organized theories according to the scope of the theory. The categories in her work were philosophies, nursing
conceptual models, nursing theories, theories, and middle range nursing theories. Pokorny (2014) considered
the writings of nursing theorists Peplau; Henderson; Abdellah; Wiedenbach; Hall; Travelbee; Barnard; Adam;
Roper, Logan, and Tierney; and Ida Jean (Orlando) Pelletier (hereafter referred to as Orlando) as of historical
significance. Alligood considered the works of Nightingale, Watson, Ray, Martinson, Benner, and Katie
Eriksson to be philosophies, explaining that those theorists had developed philosophies that were derived
through “analysis, reasoning and logical argument” (p. 59). These philosophies may form a basis for
professional scholarship and help guide understanding of nursing phenomena.
Alligood (2014) categorized the works of Levine, Rogers, Orem, King, Neuman, Roy, and Johnson as
nursing conceptual models. Nursing conceptual models, she explained, “specify a perspective and produce
evidence among phenomena specific to the discipline [of nursing]” (p. 203).
Boykin and Schoenhofer; Meleis; Pender; Leininger; Newman; Parse; Helen Erickson, Tomlin, and
Swain; and Husted and Husted are classified by Alligood (2014) as nursing theories. She observed that these
works are nearly as abstract as conceptual models but apply to nursing practice and form “ways to describe,
explain, or predict relationships among the concepts of nursing phenomena” (p. 357). Furthermore, Alligood
noted that some of these theories evolved from the more global philosophical frameworks or grand theories.
Categorization Based on Nursing Domains
Meleis (2012) did not categorize according to levels of theory (e.g., grand theory, middle range theory, and
practice theory). Rather, she categorized theories based on schools of thought or nursing domains: needs
theorists; interaction theorists; outcomes theorists, as they developed in various eras; and, finally,
caring/becoming theorists in the current era (Table 6-1).
Table 6-1 Meleis’s Method of Categorizing Theories
Theorist’s School
Needs Interaction Outcome Caring/Becoming
Focus Problems, nurse’s
function
Interaction, illness as
experience
Energy, balance,
stability, homeostasis,
outcomes of care
Human–universe health
process, meaning, mutual
relations, unitary being
Human being Set of needs, problems,
developmental being
Interacting, set of needs,
validated needs, human
experience/meaning
Adaptive,
developmental being
Man-living-health,
continuously becoming,
continuous
person/environment
relationship
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Patient Needs deficit Helpless being, human
experience/meaning
Lacks adaptation,
systems deficiency
Unique human being,
transformation,
transcendence, disharmony
between spirit–body–mind–
soul, sense of incongruence
Orientation Illness/disease Illness/disease Illness/disease Health, humanbecoming:
both client and nurse
Nurse’s role Depends on medical
practice, begin
independent function,
fulfills needs requisites
Helping process, self:
therapeutic agent,
nursing process
External regulatory
mechanism
Connect, be present, extract
meaning
Decision maker Health care provider Health care provider Health care provider Mutual between health care
provider and client
Source: Meleis (2012).
She further defined each school of thought according to the major influences of that genre. The needs
theorists, according to Meleis (2012), are Abdellah, Henderson, and Orem. The interaction theorists are King,
Orlando, Paterson and Zderad, Peplau, Travelbee, and Wiedenbach, and the outcome theorists are Johnson,
Levine, Rogers, and Roy (Meleis, 2012). She lists the caring/becoming theorists as Watson and Parse. Each
school of thought, it was noted, has certain concepts and defining properties.
Meleis (2012) considers areas of agreement among the schools of thought: attention to the client/patient,
who requires a nurse to assist in meeting the changes or transitions and wellness experiences of life, and the
ideal that nurses have means to assist human beings. Furthermore, the schools of thought share the ideal that
nurses’ focus is on human beings and on discovering ways to meet health and illness situations.
Categorization Based on Paradigms
A paradigm is a worldview or an overall way of looking at a discipline and its science. It is seen as a universal
view of life rather than just a model or principle of a theory. Kuhn (1996), a theoretical physicist turned
science historian, awakened the scientific community to revolutions in understanding what he called paradigm
shifts. Paradigm shifts occur when empirical reality no longer fits the existing theories of science. As an
example, he cited Einstein’s theory of general relativity, which came about when the extant theories no longer
fit the evidence that was being generated regarding matter and energy.
Recent scientific revolutions in health disciplines have changed the way scientists view human beings and
their health. For example, immunotherapy and gene therapy are currently being studied extensively. The
human genome has been mapped, and this knowledge has impacted areas of life as varied as ethics, law,
pharmacology, and medicine. The impact of these new ideas and research on health care delivery is, in effect,
a paradigm shift.
Nursing scientists are finding that the theories that have guided practice in the past are no longer sufficient
to explain, predict, or guide current practice. Furthermore, older theories may not be helpful in developing
nursing science because scholars working in nursing’s new paradigm are finding evidence that distinguishes
nursing science from the sciences that nurses have traditionally consulted to explain the discipline, that is,
anthropology, biology, chemistry, physics, psychology, sociology, and medicine (Cody, 2000; Newman,
2008). The following sections outline how three modern nursing scholars (Parse, Newman, and Fawcett) have
categorized nursing theories based on paradigms or worldviews (Figure 6-2).
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Figure 6-2 Comparison of categories (paradigms) of theories.
Parse’s Categorization
Parse (1995) categorized the various nursing theories into two basic paradigms. These she termed the totality
paradigm and the simultaneity paradigm, and she later added the humanbecoming paradigm (humanbecoming
is all one word) (Parse, 2013). The totality paradigm includes all theoretical perspectives in which humans are
biopsychosocial-spiritual beings, adapting to their environment, in whatever way the theory defines
environment. The simultaneity paradigm, on the other hand, includes the theoretical perspectives in which
humans are identified as unitary beings, which are energy systems in simultaneous, continuous, mutual
process with, and embedded in, the universal energy system. Using this classification scheme, the works of
Orem, Roy, Johnson, and others would fit within the totality paradigm, and the works of theorists such as
Fawcett, Rogers, and Newman are within the simultaneity paradigm. Recently, Parse noted that Rogers’s and
Newman’s theories differed from her current thinking sufficiently that she named a third paradigm. She calls
the new paradigm the humanbecoming paradigm (Parse, 2013). This new paradigm will be discussed in
Chapter 9.
Newman’s Categorization
Similarly, Newman (1992) classified nursing theories according to existing philosophical schools but found
that nursing paradigms did not neatly fit; therefore, she created three categorizations of theories loosely based
on the extant philosophies (i.e., positivism, postpositivism, and humanism). She named the nursing paradigms
(1) the particulate–deterministic school, (2) the interactive–integrative school, and (3) the unitary–
transformative school. In this classification scheme, the first word in the pair indicates the view of the
substance of the theory, and the second word indicates the way in which change occurs.
To Newman (1992), the particulate–deterministic paradigm is characterized by the positivist view of the
theory of science and stresses research methods that demanded control in the search for knowledge. Entities
(e.g., humans) are viewed as reducible, and change is viewed as linear and causal. Nightingale, Orem,
Orlando, and Peplau are representative of theorists in this realm of theoretical thinking.
The interactive–integrative paradigm (Newman, 1992) has similarities with the postpositivist school of
thought. In this paradigm, objectivity and control are still important, but reality is seen as multidimensional
and contextual, and both objectivity and subjectivity are viewed as desirable. Newman (1992) lists works of
theorists Patterson and Zderad; Roy, Watson, and Erickson; Tomlin; and Swain in this paradigm.
Into the unitary–transformative category, Newman (1992) places her works and those of Rogers and
Parse. Each of these theorists views humans as unitary beings, which are self-evolving and self-regulating.
Humans are embedded in, and constantly and simultaneously interacting with, a universal, self-evolving
energy system. These theorists agree that human beings cannot be known by the sum of their parts; rather,
they are known by their patterns of energy and ways of being apart and distinct from others.
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Fawcett’s Categorization
Fawcett and DeSanto-Madeya (2013) simplified Newman’s (1992) categorization of theories when they
created three categories of worldview based on the treatment of change in each theory. The categories Fawcett
and DeSanto-Madeya delineated were (1) reaction, (2) reciprocal interaction, and (3) simultaneous action
(Fawcett & DeSanto-Madeya, 2013). Like Newman, they showed that each category coincided with a
philosophical tradition.
In describing the reaction worldview, Fawcett and DeSanto-Madeya (2013) indicated that these theories
classify humans as biopsychosocial-spiritual beings who react to the environment in a causal way. The
interaction changes predictably and controllably as humans survive and adapt. They argued that in these
theories, phenomena must be objective and observable and may be isolated and measured.
In the reciprocal interaction worldview, humans are viewed as holistic, active, and interactive with their
environments, with the environments returning interactions (Fawcett, 1993; Fawcett & DeSanto-Madeya,
2013). Fawcett (1993) noted that these theorists viewed reality as multidimensional, dependent on context
(i.e., the surrounding conditions), and relative. This means that change is probabilistic (based on chance) and a
result of multiple antecedent factors. The reciprocal interaction theories support the study of both objective
and subjective phenomena, and both qualitative and quantitative research methods are encouraged, although
controlled research methods and inferential statistical techniques are most frequently used to analyze
empirical data (Fawcett & DeSanto-Madeya, 2013).
In the third category of grand theories, the simultaneous action worldview, Fawcett and DeSanto-Madeya
(2013) report that human beings are viewed as unitary, are identified by patterns in mutual rhythmical
interchange with their environments, are changing continuously, and are evolving as self-organized fields. She
states that in the simultaneous action paradigm, change is in a single direction (unidirectional) and is
unpredictable in that beings progress through organization to disorganization on the way to more complex
organization. In this paradigm, knowledge and pattern recognition are the phenomena of interest.
This categorization explained the major differences among the many current and past nursing theories and
conceptual models (Fawcett, 2005; Fawcett & DeSanto-Madeya, 2013). Table 6-2 summarizes the grand
theory categorization scheme. Table 6-3 compares the classification methods of Fawcett and DeSanto-Madeya
(2013), Meleis (2012), Newman (1995), and Parse (1995).
Table 6-2 Fawcett’s Categorization of Nursing Theories
Paradigm Characteristics
Reaction Humans are biopsychosocial-spiritual beings.
Humans react to their environment in a causal way.
Change is predictable as humans survive and adapt.
Reciprocal interaction Humans are holistic beings.
Humans interact reciprocally with their environment.
Reality is multidimensional, contextual, and relative.
Simultaneous action Humans are unitary beings.
Humans and their environment are constantly interacting, changing,
and evolving.
Change is unidirectional and unpredictable.
Table 6-3 Classification of Grand Theories by Current Theory Analysts
Theory Analyst Source Basis for Typology Categories
Fawcett Philosophy Worldviews Reaction
Reciprocal interaction
Simultaneous action
Meleis Patient care philosophy Metaparadigm concepts
Schools of thought
Nursing clients
Human being–
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environment
interactions
Interactions
Needs, interaction,
outcomes, caring
Newman Paradigm Philosophical schools Particulate–deterministic
Interactive–integrative
Unitary–transformative
Parse Paradigm Difference between
worldviews
Totality
Simultaneity–
humanbecoming
Sources: Fawcett (2000, 2005); Fawcett and DeSanto-Madeya (2013); Meleis (2012); Newman (1995); Parse (1995, 2013).
Specific Categories of Models and Theories for This Unit
For this book, the conceptual models and grand nursing theories were categorized based on distinctions that
are similar to those described by Fawcett and DeSanto-Madeya (2013) and Newman (1992). Chapters 7
through 9 thus present analyses of models and theories according to the following classifications: (1) the
human needs theories (which relate to Fawcett’s reaction category), (2) the interactive theories, and (3) the
unitary process theories.
The theories discussed in Chapter 7 are based on a classical needs perspective and are among the earliest
theories and models derived for nursing science. They include the works of Nightingale, Henderson, Johnson,
and others. In Chapter 8, each of the perspectives has human interactions as the basis of their content,
regardless of the era in which they were developed. The works of Roy, Watson, King, and others are also
included in Chapter 8. Finally, the unitary process theories are described in Chapter 9. The theorists explained
there are Rogers, Newman, and Parse. Table 6-4 summarizes the theories that are presented in Chapters 7
through 9.
Table 6-4 Categorization of Grand Nursing Theories for Chapters 7–9
Human Needs Models and Theories Interactive Process Unitary Process
Abdellah Artinian Newman
Henderson Eric on, Tomlin, and Swain Parse
Johnson King Rogers
Nightingale Levine
Neuman Roy
Orem Watson
Analysis Criteria for Grand Nursing Theories
Describing how models and theories can be employed in nursing practice, research,
administration/management, and education necessitates a review of selected elements through theory analysis.
Seven criteria were selected for description and analysis of grand theories in this unit. As described in Chapter
5, these seven chosen criteria were among the earliest enumerated by Ellis (1968) and Hardy (1978) and
promoted by Walker and Avant (2011) and Fawcett and DeSanto-Madeya (2013).
Complete analysis of each theory was not performed; instead, the presentation of the models and theories
in Chapters 7 through 9 is largely descriptive rather than analytical or evaluative. Each theory’s ease of
interpretation and application is also briefly critiqued. The criteria used for reviewing the grand theories in
these three chapters are listed in Box 6-2. Each criterion is also discussed briefly in the following sections.
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Box 6-2 Review Criteria for Descriptive Analysis of Grand Nursing Theories
Background of the theorist
Philosophical underpinnings of the theory
Major assumptions, concepts, and relationships
Usefulness
Testability
Parsimony
Value in extending nursing science
Background of the Theorist
A review of the background of the theorist is likely to reveal the foundations of the theorist’s ideas. The
individual’s educational experiences, in particular, may be relevant to the development of the theory. At one
time, higher education, particularly university education, was open only to the children of financially secure
families and often limited to nonminorities. Only in the years after the 1960s were scholarships for students
with financial hardships and students of ethnic minorities readily available. In addition, nursing graduate
programs were not widely available in most parts of the United States before the creation of federal programs
in the late 1960s. Because of the limited availability of graduate nursing programs, the majority of the early
nursing scholars who developed conceptual models and grand theories received graduate education in
disciplines other than nursing. As a result, the earliest nursing models and theories reflected the paradigms
that were accepted in the scholar’s educative discipline at the time in which they studied or wrote.
The nurse scholar’s experience and specialty also influenced the theoretical perspective. For example,
Orlando and Peplau were psychiatric nurses who were educated in the first half of the 20th century. Their
graduate education in psychology was tempered by the focus of psychology at that time—that of the logical–
positivist era, which emphasized reductionistic principles and was mathematically based. Later scholars (e.g.,
Fawcett, Parse, Fitzpatrick, and Newman) received their doctoral credentials within the discipline of nursing.
The writings of these scholars reflect the scientific thought processes, knowledge base, and current thinking of
the discipline at the time of their writing as well as their personal perspectives and experiences.
The placement of the author of the model or theory in historical and conceptual perspective promotes
understanding of the extant views of science during the time in which the theorist wrote. Only in the most
exceptional of cases are scholars not likely to be influenced by the times in which they formulated their work.
One exception to this was Rogers. Interestingly, the discipline of nursing was deep in the positivist era in the
1960s when she began her work; the hard sciences (i.e., physics and chemistry), however, had entered the
postpositivist era, which posited the idea that change is inherent in a growing discipline. Rogers’s (1970)
theory did not fit easily into the concurrent paradigm of nursing science of that time and was rejected by many
in favor of more intermediate thinking that corresponded to that of the postpositivist thinkers.
Philosophical Underpinnings of the Theory
The background of the scholar most likely contributed heavily to the philosophical basis and paradigmatic
origins of the model or theory. Historically, nursing theories of the 1950s and 1960s corresponded to the
reaction (Fawcett & DeSanto-Madeya, 2013) worldview. In the late 1960s through the early 1980s, the
reciprocal interaction worldviews began to take precedence, and by the 1990s, the unitary process
perspectives began to achieve importance, although the earlier paradigms were still influential (Fawcett &
DeSanto-Madeya, 2013). It is important to note that most of the scholars who adhered to the interaction
worldviews were working and writing in the 1950s, before their ideas achieved general recognition in the
profession. The simultaneous action scholars, beginning with Rogers and followed by Parse and Newman,
developed their ideas in the 1970s and 1980s and continuously grew their theories as each was influenced by
modern thinking and technology.
The fundamental philosophies and the disciplines in which the scholars were educated are reflected in
their works. Those educated in the social sciences, for example, incorporated some of the characteristics,
concepts, and assumptions of those disciplines in their works. Personal philosophies are also reflected in
written views on humans, science, environment, and health. Whether written from the positivist philosophy of
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science or the postpositivist or modern worldviews, the philosophical viewpoints that form the basis of the
works are indicated by the chosen concepts. A component of theory analysis is to point out the underlying
philosophy and review the consistency with which the writer demonstrates attention to that background.
Major Assumptions, Concepts, and Relationships
Examination of the major assumptions, concepts, and relationships of the model or theory is vital because
they are the substance of the formulation. These components will direct practice, assist with selection of
concepts to be studied, and generate collateral theories for the discipline of nursing (Walker & Avant, 2011).
Whether the assumptions are spelled out or merely inferred indicates the strength of the theory in elucidating
its content. The concepts, carefully defined and explained, along with their derivation, assist the analyst in
determining the essence of the model or theory. The relationships between and among the concepts, their
strength, and whether they are positive, negative, or neutral indicate the structure of the theory (Walker &
Avant, 2011).
Usefulness
Conceptual models and grand theories are reputed not to be particularly useful in directing nursing practice
because of their scope and level of abstraction and because they were created through the analytical, logical,
and philosophical understandings of a single theorist (Alligood, 2014). The reality is that although many of
the conceptual models and grand theories cannot be tested in a single research project, they have been useful
in guiding nursing scholarship and practice and in providing the structure from which testable theories may be
derived. Grand nursing theories, more often than conceptual models, are likely to provide the basis for
concrete theories, with specifically defined concepts and highly derived relationships that may be more easily
applied in clinical practice, nursing education, research, or nursing administration (Fawcett & DeSanto-
Madeya, 2013).
Testability
To be useful, theories should be disprovable (Shuttleworth, 2008); that is, they can be questioned and tested in
the real world through research. Because the major purpose of nursing theory is to guide research, practice,
education, and administration, the theory must be subjected to examination. Theories that are capable of being
tested make the most reliable guides for scholarly work (Walker & Avant, 2011). Many grand theories are not
testable in totality, but they may generate theories that are testable from their conceptual matter, assumptions,
or structure. The grand theories that are likely to generate middle range theories and practice theories, as well
as theoretical models for research, are those most likely to fulfill the requirement of testability and have the
ability to continue to generate new and useful models (Kim, 2006).
Parsimony
Parsimony is a criterion that is important because the more complex the theory, the less easily it is
comprehended. Parsimony does not indicate that a theory is simplistic; in fact, often, the more parsimonious
the theory, the more depth the theory may have. For example, the standard of parsimony in a theory is
Einstein’s theory of relativity (Cody, 2012), which can be reduced to the formula E = mc2. Although the
theory has only three concepts (E = energy, m = mass, and c2 = the speed of light squared) (Einstein, 1961),
the explanation of this theory is extremely complicated indeed.
Considering the complexity of nurses’ primary subjects of interest, human beings in health and illness, it
is unlikely that any of the grand nursing theories could ever approximate the mathematical elegance of
Einstein’s theory of relativity. Parsimonious theoretical constructions, however, provide nurses in research,
administration, practice, and education with broad general categories into which to conceptualize problems
and therefore may assist in the derivation of methods of problem solving. Indeed, the more elegant and
universal a conceptual model or grand theory, the more global it is in contributing to the science of nursing.
Value in Extending Nursing Science
Ultimately, the value of any nursing theory, not just of grand theory, is its ability to extend the discipline and
137
science of nursing. Understanding the nature of human beings and their interaction with the environment, and
the impact of this interaction on their health, will help direct holistic and comprehensive nursing interventions
that improve health and well-being. Improvement in nursing care is ultimately the reason for formulating
theory. Furthermore, the value of the theory in adding to and elaborating nursing science is an important
function of grand theory (Fawcett & DeSanto-Madeya, 2013). Questions to be answered when analyzing any
theory include: Does the theory generate new knowledge? Can the theory suggest or support new avenues of
knowledge generation beyond those that already exist? Does the theory suggest a disciplinary future that is
growing and changing? Can the theory assist nurses to respond to the rapid change and growth of health care?
(Walker & Avant, 2011).
The Purpose of Critiquing Theories
Critiquing theory is a necessary part of the process when a scholar is selecting a theory for some disciplinary
work. Determining whether a grand theory holds promise or value for the effort at hand and whether middle
range theories, which are useful in research, practice, education, or administration, can be generated from it is
a product of critique.
When a nursing student confronts the overarching ideals of the profession for the first time, it is not at all
unlikely that the feeling is complete and overwhelming confusion and even disorientation. As in the case of
Janet and her quest for advanced education, frustration was a new feeling to her. Her work in the critical care
unit was focused and based on evidence and followed an ordered medical model, whereas the newness of this
conceptually based study of theories left her disgruntled. The understanding displayed by her instructor, who
had felt similar feelings during her education and who ascribed to the pattern that nurses learn together, was
calming and set the stage for Janet to begin to learn the basics of the science of nursing, the theoretical
underpinnings of the profession. See Link to Practice 6-1.
Link to Practice 6-1
Janet, the nurse from the opening case study, decided to incorporate a nursing theory into her practice. She
consulted with her classmates as to whether they had used theories in this way. One colleague stated that in
her baccalaureate program, students were required to use a theory to guide their clinical practicum, and
another had been employed in a hospital that based nursing care around the work of a grand nursing
theorist. Building on their suggestions and what she learned in her course, Janet used key tenets and ideas
from the “human needs” and “interactive process” models in her daily practice, trying out concepts and
interventions from some of the theorists as she worked. She found that no matter which major theorist she
used, she was able to organize her work more effectively.
It is likely that a nursing student may find it difficult to critique the work of nursing’s grand theorists
considering the advanced educational attainment of the theorists. Yet, determining the usefulness of the theory
to a project is important. The user of the theory must comprehend the paradigm of the theory, believe in the
concepts and assumptions from which it is built, and be able to internalize the basic philosophy of the theorist.
It is hardly beneficial to attempt to use a theory that one cannot accept or understand or one that seems
inappropriate in the current time or place. The choice of a theoretical framework or model must fit with the
student’s or scholar’s personal ideals, and this requires the student or scholar to critique the theory for its
value in extending the selected professional work.
One problem that arises among both novice and experienced scholars is combining theories from
competing paradigms. Often, the work generated from these efforts is confusing and obfuscating; it does not
generate clear results that extend the thinking within either paradigm (Todaro-Franceschi, 2010). Therefore,
the conscientious student or scholar selects theories that relate to the same paradigm in science, philosophy,
and nursing when combining theories to guide research or practice. Wide reading in the discipline of nursing
and the scientific literature of the disciplines from which the theorist has generated ideas will assist in
preventing such errors. Theory review and extraction from the grand theories can result in work that satisfies
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the scholarly impulse in each of us, guides the research process, provides structure for safe and effective
practice, and extends the science of nursing.
Summary
Grand theories are global in their application to the discipline of nursing and have been instrumental in
helping to develop nursing science. Because of their diversity, their complexity, and their differing
worldviews, learning about grand nursing theories can be confusing as illustrated by the experiences of Janet,
the student nurse from the opening case study. To help make the study of grand theories more logical and
rewarding, this chapter presented several methods for categorizing the grand theories on the basis of scope,
basic philosophies, and needs of the discipline. It has also presented the criteria that will be used to describe
grand nursing theories in subsequent chapters.
Chapters 7 through 9 discuss many of the grand nursing theories that have been placed into the three
defined paradigms of nursing. These analyses are meant to be descriptive to allow the student to choose from
different paradigms and the theories contained within them to further their work. The student or scholar must
recognize that health care is constantly changing and that some theories may no longer seem applicable,
whereas other theories are timeless in their abstraction. Before selecting a theory to guide practice, research,
or other endeavors, it is the student’s responsibility to obtain and read the theory in its latest iteration by the
theorist, read analyses by other scholars in the discipline, and become thoroughly familiar with the theory.
Key Points
Nursing scholars and nursing leaders have developed philosophies, conceptual frameworks, and grand
theories to make the very complex study of nursing clear for both students and practitioners.
The purpose of theory is to systematize nursing education and practice so that no important element of
nursing care is forgotten.
Reviewing and critiquing nursing theories is important, as nurse scholars, nurse educators, and nurse
researchers use theories for the purposes of directing and coordinating practice, education, and research.
Using nursing theories to guide their work allows practitioners, educators, and researchers to base their work
on a system that allows critique of the outcomes of their work.
Working within a paradigm, rather than combining disparate paradigms, prevents confusion because nursing
paradigms relate to paradigms in other sciences.
Learning Activities
1. During an online classroom, debate similarities and differences in the several theoretical
categorization schemes put forth by the different theory analysts discussed in this chapter.
Which system appears to be the easiest to understand?
2. Does categorizing or classifying grand theories as the writers have done assist in studying and
understanding them? Why or why not?
3. With classmates, critique theory-based research articles and decide whether they will yield
believable evidence. Do the authors ascribe to the same or similar theoretical worldviews
(paradigms)? Do you think that having differing paradigms will make a difference in your
group’s ability to identify the evidence needed for safe nursing practice?
4. Janet, from the opening case study, practices on a cardiovascular floor and was working
toward a degree to become an acute care nurse practitioner. Consider your practice specialty
area (i.e. critical care, operating room, pediatrics, labor and delivery, primary care). Which
paradigm—human needs, interactive process, or unitary process—best fits that type of
nursing and client needs? Explain your answer and compare your thoughts with those of
classmates.
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Todaro-Franceschi, V. (2010). Two paradigms, different fruit: Mixing apples with oranges. Visions, 17(1), 44–51.
Walker, L. O., & Avant, K. (2011). Strategies for theory construction in nursing (5th ed.). Upper Saddle River, NJ: Pearson.
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http://www.explorable.com/falsifiability
7
Grand Nursing Theories Based on Human Needs
Evelyn M. Wills
Donald Crawford is an acute care nurse practitioner who works in an intensive care unit (ICU) who is midway
through a doctor of nursing practice (DNP) program. Donald strongly believes that evidence guiding nursing
practice should be experiential and measurable, and during his master’s program, he devised a way to diagram
the disease pathophysiology for many of his patients based on the Neuman Systems Model (Neuman &
Fawcett, 2011).
He observed that the model helped predict what would happen next with some patients and helped him
define patient’s needs, predict outcomes, and prescribe nursing interventions more accurately. In particular, he
appreciated how Neuman focused on identification and reduction of stressors through nursing interventions
and liked the construct of prevention as intervention. As he continues his graduate studies, Donald plans to
expand application of the concepts and principles from Neuman’s model. As one component of his DNP
project, he is developing a proposal to implement his methods throughout the ICU to help other nurses apply
Neuman’s model in improving patient care.
The earliest theorists in nursing drew from the dominant worldviews of their time, which were largely related
to the medical discoveries from the scientific era of the 1850s through 1940s (Artinian, 1991). During those
years, nurses in the United States were seen as handmaidens to doctors, and their practice was guided by
disease theories of medical science. Even today, much of nursing science remains based in the positivist era
with its focus on disease causality and a desire to produce measurable outcome data. Evidence-based medicine
is the current means of enacting the positivist focus on research outcomes for effective clinical therapeutics
(Cody, 2013).
In an effort to define the uniqueness of nursing and to distinguish it from medicine, nursing scholars from
the 1950s through the 1970s developed a number of nursing theories. In addition to medicine, the majority of
these early works were strongly influenced by the needs theories of social scientists (e.g., Maslow). In needs-
based theories, clients are typically considered biopsychosocial beings who are the sum of their parts, who are
experiencing disease or trauma, and who need nursing care. Furthermore, clients are thought of as mechanistic
beings, and if the correct information can be gathered, the cause or source of their problems can be discerned
and measured. At that point, interventions can be prescribed that will be effective in meeting their needs
(Dickoff, James, & Wiedenbach, 1968). Evidence-based nursing fits with these theories completely and
comfortably (Cody, 2013).
The grand theories and models of nursing described in this chapter focus on meeting clients’ needs for
nursing care. These theories and models, like all personal statements of scholars, have continued to grow and
develop over the years; therefore, several sources were consulted for each model. The latest writings of and
about the theories were consulted and are presented. As much as possible, the description of the model is
either quoted or paraphrased from the original texts. Some needs theorists may have maintained their theories
over the years with little change; others updated and adapted theirs to later ideas and methods. Nevertheless,
new research has often extended the original work. Students are advised to consult the literature for the newest
research using the needs theory of interest.
It should be noted that a concerted attempt was made to ensure that the presentation of the works of all
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theorists is balanced. Some theories (e.g., Orem and Neuman) are more complex than others, and the body of
information is greater for some than for others. As a result, the sections dealing with some theorists are a little
longer than others. This does not imply that shorter works are in any way inferior or less important to the
discipline.
Finally, all theory analysts, whether novice or expert, will comprehend theories and models from their
own perspectives. If the reader is interested in using a model, the most recent edition of the work of the
theorist should be obtained and used as the primary source for any project. All further works using the theory
or model should come from researchers using the theory in their work. Current research writings are one of
the best ways to understand the development of the needs theories.
Florence Nightingale: Nursing: What It Is and What It Is Not
Nightingale’s model of nursing was developed before the general acceptance of modern disease theories (i.e.,
the germ theory) and other theories of medical science. Nightingale knew the germ theory (Beck, 2010), and
prior to its wide publication, she had deduced that cleanliness, fresh air, sanitation, comfort, and socialization
were necessary to healing. She used her experiences in the Scutari Army Hospital in Turkey and in other
hospitals in which she worked to document her ideas on nursing (Beck, 2010; Dossey, 2010a; Small, 1998).
Nightingale was from a wealthy family; yet, she chose to work in the field of nursing, although it was
considered a “lowly” occupation. She believed nursing was her call from God, and she determined that the
sick deserved civilized care, regardless of their station in life (Nightingale, 1860/1957/1969).
Through her extensive body of work, she changed nursing and health care dramatically. Nightingale’s
record of letters is voluminous, and several books have been written analyzing them (Attewell, 2012; Dossey,
Selanders, Beck, & Attewell, 2005). She wrote many books and reports to federal and worldwide agencies.
Books she wrote that are especially important to nurses and nursing include Notes on Nursing: What It Is and
What It Is Not (original publication in 1860; reprinted in 1957 and 1969), Notes on Hospitals (published in
1863), and Sick-Nursing and Health-Nursing, originally published in Hampton’s Nursing of the Sick (1893)
and reprinted in toto in Dossey et al. (2005), to name but a small portion of her great body of works. Much of
her work is now available, where once it was kept out of circulation, perhaps because of the sheer volume and
perhaps because she originally asked that her papers all be destroyed at her death. She later recanted that
request (Bostridge, 2008; Cromwell, 2013).
Background of the Theorist
Nightingale was born on May 12, 1820, in Florence, Italy; her birthday is still honored in many places. She
was privately educated in the classical tradition of her time by her father, and from an early age, she was
inclined to care for the sick and injured (Bostridge, 2008; Dossey, 2010b). Although her mother wished her to
lead a life of social grace, Nightingale preferred productivity, choosing to school herself in the care of the
sick. She attended nursing programs in Kaiserswerth, Germany, in 1850 and 1851 (Bostridge, 2008; Dossey,
2010a; Small, 1998), where she completed what was at that time the only formal nursing education available.
She worked as the nursing superintendent at the Institution for Care of Sick Gentlewomen in Distressed
Circumstances, where she instituted many changes to improve patient care (Cromwell, 2013; Small, 1998).
During the Crimean War, she was urged by Sidney Herbert, Secretary of War for Great Britain, to assist in
providing care for wounded soldiers. The dire conditions of British servicemen had resulted in a public outcry
that prompted the government to institute changes in the system of medical care (Small, 1998). At Herbert’s
request, Nightingale and a group of 38 skilled nurses were transported to Turkey to provide nursing care to the
soldiers in the hospital at Scutari Army Barracks. There, despite daunting opposition by army physicians,
Nightingale instituted a system of care that reportedly cut casualties from 48% to 2% within approximately 2
years (Bostridge, 2008; Dossey, 2010b; Zurakowski, 2005).
Early in her work at the army hospital, Nightingale noted that the majority of soldiers’ deaths was caused
by transport to the hospital and conditions in the hospital itself. Nightingale found that open sewers and lack
of cleanliness, pure water, fresh air, and wholesome food were more often the causes of soldiers’ deaths than
their wounds; she implemented changes to address these problems (Small, 1998). Although her
recommendations were known to be those that would benefit the soldiers, physicians in charge of the hospitals
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in the Crimea blocked her efforts. Despite this, by her third trip to the Crimea, Nightingale had been appointed
the supervisor of all the nurses (Bostridge, 2008; Dossey, 2010b).
At Scutari, she became known as the “lady with the lamp” from her nightly excursions through the wards
to review the care of the soldiers (Bostridge, 2008). To prove the value of the work she and the nurses were
doing, Nightingale instituted a system of record keeping and adapted a statistical reporting method known as
the polar area diagram or Coxcomb chart to analyze the data she so rigorously collected (Small, 1998). Thus,
Nightingale was the first nurse to collect and analyze evidence that her methods were working.
On her return to England from Turkey, Nightingale worked to reform the Army Medical School, instituted
a program of record keeping for government health statistics, and assisted with the public health system in
India. The effort for which she is most remembered, however, is the Nightingale School for Nurses at St.
Thomas’ Hospital. This school was supported by the Nightingale Fund, which had been instituted by grateful
British citizens in honor of her work in the Crimea (Bostridge, 2008; Cromwell, 2013).
Philosophical Underpinnings of the Theory
Nightingale’s work is considered a broad philosophy. Zurakowski (2005) indicates it is a “perspective” (p.
21). By contrast, Selanders (2005a) states that her work is a foundational philosophy (p. 66). Dossey (2010b)
explains that, in Nightingale’s philosophy, “Her basic tenet was healing and secondary to it are the tenets of
leadership and global action which are necessary to support healing at its deepest level” (p. 1). Nightingale’s
work has influenced the nursing profession and nursing education for nearly 160 years. To Nightingale,
nursing was the domain of women but was an independent practice in its own right. Nurses were, however, to
practice in accord with physicians, whose prescriptions nurses were faithfully to carry out (Nightingale,
1893/1954). Nightingale did not believe that nurses were meant to be subservient to physicians. Rather, she
believed that nursing was an independent profession or a calling in its own right. Nightingale’s educational
model is based on anticipating and meeting the needs of patients and is oriented toward the works a nurse
should carry out in meeting those needs. Nightingale’s philosophy was inductively derived, abstract yet
descriptive in nature, and is classified as a grand theory or philosophy by most nursing writers (Alligood,
2014; Masters, 2015; Selanders, 2005a).
Major Assumptions, Concepts, and Relationships
Nightingale was an educated gentlewoman of the Victorian era. The language she used to write her books
—Notes on Nursing: What It Is and What It Is Not (1860/1957/1969) and Sick-Nursing and Health-Nursing
(1893/1954)—was cultured, flowing, logical in format, and elegant in style. She wrote numerous letters, many
of which are still available. These were topical, direct and yet abstract, and addressed a plethora of topics,
such as personal care of patients and sanitation in army hospitals and communities, to name only a few
(Bostridge, 2008; Cromwell, 2013; Dossey, 2010b; Selanders, 2005b).
Nightingale (1860/1957/1969) believed that five points were essential in achieving a healthful house:
“pure air, pure water, efficient drainage, cleanliness, and light” (p. 24). She thought buildings should be
constructed to admit light to every occupant and to allow the flow of fresh air. Furthermore, she wrote that
proper household management makes a difference in healing the ill and that nursing care pertained to the
house in which the patient lived and to those who came into contact with the patient as well as to the care of
the patient.
Although the metaparadigm concepts had not been so labeled until over 130 years later, Nightingale
(1893/1954) addressed them—human, environment, health, and nursing—specifically in her writings. She
believed that a healthy environment was essential for healing. For example, noise was harmful and impeded
the need of the person for rest, and noises to avoid included caregivers talking within the hearing of the
individual, the rustle of the wide skirts (common at the time), fidgeting, asking unnecessary questions, and a
heavy tread while walking. Nutritious food, proper beds and bedding, and personal cleanliness were variables
Nightingale deemed essential, and she was convinced that social contact was important to healing. Although
the germ theory had been proposed, Nightingale’s writings do not specifically refer to it. Her ideals of care,
however, indicate that she recognized and agreed that cleanliness prevents morbidity (Dossey, 2010b).
Nightingale believed that nurses must make accurate observations of their patients and report the state of
the patient to the physician in an orderly manner. She explained that nurses should think critically about the
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care of the patient and do what was appropriate and necessary to assist the patient to heal. Nursing was seen as
a way “to put the constitution in such a state as that it will have no disease, or that it can recover from disease”
(Nightingale, 1893/1954, p. 3), which will “put us in the best possible conditions for nature to restore or to
preserve health—to prevent or to cure disease or injury” (p. 357). She believed that nursing was an art,
whereas medicine was a science, and stated that nurses were to be loyal to the medical plan but not servile.
Throughout her writings, Nightingale enumerated tasks that nurses should complete to care for ill individuals,
and many of the tasks she outlined are still relevant today (Nightingale, 1860/1957/1969).
Health was defined in her treatise, Sickness-Nursing and Health-Nursing (Nightingale, 1893/1954), as “to
be well but to be able to use well every power we have” (p. 357). It is apparent throughout that volume that
health meant more than the mere absence of disease, a view that placed Nightingale ahead of her time.
Usefulness
Nightingale wrote on hospitals, nursing, and community health in the 19th and into the 20th century, and her
works served as the basis of nursing education in Britain and in the United States for over a century. King’s
College Hospital and St. Thomas’ Hospital in London, England, were the initial nursing programs developed
by Nightingale, and she maintained a special interest in St. Thomas’ Hospital during most of her life (Small,
1998). Nursing programs that used the Nightingale method in the United States included Bellevue Hospital in
New York, New Haven Hospital in Connecticut, and Massachusetts Hospital in Boston. Indeed, the influence
of Nightingale’s methods is felt in nursing programs to the present (Pfettscher, 2014).
A resurgence in attention to Nightingale’s philosophy is noteworthy. Jacobs (2001) discussed the attribute
of human dignity as a central phenomenon uniting nursing theory and practice—two areas that were
extensively treated by Nightingale in her own writings. Cromwell (2013) discussed Nightingale’s early
feminism and her willingness to fight local and federal authorities to procure humane treatment for British
soldiers of the time. She showed how Nightingale continued her works for the British army long after
returning from the Bosporus. Many other contemporary writers and researchers have displayed an intense
interest in Nightingale’s work and its applicability to modern nursing. For example, DeGuzman and Kulbok
(2012) used Nightingale’s theory to create a framework for nurses to study the impact of “built environment”
on health, focusing on vulnerable populations. Similarly, Hegge (2013) explained how Nightingale’s focus on
the environment is important for nurses to consider when developing interventions for population health.
Then, Kagan (2014) abstracted elements of Notes on Nursing to apply Nightingale’s concepts to identification
of determinants of health that need interventions to reduce risk of illnesses—specifically cancer. Nursing
educators worldwide continue to use Nightingale’s ideals in teaching nurses. These include Adu-Gyamfi and
Brenya (2016; Ghana); Haddad and Santos (2011; Portugal); Mackey and Bassendowski (2017; Canada);
McDonald (2014; Ireland); and Rahim (2013; Pakistan).
Testability
Nightingale’s theory can be the source of testable hypotheses because she treated concrete as well as abstract
concepts. Research that is conversant with her ideas of care includes research on noise (Murphy, Bernardo, &
Dalton, 2013), environment (Jetha, 2015; Zborowsky, 2014), and spirituality (Tanyi & Werner, 2008).
Recently, researchers have written about her statistical work (McDonald, 2010; Rew & Sands, 2010), showing
that it stands up to modern thinking as it did in the 19th century. Indeed, research around the globe is still
progressing using her work.
Parsimony
In her work, Nightingale succinctly stated what she believed was important in caring for ill individuals.
Furthermore, in one small volume, she includes information about nursing care, patient needs, proper
buildings in which the sick are to be treated, and the administration of hospitals.
Value in Extending Nursing Science
Nightingale was a noted nurse of her time. She was a consultant who promoted the collection and analyses of
health statistics. She was deeply involved in nursing education and promoting the science of public health
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(Bostridge, 2008; Cromwell, 2013; Small, 1998), hospital administration, community health, and global
health (Dossey, 2010b). Nightingale’s legacy continues to be important to nursing scholars, and her vast
contributions continue to enlighten nursing science. Current Nightingale scholars include Attewell (2012),
Bostridge (2008), Cromwell (2013), Dossey et al. (2005), Jacobs (2001), and many others who have
contributed to the understanding of her multitudinous works. Nightingale’s work was revolutionary for its
impact on nursing and health care. Furthermore, her many works continue to present effective guidelines for
nurses.
Virginia Henderson: The Principles and Practice of Nursing
Virginia Henderson was a well-known nursing educator and a prolific author. In 1937, Henderson and others
created a basic nursing curriculum for the National League for Nursing in which education was “patient
centered and organized around nursing problems rather than medical diagnoses” (Henderson, 1991, p. 19). In
1939, she revised Harmer’s classic textbook of nursing for its fourth edition and later wrote the fifth edition,
incorporating her personal definition of nursing (Henderson, 1991). Although she was retired, she was a
frequent visitor to nursing schools well into her 90s. O’Malley (1996) states that Henderson was known as the
modern-day mother of nursing. Her work influenced the nursing profession in America and throughout the
world.
Background of the Theorist
Henderson was born in Missouri but spent her formative years in Virginia. She received a diploma in nursing
from the Army School of Nursing at Walter Reed Hospital in 1921 and worked at the Henry Street Visiting
Nurse Service for 2 years after graduation. In 1923, she accepted a position teaching nursing at the Norfolk
Protestant Hospital in Virginia, where she remained for several years. In 1929, Henderson determined that she
needed more education and entered Teachers College at Columbia University, where she earned her
bachelor’s degree in nursing in 1932 and a master’s degree in 1934. Subsequently, she joined Columbia as a
member of the faculty, where she remained until 1948 (Herrmann, 1998). “Ms. Virginia,” as she was known
to her friends, died in 1996 at the age of 98 (Allen, 1996). Because of her importance to modern nursing, the
Sigma Theta Tau International Nursing Library is named in her honor.
Philosophical Underpinnings of the Theory
Henderson was educated during the empiricist era in medicine and nursing, which focused on patient needs,
but she believed that her theoretical ideas grew and matured through her experiences (Henderson, 1991).
Henderson was introduced to physiologic principles during her graduate education, and the understanding of
these principles was the basis for her patient care (Henderson, 1965, 1991). The theory presents the patient as
a sum of parts with biopsychosocial needs, and the patient is neither client nor consumer. Henderson stated
that “Thorndike’s fundamental needs of man” (Henderson, 1991, p. 16) had an influence on her beliefs.
Although her major clinical experiences were in medical-surgical hospitals, she worked as a visiting nurse
in New York City. This experience enlarged Henderson’s view to recognize the importance of increasing the
patient’s independence so that progress after hospitalization would not be delayed (Henderson, 1991).
Henderson was a nurse educator, and the major thrust of her theory relates to the education of nurses.
Major Assumptions, Concepts, and Relationships
Henderson’s concept of nursing was derived from her practice and education; therefore, her work is inductive.
Henderson did not manufacture language to elucidate her theoretical stance; she used correct, scholarly
English in all of her writings. She called her definition of nursing her “concept” (Henderson, 1991, pp. 20–
21).
Assumptions
The major assumption of the theory is that nurses care for patients until patients can care for themselves once
again (Henderson, 1991). She assumes that patients desire to return to health, but this assumption is not
explicitly stated. She also assumes that nurses are willing to serve and that “nurses will devote themselves to
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the patient day and night” (p. 23). A final assumption is that nurses should be educated at the university level
in both arts and sciences.
Concepts
The major concepts of the theory relate to the metaparadigm (i.e., nursing, health, patient, and environment).
Henderson believed that “the unique function of the nurse is to assist the individual, sick or well, in the
performance of those activities contributing to health or its recovery (or to a peaceful death) that he would
perform unaided if he had the necessary strength, will or knowledge. And to do this in such a way as to help
him gain independence as rapidly as possible” (Henderson, 1991, p. 21). She defined the patient as someone
who needs nursing care but did not limit nursing to illness care. She did not define environment, but
maintaining a supportive environment is one of the elements of her 14 activities. Health was not explicitly
defined, but it is taken to mean balance in all realms of human life. The concept of nursing involved the nurse
attending to 14 activities that assist the individual toward independence (Box 7-1).
Box 7-1 Henderson’s 14 Activities for Client Assistance
1. Breathe normally.
2. Eat and drink adequately.
3. Eliminate body wastes.
4. Move and maintain desirable postures.
5. Sleep and rest.
6. Select suitable clothes—dress and undress.
7. Maintain body temperature within normal range by adjusting clothing and modifying environment.
8. Keep the body clean and well groomed and protect the integument.
9. Avoid dangers in the environment and avoid injuring others.
10. Communicate with others in expressing emotions, needs, fears, or opinions.
11. Worship according to one’s faith.
12. Work in such a way that there is a sense of accomplishment.
13. Play or participate in various forms of recreation.
14. Learn, discover, or satisfy the curiosity that leads to normal development and health and use the
available health facilities.
Source: Henderson (1991, pp. 22–23).
Usefulness
Nursing education has been deeply affected by Henderson’s clear vision of the functions of nurses. The
principles of Henderson’s theory were published in the major nursing textbooks used from the 1930s through
the 1960s, and the principles embodied by the 14 activities are still important in evaluating nursing care in the
21st century. Waller-Wise (2013), for example, found that Henderson’s theory assisted him in attaining
excellence in childbirth education.
Testability
Henderson supported nursing research but believed that it should be clinical research (O’Malley, 1996). Much
of the research before her time had been on educational processes and on the profession of nursing itself rather
than on the practice and outcomes of nursing, and she worked to change that.
Each of the 14 activities can be the basis for research. Although the statements are not written in testable
terms, they may be reformulated into researchable questions. Furthermore, the theory can guide research in
any aspect of the individual’s care needs. For example, Englebright, Aldrich, and Taylor (2014) used
Henderson’s model as the framework to help define fundamental nursing care actions for the new electronic
health record in a 170-bed community hospital.
Parsimony
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Henderson’s work is parsimonious in its presentation but complex in its scope. The 14 statements cover the
whole of the practice of nursing, and her vision about the nurse’s role in patient care (i.e., that the nurse
perform for the patient those activities the patient usually performs independently until the patient can again
adequately perform them) contributes to that complexity.
Value in Extending Nursing Science
From a historical standpoint, Henderson’s concept of nursing enhanced nursing science; this has been
particularly important in the area of nursing education. Her contributions to nursing literature extended from
the 1930s through the 1990s. Her work has had an international impact on nursing research by strengthening
the focus on nursing practice and confirming the value of tested interventions in assisting individuals to regain
health. Internationally, researchers continue to direct their work with Virginia Henderson’s model as a
framework. For example, Scott, Matthews, and Kirwan (2014) found that internationally, Henderson’s model
was the most often used in evaluating the need for and the practice of nurses. In their reported case study,
Younas and Sommer (2015) found Henderson’s model “close to realism and applicable to Pakistani context”
(p. 443) because of its relevance in developing nursing plans, and Lazenby (2013) argued for the importance
of the patient experience using Henderson’s model in multiple contexts.
Faye G. Abdellah: Patient-Centered Approaches to Nursing
Faye Abdellah was one of the first nursing theorists. In one of her earliest writings (Abdellah, Beland, Martin,
& Matheney, 1960), she referred to the model created by her colleagues and herself as a framework. Her
writings spanned the period from 1954 to 1992 and include books, monographs, book chapters, articles,
reports, forewords to books, and conference proceedings.
Background of the Theorist
Abdellah earned her bachelor’s degree in nursing, master’s degree, and doctorate from Columbia University,
and she completed additional graduate studies in science at Rutgers University. She served as the chief nurse
officer and deputy U.S. Surgeon General, U.S. Public Health Service before retiring in 1993 with the rank of
Rear Admiral. She has been awarded many academic honors from both civilian and military sources
(Abdellah & Levine, 1994). She retired from her position as dean of the Graduate School of Nursing,
Uniformed Services University of the Health Sciences in 2000.
Philosophical Underpinnings of the Theory
Abdellah’s patient-centered approach to nursing was developed inductively from her practice and is
considered a human needs theory (Abdellah et al., 1960). The theory was created to assist with nursing
education and is most applicable to education and practice (Abdellah et al., 1960). Although it was intended to
guide care of those in the hospital, it also has relevance for nursing care in community settings.
Major Assumptions, Concepts, and Relationships
The language of Abdellah’s framework is readable and clear. Consistent with the decade in which she was
writing, she uses the term “she” for nurses and “he” for doctors and patients and refers to the object of nursing
as “patient” rather than client or consumer (Abdellah et al., 1960). Interestingly, she was one of the early
writers who referred to “nursing diagnosis” (Abdellah et al., 1960, p. 9) during a time when nurses were
taught that diagnosis was not a nurse’s prerogative.
Assumptions
There are no openly stated assumptions in Abdellah’s early work (Abdellah et al., 1960), but in a later work,
she added six assumptions. These relate to change and anticipated changes that affect nursing; the need to
appreciate the interconnectedness of social enterprises and social problems; the impact of problems such as
poverty, racism, pollution, education, and so forth on health and health care delivery; changing nursing
education; continuing education for professional nurses; and development of nursing leaders from
underserved groups (Abdellah, Beland, Martin, & Matheney, 1973).
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Abdellah and colleagues (1960) developed a list of 21 nursing problems (Box 7-2). They also identified 10
steps to identify the client’s problems and 10 nursing skills to be used in developing a treatment typology.
Box 7-2 Abdellah’s 21 Nursing Problems
1. To maintain good hygiene and physical comfort
2. To promote optimal activity, exercise, rest, and sleep
3. To promote safety through prevention of accidents, injury, or other trauma and through the prevention
of the spread of infection
4. To maintain good body mechanics and prevent and correct deformities
5. To facilitate the maintenance of a supply of oxygen to all body cells
6. To facilitate the maintenance of nutrition of all body cells
7. To facilitate the maintenance of elimination
8. To facilitate the maintenance of fluid and electrolyte balance
9. To recognize the physiologic responses of the body to disease conditions
10. To facilitate the maintenance of regulatory mechanisms and functions
11. To facilitate the maintenance of sensory function
12. To identify and accept positive and negative expressions, feelings, and reactions
13. To identify and accept the interrelatedness of emotions and organic illness
14. To facilitate the maintenance of effective verbal and nonverbal communication
15. To promote the development of productive interpersonal relationships
16. To facilitate progress toward achievement of personal spiritual goals
17. To create and maintain a therapeutic environment
18. To facilitate awareness of self as an individual with varying physical, emotional, and developmental
needs
19. To accept the optimum possible goals in light of physical and emotional limitations
20. To use community resources as an aid in resolving problems arising from illness
21. To understand the role of social problems as influencing factors in the cause of illness
Source: Abdellah et al. (1960).
According to Abdellah and colleagues (1960), nurses should do the following:
1. Learn to know the patient.
2. Sort out relevant and significant data.
3. Make generalizations about available data in relation to similar nursing problems presented by other
patients.
4. Identify the therapeutic plan.
5. Test generalizations with the patient and make additional generalizations.
6. Validate the patient’s conclusions about his or her nursing problems.
7. Continue to observe and evaluate the patient over a period of time to identify any attitudes and clues
affecting his or her behavior.
8. Explore the patient’s and family’s reaction to the therapeutic plan and involve them in the plan.
9. Identify how the nurse feels about the patient’s nursing problems.
10. Discuss and develop a comprehensive nursing care plan.
Abdellah and colleagues (1960) distinguished between nursing diagnoses and nursing functions. Nursing
diagnoses were a determination of the nature and extent of nursing problems presented by individuals
receiving nursing care, and nursing functions were nursing activities that contributed to the solution for the
same nursing problem. Other concepts central to her work were (1) health care team (a group of health
professionals trained at various levels, and often at different institutions, working together to provide health
care), (2) professionalization of nursing (requires that nurses identify those nursing problems that depend on
the nurse’s use of his or her capacities to conceptualize events and make judgments about them), (3) patient
(individual who needs nursing care and who is dependent on the health care provider), and (4) nursing (a
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service to individuals and families and to society, which helps people cope with their health needs) (Abdellah
et al., 1960).
Usefulness
The patient-centered approach was constructed to be useful to nursing practice, with the impetus for it being
nursing education. Abdellah’s publications on nursing education began with her dissertation; her interest in
education of nurses continues into the present.
Abdellah also published work on nursing, nursing research, and public policy related to nursing in several
international publications. She has been a strong advocate for improving nursing practice through nursing
research and has a publication record on nursing research that dates from 1955 to the present. Box 7-3 lists
only a few of Abdellah’s many publications.
Box 7-3 Examples of Abdellah’s Publications
Abdellah, F. G. (1972). Evolution of nursing as a profession: Perspective on manpower development.
International Nursing Review, 19(3), 219–238.
Abdellah, F. G. (1986). The nature of nursing science. In L. H. Nicholl (Ed.), Perspectives on nursing theory.
Boston, MA: Little, Brown.
Abdellah, F. G. (1987). The federal role in nursing education. Nursing Outlook, 35(5), 224–225.
Abdellah, F. G. (1991). Public policy impacting on nursing care of older adults. In E. M. Baines (Ed.),
Perspectives on gerontological nursing. Newbury Park, CA: Sage.
Abdellah, F. G., Beland, I. L., Martin A., & Matheney, R. V. (1968). Patient-centered approaches to nursing
(2nd ed.). New York, NY: MacMillan.
Abdellah, F. G., & Levine, E. (1994). Preparing nursing research for the 21st century: Evolution,
methodologies, challenges. New York, NY: Springer Publishing.
Testability
Abdellah’s work is a conceptual model that is not directly testable because there are few stated directional
relationships. The model is testable in principle, though, because testable hypotheses can be derived from its
conceptual material. One work (Abdellah & Levine, 1957) was identified that described the development of a
tool to measure client and personnel satisfaction with nursing care.
Parsimony
Abdellah and colleagues’ (1960, 1973) model touches on many factors in nursing but focuses primarily on the
perspective of nursing education. It defines 21 nursing problems, 10 steps to identifying client’s problems,
and 10 nursing skills. Because of its focus and complexity, it is not particularly parsimonious.
Value in Extending Nursing Science
Abdellah’s model has contributed to nursing science as an early effort to change nursing education. In the
early years of its application, it helped to bring structure and organization to what was often a disorganized
collection of lectures and experiences. She categorized nursing problems based on the individual’s needs and
developed a typology of nursing treatment and nursing skills. Finally, she posited a list of characteristics that
described what was distinctly nursing, thereby differentiating the profession from other health professions.
Hers was a major contribution to the discipline of nursing, bringing it out of the era of being considered
simply an occupation into Nightingale’s ideal of becoming a profession.
Dorothea Orem: The Self-Care Deficit Nursing Theory
Dorothea Orem was born in Baltimore, Maryland. She received her diploma in nursing from Providence
Hospital School of Nursing in Washington, DC, and her baccalaureate degree in nursing from Catholic
University in 1939. In 1945, she also earned her master’s degree from Catholic University (Berbiglia &
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Banfield, 2014).
Background of the Theorist
Orem held a number of positions as private duty nurse, hospital staff nurse, and educator. She was the director
of both the School of Nursing and Nursing Service at Detroit’s Providence Hospital until 1949, moving from
there to Indiana where she served on the Board of Health until 1957. She assumed a role as a faculty member
of Catholic University in 1959, later becoming acting dean (Berbiglia & Banfield, 2014).
Orem’s interest in nursing theory was piqued when she and a group of colleagues were charged with
producing a curriculum for practical nursing for the Department of Health, Education, and Welfare in
Washington, DC. After publishing the first book on her theory in 1971, she continued working on her concept
of nursing and self-care. She had numerous honorary doctorates and other awards as members of the nursing
profession have recognized the value of the self-care deficit theory (Berbiglia & Banfield, 2014). Dr. Orem
died in 2007 after a period of failing health. Nurses will remember her as one of the pioneers of nursing theory
(Bekel, 2007).
Philosophical Underpinnings of the Theory
Orem (2001) denied that any particular theorist provided the basis for the Self-Care Deficit Nursing Theory
(SCDNT). She expressed interest in several theories, although she references only Parsons’s Structure of
Social Action and von Bertalanffy’s System Theory (Orem, 2001). Taylor, Geden, Isaramalai, and
Wongvatunyu (2000), however, stated that the ontology of Orem’s SCDNT is the school of moderate realism,
and its focus is on the person as agent; the SCDNT is a highly developed formalized theoretical system of
nursing. Currently, the theory is referred to as Self-Care Science and Nursing Theory (Taylor & Renpenning,
2011). Taylor and Renpenning (2011) make a case for the scientific basis of the life work that was Orem’s
magnum opus and quote from her works extensively.
Major Assumptions, Concepts, and Relationships
Orem’s theory changed to fit the times most notably in the concept of the individual and of the nursing
system. The original theory, however, remains largely intact.
Orem (2001) delineated three nested theories: theories of self-care, self-care deficit, and nursing systems
(Figure 7-1). The theory of nursing systems is the outer or encompassing theory, which contains the theory of
self-care deficit. The theory of self-care is a component of the theory of self-care deficit.
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Figure 7-1 Self-Care Deficit Nursing Theory.
(Source: Orem, D. [2001]. Nursing: Concepts of practice [6th ed.]. St. Louis, MO: Mosby.)
Concepts
Orem (2001) defined the metaparadigm concepts as follows:
Nursing is seen as an art through which the practitioner of nursing gives specialized assistance to
persons with disabilities which makes more than ordinary assistance necessary to meet needs for self-
care. The nurse also intelligently participates in the medical care the individual receives from the
physician.
Humans are defined as “men, women, and children cared for either singly or as social units,” and
are the “material object” (p. 8) of nurses and others who provide direct care.
Environment has physical, chemical, and biological features. It includes the family culture and
community.
Health is “being structurally and functionally whole or sound” (p. 96). Also, health is a state that
encompasses both the health of individuals and of groups, and human health is the ability to reflect on
one’s self, to symbolize experience, and to communicate with others.
Numerous additional concepts were formulated for Orem’s theory; Table 7-1 lists some of the more
significant ones.
Table 7-1 Concepts in Orem’s Self-Care Deficit Theory
Concept Definition
Self-care A human regulatory function that is a deliberate action to supply or ensure the
supply of necessary materials needed for continued life, growth, and development
and maintenance of human integrity.
Self-care requisites Part of self-care; expressions of action to be performed by or for individuals in the
interest of controlling human or environmental factors that affect human
functioning or development. There are three types: universal, developmental, and
health deviation self-care requisites.
Universal self-care Self-care requisites common to all humans.
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requisites
Developmental self-
care requisites
Self-care requisites necessary for growth and development.
Health deviation self-
care requisites
Self-care requisites associated with health deficits.
Therapeutic self-care
demand
Nurse’s assistance in meeting the client’s or client dependent’s self-care needs is
done therapeutically as a result of the client’s inability to calculate or to meet
therapeutic self-care needs.
Deliberate action Action knowingly taken with some motivation or some outcome sought by the
actor, as self-care or dependent care.
Nursing system The product of a series of relations between the persons: legitimate nurse and
legitimate client. This system is activated when the client’s therapeutic self-care
demand exceeds available self-care agency, leading to the need for nursing.
Product of nursing Nursing has two products:An intellectual product (the design for helping the
client).A system of care of long or short duration for persons requiring nursing
Source: Orem (1995).
Relationships
An underlying premise of Orem’s theory is the belief that humans engage in continuous communication and
interchange among themselves and their environments to remain alive and to function. In humans, the power
to act deliberately is exercised to identify needs and to make needed judgments. Furthermore, mature human
beings experience privations in the form of action in care of self and others involving making life-sustaining
and function-regulating actions. Human agency is exercised in discovering, developing, and transmitting to
others ways and means to identify needs for, and make inputs into, self and others. Finally, groups of human
beings with structured relationships cluster tasks and allocate responsibilities for providing care to group
members who experience privations for making required deliberate decisions about self and others (Orem,
2001).
Needs theories, such as Orem’s are complex in their application. Over the decades that Orem worked on
her theories of nursing, the theory went through several iterations in response to new knowledge and
technology. Her continual work indicated that she was aware of the complex nature of patient’s needs and of
the growing complexity of the health care system. Although this theory is not a complexity theory as such, she
does pay tribute in her later writings to the complexity of care for clients/patients in the health care system at
that time.
Usefulness
In past years, numerous colleges and schools of nursing base their curricula on the SCDNT. Among them are
Illinois Wesleyan University, University of Tennessee at Chattanooga, Anderson College, and University of
Toledo (Berbiglia & Banfield, 2014). Hospitals in several areas of the country have based nursing care on
Orem’s theory, and it has been applied to an ambulatory care setting. Such medical conditions as arthritis or
gastrointestinal and renal diseases, and such areas of practice as community nursing, critical care, cultural
concepts, maternal–child nursing, medical-surgical nursing, pediatric nursing, perioperative nursing, and renal
dialysis, among other specialties have used Orem’s theory to structure care (Berbiglia & Banfield, 2014).
Orem’s SCDNT has received international interest and has been used in many countries including Great
Britain, Germany, Japan, the Netherlands, Norway, Sweden, and New Zealand. Moreover, numerous
publications define methods for using Orem’s SCDNT in practice, research, and education.
Orem was a prolific author and her writings spanned five decades. In addition to her detailed description
of her theory through several iterations (Orem, 1971, 1985b, 1991, 1995, 2001), she authored an analysis of
hospital nursing service (Orem, 1956) and illustrations for self-care for the rehabilitation client (Orem,
1985a). Further evidence of the usefulness of Orem’s work is the International Orem Society, which
celebrates the work of Dr. Orem. Their journal, Self-Care, Dependent-Care & Nursing, indicates the value to
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nurses across the globe (Biggs, 2008).
Testability
Many nursing research studies have used Orem’s theory as a conceptual framework or as a source of testable
hypotheses. Furthermore, over the years, many research studies have tested elements of the theory. The
researchers have studied people with diminished self-care agency across age and social groups, in numerous
situations, and in many countries. Most research into the SCDNT is descriptive, and the theory has not been
subject to testing in its entirety (Berbiglia & Banfield, 2014; Taylor & Renpenning, 2011). Box 7-4 lists some
of the recent research studies using the SCDNT.
Box 7-4 Orem’s Theory in Nursing Research, Practice, and Education
Green, R. (2013). Application of the self-care deficit nursing theory: The community context. Self-Care,
Dependent-Care & Nursing, 20(1), 5–15.
Guo, S. H.-M., Lin, Y.-H., Chen, R.-R., Kao, S.-F., & Chang, H.-K. (2013). Development and evaluation of
theory-based diabetes support services. Computers, Informatics, Nursing, 31(1), 17–26.
doi:10.1097/NXN.0b013e318266ca22
Mohammadpour, A., Rahmati, S. N., Khosravan, S., Alami, A., & Akhond, M. (2015). The effect of a
supportive educational intervention developed based on Orem’s self-care theory on the self-care ability
of patients with myocardial infarction: A randomised controlled trial. Journal of Clinical Nursing,
24(11–12), 1686–1692.
O’Shaughnessy, M. (2014). Application of Dorothea Orem’s theory of self-care to the elderly patient on
peritoneal dialysis. Nephrology Nursing Journal, 41(5), 495–497.
Pickett, S., Peters, R. M., & Jarosz, P. A. (2014). Toward a middle-range theory of weight management.
Nursing Science Quarterly, 27(3), 242–247.
Roldan-Merino, J., Lluch-Canut, T., Menarguez-Alcaina, M., Foix-Sanjuan, A., & Haro Abad, J. M. (2014).
Psychometric evaluation of a new instrument in Spanish to measure self-care requisites in patients with
schizophrenia. Perspectives in Psychiatric Care, 50(2), 93–101. doi:10.1111/ppc.12026
Silén, M., & Johansson, L. (2016). Aims and theoretical frameworks in nursing students’ bachelor’s theses in
Sweden: A descriptive study. Nurse Education Today, 37, 91–96. doi:10.1016/j.ned.2015.11.020
Tadaura, H., Sato, A., Ueda, E., Ishigaki, H., Saita, T., & Kikuchi, T. (2014). Connecting nursing theory with
practice through education based on self-care deficit nursing theory (SCDNT) and utilization of nursing
practice. Self-Care, Dependent-Care & Nursing, 21(1), 27–29.
Wong, C. L., Ip, W. Y., Choi, K. C., & Lam, L. W. (2015). Examining self-care behaviors and their
associated factors among adolescent girls with dysmenorrhea: An application of Orem’s self-care deficit
nursing theory. Journal of Nursing Scholarship, 47(3), 219–227. doi:10.1111/jnu.12134
Parsimony
Orem’s (2001) SCDNT is complex. It consists of three nested theories, many presuppositions, and
propositions in each of the individual theories. Revisions of the theory from the original (1971) have
improved the organization; however, its complexity has increased in response to societal needs throughout the
several editions.
Value in Extending Nursing Science
The SCDNT has been the basis for many college and university nursing curricula (Orem, 2001). It has been
used in practice situations and extensively in research projects, theses, and dissertations (Taylor, 2011). The
practical applicability of the theory is attractive to graduate students because it is perceived as a realistic
reflection of nursing practice.
Dorothy Johnson: The Behavioral System Model
Dorothy Johnson began her work on the Behavioral System Model in the late 1950s and wrote into the 1990s.
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The focus of her model is on needs, the human as a behavioral system, and relief of stress as nursing care.
Johnson (1990) reported that her work began as a study of the knowledge that identified nursing while
synthesizing content for nursing curricula at the graduate and undergraduate levels. She wanted the curricula
to be focused on nursing rather than derived from the knowledge bases of other health care disciplines
(Johnson, 1959a, 1959b, 1997). Indeed, she believed that nursing, although relying on the contributions of
other sciences, is a discrete science and a unique discipline.
Johnson’s model was deductively derived through long study of other theories and applying them to
nursing (Johnson, 1997). Her goal was to conceptualize nursing for education of nurses at all levels (Johnson,
1990, 1997), and the model emanated from her practice, study, and teaching experiences.
Although Johnson did not write a book on her theory, she did write several chapters and articles that
explained her theoretical framework. Box 7-5 lists a sampling of these writings.
Box 7-5 Examples of Johnson’s Writings on Nursing Theory
Johnson, D. E. (1959a). A philosophy of nursing. Nursing Outlook, 7(4), 198–200.
Johnson, D. E. (1959b). The nature of a science of nursing. Nursing Outlook, 7(5), 291–294.
Johnson, D. E. (1968). Theory in nursing: Borrowed and unique. Nursing Research, 17(3), 206–209.
Johnson, D. E. (1974). Development of a theory: A requisite for nursing as a primary health profession.
Nursing Research, 23(5), 372–377.
Johnson, D. E. (1980). The behavioral system model for nursing. In J. P. Riehl & C. Roy (Eds.), Conceptual
models for nursing practice (pp. 207–216). New York, NY: Appleton-Century-Crofts.
Johnson, D. E. (1990). The behavioral system model for nursing. In M. E. Parker (Ed.), Nursing theories in
practice (pp. 23–32). New York, NY: National League for Nursing Press.
Background of the Theorist
Dorothy Johnson was reared in Savannah, Georgia, and received a bachelor’s degree in nursing from
Vanderbilt University. She earned a master’s degree in public health from Harvard in 1948 and returned to
Vanderbilt to begin her teaching career. In 1949, she joined the nursing faculty of the University of California,
Los Angeles (UCLA). She retired from UCLA in 1977 and lived in Florida until her death in 1999 (Holaday,
2014).
Philosophical Underpinnings of the Theory
Johnson stated that Nightingale’s work inspired her model. Nightingale’s philosophical leanings prompted
Johnson to consider the person experiencing a disease more important than the disease itself (Johnson, 1990).
She reported that she derived portions of her theory from the works of Selye on stress, Grinker’s theory of
human behavior, and Buckley and Chin on systems theories (Johnson, 1980, 1990).
Major Assumptions, Concepts, and Relationships
Assumptions
Assumptions of Johnson’s model are both stated and derived. There are four assumptions about human
behavioral subsystems. First is the belief that drives serve as focal points around which behaviors are
organized to achieve specific goals. Second, it is assumed that behavior is differentiated and organized within
the prevailing dimensions of set and choice. Third, the specialized parts or subsystems of the behavioral
system are structured by dimensions of goal, set, choice, and actions; each has observable behaviors. Finally,
interactive and interdependent subsystems tend to achieve and maintain balance between and among
subsystems through control and regulatory mechanisms (Grubbs, 1980).
Concepts
Although she adopted concepts from other disciplines, Johnson modified and defined them to apply
specifically to nursing situations. This was an evolving process as shown in her writings (Johnson, 1959a,
1959b, 1968, 1974, 1980, 1990).
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The metaparadigm concepts are apparent in Johnson’s writings. Nursing is seen as “an external regulatory
force which acts to preserve the organization and integration of the patient’s behavior at an optimal level
under those conditions in which the behavior constitutes a threat to physical or social health, or in which
illness is found” (Johnson, 1980, p. 214). The concept of human was defined as a behavioral system that
strives to make continual adjustments to achieve, maintain, or regain balance to the steady state that is
adaptation (Johnson, 1980).
Health is seen as the opposite of illness, and Johnson (1980) defines it as “some degree of regularity and
constancy in behavior, the behavioral system reflects adjustments and adaptations that are successful in some
way and to some degree . . . adaptation is functionally efficient and effective” (pp. 208, 209). Environment is
not directly defined, but it is implied to include all elements of the surroundings of the human system and
includes interior stressors. Other concepts defined in Johnson’s model are listed in Table 7-2.
Table 7-2 Concepts in Johnson’s Behavioral System Theory
Concept Definition
Behavioral system Man is a system that indicates the state of the system through behaviors
Boundaries The point that differentiates the interior of the system from the exterior
Function Consequences or purposes of actions
Functional
requirements
Input that the system must receive to survive and develop
Homeostasis Process of maintaining stability
Instability State in which the system output of energy depletes the energy needed to maintain
stability
Stability Balance or steady state in maintaining balance of behavior within an acceptable
range
Stressor A stimulus from the internal or external world that results in stress or instability
Structure The parts of the system that make up the whole
System That which functions as a whole by virtue of organized independent interaction of
its parts
Subsystem A minisystem maintained in relationship to the entire system when it or the
environment is not disturbed
Tension The system’s adjustment to demands, change or growth, or to actual disruptions
Variables Factors outside the system that influence the system’s behavior, but which the
system lacks power to change
Source: Grubbs (1980).
Relationships
Johnson (1980) delineated seven subsystems to which the model applied. These are as follows:
1. Attachment or affiliative subsystem—serves the need for security through social inclusion or intimacy
2. Dependency subsystem—behaviors designed to get attention, recognition, and physical assistance
3. Ingestive subsystem—fulfills the need to supply the biologic requirements for food and fluids
4. Eliminative subsystem—functions to excrete wastes
5. Sexual subsystem—serves the biologic requirements of procreation and reproduction
6. Aggressive subsystem—functions in self and social protection and preservation
7. Achievement system—functions to master and control the self or the environment
Finally, there are three functional requirements of humans in Johnson’s (1980) model. These are:
1. To be protected from noxious influences with which the person cannot cope
2. To be nurtured through the input of supplies from the environment
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3. To be stimulated to enhance growth and prevent stagnation
Usefulness
That Johnson’s model is useful for nursing practice and education has been verified in several articles and
chapters. Damus (1980), Dee (1990), and Holaday (1980) described situations in which Johnson’s model has
been used to direct nursing practice. Other authors have used the theory to apply to various aspects of nursing.
For example, Benson (1997) used Johnson’s model as a framework to describe the impact of fear of crime on
an elder person’s health, health-seeking behaviors, and quality of life. Fruehwirth (1989) applied Johnson’s
model to assess and intervene in a group of caregivers for individuals with Alzheimer disease.
Testability
Parts of Johnson’s model have been tested or used to direct nursing research. Indeed, more than 20 research
studies have been identified using Johnson’s model. Turner-Henson (1992), for example, used Johnson’s
model as a framework to examine how mothers of chronically ill children perceived the environment (i.e.,
whether it was supportive, safe, and accessible). Poster, Dee, and Randell (1997) used Johnson’s theory as a
conceptual framework in a study of client outcome evaluation; they found that the nursing theory made it
possible to prescribe nursing care and to distinguish it from medical care. Derdiarian and Schobel (1990) used
Johnson’s model to develop an assessment tool for individuals with AIDS.
Aspects of Johnson’s model have been tested in nursing research. In one study, Derdiarian (1990)
examined the relationship between the aggressive/protective subsystem and the other six model subsystems.
Parsimony
Johnson (1980) was able to explicate her entire model in a single short chapter in an edited book. Relatively
few concepts are used in the theory, and they are commonly used terms. Additionally, the relationships are
clear; therefore, the model is considered to be parsimonious.
Value in Extending Nursing Science
Johnson’s model has been used in nursing practice and research to a significant extent. In addition, her work
has been used as a curriculum guide for a number of schools of nursing (Grubbs, 1980; Johnson, 1980, 1990),
and it has been adapted for use in hospital situations (Dee, 1990). Finally, her work inspired the work of at
least two other grand nursing theorists, Betty Neuman and Sister Calista Roy, who were her students.
Betty Neuman: The Neuman Systems Model
Since the 1960s, Betty Neuman has been recognized as a pioneer in the field of nursing, particularly in the
area of community mental health. She developed her model while lecturing in community mental health at
UCLA and first published it in 1972 under the title “A Model for Teaching the Total Person Approach to
Patient Problems” (Neuman & Fawcett, 2011). Since that time, she has been a prolific writer, and her model
has been used extensively in colleges of nursing, beginning with Neumann College’s baccalaureate nursing
program in Aston, Pennsylvania. Numerous other nursing programs have organized their curricula around her
model both in the United States and internationally (Neuman & Fawcett, 2011).
The major elements in this review of the Neuman Systems Model are taken from the fifth edition of her
book (Neuman & Fawcett, 2011), with references to earlier writings to show development of the model over
time. The model was deductively derived and emanated from requests of graduate students who wanted
assistance with a broad interpretation of nursing.
Neuman’s model uses a systems approach that is focused on the human needs of protection or relief from
stress (Neuman & Fawcett, 2011). Neuman believed that the causes of stress can be identified and remedied
through nursing interventions. She emphasized the need of humans for dynamic balance that the nurse can
provide through identification of problems, mutually agreeing on goals, and using the concept of prevention
as intervention. Neuman’s model is one of only a few considered prescriptive in nature. The model is
universal, abstract, and applicable for individuals from many cultures (Neuman & Fawcett, 2011).
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Background of the Theorist
Betty Neuman was born in 1924 on a farm near Lowell, Ohio. In 1947, she earned her nursing diploma from
People’s Hospital School of Nursing, Akron, Ohio, and moved to California shortly thereafter. She earned a
bachelor’s degree in nursing from UCLA and also studied psychology and public health. In 1966, she earned a
master’s degree in mental health and public health consultation, also from UCLA, and then earned her
doctorate in clinical psychology in 1985 from Pacific Western University. She worked as a hospital staff
nurse, a head nurse, and an industrial nurse and consultant before becoming a nursing instructor. She has
taught medical-surgical nursing, critical care, and communicable disease nursing at the University of Southern
California Medical Center in Los Angeles and at other colleges in Ohio and West Virginia (Lawson, 2014;
Neuman & Fawcett, 2011).
Philosophical Underpinnings of the Theory
Neuman used concepts and theories from a number of disciplines in the development of her theory. In her
works, she referred to Chardin and Cornu on wholeness in systems, von Bertalanffy and Lazlo on general
systems theory, Selye on stress theory, and Lazarus on stress and coping (Neuman & Fawcett, 2011).
Major Assumptions, Concepts, and Relationships
Concepts
Neuman (Neuman & Fawcett, 2011) adhered to the metaparadigm concepts and has developed numerous
additional concepts for her model. In her work, she defined human beings as “client system” . . . “a composite
of five interacting variable areas . . . physiological, psychological, sociocultural, developmental, and spiritual”
(Neuman & Fawcett, 2011, p. 16). The ring structure is a “basic structure of protective concentric rings, for
retention attainment or maintenance of system stability and integrity. . . ” (Neuman & Fawcett, 2011, p. 16).
Environment to Neuman is a structure of concentric rings representing the three environments, internal,
external, and created environments, all of which influence the client’s adaptation to stressors. Health is
defined as “a continuum; wellness and illness are at opposite ends. . . . Health for the client is equated with
optimal system stability that is the best possible wellness state at any given time” (p. 23). “Variances from
wellness or varying degrees of system instability are caused by stressor invasion of the normal line of
defense” (p. 24). Finally, in the nursing component, the major concern is to maintain client system stability
through accurately assessing environmental and other stressors and assisting in client adjustments to maintain
optimal wellness. Table 7-3 lists selected additional concepts from Neuman’s model, and Figure 7-2 offers a
visual representation.
Table 7-3 Concepts in Neuman Systems Model
Concept Definition
Basic structure Basic survival factors common to human beings; they are located in the central
core and represent basic client system energy resources.
Boundary lines The flexible line of defense is the outer boundary of the client system.
Degree of reaction The amount of system instability resulting from stressor invasion of the normal line
of defense.
Feedback The process within which matter, energy, and information provides feedback for
corrective action to change, enhance, or stabilize the system.
Flexible line of
defense
A protective, accordion-like mechanism that surrounds and protects the normal line
of defense from invasion by stressors.
Input/output The matter, energy, and information exchanged between client and environment
that is entering or leaving the system at any point in time.
Lines of resistance Protection factors activated when stressors have penetrated the normal line of
defense, causing a reaction symptomatology.
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Negentropy A process of energy conservation that increases organization and complexity,
moving the system toward stability or a higher degree of wellness.
Normal line of
defense
An adaptational level of health developed over time and considered normal for a
particular individual client or system; it becomes a standard for wellness–deviance
determination.
Open system A system in which there is a continuous flow of input and process, output, and
feedback. It is a system of organized complexity where all elements are in
interaction.
Prevention as
intervention
Intervention modes for nursing action and determinants for entry of both client and
nurse into the health care system.
Reconstitution The return and maintenance of system stability, following treatment of stressor
reaction, which may result in a higher or lower level of wellness.
Stability A state of balance or harmony requiring energy exchanges as the client adequately
copes with stressors to retain, attain, or maintain an optimal level of health, thus
preserving system integrity.
Stressors Environmental factors, intra-, inter-, and extrapersonal in nature, that have potential
for disrupting system stability. A stressor is any phenomenon that might penetrate
both the flexible and normal lines of defense, resulting in either a positive or
negative outcome.
Wellness/illness Wellness is the condition in which all system parts and subparts are in harmony
with the whole system of the client. Illness indicates disharmony among the parts
and subparts of the client system.
Source: Neuman and Fawcett (2011).
Figure 7-2 The Neuman Systems Model.
(From Neuman, B., & Fawcett, J. The Neuman Systems Model, 5th ed., © 2011. Reprinted by permission of Pearson Education, Inc., New York,
New York.)
Relationships
Neuman defined five interacting variables: physiologic, psychological, sociocultural, developmental, and
spiritual. These five variables function in time to attain, maintain, or retain system stability. The model is
based on the client’s reaction to stress as it maintains boundaries to protect client stability (Neuman &
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Fawcett, 2011).
Neuman delineated a three-step nursing process model in which nursing diagnosis (the first step) assumes
that the nurse collects an adequate database from which to analyze variances from wellness to make the
diagnoses (Neuman & Fawcett, 2011). Nursing goals, which are determined by negotiation with the client, are
set in the second step. Appropriate prevention as intervention strategies are decided in that step. The third
step, nursing outcomes, is the step in which confirmation of prescriptive change or reformulation of nursing
goals is evaluated. The nurse links the client, environment, health, and nursing. The findings feed back into
the system as applicable. A table of prevention as intervention strategies clarifies what comprises the nursing
actions to affect this type of intervention. Neuman outlined 10 propositions or assumptions of the model (Box
7-6).
Box 7-6 Assumptions of Neuman Systems Model—a Summary
1. Each individual client or group as an open system is unique, a composite of factors and characteristics
within a given range of responses contained within a basic structure.
2. The client as a system is in dynamic, constant energy exchange with the environment.
3. Many known, unknown, and universal stressors exist. Each differs in its potential for disturbing a
client’s usual stability level or normal line of defense. The interrelationships of client variables can
affect the degree to which a client is protected by the flexible line of defense against possible reaction to
stressors.
4. Each client/client system has evolved a normal range of responses to the environment that is referred to
as a normal line of defense. The normal line of defense can be used as a standard from which to
measure health deviation.
5. When the flexible line of defense is no longer capable of protecting the client/client system against an
environmental stressor, the stressor breaks through the normal line of defense.
6. The client, whether in a state of wellness or illness, is a dynamic composite of the interrelationships of
the variables. Wellness is on a continuum of available energy to support the system in an optimal state
of system stability.
7. Implicit within each client system are internal resistance factors known as lines of resistance, which
function to stabilize and realign the client to the usual wellness state.
8. Primary prevention relates to general knowledge that is applied in client assessment and intervention, in
identification, and in reduction or mitigation of possible or actual risk factors associated with
environmental stressors to prevent possible reaction.
9. Secondary prevention relates to symptomatology following a reaction to stressors, appropriate ranking
of intervention priorities, and treatment to reduce their noxious effects.
10. Tertiary prevention relates to the adjustive processes taking place as reconstitution begins and
maintenance factors move the client back in a circular manner toward primary prevention.
Usefulness
Neuman’s model has been used extensively in nursing education and nursing practice. In her latest work, she
provides a number of specific examples of the systems processes (Neuman & Fawcett, 2011). The Neuman
Systems Model is in place in numerous states of the United States and internationally in countries as diverse
as Taiwan and the Netherlands. It reportedly has been initiated to guide nursing practice for the management
of patient care in the areas of medicine and surgery, mental health, women’s health, pediatric nursing,
community as client, and gerontology. Graduate students, in particular, find Neuman’s model realistic to
define their practice.
Because of its utility and popularity as a model, it has been monitored by a group called the Neuman
Systems Model Trustees Group, Inc. This group meets periodically to discuss research and practice related to
the model and to promote exchange of information and ideas. Neuman’s model is in use as a guide in a
plethora of nursing schools at all levels; a partial listing is included in Neuman and Fawcett (2011).
Testability
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Although the Neuman’s model is not testable in its entirety, it gives rise to directional hypotheses that are
testable in research. As a result, it has been used as a conceptual framework extensively in nursing research,
and aspects of the model have been empirically tested. Intermediate theories using the Neuman Systems
Model have been developed and are being tested. Box 7-7 lists a few of the many nursing research studies that
have used Neuman Systems Model.
Box 7-7 Examples of Nursing Research Studies Using Neuman Systems Model
Adamson, E. (2014). Caring behaviour of nurses in Malaysia is influenced by spiritual and emotional
intelligence, psychological ownership and burnout. Evidence-Based Nursing, 17(4), 121. doi:10.1136/eb-
2013-101704
Adler, M., & Pietsch, T. (2016). Relationship among smoking, chronic pain, mental health and opioid use in
older adults. Catalyst, Neuman Journal of Student Research and Academic Scholarship, 2(1), 97–113.
Bachman, A. O., Danuser, B., & Morin, D. (2015). Developing a theoretical framework using a nursing
perspective to investigate perceived health in the “sandwich generation” group. Nursing Science
Quarterly, 28(4), 308–318.
Bauer, J. S. (2014). The use of stress-reducing techniques in nursing education. Western Journal of Nursing
Research, 36(10), 1386. doi:10.1177/0193945914540097
Phillips, T. M. (2014). Exploration of theoretical models: Postpartum weight retention in African American
adolescents. Nursing Science Quarterly, 27(4), 308–314.
Willis, D., DeSanto-Madeya, S., Ross, R., Sheehan, D. L., & Fawcett, J. (2015). Spiritual healing in the
aftermath of childhood maltreatment: Translating men’s lived experiences utilizing nursing conceptual
models and theory. ANS. Advances in Nursing Science, 38(3), 162–174.
Parsimony
Neuman’s model is complex, and many parts of the model function in multiple ways. The description of the
model’s parts can be confusing; therefore, the model is not considered to be parsimonious. Neuman and
Fawcett (2011), however, have developed intermediate diagrams to clarify the interactions among parts of the
model and to facilitate its use. The definitions are well developed in the latest edition of the model, and the
assumptions (propositions), although multileveled, are well organized.
Value in Extending Nursing Science
The Neuman Systems Model has extended nursing science as a needs and causality-focused framework. It
appeals to nurses who consider the client to be a holistic individual who reacts to stressors because it predicts
the outcomes of interventions to strengthen the lines of defense against stress, which may destabilize the
system. Neuman’s model is useful not only in the acute critical care area because of the focus on attaining,
regaining, and maintaining system stability but also in community health situations because of its focus on
prevention as intervention (Neuman & Fawcett, 2011).
Summary
The human needs nursing theories were among the earliest of the nursing theories. In general, these theories
followed the philosophical school of thought of the time by considering the person to be a biopsychosocial
being and focusing on meeting the individual’s needs.
Donald Crawford, the nurse from the opening case study, illustrated how a human needs–based model can
be used to help direct client care through anticipating or predicting client needs and determining desirable
outcomes. Many other nurses in a variety of settings use these models and theories to direct care for their
clients.
It should be noted that succeeding generations of nursing theorists based their models and theories on the
works discussed here. Indeed, these theories were building blocks on which the profession of nursing
depended during the last half of the 20th century and into the 21st century.
160
Key Points
Needs theorists generally come from the positivist school of thought philosophically, and therefore, the
theories fit well with medical theories of care.
The needs theories of nursing work well with the current emphasis on evidence-based practice because of the
bias toward experimental science.
The first nursing theorists mainly focused on the human needs of their patients/clients.
Florence Nightingale is respected as the mother of modern professional nursing. She brought nursing out of
the servant position it held in the 19th century and into the respected professional status it holds currently.
Virginia Henderson is often seen as the mother of American professional nursing. She was a prolific author
and researcher. Her concept of nursing is still used in clinical and community health care.
Faye Abdellah provided nurses with one of the first academic nursing theories. She was a prolific author and
researcher. She categorized nursing problems based on the individual’s needs and developed a typology of
nursing treatment and nursing skills. Finally, she posited a list of characteristics that described what was
distinctly nursing.
Dorothea Orem provided one of the first theories that gave the patient/client the responsibility for self-care.
Her ideas allowed patients to resume more normal lives with respect to their self-care agency.
Dorothy Johnson was a teacher of nursing at all levels. Her theoretical work inspired many other nurses to
become theoretical thinkers.
Betty Neuman gave nurses the systems model with its lines of defense against stress. She believed that the
causes of stress can be identified and remedied through nursing interventions. She developed the concept of
prevention as intervention. Neuman’s model is one of only a few considered prescriptive in nature.
The needs theorists’ works are still in daily use in education, in clinical nursing, and in clinical nursing
research.
Learning Activities
1. Discuss the usefulness of one of the models/theories in this chapter to evidence-based
practice. How would you and colleagues present your evidence?
2. Choose one of the models discussed in this chapter and demonstrate its use in the care of a
selected client. Write a nursing care plan using the model. Define all elements of the nursing
care plan using the language and the assumptions/propositions of the model.
3. Obtain the work of one of the theorists described in this chapter. Outline a research study
testing components of the model.
4. Determine which major concepts or propositions of the model can be tested.
5. Define the elements of the model to be tested in the research project.
6. Develop a hypothesis statement that examines the model’s propositions in a sample from an
acute care or community setting.
7. Donald, the nurse from the opening case study, applied the Neuman Systems Model as a
framework for improving patient care in his DNP project. Considering your nursing specialty
area, illustrate how one of the theories described in this chapter can be used to more
comprehensively provide evidence-based care to your patient population. Discuss your ideas
with your classmates.
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8
Grand Nursing Theories Based on Interactive Process
Evelyn M. Wills
Jean Willowby is a student in a master’s of science in nursing program, working to become a pediatric nurse
practitioner. For one of her practicum assignments, Jean must incorporate a nursing theory into her clinical
work, using the theory as a guide. During an earlier course on theory, she read several nursing theories that
focused on interactions between the client and the nurse and between the client and the health care system.
She remembered that in the interaction models and theories, human beings are viewed as interacting wholes,
and client problems are seen as multifactorial.
The theories that stress human interactions best fit Jean’s personal philosophy of nursing because they
take into account the complexities of the multitude of factors she believes to be part of clinical nursing
practice. Like the perspective taken by interaction model theorists, Jean understands that at times, the results
of interventions are unpredictable and that many elements in the client’s background and environment have an
effect on the outcomes of interventions. She also acknowledges that there are many interactions between
clients and their environments, both internal and external, many of which cannot be measured.
To better prepare for the assignment, Jean studied several of the human interaction models and theories,
focusing most of her attention on the works of Roy and King. But after discussing her thoughts with her
professor, she was referred to the writings of Jean Watson (Watson, 2012). After reviewing the carative
factors and the caritas processes, she decided that Watson’s Human Caring Science best fit her pediatrics
practice and determined that she would learn more about it.
As discussed in Chapter 6, interactive process nursing theories occupy a place between the needs-based
theories of the 1950s and 1960s, most of which were philosophically grounded in the positivist school of
thought, and the unitary process models, which are grounded in humanist philosophy, which expresses the
belief that humans are unitary beings and energy fields in constant interaction with the universal energy field.
The interactive theories, in contrast, are grounded in the postpositive schools of philosophy.
The theorists presented in this chapter believe that humans are holistic beings who interact with, and adapt
to, situations in which they find themselves. These theorists ascribe to systems theory and agree that there is
constant interaction between humans and their environments. In general, human interaction theorists believe
that health is a value and that a continuum of health ranges from high-level wellness to illness. They
acknowledge, however, that people with chronic illnesses may have healthy lives and live well despite their
illnesses.
Nursing models that can be described as interactive process theories include Artinian’s Intersystem
Model; Erickson, Tomlin, and Swain’s Modeling and Role-Modeling; King’s Systems Framework and
Theory of Goal Attainment; Roy’s Adaptation Model; and Watson’s Human Caring Science. Each is
discussed in this chapter.
An attempt was made to ensure that a balanced approach was used in presenting the works of these
theorists. However, some of the theories are quite complex (e.g., those of Erickson, Tomlin, and Swain; King;
and Roy), whereas others (e.g., Watson) are quite parsimonious. Additionally, some of the models have been
revised repeatedly (e.g., Artinian, King, Roy, and Watson). As a result, the sections dealing with some models
are longer or more involved than others, but this does not imply that the works of any of the theorists
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discussed are more or less important to the discipline than others.
Barbara Artinian: The Intersystem Model
The Intersystem Model was first published in 1983 as the Intersystem Patient-Care Model (Artinian, 1983)
and was later expanded to the Intersystem Model (Artinian, 1991). The second edition of Artinian’s work was
published in 2011, expanded on the previous model, and was renamed the Artinian Intersystem Model (AIM).
Its focus is the nursing process using the AIM (Artinian, 2011).
Background of the Theorist
Barbara Artinian received her bachelor’s degree from Wheaton College; master’s degrees from Case Western
Reserve University in Cleveland, Ohio, and the University of California, Los Angeles (UCLA); and her
doctorate from the University of Southern California. Influenced by her education as a sociologist, Artinian
developed a nursing model that used an intersystems approach and focused on the interactions between client
and nurse (Artinian, 2011). She is currently professor emeritus of the School of Nursing at Azusa Pacific
University, having taught graduate and undergraduate students in the areas of community health nursing,
family theory, nursing theory, and qualitative research methods (Artinian, 2016).
Philosophic Underpinnings of the Theory
Several works were used in developing the components of the model. For example, sense of coherence (SOC),
a social science construct proposed by Antonovsky, provided grounding for the concept situational sense of
coherence (SSOC). The SSOC serves as a measure of the integrative potential of clients within the context of
situations (Artinian, 2011) (Table 8-1 and Figure 8-1).
Table 8-1 Relationship Between SOC and SSOC in Artinian’s Model
Term Definition
Sense of coherence (SOC) The progenitor to the SSOC
Situational sense of coherence
(SSOC)
The analytic structure for evaluating the effectiveness of interventions
in the plan of care and the current level of health
Comprehensibility The extent to which one perceives the stimuli present in the situational
environment deriving from the internal and external environments as
making cognitive sense, in that information is ordered, consistent,
structured, and clear, versus disordered random or inexplicable
Meaningfulness The extent to which one feels that the problem demands posed by the
situation are worth investing energy in and are challenges for which
meaning or purpose is sought rather than burdens.
Manageability The extent to which one perceives that resources at one’s disposal are
adequate to meet the demands posed by stimuli present in the situation.
Source: Artinian (2011).
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Figure 8-1 Artinian Intersystem Model.
(Republished with permission of John Wiley & Sons, from The Artinian intersystem model, Artinian, B. M., 2nd ed., © 2011; permission
conveyed through Copyright Clearance Center, Inc.)
Additionally, the model of intrasystem analysis and intersystem interaction developed by Alfred Kuhn
was refined by Artinian to explain client–nurse interaction processes in health care situations and for use in
developing the nursing plan of care. Finally, the work of Maturana and Varela provided the conceptualization
of the person as a perceiving, self-determining, self-regulating human system and explains the patient/client
concept of the model (Artinian, 1997a).
Major Assumptions, Concepts, and Relationships
In the Intersystem Model, there is a differentiation between the human as a system (the intrasystem) and the
interactive systems of individuals or groups, known as the intersystem (Artinian, 2011). The language of the
Intersystem Model is scholarly English, and nonsexist language is used throughout.
Assumptions
A number of major assumptions of the model (Artinian, 1997a) are listed in Box 8-1.
Box 8-1 Assumptions of Artinian’s Intersystem Model
1. The human being exists within a framework of development and change, which is inherent to life.
2. The human’s life is a unit of interrelated systems that is viewed as past and potential future.
3. Persons interact with the environment on the biologic level, and the senses are the mode of input from
the environment; bodily functions are the mode for output.
4. The person’s present can be seen in terms of his past and future.
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5. The human spirit is at the center of the person’s being, transcending time and affecting all aspects of
life.
6. The nurse focuses on all aspects of the total person, systematically noting the interrelations of the
systems and the relationships of the systems to time and environment.
7. The nursing process can take place only in the present.
Source: Artinian (1997a).
Concepts
The Intersystem Model incorporates nursing’s metaparadigm concepts of person, environment, and health and
specifies the concept nursing action. Definitions for these concepts are presented in Table 8-2. Person is
viewed as a “coherent being who continually strives to make sense of his or her world” (Artinian, 2011, p.
13). The person as an individual has biologic, psychosocial, and spiritual subsystems. Person may also be an
aggregate, meaning a group of people, such as a family, community, or other aggregates. Environment
includes internal and external environments and specifies developmental environment and situational
environment as important to the interaction (Artinian, 2011).
Table 8-2 Concepts of the Intersystem Model
Concept Definition
Person A coherent being who continually strives to make sense of his or her world. The
person is a system, the subsystems of which are biologic, psychosocial, and
spiritual. Subsystem configuration is such that “transactions among the subsystems
result in emergent properties at the systemic level” (p. 13).
Environment The environment has two dimensions: developmental and situational. The
developmental environment is “all the events, factors, and influences that affect the
system . . . as it passes through its developmental stages” (p. 14). This
developmental environment provides the context for other developmental arenas
such as the healing environment. Situational environment occurs when the nurse
and client interact, and this includes all the details of the encounter.
Health Health and disease are considered to be a multidimensional continuum. In the
Intersystem Model, health is defined as having a strong sense of coherence (SOC)
(p. 16).
Nursing Those actions (interventions) that are needed to resolve concerns and move the
client to a higher situational sense of coherence (SSOC). The nurse assesses the
client’s knowledge (comprehensibility of the problem), the available resources
needed to manage the problem (manageability), and the client’s motivation to meet
the challenges posed by the problem (meaningfulness).
Source: Artinian (2011).
Health is viewed on a multidimensional continuum involving health/disease (Artinian, 2011). The focus is
on stability and adaptation, and Artinian developed the concept of SSOC to measure adaptation. Health is
defined as “a strong SOC” indicating that the person is confident and events are worth investing in and
manageable (Artinian, 2011, p. 16).
Nursing is specified as “nursing action,” which is identified by the mutual communication, negotiation,
organization, and priorities of both the client and nurse intrasystems. This is accomplished through
intersystem interaction; feedback loops are necessary to produce a mutually determined plan of care (Artinian,
2011). One major innovation of this model is that client spirituality and values are important in the assessment
of client needs and within the resulting nursing process.
Relationships
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The Intersystem Model consists of two levels: the intrasystem and the intersystem. The intrasystem applies
both to the client and to the nurse and focuses on the individual. The intersystem, by contrast, focuses on the
interactions between the nurse and client (Artinian, 2011).
In the intrasystem model, three basic components comprise each intrasystem: the detector, selector, and
effector. The detector processes information, the selector compares the situation with the attitudes and values
of the individual, and the effector identifies behaviors relevant to the situation (Artinian, 2011).
The first step in an interaction in the intrasystem is to evaluate the detector domain, each person’s
knowledge of the problem. The detector incorporates knowledge about the internal environment (physical
symptoms), social situations, the condition, treatment, and available resources. The selector allows the client
and nurse to examine their attitudes and values in choosing a course of action that fits both patient/client and
nurse. The effector is the behavioral level in which a response is selected from the repertoire of the behaviors
available. This intrasystem level of the model provides the nurse with the capability of progressively
clarifying with the client to bring about a mutual plan of care (Artinian, 2011).
The intersystem is seen when client and nurse interact, which occurs when nursing assistance is required
(Artinian, 2011). Communication and negotiation between nurse and client lead to developing a plan of care.
If the planned intervention is not effective, the determination is made that further assessment is necessary.
SOC and SSOC are the concepts that relate to health. In the intervention phase of the process, “Input is the
nurse–client interaction to change the SSOC if it is judged to be low” (Artinian, 1997a, p. 13). Outcomes are
scored on the SSOC by changes in knowledge, values and beliefs, and behaviors.
Usefulness
The Intersystem Model is relatively new; nonetheless, examples in nursing literature describing its use in
practice and education are available. Indeed, it has been noted that the Glaserian grounded theory method of
research as codified by Artinian (1998) for use specifically in nursing research has been used by her students
for more than 20 years (McCallin, 2012; McCowan & Artinian, 2011).
Examples from the literature include an investigation by Giske and Artinian (2008) which studied adults
aged 80 years and older in a Norwegian hospital who were undergoing gastroenterologic interventions.
Findings indicate that participants were concerned with preparing themselves for life after their diagnosis, a
difficult period for the participants. Bond and colleagues (2008) and a team lead by Cason (Cason et al., 2008)
studied Hispanic students in baccalaureate nursing programs and found multiple barriers and supports. Also,
examining educational issues was a work by Cone, Artinian, and West (2011) which looked at student issues
in both undergraduate and graduate levels.
In clinical research, Critchley and Ball (2007) studied rheumatology patients using Artinian’s descriptive
qualitative method, and van Dover and Pfeiffer (2007) studied spiritual care of Christian clients of parish
nurses. They developed a theory of spirituality for work in parish nursing. Finally, Vuckovich and Artinian
(2005) investigated mental health nurses who administered medications to psychiatric patients and their
methods of avoiding coercion.
Testability
The Intersystem Model has not been fully tested. Research studies applying the model primarily involve using
grounded theory methodology to examine the meanings of events and the person’s reactions to those events in
the effort to formulate theories and hypotheses as noted earlier. In addition, the SSOC instrument has been
used in research as a self-report instrument (Artinian, 1997b).
Parsimony
The model developed by Artinian (2011) is parsimonious and is explained in a logical and coherent way using
two simple diagrams. It is not simplistic, however, and has multiple interacting elements. The more current
model has expanded the diagrams to more thoroughly explain the aspects of the model as needed by both
graduate and undergraduate students.
Value in Extending Nursing Science
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The Intersystem Model has value in guiding education and in implementing practice. Its innovation is
attention to the spirituality, goals, and values of both the client and nurse. Nurses use it in diverse clinical
settings, such as psychiatric care, acute care, and community nursing. Several chapters, three books by the
author and associates, and numerous journal articles have been generated by this model (Artinian, 1997a,
2011; Artinian, Giske, & Cone, 2009; Giske & Cone, 2012; Giske & Artinian, 2008; Treolar & Artinian,
2007).
Helen C. Erickson, Evelyn M. Tomlin, and Mary Ann P. Swain:
Modeling and Role-Modeling
Modeling and Role-Modeling (MRM) is considered by its authors to be a theory and a paradigm. They
constructed the theory from a multiplicity of resources that explain nurses’ interactions with clients.
Background of the Theorists
Helen Erickson earned a diploma in nursing from Saginaw General Hospital in Saginaw, Michigan. She
earned a bachelor’s degree in nursing, a master’s degree in psychiatric nursing, and a doctorate in educational
psychology from the University of Michigan. Her career spans positions in nursing practice and education,
both in the United States and abroad. She chaired the adult health nursing curriculum in the graduate program
at the University of Texas at Austin and was a special assistant to the dean for graduate studies. She is
professor emeritus of the University of Texas at Austin (M. E. Erickson, 2014).
Evelyn M. Tomlin was educated at Pasadena City College in Southern California and Los Angeles
General Hospital School of Nursing. She received her bachelor’s degree in nursing from the University of
Southern California and her master’s degree from the University of Michigan. She has had varied experiences
in practice and education, including medical-surgical nursing, maternity, and pediatric nursing. Tomlin retired
as a member of the faculty at the University of Michigan (M. E. Erickson, 2014).
Mary Ann P. Swain was educated in psychology at DePauw University in Greencastle, Indiana, and
earned master’s and doctoral degrees from the University of Michigan. She taught research methods in
psychology at DePauw University and at the University of Michigan. She also served as the director of the
doctoral program in nursing at the University of Michigan for a year and assumed the role of chairperson of
nursing research from 1977 to 1982. Later, she was professor of nursing research at the University of
Michigan and, in 1983, was appointed the associate vice president for academic affairs at the same university.
Swain recently retired from her position as a provost for the New York State University system (M. E.
Erickson, 2014).
Philosophical Underpinnings of the Theory
A number of theoretical works served as the foundation for MRM. Indeed, MRM is a synthesis of the
foundational works of Maslow, Milton Erickson, Piaget, Bowlby, Winnicott, Engel, Lindemann, Selye,
Lazarus, and Seligman (M. E. Erickson, 2014).
Philosophically, H. C. Erickson, Tomlin, and Swain (1983) believe “that nursing is a process between the
nurse and client and requires an interpersonal and interactive nurse–client relationship” (p. 43). For this
reason, their work is considered to be human interaction theory.
Major Assumptions, Concepts, and Relationships
Assumptions
Assumptions about adaptation and nursing are proposed in the MRM theory; the authors state that adaptation
“is an innate drive toward holistic health, growth, and development. Self-healing, recovery and renewal, and
adaptation are all instinctual despite the aging process or inherent malformations” (H. C. Erickson et al., 1983,
p. 47).
When describing nursing, it is assumed that (1) “nursing is the nurturance of holistic self-care”; (2)
“nursing is assisting persons holistically to use their adaptive strengths to attain and maintain optimum
biopsychosocial-spiritual functioning”; (3) “nursing is helping with self-care to gain optimum health”; and (4)
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“nursing is an integrated and integrative helping of persons to better care for themselves” (H. C. Erickson et
al., 1983, p. 50).
Concepts
The MRM theory contains a detailed set of concepts, and a glossary is provided in their work that assists in its
comprehension. Table 8-3 provides definitions for some of the major concepts.
Table 8-3 Major Concepts of the Modeling and Role-Modeling Theory
Concept Definition
Holism The idea that “human beings have multiple interacting subsystems including
genetic make up and spiritual drive, body, mind, emotion, and spirit are a total unit
and act together, affecting and controlling one another interactively” (p. 44).
Health “The state of physical, mental, and social well-being, not merely the absence of
disease or infirmity” (p. 46).
Lifetime growth and
development
Lifetime growth and development are continuous processes. When needs are met,
growth and development promote health.
Affiliated-
individuation
The dependence on support systems while maintaining the independence of the
individual.
Adaptation The individual’s response to external and internal stressors in a health- and growth-
directed manner. The opposite is maladaptation, which is the taxing of the system
when the individual is “unable to engage constructive coping methods or mobilize
appropriate resources to contend with the stressor(s)” (p. 47).
Self-care Knowledge, resources, and action of the client; knowledge considers what has
made the client sick, what will make him or her well, and “the mobilization of
internal resources, and acquisition of additional resources to gain, maintain, or
promote an optimal level of holistic health” (p. 48).
Nursing “The holistic helping of persons with their self-care activities in relation to their
health—an interactive, interpersonal process that nurtures strengths to achieve a
state of perceived holistic health” (p. 49).
Modeling The process by which the nurse seeks to understand the client’s unique model of
the world.
Role-modeling
The process by which the nurse understands the client’s unique model within the
context of scientific theories and uses the model to plan interventions that promote
health for the client.
Source: H. C. Erickson et al. (1983).
Relationships
The active potential assessment model (APAM) directs nursing assessment in the MRM theory. The APAM is
a synthesis of Selye’s general adaptation syndrome and Engel’s response to stressors (H. C. Erickson et al.,
1983). The APAM assists the nurse in predicting a client’s potential to cope and is used to assess three states:
equilibrium, arousal, and impoverishment. Equilibrium has two facets: adaptive and maladaptive. People in
equilibrium have potential for mobilizing resources; those in maladaptive equilibrium have fewer resources.
Both arousal and impoverishment are considered to be states of stress in which mobilizing resources are
expected. Persons in impoverishment have diminished or depleted abilities for mobilizing resources. People
move between the states as their capacities to meet stress change. The APAM is considered dynamic rather
than unidirectional and depends on the person’s abilities to mobilize resources. Nursing interventions
influence the person’s ability to mobilize resources and move from impoverishment to equilibrium within the
APAM (H. C. Erickson et al., 1983).
From the data collected, a client model is developed with a description of the functional relationship
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among the factors. Etiologic factors are analyzed, and possible therapeutic interventions are devised
recognizing possible conflicts with treatment plans of other health professionals. Diagnoses and goals are
established to complete the planning process (H. C. Erickson et al., 1983).
The success of the process is predicated on nurse’s coming to know the client. The five aims of nursing
interventions are building trust, promoting the client’s positive orientation, promoting the client’s control,
affirming and promoting the client’s strength, and setting health-directed mutual goals while meeting the
client’s needs (e.g., biophysical, safety and security, love and belonging, esteem, and self-esteem) (H. C.
Erickson et al., 1983; M. E. Erickson, 2014).
Usefulness
The model has been the basis for a series of conferences incorporating MRM into research, practice settings,
and curricula. Adherents of the theory state that it has been used in courses or in the curricula of several
universities. These include East Carolina University, Greenville, North Carolina; Harding University School
of Nursing, Searcy, Arkansas; Metropolitan State University, St. Paul, Minnesota; St. Catherine University
School of Nursing, St. Paul, Minnesota; University of Texas at Austin School of Nursing, Austin, Texas;
Washtenaw Community College School of Nursing, Ann Arbor, Michigan; and Lamar University Department
of Nursing, Beaumont, Texas (M. E. Erickson, 2014).
Testability
MRM provides assumptions and relationships that are amenable to testing and have been and continue to be
tested in research. The model has been used by nurses who have studied with Erickson, Tomlin, and Swain,
and many theses and dissertations have incorporated elements of the model. Box 8-2 lists some of the current
works using MRM in research.
Box 8-2
Examples of Research Studies Using Modeling and Role-Modeling
Theory
Goldstein, L. A. (2013). Relationships among quality of life, self-care, and affiliated individuation in persons
on chronic warfarin therapy (Doctoral dissertation). University of Texas, Austin, TX. Retrieved from
https://repositories.lib.utexas.edu/handle/2152/21865
Gregg, S. R., & Twibell, K. R. (2016). Try-It-On: Experiential learning of holistic stress management in a
graduate nursing curriculum. Journal of Holistic Nursing, 34(3), 300–308.
doi:10.1177/0898010115611788
Koren, M. E., & Papamiditriou, C. (2013). Spirituality of staff nurses: Application of modeling and role
modeling theory. Holistic Nursing Practice, 27(1), 37–44.
Merryfeather, L. (2015). Passionate scholarship or academic safety: An ethical issue. Journal of Holistic
Nursing, 33(1), 60–67.
Parsimony
The MRM theory is not parsimonious. Its complexity, however, reflects human beings, to whom it applies.
MRM incorporates several borrowed theories that are synthesized for use in nursing science. The many
linkages among the concepts and multiple levels need to be addressed, and considerable explanation is needed
to enhance understanding of the tenets of the theory for nursing practice and for client care activities.
However, nurses who use the theory are grateful for the fit it has with their practice.
Value in Extending Nursing Science
In addition to the uses of MRM in nursing education, practice, and research, three middle range nursing
theories have been based on MRM. Acton (1997) developed a model describing affiliated-individuation, Irvin
and Acton (1996) described caregiver stress, and Rogers (1996) discussed the concept of facilitative
affiliation.
MRM theory is used in education, practice, and research. Research has been completed with people of all
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https://repositories.lib.utexas.edu/handle/2152/21865
ages and with those who are suffering from many different health problems. According to those who espouse
the theory, its major attraction is that it is practical, reflects the domain of nursing, and is a realistic model for
guiding research, practice, and education.
Imogene King: King’s Conceptual System and Theory of Goal
Attainment and Transactional Process
King’s theory evolved from early writings about theory development. In her first book in 1971, she
synthesized scholarship from nursing and related disciplines into a theory for nursing (King, 1971). She wrote
the Theory of Goal Attainment in 1980. The most recent edition (King, 1995a) contains further refinements
and more detailed explanation of the general nursing framework and the theory.
Background of the Theorist
Imogene King graduated from St. John’s Hospital School of Nursing in St. Louis, Missouri, with a diploma in
nursing in 1945. She received a bachelor of science in nursing education from St. Louis University in 1948
and a master’s of science in nursing from the same school in 1957. In 1961, she received the doctor of
education degree from Teacher’s College, Columbia University, in New York (Sieloff & Messmer, 2014).
She held a variety of staff nursing, educational, research, and administrative roles throughout her professional
life. She worked as a research consultant for the Division of Nursing in the Department of Health, Education,
and Welfare for several years before moving to Tampa, Florida, in 1980, assuming the position of professor at
the University of South Florida College of Nursing (Sieloff & Messmer, 2014). She remained active in
professional organizations for many years. When she died in 2008, her work was widely celebrated by her
colleagues (Mensik, 2008; Mitchell, 2008; Smith, Wright, & Fawcet, 2008; Stevens & Messmer, 2008).
Philosophical Underpinnings of the Theory
The von Bertalanffy General Systems Model is acknowledged to be the basis for King’s work. She stated that
the science of wholeness elucidated in that model gave her hope that the complexity of nursing could be
studied “as an organized whole” (King, 1995b, p. 23).
Major Assumptions, Concepts, and Relationships
King’s conceptual system and theory contain many concepts and multiple assumptions and relationships. A
few of the assumptions, concepts, and relationships are presented in the following sections. The scholar
wishing to use King’s model or theory is referred to the original writings as both the model and theory are
complex (Figure 8-2).
Figure 8-2 A model of nurse–patient interactions.
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(Source: King, I. M. [1981]. A theory for nursing: Systems, concepts, process [p. 61]. Reprinted with permission of Sage Publications.)
Assumptions
The Theory of Goal Attainment lists several assumptions relating to individuals, nurse–client interactions, and
nursing. When describing individuals, the model shows that individuals (1) are social, sentient, rational,
reacting beings and (2) are controlling, purposeful, action oriented, and time oriented in their behavior (King,
1995b).
Regarding nurse–client interactions, King (1981) believed that (1) perceptions of the nurse and client
influence the interaction process; (2) goals, needs, and values of the nurse and client influence the interaction
process; (3) individuals have a right to knowledge about themselves; (4) individuals have a right to participate
in decisions that influence their lives, health, and community services; (5) individuals have a right to accept or
reject care; and (6) goals of health professionals and goals of recipients of health care may not be congruent.
With regard to nursing, King (1995b) wrote that (1) nursing is the care of human beings; (2) nursing is
perceiving, thinking, relating, judging, and acting vis-à-vis the behavior of individuals who come to a health
care system; (3) a nursing situation is the immediate environment in which two individuals establish a
relationship to cope with situational events; and (4) the goal of nursing is to help individuals and groups
attain, maintain, and restore health. If this is not possible, nurses help individuals die with dignity.
Concepts
King’s Theory of Goal Attainment defines the metaparadigm concepts of nursing as well as a number of
additional concepts. Table 8-4 lists some of the major concepts.
Table 8-4 Major Concepts of the Theory of Goal Attainment
Concept Definition
Nursing A process of action, reaction, and interaction whereby nurse and client share
information about their perceptions in the nursing situation. The nurse and client
share specific goals, problems, and concerns and explore means to achieve a goal.
Health A dynamic life experience of a human being, which implies continuous adjustment
to stressors in the internal and external environment through optimum use of one’s
resources to achieve maximum potential for daily living.
Individuals Social beings who are rational and sentient. Humans communicate their thoughts,
actions, customs, and beliefs through language. Persons exhibit common
characteristics such as the ability to perceive, to think, to feel, to choose between
alternative courses of action, to set goals, to select the means to achieve goals, and
to make decisions.
Environment The background for human interactions. It is both external to and internal to the
individual.
Perception The process of human transactions with environment. It involves organizing,
interpreting, and transforming information from sensory data and memory.
Communication A process by which information is given from one person to another, either directly
in face-to-face meetings or indirectly. It involves intrapersonal and interpersonal
exchanges.
Interaction A process of perception and communication between person and environment and
between person and person represented by verbal and nonverbal behaviors that are
goal-directed.
Transaction A process of interactions in which human beings communicate with the
environment to achieve goals that are valued; transactions are goal-directed human
behaviors.
Stress A dynamic state in which a human interacts with the environment to maintain
balance for growth, development, and performance; it is the exchange of
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information between human and environment for regulation and control of
stressors.
Source: King (1981).
Relationships
The Theory of Goal Attainment encompasses a great many relationships, many of them complex. King
organized them into useful propositions that enhance the understanding of the relationships of the theory. A
review of some relationships among the theory’s concepts follows:
Nurse and client are purposeful interacting systems.
Nurse and client perceptions, judgments, and actions, if congruent, lead to goal-directed transactions.
If perceptual accuracy is present in nurse–client interactions, transactions will occur.
If nurse and client make transactions, goals will be attained.
If goals are attained, satisfaction will occur.
If goals are attained, effective nursing care will occur.
If transactions are made in nurse–client interactions, growth and development will be enhanced.
If role expectations and role performance as perceived by nurse and client are congruent, transactions
will occur.
If role conflict is experienced by nurse or client or both, stress in nurse–client interactions will occur.
If nurses with special knowledge and skills communicate appropriate information to clients, mutual
goal setting and goal attainment will occur (King, 1981, pp. 61, 149).
Usefulness
King’s Theory of Goal Attainment has enhanced nursing education. For example, it served as a framework for
the baccalaureate program at the Ohio State University School of Nursing, where it determined the content
and processes taught at each level of the program (Daubenmire, 1989). Similarly, in Sweden, King’s model
was used to organize nursing education (Frey, Rooke, Sieloff, Messmer, & Kameoka, 1995). In more recent
years, King’s model has been useful in nursing education programs in Sweden, Portugal, Canada, and Japan
(Sieloff & Messmer, 2014).
King’s conceptual system is an organizing guide for nursing practice. In one example, Caceres (2015)
used King’s Theory of Goal Attainment to explore and expand upon the concept of functional status,
concluding that evaluation of functional status is vital and should be incorporated within mutual decision-
making processes from the client family’s perspective. M. L. Joseph, Laughon, and Bogue (2011) examined
the “sustainable adoption of whole-person care” (p. 989) in a Florida hospital guided by King’s Theory of
Goal Attainment. Finally, Gemmill and colleagues (2011) assessed nurses’ knowledge about and attitudes
toward ostomy care using King’s Theory of Goal Attainment to guide the research. Their findings explained
that it is difficult for staff nurses to maintain their clinical abilities when there are few opportunities.
Maintaining currency may require creative teaching interventions, such as simulations.
Testability
Parts of the Theory of Goal Attainment have been tested, and a number of research studies reported in the
literature used the model as a conceptual framework. For example, recent research includes a study by L.
Joseph (2013) who used King’s Theory of Goal Attainment to evaluate the effectiveness of a teaching
program to improve accuracy on pediatric growth measurements. In other works, Chacko, Kharde, and
Swamy (2013) used King’s theory as the framework to assess the efficacy of use of infrared lamps on
reducing pain and inflammation due to episiotomy, and Isac, Venkatesaperumal, and D’Sousa (2013) used
King’s theory to develop and evaluate the efficacy of a nurse-led information desk on assisting patients to
manage their sickle cell disease.
Parsimony
The conceptual system and theory were presented together in several versions of King’s writings and remain
largely as written in 1981. The theory is not parsimonious, having numerous concepts, multiple assumptions,
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many statements, and many relationships on a number of levels. This complexity, however, mirrors the
complexity of human transactions for goal attainment. The model is general and universal and can be the
umbrella for many midrange and practice theories.
Value in Extending Nursing Science
In addition to application in practice and research described previously, King’s work has been the basis for
development of several middle range nursing theories. For example, the Theory of Goal Attainment was used
by Rooda (1992) to develop a model for multicultural nursing practice. King’s Systems Framework was
reportedly used by Alligood and May (2000) to develop a theory of personal system empathy and by
Doornbos (2000) to derive a middle range theory of family health.
King’s conceptual system and theory have been used internationally in Australia, Brazil, Canada,
Pakistan, and Sweden, as well as in numerous university nursing programs in the United States, and have
provided a foundation for many research studies. Her work has extended nursing science by its usefulness in
education, practice, and research across international boundaries (King, 2001; Sieloff & Messmer, 2014).
Sister Callista Roy: The Roy Adaptation Model
The Roy Adaptation Model (RAM) focuses on the interrelatedness of four adaptive systems. Like many of the
models/theories in this unit, it is a deductive theory based on nursing practice. The RAM guides the nurse who
is interested in physiologic adaptation as well as the nurse who is interested in psychosocial adaptation.
Background of the Theorist
Sister Callista Roy is a member of the Sisters of Saint Joseph of Carondelet. She received a bachelor of
science in nursing from Mount Saint Mary’s College in Los Angeles, California, a master’s of science in
nursing from UCLA, and a master’s degree and doctorate in sociology from UCLA (Phillips & Harris, 2014).
Roy first proposed the RAM while studying for her master’s degree at UCLA, where Dorothy Johnson
challenged students to develop conceptual models of nursing (Phillips & Harris, 2014; Roy, 2009). Her work
is known internationally; she has presented at conferences in at least 36 countries and throughout the United
States. She has received numerous honors and awards for her scholarly and professional work. She was an
inaugural inductee into Sigma Theta Tau International’s Nurse Researcher hall of fame. In 2007, she was
awarded the American Academy of Nursing’s Living Legend award. She is currently professor and nurse
theorist at Boston College’s Connell School of Nursing (Connell School of Nursing, 2016).
Philosophical Underpinnings of the Theory
Johnson’s nursing model was the impetus for the development of the RAM. Roy also incorporated concepts
from Helson’s Adaptation Theory, von Bertalanffy’s System Model, Rapoport’s System Definition, the stress
and adaptation theories of Dohrenrend and Selye, and the Coping Model of Lazarus (Phillips & Harris, 2014).
Major Assumptions, Concepts, and Relationships
Assumptions
In the RAM, assumptions are specified as philosophical, scientific, and cultural (Roy, 2009). Philosophical
assumptions include:
Persons have mutual relationships with the world and God.
Human meaning is rooted in the omega point convergence of the universe.
God is intimately revealed in the diversity of creation.
Persons use human creative abilities of awareness, enlightenment, and faith.
Persons are accountable for sustaining and transforming the universe (Roy, 2009, p. 31).
Scientific assumptions of the RAM for the 21st century include:
Systems of matter and energy progress to higher levels of complex self-organization.
Consciousness and meaning constitute person and environment integration.
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Self and environmental awareness is rooted in thinking and feeling.
Human decisions account for integration of creative processes.
Thinking and feeling mediate human action.
System relationships include acceptance, protection, and fostering interdependence.
Persons and the earth have common patterns and integral relationships.
Person and environment transformations are created in human consciousness.
Integration of human and environment results in adaptation (Roy, 2009, p. 1).
Cultural assumptions include:
Cultural experiences influence how RAM is expressed.
A concept central to the culture may influence the RAM to some extent.
Cultural expressions of the RAM may lead to changes in practice activities such as nursing assessment.
As RAM evolves within a culture, implications for nursing may differ from experience in the original
culture (Roy, 2009, p. 31).
All elements of the model are part of the care of clients and groups. The nurse undertakes a bilevel
assessment to accurately define the problem and come to decisions on the plan of care. The process in
formulating the nursing plan is intricate and is prescriptive in its objectives.
Concepts
The RAM contains many defined concepts, including the metaparadigm concepts. Table 8-5 lists some of
these.
Table 8-5 Major Concepts of the Roy Adaptation Model
Concept Definition
Environment Conditions, circumstances, and influences that affect the development and behavior
of humans as adaptive systems.
Health A state and process of being and becoming integrated and whole.
Person “The human adaptive system” and defined as “a whole with parts that function as a
unity for some purpose. Human systems include people groups organizations,
communities, and society as a whole” (p. 31).
Goal of nursing The “promotion of adaptation in each of the four modes” (p. 31).
Adaptation The “process and outcome whereby thinking and feeling persons as individuals or
in groups use conscious awareness and choice to create human and environmental
integration” (p. 30).
Focal stimuli Those stimuli that are the proximate causes of the situation.
Contextual stimuli All other stimuli in the internal or external environment, which may or may not
affect the situation.
Residual stimuli Those immeasurable and unknowable stimuli that also exist and may affect the
situation.
Cognator subsystem “A major coping process involving four cognitive-emotive channels: perceptual
and information processing, learning, judgment, and emotion” (p. 31).
Regulator subsystem “A basic type of adaptive process that responds automatically through neural,
chemical, and endocrine coping channels” (p. 46).
Stabilizer control
processes
The structures and processes aimed at system maintenance and involving values
and daily activities whereby participants accomplish the primary purpose of the
group and contribute to the common purposes of the society.
Innovator control
processes
The internal subsystem that involves structures and processes for growth.
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Source: Roy and Andrews (1999).
Relationships
Roy’s model is composed of four adaptive modes that constitute the specific categories that serve as
framework for assessment (Figure 8-3). Through the four modes, “Responses to and interaction with the
client’s environment are carried out and adaptation can be observed” (Roy, 2009, pp. 69–72).
Figure 8-3
(From Roy, S. C., & Andrews, H. A. The Roy Adaptation Model, 2nd ed., © 1998. Reprinted by permission of Pearson Education, Inc., New
York, New York.)
They are the:
1. Physiologic–physical mode: Physical and chemical processes involved in the function and activities of
living organisms; the underlying need is physiologic integrity: the degree of wholeness achieved
through adaptation to changes in needs. In groups, this is the manner in which human systems
manifest adaptation to basic operating resources.
2. Self-concept–group identity mode: Focuses on psychological and spiritual integrity and a sense of
unity, meaning, and purposefulness in the universe.
3. Role function mode: Refers to the roles that individuals occupy in society fulfilling the need for social
integrity; it is knowing who one is, in relation to others.
4. Interdependence mode: The close relationships of people and their purpose, structure, and
development, individually and in groups, and the adaptation potential of these relationships.
Two subsystems require assessment in the RAM: the regulator and the cognator. These are coping
subsystems that allow the client to adapt and make changes when stressed. The regulator is the physiologic
coping subsystem, and the cognator is the cognitive–emotive coping subsystem (Roy, 2009). In her writing,
Roy (2011a) explained how the four modes work in communities and globally. She stated that “this
theoretical work . . . portends well . . . for nurse scholars to meet the challenges . . . for the nursing role in the
global community” (Roy, 2011a, p. 350).
Usefulness
The RAM has been used extensively to guide practice and to organize nursing education. International
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conferences on the RAM have been conducted across the United States and abroad (Roy, 2009). The RAM
was adopted as a component of the curricular framework of such widely diverse colleges and departments of
nursing as Mount Saint Mary’s College Department of Nursing; the University of Texas at Austin School of
Nursing; Boston College School of Nursing; and the nurse practitioner program at the University of Miami in
Florida. The RAM has also been implemented internationally at the University of Ottawa School of Nursing
and in university schools of nursing in Japan and France (Phillips & Harris, 2014).
Several middle range nursing theories derived from the RAM were recently compiled into a book edited
by Roy (2014a). These included a middle range theory of coping (Roy, 2014b), a middle range theory of
adapting to loss (Dobratz, 2014), and a middle range theory of adapting to chronic health conditions (Buckner
& Hayden, 2014). Other examples from the literature are the middle range theory of adaptive spirituality
(Dobratz, 2016) and a middle range theory of psychological adaptation (Lévesque, Ricard, Ducharme,
Duquette, & Bonin, 1998).
Testability
The RAM is testable. Indeed, an international nursing society specifically focused on researching adaptation
nursing, Roy Adaptation Association (RAA), is based in Boston College School of Nursing (Connell School
of Nursing, 2016). The goal of the RAA is “to advance nursing practice by developing basic and clinical
nursing knowledge based on the Roy Adaptation Model” (RAA, 2016), and the association meets regularly to
present research efforts to that end. Box 8-3 lists a few recent examples of nursing research using aspects of
the RAM.
Box 8-3 Examples of Studies Using the Roy Adaptation Model
Aber, C., Weiss, M., & Fawcett, J. (2013). Contemporary women’s adaptation to motherhood: The first 3 to
6 weeks postpartum. Nursing Science Quarterly, 26(4), 344–351.
Akyil, R. Ç., & Ergüney, S. (2013). Roy’s adaptation model-guided education for adaptation to chronic
obstructive pulmonary disease. Journal of Advanced Nursing, 69(5), 1063–1075.
Bockwoldt, D., Staffileno, B. A., Coke, L., & Quinn, L. (2016). Perceptions of insulin treatment among
African Americans with uncontrolled type 2 diabetes. Journal of Transcultural Nursing, 27(2), 172–180.
Buckner, B. S., & Buckner, E. B. (2015). Post-revolution Egypt: The Roy adaptation model in community.
Nursing Science Quarterly, 28(4), 300–307.
Kaur, H., & Mahal, R. (2013). Development of nursing assessment tool: An application of Roy’s adaptation
theory. International Journal of Nursing Education, 5(1), 60–64.
Perrett, S. E., & Biley, F. C. (2013). A Roy model study of adapting to being HIV positive. Nursing Science
Quarterly, 26(4), 337–343.
Pullen, L., Modrcin, M. A., McGuire, S. L., Lane, K., Kearnely, M., & Engle, S. (2015). Anger in adolescent
communities: How angry are they? Pediatric Nursing, 41(3), 135–140.
Seah, X. Y., & Tham, X. C. (2015). Management of bulimia nervosa: A case study with the Roy adaptation
model. Nursing Science Quarterly, 28(2), 136–141.
Parsimony
The RAM is not parsimonious because of its many elements, systems, structures, and concepts. However,
Clarke, Barone, Hanna, and Senesac (2011) state that the RAM is “accessible, elegant and practical” (p. 338)
in its presentation. It is complete and comprehensive, and it attempts to explain the reality of the clients so that
nursing interventions can be specifically targeted. The nursing assessment is conducted on two levels and is
extensive and complex. It requires assessment of the stimuli to which the client is responding and of the
coping subsystems. It targets the client in the four adaptive modes, and an assessment must be made to
determine how effectively the subsystems (i.e., cognator and regulator) are working.
Value in Extending Nursing Science
The RAM has been a valuable asset in extending nursing science. Phillips and Harris (2014) summarized the
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impact of the RAM on nursing practice, education, and administration, stating that it has contributed
significantly to the science and practice of nursing. Indeed, the RAM has generated hundreds of research
studies and has contributed to nursing education for more than 35 years (Roy, 2011b). Frederickson (2011)
states that chapters of the RAM society are present in such disparate areas such as several countries of South
America as well as Japan, thus extending the reach of Roy’s principles globally. Indeed, the RAM is used in
almost every country in Europe, Asia, South America, and others as well (Clarke et al., 2011). Roy (2011a)
states that “ . . . the criteria for good . . . is to promote adaptation of individuals and groups; to transform a
society to one that promotes dignity, and to sustain and transform the universe” (p. 346).
Jean Watson: Human Caring Science, A Theory of Nursing
Jean Watson’s (2012) Human Caring Science: A Theory of Nursing is the title of Jean Watson’s latest work. It
was renamed “to convey a deeper human to human involvement and connection” (p. xi). This theory is one of
the newest of nursing’s grand theories, having first been completely codified in 1979, revised in 1985
(Watson, 1988), and broadened and advanced several times. Watson (1985) initially called her work a
descriptive theory of caring and stated that it was the only theory of nursing to incorporate the spiritual
dimension of nursing at the time it was first conceptualized. The theory is both deductive and inductive in its
origins and is written at an abstract level of discourse.
It is somewhat difficult to categorize Watson’s work with the works of other nursing theorists. It has many
characteristics of a human interaction model, although it also incorporates many ideals of the unitary process
theories, which are discussed in Chapter 9. Watson has always described the human as a holistic, interactive
being and is now explicit in describing the human as an energy field and in explaining health and illness as
manifestations of the human pattern (Watson, 2012), two tenets of the unitary process theories. Parse (2014)
points out, however, that although theorists profess belief in unitary human beings, other definitions and
relationships still separate theories from the interactive process paradigms and the unitary process nursing
paradigms. Based on overall considerations, the philosophy and science of caring reflects the interactive
process nursing theories.
Background of the Theorist
Jean Watson was born in West Virginia in 1939 and attended Lewis-Gale School of Nursing in Roanoke,
Virginia. She earned a bachelor’s degree in nursing, master’s of science degrees in psychiatric–mental health
nursing and sociology and a doctorate in educational psychology and counseling, all from the University of
Colorado (Jesse & Alligood, 2014). Watson is an internationally published author, having written many
books, book chapters, and articles about the science of human caring (Watson, 1994, 1996, 1999, 2005, 2008,
2012).
Watson was formerly dean of the School of Nursing at the University of Colorado, and she founded and
directed the Center for Human Caring at the Health Sciences Center in Denver. She has received numerous
awards and honors and is a distinguished professor of nursing and dean emerita at the University of Colorado
Denver College of Nursing and Anschutz Medical Center, where she held an endowed chair in Caring Science
for 16 years (Jesse & Alligood, 2014). She is a fellow of the American Academy of Nursing and past
president of the National League for Nursing, and some of her honors include Fetzer Institute Norman
Cousins Award; an International Kellogg Fellowship in Australia; a Fulbright research award in Sweden; and
10 honorary doctoral degrees, including those from Sweden, United Kingdom, Spain, British Columbia and
Quebec in Canada, and Japan (Watson Caring Science Institute [WCSI] 2016a). Dr. Watson has been formally
designated a “living legend in Nursing” by the American Academy of Nursing (WCSI, 2016a).
Philosophical Underpinnings of the Theory
Watson (1988) noted that she drew parts of her theory from nursing writers, including Nightingale and
Rogers. She also used concepts from the works of psychologists Giorgi, Johnson, and Koch as well as
concepts from philosophy. She reported being widely read in these disciplines and synthesized a number of
diverse concepts from them into nursing as a science of human caring. Watson (2012) further conveys the
ideal that changing the title and the use of the words “human caring” and “caring” are meant to convey the
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ideal of the depth of involvement between humans that is the experience of nurses (p. xi).
Major Assumptions, Concepts, and Relationships
The value system that permeates Watson’s Human Caring Science includes a “deep respect for the wonders
and mysteries of life” (Watson, 1988, p. 34) and recognition that spiritual and ethical dimensions are major
elements of the human care process. Furthermore, she explained that in order to care for humans, there must
be a deep responsibility to care for the planet itself (Watson, 2012). A number of assumptions are both stated
and implicit in her theory. Additionally, several concepts were defined, refined, and adapted for it. From this,
10 carative factors were developed (Box 8-4).
Box 8-4 Watson’s 10 Carative Processes
1. Practicing loving-kindness and equanimity within context of caring consciousness
2. Being authentically present and enabling, and sustaining the deep belief system and subjective life
world of self and one-being cared for
3. Cultivating one’s own spiritual practices and transpersonal self, going beyond ego-self
4. Developing and sustaining a helping–trusting, authentic, caring relationship
5. Being present to and supportive of the expression of positive and negative feelings
6. Creatively using self and all ways of knowing as part of the caring process; engaging in artistry of
caring-healing practices
7. Engaging in genuine teaching–learning experience that attends to wholeness and meaning, attempting to
stay within other’s frame of reference
8. Creating healing environment at all levels, whereby wholeness, beauty, comfort, dignity, and peace are
potentiated
9. Assisting with basic needs, with an intentional caring consciousness, administering “human care
essentials” which potentiate alignment of mind-body-spirit, wholeness in all aspects of care
10. Opening and attending to mysterious dimensions of one’s life-death; soul care for self and the one-
being-cared for; “allowing and being open to miracles”
Source: Watson Caring Science Institute (2016b).
Assumptions
Watson (2012) describes the tenets of human caring science. She proposed that caring and love are universal
and mysterious “cosmic forces” that comprise the primal and universal psychic energy. She believes that
health professionals make social, moral, and scientific contributions to humankind and that nurses’ caring
ideal can affect human development. Furthermore, she explained that it is critical in today’s society to sustain
human caring ideals and a caring ideology in practice, as there has been a proliferation of radical treatment
and “cure techniques,” often without regard to costs or human considerations. She concluded that human
caring goes “beyond objectivism, verification, rigid operations, and definitions, and concern itself more with
meaning, relationships, intersubjective and intrasubjective context and patterns”(Watson, 2012, p. 2).
Explicit assumptions that were derived for Watson’s (2005) work include:
An ontologic assumption of oneness, wholeness, unity, relatedness, and connectedness.
An epistemologic assumption that there are multiple ways of knowing.
Diversity of knowing assumes all, and various forms of evidence can be included.
A caring science model makes these diverse perspectives explicitly and directly.
Moral-metaphysical integration with science evokes spirit; this orientation is not only possible but also
necessary for our science, humanity, society-civilization, and world-planet.
A caring science emergence, founded on new assumptions, makes explicit an expanding unitary,
energetic worldview with a relational human caring ethic and ontology as its starting point.
Concepts
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Watson (2012) defined three of the four metaparadigm concepts (human, health, and nursing). She coined
several other concepts and terms that are integral to understanding the science of human caring (Table 8-6).
Her 10 caritas processes are caring needs specific to human experiences that should be addressed by nurses
with their clients in the caring role (Watson, 2012; WCSI, 2016b). The carative processes are listed in Box 8-
4.
Table 8-6 Major Concepts of the Science of Human Caring
Concept Definition
Human “A unique, valued and precious person . . . to be cared for, respected, nurtured,
understood, and assisted” (p. 19).
Health “. . . subjective experience . . . unity and harmony with body-mind-spirit. Health is
associated with the degree of congruence between the self as perceived and the self
as experienced” (p. 60).
Nursing “A human caring science of persons and human health–illness experiences that are
mediated by professional, personal, scientific, esthetic, and ethical human care
connections and relationships” (p. 66).
Actual caring
moment occasion
“Involves actions and choice both by the nurse and the individual. The moment of
coming together in a caring moment occasion presents the two persons with the
opportunity to decide how to be in the relationship—what to do with the moment”
(p. 71).
Transpersonal caring
moment
“Includes the nurse’s consciousness, intentionality and unique energetic health
presence . . . in which he or she transmits and reflects the person’s condition back
to that person . . . in a way that allows for the release and flow of his or her
intersubjective feelings and thoughts and pent-up energy. . . it opens up shared
access to spirit-filled source of infinity” (p. 70).
Phenomenal field “The totality of human experience (one’s being in the world) . . . is the individual’s
frame of reference that can only be known to that person” (p. 67).
Life “Human life . . . is defined as spiritually, mentally, emotionally and physically
being-in-the-world as a unitary being which is continuous in time and space” (p.
59).
Harmony-
disharmony
“Where there is disharmony among the mind, body and soul or between a person
and his or her nature and relationship with the larger world/universe, there is a
disjunctive between the self as perceived and one’s actual experience . . . If there is
harmony and unity of mind-body-spirit, then a sense of congruence exists . . .
between the self as perceived and the self as experienced by the person” (p. 69).
Time “The present is more subjectively real and the past is both objectively and
subjectively real. The past is prior to, or in a different mode of being, than the
present, but it is not clearly distinguishable. Past, present, and future instants merge
and fuse” (p. 73).
Source: Watson (2012).
Relationships
Watson has refined and updated the relationships of the theory, bringing them closer to her current way of
understanding human caring and spirituality. Her continued study has involved lengthy examination of her
beliefs about caring, spirituality, and human and energy fields (Watson, 2005, 2008). The following are some
of the relationships of the theory:
A transpersonal caring field resides within a unitary field of consciousness and energy that transcends
time, space, and physicality.
A transpersonal caring relationship connotes a spirit-to-spirit unitary connection within a caring
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moment, honoring the embodied spirit of both practitioner and patient within a unitary field of
consciousness.
A transpersonal caring relationship transcends the ego level of both practitioner and patient, creating a
caring field with new possibilities for how to be in the moment.
The practitioner’s authentic intentionality and consciousness of caring has a higher frequency of energy
than noncaring consciousness, opening up connections to the universal field of consciousness and
greater access to one’s inner healer.
Transpersonal caring is communicated via the practitioner’s energetic patterns of consciousness,
intentionality, and authentic presence in a caring relationship.
Caring-healing modalities are often noninvasive, nonintrusive, natural-human, energetic environmental
field modalities.
Transpersonal caring promotes self-knowledge, self-control, and self-healing patterns and possibilities.
Advanced transpersonal caring modalities draw on multiple ways of knowing and being; they
encompass ethical and relational caring, along with those intentional consciousness modalities that are
energetic in nature (e.g., form, color, light, sound, touch, vision, scent) that honor wholeness, healing,
comfort, balance, harmony, and well-being (Watson, 2005, p. 6).
Usefulness
Watson’s works and the Science of Human Caring are used by nurses in diverse settings. For example,
Brockopp and colleagues (2011) detail an evidence-based, practice-based practice model grounded in
Watson’s theory of caring. The 10 carative factors are explicated throughout the hospital to provide a
framework for nursing activities in this magnate hospital. The outcomes include 34 research projects, 9
published articles, and 9 funded research studies. Furthermore, the nurses “maintain high levels of work
satisfaction, strong retention rates and a large percentage of associate-degree nurses return to school for
baccalaureate degrees” (Brockopp et al., 2011, p. 511).
In other examples, Hills and colleagues (2011) developed a text to promote caring science curriculum in
nursing, which they called an emancipatory pedagogy for nursing. It is based on Watson’s science of caring
and explores an alternative method of student evaluation. Lukose (2011) developed a practice model for
Watson’s theory of caring that “can be used by nurse educators to teach staff nurses and students” (p. 27).
Sitzman and Watson (2014) developed methods of implementing Watson’s human caring theory, which
includes complete instructions in implementing caritas and mindful practices that Sitzman has used for
decades in her practice. Sitzman (2015) also determined that all 10 caritas factors were at work with students
and validated the possibility and responsibility for educators “to fully address the needs, and facilitate student
growth learning and apprehension of caring in the online educational environment” (p. 26). Finally, Link to
Practice 8-1 illustrates how Watson’s work can be used to help alleviate stress among nurses.
Link to Practice 8-1
Jean Willowby, the nurse from the opening case study, and her preceptor, Allison Manheim, were having
coffee one morning in their hospital’s cafeteria. During their conversation, Allison told Jean that there
appeared to be an increasing number of nurses in the pediatric intensive care unit (PICU) who were taking
unscheduled personal days. She explained that the absences seemed to follow the death of a baby or young
child and questioned whether the nurses might be experiencing increased levels of stress related to the
death of one of their patients. Following the discussion, Jean decided to study the relationship between
nurse absenteeism and loss of a patient and to devise a solution for the capstone nursing project required
for her program.
Jean’s project involved application of Watson’s Caritas Processes to work with the PICU nurses to
reduce stress. She devised several interventions focused on “caring for one’s self” and “caring for each
other.” She and Allison held both scheduled and impromptu counseling sessions to “develop and sustain
helping-trusting and caring relationships.” Jean also worked to develop interventions to “create a healing
environment” and “align mind-body and spirit” of the nurses. According to the scores on a stress
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instrument the nurses were asked to complete, Jean found that holding touch therapy sessions—during
which the nurses could openly share their personal stories—seemed to be the most useful in stress
reduction. Another effective intervention was back and foot massage, combined to listening to soft music,
after a shift.
Following implementation of the various caring process interventions, the nurses were able to better
tolerate the stressors of the PICU. Furthermore, hospital administrators noted a decrease in unscheduled
personal days. These findings were striking enough that Jean was hired after her graduation to continue to
develop stress-reduction and caring interventions for all staff.
Testability
Testing of Watson’s theory and dissemination of findings are progressing. The science allows both
quantitative and qualitative research methods. Indeed, Watson’s science of caring has been researched by an
extremely large number of nurses. A number of recent research articles are listed in Box 8-5.
Box 8-5 Examples of Research Using Watson’s Model
Arslan-Özkan, I., Okumus˛, H., & Buldukog˘lu, K. (2014). A randomized controlled trial of the effects of
nursing care based on Watson’s theory of human caring on distress, self-efficacy and adjustment in
infertile women. Journal of Advanced Nursing, 70(8), 1801–1812. doi:10.1111/jan.12338.
Berry, D. M., Kaylor, M. B., Church, J., Campbell, K., McMillin, T., & Wamsley, R. (2013). Caritas and job
environment: A replication of Persky et al. Contemporary Nurse, 43(2), 237–243.
Cooley, S. S., & DeGagne, J. C. (2016). Transformative experience: Developing competence in novice
nursing faculty. The Journal of Nursing Education, 55(2), 96–100. doi:10.3928/01484834-20160114-07
Derby-Davis, M. J. (2014). Predictors of nursing faculty’s job satisfaction and intent to stay in academe.
Journal of Professional Nursing, 30(1), 19–25. doi:10.1016/j.profnurs.2013.04.001
Lamke, D., Catlin, A., & Mason-Chadd, M. (2014). “Not just a theory”: The relationship between Jin Shin
Jyutsu® self-care training for nurses and stress, physical health, emotional health, and caring efficacy.
Journal of Holistic Nursing, 32(4), 278–289. doi:10.1177/0898010114531906
Ozan, Y. D., Okumus˛, H., & Lash, A. A. (2015). Implementation of Watson’s theory of human caring: A
case study. International Journal of Caring Sciences, 8(1), 25–35.
Ozkan, I. A., Okumus˛, H., Buldukoglu, K., & Watson, J. (2013). A case study based on Watson’s theory of
human caring: Being an infertile woman in Turkey. Nursing Science Quarterly, 26(4), 352–359.
doi:10:1177/0894318413500346
Reed, F. M., Fitzgerald, L., & Rae, M. (2016). Mixing methodology, nursing theory and research design for
a practice model of district nursing advocacy. Nurse Researcher, 23(3), 37–41. doi:10.7748/nr.23.3.37.s8
Rew, L. (2014). Intentional, present and grateful: Holistic nursing research with homeless youths.
Beginnings, 34(2), 16–20.
Torregosa, M. B., Ynalvez, M. A., & Morin, K. H. (2016). Perceptions matter: Faculty caring, campus racial
climate and academic performance. Journal of Advanced Nursing, 72(4), 864–877.
doi:10.1111/jan.12877
Wicklund Gustin, L., & Wagner, L. (2013). The butterfly effect of caring—clinical nursing teachers’
understanding of self-compassion as a source to compassionate care. Scandinavian Journal of Caring
Sciences, 27(1), 175–183. doi:10.1111/j.1471-6712.2012.01033.x
Parsimony
Watson’s theory is comparatively parsimonious. Although a number of new concepts and terms are defined,
there are only 10 carative processes or areas to be addressed by nurses. In addition, there are six “working
assumptions” (Watson, 2005, p. 28) and three considerations as to how to frame caring science.
Value in Extending Nursing Science
Watson (2012) explicitly describes the connection between nursing and caring. Her work has been used in
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education and in practice internationally and in numerous research studies. Collectively, findings present
impressive indicators of the value of Watson’s theory of caring to the discipline of nursing.
Summary
The models presented in this chapter all focus on human interactive processes as the basis for nursing care,
research, and education. Some of the theories described (e.g., King and Levine) are among the oldest of the
grand nursing theories, whereas others (e.g., Watson and Artinian) are among the most recently developed.
There is a wide variety of complexity among the models, but each has demonstrated applicability to the
discipline, and all are currently used in schools of nursing, hospital clinical and community settings, and
nursing research.
Like Jean, the nurse in the case study, nurses in all settings will be able to relate to the perspective
described by these theorists. Indeed, the premise that humans are adaptive, holistic beings, in constant
interaction with their environment, is easily applied in nursing practice. Some philosophical bases, concepts,
assumptions, and relationships (e.g., systems focus, adaptation, goal of nursing, and interaction) are relatively
consistently held within the works of this group of theorists, whereas others (e.g., SSOC [Artinian], cognator
and regulator subsystems [Roy], and carative processes [Watson]) are unique to just one theory. Evidence-
based practice (EBP) fits well with these theories and models because they ascribe to outcomes-based
quantitative and to reality-based qualitative research principles.
Nurses studying this group of theories will become aware of how they present and prescribe nursing
practice. Many will undoubtedly consider adopting one as a basis for their own professional practice.
Key Points
The theories in this chapter depend on the ideal that nurses, other health care professionals, and patients are
constantly interacting. The environment defined by most of these theorists is also foremost in individuals’
interactions.
The theorists who have developed these theories and models generally include and provide definitions of the
four metaparadigm concepts of person, health, environment, and nursing. Several also include spirituality
among their concepts.
Most interactive process theories are practice-based and correspond closely to the work of nurses in clinical
practice.
Several interactive process theories are well suited to and are chosen to guide EBP and research to gather
that evidence.
Several of the theories and models in this group have been used or are being used to guide and structure
educational programs in university nursing schools worldwide.
Learning Activities
1. Compare and contrast two of the models or theories presented in this chapter, considering
their usefulness in practice, research, education, and/or administration. Share findings with
classmates.
2. Select one of the models from this chapter and obtain the original work(s) of the theorist.
From the work(s), outline a plan for a research study either using the work as the conceptual
framework or testing components of the work.
3. What concepts, assumptions, or relationships can be studied?
4. To what population(s) can the work be applied?
5. What concepts can be used as study variables?
6. Jean, the nurse from the opening case study, determined that Watson’s theory best fit her
current and future practice as a pediatric nurse practitioner. Review the models presented in
this chapter and determine which could best be used to guide your practice. Share you
observations with classmates.
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9
Grand Nursing Theories Based on Unitary Process
Evelyn M. Wills
Kristin Kowalski is a hospice nurse who wishes to expand the scope of her therapeutic practice. She desires to
delve more deeply into holistic health care, having recently completed courses of study in herbal medicine,
touch therapy, and holistic nursing. Kristin is aware that to practice independently, she needs professional
credentials that will be widely accepted; therefore, she applied to the graduate program of a nationally ranked
nursing school at a large state university.
Because Kristin believes strongly in holistic nursing practice, for her master’s degree, she decided to focus
her study of nursing theories on those that look at the whole person and have a broad, nontraditional view of
health. She is particularly interested in Rosemarie Parse’s Humanbecoming Paradigm because this viewpoint
stresses the individual’s way of being and becoming healthy and the nurse as an intersubjective presence.
Kristin is attracted to Parse’s idea of true presence and wishes to further explore this concept as well as the
rest of the perspective. She hopes to eventually apply it to her practice and use it as the research framework
for her thesis. For her thesis, Kristin wants to examine the experiences of nurses who practice therapeutic
touch. She desires to learn their perceptions of how therapeutic touch interventions help their clients. She also
wants to learn more about Parse’s research method and hopes to use it for her study.
The term simultaneity paradigm was first coined by nursing theorist Rosemarie Parse (1987) to describe a
group of theories that adhered to a unitary process perception of human beings. This group of theorists
believed that humans are unitary beings: energy systems embedded in the universal energy system. Within
this group of theories, human beings are seen as unitary, “Whole, open and free to choose ways of becoming”
(Parse, 1998, p. 6), and health is described as continuous human environmental interchanges (Newman,
1994).
The unitary process nursing model and the work of two of her students are described in this chapter:
Science of Unitary Human Beings (Rogers, 1994), Health as Expanding Consciousness (Newman, 1999), and
Humanbecoming Paradigm (Parse, 2014). The three are grouped together because they are significantly
different in their concepts, assumptions, and propositions when compared to the theories described in
Chapters 7 and 8. They are universal in scope and relatively abstract.
The unitary process theories of nursing reflect the newer views of science in their complexity and view the
human as energy field, as intentional, as dynamic, limitless, and unpredictable. These are views of humans
and their energy fields that place these three theories within the new scientific realm of complexity science
(Davidson, Ray, & Turkel, 2011). Rolfe (2015), however, brings us the realization that nursing as a human
science relies on engagement with persons and that may include art, science, philosophy, music, and other
human endeavors, persons being whole beings. The three theorists, nay, philosophers, Rogers, Newman, and
Parse, attest to the necessity for engagement between persons and families experiencing unwanted changes in
health and the person who would help them, the nurse.
Martha Rogers: The Science of Unitary and Irreducible Human Beings
Martha Rogers first described her Theory of Unitary Man in 1961, and almost from the first, there has been
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widespread controversy and debate among nursing theorists and scholars regarding her work (Phillips, 2010,
2016). Prior to Rogers, it was rare that anyone in nursing viewed human beings as anything other than the
receivers of care by nurses and physicians. Furthermore, the health care system was organized by
specialization, in which nurses and other health providers focused on discrete areas or functions (e.g., a
dressing change, medication administration, or health teaching) rather than on the whole person. As a result, it
took many professionals working in isolation, none of whom knew the whole person, to care for patients.
Rogers’s (1970) insistence that the person was a “unitary energy system” in “continuous mutual interaction
with the universal energy system” (p. 90) dramatically influenced nursing by encouraging nurses to consider
each person as a whole (a unity) when planning and delivering care. Phillips (2013) states that Rogers’s
“vision was concerned with unitary wholes, a vision she used in creating the science of unitary human beings
(SUBH) . . . ” (p. 241). A new and dramatically different ideal in health care.
Background of the Theorist
Martha Rogers was born on May 12, 1914 (the anniversary of Florence Nightingale’s birth) (Dossey, 2010),
in Dallas, Texas. She earned a diploma in nursing from Knoxville General Hospital in 1936 and a bachelor’s
degree from George Peabody College in Nashville, Tennessee, in 1937. She later received a master’s degree
in public health nursing from Teachers College, Columbia University in New York, and a master’s degree in
public health and a doctor of science from The Johns Hopkins University in Baltimore, Maryland (Gunther,
2014).
Rogers became the head of the Division of Nursing of New York University (NYU) in 1954, where she
focused on teaching and formulating and elaborating her theory (Hektor, 1989). She was teacher and mentor
to an impressive list of nursing scholars and theorists, including Newman and Parse, whose works are
described later in the chapter. Rogers continued her work and writing until her death in March 1994.
Philosophical Underpinnings of the Theory
The Science of Unitary and Irreducible Human Beings started as an abstract theory that was synthesized from
theories of numerous sciences; therefore, it was deductively derived. She drew from Einstein’s Theory of
Relativity as well as Heisenberg’s Uncertainty Principle to demonstrate the unpredictability of this universe
(Caratao-Mojica, 2015). Of particular importance was von Bertalanffy’s theory on general systems, which
contributed the concepts of entropy and negentropy and posited that open systems are characterized by
constant interaction with the environment. The work of Rapoport provided a background on open systems,
and the work of Herrick contributed to the premise of evolution of human nature (Rogers, 1994).
Rogers’s synthesis of the works of these scientists formed the basis of her proposition that human systems
are open systems embedded in larger, open environmental systems. She also brought in other concepts,
including the idea that time is unidirectional, that living systems have pattern and organization, and that man
is a sentient, thinking being capable of awareness, feeling, and choosing. From all these theories, and from her
personal study of nature, Rogers (1970) developed her original Theory of Unitary Man. She continuously
refined and elaborated her theory, which she retitled Science of Unitary Humans (Rogers, 1986) and, finally,
shortly before her death, the Science of Unitary and Irreducible Human Beings (Rogers, 1994).
Major Assumptions, Concepts, and Relationships
Assumptions
Rogers (1970) presented several assumptions about man. These are as follows:
Man is a unified whole possessing integrity and manifesting characteristics that are more than and
different from the sum of his parts (p. 47).
Man and environment are continuously exchanging matter and energy with one another (p. 54).
The life process evolves irreversibly and unidirectionally along the space–time continuum (p. 59).
Pattern and organization identify man and reflect his innovative wholeness (p. 65).
Man is characterized by the capacity for abstraction and imagery, language and thought, sensation, and
emotion (p. 73).
Rogers (1990) later revised the term man to human being to coincide with the request for gender-neutral
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language in the social sciences and nursing science.
Concepts
In Rogers’s work, the unitary human being and the environment are the focus of nursing practice. Other
central components are energy fields, openness, pandimensionality, and pattern; these she identified as the
“building blocks” (Rogers, 1970, p. 226) of her system. Rogers also derived three other components for the
model, which served as a basis of her work. These were based on principles of homeodynamics and were
termed resonancy, helicy, and integrality (Rogers, 1990) (Box 9-1). Definitions of the nursing metaparadigm
concepts and other important concepts in Rogers’s work are listed in Table 9-1.
Box 9-1 Principles of Homeodynamics Applied in Rogers’s Theory
1. Resonancy is continuous change from lower to higher frequency wave patterns in human and
environmental fields.
2. Helicy is continuous innovative, unpredictable, increasing diversity of human and environmental field
patterns.
3. Integrality is continuous mutual human and environmental field processes.
Source: Rogers (1990, p. 8).
Table 9-1 Central Concepts of Rogers’s Science of Unitary Human Beings
Concept Definition
Human–unitary human beings “Irreducible, indivisible, multidimensional energy fields identified by
pattern and manifesting characteristics that are specific to the whole
and which cannot be predicted from the knowledge of the parts” (p. 7).
Health “Unitary human health signifies an irreducible human field
manifestation. It cannot be measured by the parameters of biology or
physics or of the social sciences” (p. 10).
Nursing “The study of unitary, irreducible, indivisible human and
environmental fields: people and their world” (p. 6). Nursing is a
learned profession that is both a science and an art.
Environmental field “An irreducible, indivisible, pandimensional energy field identified by
pattern and integral with the human field” (p. 7).
Energy field “The fundamental unit of the living and the non-living. Field is a
unifying concept. Energy signifies the dynamic nature of the field; a
field is in continuous motion and is infinite” (p. 7).
Openness Refers to qualities exhibited by open systems; human beings and their
environment are open systems.
Pandimensional “A nonlinear domain without spatial or temporal attributes” (p. 28).
Pattern “The distinguishing characteristic of an energy field perceived as a
single wave” (p. 7).
Source: Rogers (1990).
Relationships
The Science of Unitary and Irreducible Human Beings is fundamentally abstract; therefore, specifically
defined relationships differ from those in more linear theories. The major components of Rogers’s model
revolve around the building blocks (energy fields, openness, pattern, and pandimensionality) and the
principles of homeodynamics (resonancy, helicy, and integrality). These explain the nature of, and direction
of, the interactions between unitary human beings and the environment.
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Among the relationships that Rogers posited are that all things are integral in that their energy fields are in
continuous mutual process and that pattern is the manifestation of the integrality of each entity and of the
environmental energy field (Rogers, 1986). Other major relationships within Rogers’s (1990) work are
contained in the following statements:
Humans and environment are interrelated in that neither “has an energy field,” both are integral energy
fields (pp. 6–7).
Manifestations of pattern emerge out of the human/environmental field mutual process and are
continuously innovative (p. 8).
The group field is irreducible and indivisible to itself and integral with its own environmental field (p. 8).
Nursing is concerned with maintaining and promoting health, preventing illness, and caring for those who are
sick or disabled. The purpose of nursing for Rogers (1986) is to help human beings achieve well-being within
the potential of each individual, family, or group. Because human energy fields are complex, individualizing
nursing services supports simultaneous human and environmental exchange, encouraging health (Rogers,
1990).
Usefulness
Rogers’s theory is a synthesis of phenomena that are important to nursing. It is an abstract, unified, and highly
derived framework and does not define particular hypotheses or theories. Rather, it provides a worldview
from which nurses may derive theories and hypotheses and propose relationships specific to different
situations. In essence, the theory allows many options for studying humans as individuals and groups and for
studying various situations in health as manifestations of pattern and innovation. Rogers’s model stresses the
unitary experience and provides an abstract philosophical framework that can guide nursing practice.
Rogers’s theory has been evident in nursing education, scholarship, and practice for more than four
decades. In education, among other programs, it has guided the nursing curriculum at NYU, where Rogers
was head of the Division of Nursing in the 1970s. This resulted in the education of numerous nurses who use
her theory in practice internationally (Hektor, 1989). In the area of nursing scholarship, several noted nursing
theorists (e.g., Fitzpatrick, 1989; Newman, 1994; Parse, 1998) derived theories from Rogers’s work. A
number of middle range nursing theories are based on Rogers’s work as reported by Fawcett (2015). Among
these middle range theories are Health Empowerment Theory (Shearer, 2009), Theory of the Art of Nursing
(Alligood, 2002), Theory of Self-Transcendence (Reed, 2014), Theory of Diversity of Human Field Pattern
(Hastings-Tolsma, 2006), and Theory of Intentionality (Zahourek, 2005).
In other scholarly works, Barrett (1986, 1989) derived a theory, Power as Knowing Participation in
Change, for nursing practice from Rogers’s theory. She used several of Rogers’s concepts (e.g., energy fields,
openness, pattern, and four-dimensionality [now pandimensionality]) and the principles of resonancy, helicy,
and integrality to form her theory. The Theory of Power as Knowing Participation in Change consists of
awareness, choices, freedom to act intentionally, and involvement in creating changes and was tested in
research using Barrett’s Power as Knowing Participation in Change (PKPIC) tool. Barrett’s (1989) theory
consequently has been used in research on patterning of pain and power with guided imagery by Fuller, Davis,
Servonsky, and Butcher (2012), who examined field patterns in adult substance users in rehab, and Kirton and
Morris (2012), who used Barrett’s theory to examine adherence to antiretroviral therapy in adults who are
infected with HIV. Farren (2010) found in a secondary analysis of data collected using Barrett’s PKPIC tool
with breast cancer survivors that the dimensions of power (awareness, choices, freedom to act with intention,
and involvement in creating change) were responsible for all the variance. Moreover, the breast cancer
survivors showed differing intensities of these dimensions.
In clinical settings, Rogerian practitioners employ the visible manifestations of Rogers’s science. Madrid,
Barrett, and Winstead-Fry (2010), for example, studied the feasibility of using therapeutic touch with patients
who were undergoing cerebral angiography. The design was a randomized, single blind clinical pilot study
with outcome assessments of blood pressure, pulse, and respirations. The findings of this study were
inconclusive, but the researchers followed up with exploration of the reasons and studied the implications.
Reed (2008) wrote about nursing time as a dimension of practice, research, and theory. In a nursing
educational setting, Malinski and Todaro-Franceschi (2011) studied comeditation to reduce anxiety and
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facilitate relaxation. Their data from the qualitative study suggested that the participants reported feeling
calmer, more relaxed, and balanced and centered after 1 month of practice. Their findings suggest that
comeditation may help transform education in nursing programs, most of which have reputations as being
stressful to students.
Testability
Because of the model’s abstractness, Rogers’s (1990) work is not directly testable, but it is testable in
principle (Bramlett, 2010). Numerous research studies using Rogers’s model have been completed and
reported in the nursing literature. A plethora of these studies can be found in Visions: The Journal of Rogerian
Nursing Science. Madrid and Winstead-Fry (2001) also found in a focused review of literature that from 1990
through 2000, 28 research studies on therapeutic touch were published in peer-reviewed journals, and 18 of
them were based on the Science of Unitary Human Beings, typically using Rogers’s model as explanation for
the underlying processes of therapeutic touch and its relation to energy fields and energy transfer. Examples
of some recent nursing studies using Rogers’s theory are listed in Box 9-2.
Box 9-2 Examples of Research Studies Using Rogers’s Theory
Caratoa-Mojica, R. (2015). Being one with the universe: Finding a silver lining in dying. Nursing Science
Quarterly, 28(3), 229–233. doi:10.1177/0894318415585621
Chang, S. J., Kwak, E. Y., Hahm, B., Seo, S. H., Lee, D. W., & Jang, S. J. (2016). Effects of a meditation
program on nurses’ power and quality of life. Nursing Science Quarterly, 29(3), 227–234.
doi:10.1177/0894318416647778
Grumme, V. S., Barry, C. D., Gordon, S. C., & Ray, M. A. (2016). On virtual presence. ANS. Advances in
Nursing Science, 39(1), 48–59. doi:10.1097/ANS.0000000000000103
Heelan-Fancher, L. (2016a). Improving maternal outcomes: The dynamic role of power in patient advocacy
[Abstract]. Nursing Research, 65(2), E99
Heelan-Fancher, L. M. (2016b). Patient advocacy in an obstetric setting. Nursing Science Quarterly, 29(4).
316–327. doi:10.1177/0894318416660531
Onieva-Zafra, M. D., García, L. H., & Del Valle, M. G. (2015). Effectiveness of guided imagery relaxation
on levels of pain and depression in patients diagnosed with fibromyalgia. Holistic Nursing Practice,
29(1), 13–21. doi:10.1097/HNP.0000000000000062
Reis, P. J., & Alligood, M. R. (2014). Prenatal yoga in late pregnancy and optimism, power, and well-being.
Nursing Science Quarterly, 27(1), 30–36. doi:10.1177/0894318413509706
Smith, M. C., Zahourek, R., Hines, M. E. Engebretson, J., & Wardell, D. W. (2013). Holistic nurses’ stories
of personal healing. Journal of Holistic Nursing, 31(3), 173–187.
Willis, D. G., DeSanto-Madeya, S., & Fawcett, J. (2015). Moving beyond dwelling in suffering: A situation-
specific theory of men’s healing from childhood maltreatment. Nursing Science Quarterly, 28(1), 57–63.
doi:10.1177/0894318414558606
Parsimony
This theory is relatively parsimonious. The model has five key definitions. These, combined with the three
principles of homeodynamics and the six assumptions about human beings, are the major elements of the
work. Despite its simplicity, however, it is difficult for many nurses to comprehend because the concepts are
extremely abstract. Nurses who wish their research and practice to be guided by Rogers’s model will benefit
from studying with a Rogerian scholar who uses the model regularly.
Value in Extending Nursing Science
Rogers’s contributions to nursing have been noted in the nursing literature, and she has had a significant
influence on scientific inquiry in professional nursing practice. The major value of Rogers’s work has been
extending nursing science by challenging traditional ways of thinking about the world and nursing. She
moved beyond a focus on such concepts and principles as adaptation, biopsychosocial beings,
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causal/probabilistic views, and the human-as-sum-of-parts thinking that had been common in nursing science
(Parse, 2010; Phillips, 2010, 2013; Rogers, 1990). The contribution to nursing science of the Science of
Unitary and Irreducible Human Beings is that it carries nursing into areas that are impossible to study using
linear, three-dimensional, and reductionistic methods, now understood as complexity science (Rickles, Hawe,
& Schiell, 2007).
Margaret Newman: Health as Expanding Consciousness
Margaret Newman reported that she became interested in theory when asked to speak at a nursing conference
in 1978 (George, 2010). She published a theory of health a year later (Newman, 1979) and Health as
Expanding Consciousness in 1986. She revised this work in 1994 and 1999. Newman has published
extensively on her theory and theoretical issues in books, book chapters, and articles (Newman, 1990a, 1990b,
1994, 1995, 1999, 2005, 2008a, 2008b).
Newman’s Health as Expanding Consciousness is one of the most recent nursing theories; her work builds
on the work of Rogers and others. Because of its similarity to Rogers’s theory, particularly with regard to its
conceptualizations of person, nursing, and the environment, it is included here among the unitary process
theories. In 2008, Newman published a new, related work, which she entitled Transforming Presence: The
Difference That Nursing Makes (Newman, 2008b); in this work, Newman makes the point that the three
paradigms are not necessarily contradictory, but “the unitary perspective can include the more particulate
view”(p. 15). Just as the theory of relativity may include special cases of more mechanistic theories (p. 15).
Background of the Theorist
As a young woman, Margaret Newman was involved in caring for her mother, who suffered from
amyotrophic lateral sclerosis. She explained that it was during this period that she came to know her mother in
ways that would have been impossible otherwise (Newman, 1986). This experience led Newman to study
nursing, and she enrolled at the University of Tennessee, where she completed her bachelor’s degree in 1962.
She earned her master’s degree from the University of California, San Francisco, in 1964 and a doctorate from
NYU in 1971 (Brown & Alligood, 2014).
Newman has served on the faculty at the University of Tennessee (which named her an outstanding
alumna), NYU, Pennsylvania State University, and the University of Minnesota. She is currently professor
emeritus at the University of Minnesota, Minneapolis. Her work has been recognized internationally, and she
has received numerous awards and honors both in the United States and abroad (Jones, 2007).
Philosophical Underpinnings of the Theory
While at NYU, Newman attended seminars taught by Martha Rogers, and she stated that Rogers’s Science of
Unitary Human Beings was the basis of her theory of Health as Expanding Consciousness. She also noted
that, among others, Itzhak Bentov’s explanation of the concept of expanding consciousness, Arthur Young’s
work on pattern recognition, and David Bohm’s theory of implicate order brought perspective to her thoughts
and ideas (Newman, 2008b).
Major Assumptions, Concepts, and Relationships
Assumptions
As a student of Rogers, Newman believed that “the human is unitary, that is, cannot be divided into parts, and
is inseparable from the larger unitary field” (Newman, 1994, p. xviii). She saw humans as open energy
systems in continual contact with a universe of open systems (i.e., the environment). Additionally, humans are
continuously active in evolving their own pattern of the whole (i.e., health) and are intuitive as well as
cognitive and affective beings. She further posited that “persons as individuals, and human beings as a
species, are identified by their patterns of consciousness” and that “the person does not possess consciousness
—the person is consciousness” (Newman, 1999, p. 33).
In describing health, Newman (1994) explained that health encompasses illness or pathology and that
pathologic conditions can be considered manifestations of the pattern of the individual. In addition, the pattern
of the individual that eventually manifests itself as pathology is primary and exists prior to structural or
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functional changes; removal of the pathology in itself will not change the pattern of the individual. Finally,
she noted an assumption that changes occur simultaneously and not in linear fashion (Newman, 1994).
Concepts
Newman built on Rogers’s definitions for human and environment, but she redefined nursing and health.
Health is an essential component of the theory of Health as Expanding Consciousness and is seen as a process
of developing awareness of self and the environment together with increasing the ability to perceive
alternatives and respond in a variety of ways. Nursing is described as “caring in the human health experience”
(Newman, 1994, p. 139). Other central concepts in Newman’s theory are pattern, pattern recognition,
movement, and time and space. Definitions for these and other concepts specific to the theory are presented in
Table 9-2.
Table 9-2 Central Concepts of Newman’s Health as Expanding Consciousness
Concept Definition
Nursing The act of assisting people to use the power within them to evolve
toward higher levels of consciousness. Nursing is directed toward
recognizing the patterns of the person in interaction with the
environment and accepting the interaction as a process of evolving
consciousness. Nursing facilitates the process of pattern recognition by
a rhythmic connecting of the nurse with the client for the purpose of
illuminating the pattern and discovering the rules of a higher level of
organization.
Health The expanding of consciousness; an evolving pattern of the whole of
life. A unitary process; a fluctuating pattern of rhythmic phenomena
that includes illness within the pattern of energy. Sickness can “be the
shock that reorganizes the relationships of the person’s pattern in a
more harmonious way” (Newman, 1999, p. 11).
Person A dynamic pattern of energy and an open system in interaction with
the environment. Persons can be defined by their patterns of
consciousness.
Consciousness The information of the system; consciousness refers to the capacity of
the system to interact with the environment and includes thinking,
feeling, and processing the information embedded in physiologic
systems.
Expanding consciousness The evolving pattern of the whole. Expanding consciousness is the
increasing complexity of the living system and is characterized by
illumination and pattern recognition resulting in transformation and
discovery. Expanding consciousness is health.
Integration via movement The natural condition of living creatures. Consciousness is expressed
in movement, which is the way that the organism interacts with the
environment and exerts control over it. Movement patterns reflect and
communicate the person’s inner pattern and organization. Changes in
the person’s health patterns may be reflected in changes in their
movement rhythms.
Pattern Relatedness, which is characterized by movement, diversity, and
rhythm. Pattern is a scheme, design, or framework and is seen in
person–environment interactions. Pattern is recognized on the basis of
variation and may not be seen all at once. It is manifest in the way one
moves, speaks, talks, and relates with others.
Pattern recognition The insight or recognition of a principle, realization of a truth, or
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reconciliation of a duality. Pattern recognition illuminates the
possibilities for action and is the key to the process of evolving to a
higher level of consciousness.
Time and space Temporal patterns that are specific to individuals and define their ways
of being within their world. Patterns of health may be detected in
temporal patterns.
Source: Newman (1999).
Relationships
A fundamental proposition in Newman’s model is the idea that health and illness are synthesized as “health.”
Indeed, the fusion of one state of being (disease) with its opposite (nondisease) results in what can be regarded
as health (Newman, 2008b).
To Newman, health is pattern. Pattern is information that depicts the whole, and pattern recognition is
essential. Pattern recognition involves moving from looking at parts to looking at patterns. Expanding
consciousness occurs as a process of pattern recognition (insight) following a synthesis of contradictory
events or disturbances in the flow of daily living. Pattern recognition comes from within the observer, and
patterns unfold over time and cannot be predicted with certainty. Understanding the meaning of relationships
through pattern recognition is important in providing care because patterns are the essence of a unitary view
of health.
Newman also wrote of the interrelatedness of time, space, and movement. She explained that time and
space have a complementary relationship, and movement is the means by which space and time become
reality. Movement is seen as a reflection of consciousness, time is a function of movement, and time is a
measure of consciousness (Newman, 2008a). Humans are in a constant state of motion and are constantly
changing; movement through time and space gives modern people our unique perception of reality. Constant
change is visible currently as technology; for example, smartphones and tablet computers can access e-books
and e-libraries, giving people immediate access to high volumes of information. New technology, such as
handheld laboratory testing and physical examination technology, is currently being used in clinics and
physician and nurse practitioner offices. Such technology gives health professionals and other individuals
immediate, conscious, and unrestricted access to information.
Access to information places people in constant contact with the whole world; indeed, instant
communications, such as social media, have made it possible for people to respond immediately to a question,
concern, or idea. Having information available at their fingertips lessens the need to try to remember
telephone numbers and other facts that can be found easily online (Stein & Sanburn, 2013). In these cases,
currently expanding consciousness may be more important to them than memory.
Time, space, and movement have all changed in the past few years; indeed, “the person is the center of
consciousness with information flow . . . [throughout] the universe” (Newman, 2008b, p. 36). Humans can
only expect more and faster change as consciousness expands and our world of knowledge progresses.
Usefulness
Newman (1994) believed that theory must be derived from practice and theory must inform practice. To
illustrate this relationship, she proposed a model for practice that she derived from her theory.
Her work has been used by nurses in a number of settings, providing care for different types of clients and
for a variety of interventions. For example, Arcari and Flanagan (2015) described the development of a post-
master’s certificate program in Mind-Body-Spirit nursing certification which was heavily influenced by
Newman’s Theory of Health as Expanding Consciousness. In another recent example, Sethares and Gramling
(2014) described how Newman’s theory was used by under graduate nursing students to enhance clinical
learning experiences by focusing on student–client partnerships. Stec (2016) also used Newman’s theory to
describe patterns of relating, knowing, and clinical decision making in a group of senior-level nursing
students.
Testability
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Newman’s theory has been the basis for research projects that have tested parts of the theory (i.e., time and
movement) or used it as a framework. Most of the nursing studies using Newman’s theory, found in recent
literature, were qualitative in nature. In one example, MacNeil (2012) used Newman’s theory as the
framework in a qualitative study of individuals living with hepatitis C. In another example, Brown, Chen,
Mitchell, and Province (2007) used a grounded theory approach to study help-seeking by older husbands who
were caring for wives with dementia, and Musker (2008) published her work on life transitions in menopausal
women. These studies indicate that the ideal of Health as Expanding Consciousness is useful for generating
caring interventions in numerous populations.
Box 9-3 lists recent research studies that were conducted using Newman’s model.
Box 9-3
Examples of Research Studies Using Newman’s Health as Expanding
Consciousness
Ananian, L. (2016). Relationship based care: Exploring the manifestations of health as expanding
consciousness within a patient and family centered medical intensive care unit. Nursing Research, 65(2),
E92–E93.
Bateman, G. C., & Merryfeather, L. (2014). Newman’s theory of health as expanding consciousness: A
personal evolution. Nursing Science Quarterly, 27(1), 57–61.
Condon, B. B. (2014). The living experience of feeling overwhelmed: A Parse research study. Nursing
Science Quarterly, 27(3), 216–225.
Haney, T., & Tufts, A. (2012). A pilot study using electronic communication in home healthcare:
Implications on parental well-being and satisfaction caring for medically fragile children. Home
Healthcare Nurse, 30(4), 216–224.
Hayes, M. (2015). Life pattern of incarcerated women: The complex and interwoven lives of trauma, mental
illness, and substance abuse. Journal of Forensic Nursing, 11(4), 214–222.
Rosa, K. C. (2016). Integrative review on the use of Newman praxis relationship in chronic illness. Nursing
Science Quarterly, 29(3), 211–218.
Stec, M. W. (2016). Health as expanding consciousness: Clinical reasoning in baccalaureate nursing
students. Nursing Science Quarterly, 29(1), 54–61.
Parsimony
Newman’s model consists of two major concepts: health and consciousness, and thus, it seems parsimonious.
Despite this seeming simplicity, however, the theory is one of great complexity (George, 2010). Those who
do not comprehend the simultaneity paradigm may wander in its enfolded relationships. The real complexity
relates to the nature of the relationships between and among the concepts and to its abstractness.
Value in Extending Nursing Science
The focus of Newman’s work is on the person, client, individual, and family. It places the client and nurse as
integrated actors in understanding the client’s health as consciousness. It also requires the understanding that
health and disease are the same and not separate in the life of the individual (Newman, 2008b).
As illustrated by the examples from the literature presented, Newman’s model has been successfully used
in nursing practice and research. Newman’s view can be applied in any setting, and research and practice
application are underway to further verify its importance to the discipline (Jones, 2007).
Rosemarie Parse: The Humanbecoming Paradigm
Rosemarie Parse is a noted nursing scholar and prolific author. She first published her theory of nursing, Man-
Living-Health, in 1981 and has continually revised the work. In 1992, Parse changed the name to the Theory
of Humanbecoming. She combined human and becoming into a single word because that is how she sees this
phenomenon (Parse, 2014). She is the author of many books and numerous articles. Her works have been
translated into Danish, Finnish, French, German, Japanese, Korean, and other languages. She holds that
humanbecoming has become a new paradigm, and the adherents to the scholarship of humanbecoming agree
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(Bournes, 2013; Parse, 2008, 2010, 2013, 2014; Smith, 2010).
Background of the Theorist
Parse was educated at Duquesne University in Pittsburgh, Pennsylvania, and earned her master’s and doctoral
degrees from the University of Pittsburgh. Some years later, she became dean of the College of Nursing at
Duquesne, and she is currently Distinguished Professor emeritus at Loyola University in Chicago, Illinois.
She is the founder and editor of Nursing Science Quarterly and president of Discovery International, which
sponsors international nursing theory conferences. She is also the founder of the Institute of Humanbecoming,
where she teaches the ontologic, epistemologic, and methodologic aspects of the Humanbecoming Paradigm.
The Humanbecoming Paradigm is honored and acknowledged in colleges of nursing worldwide. She has
currently realized that although a student of Martha Rogers, her work has developed into a wholly new
paradigm, and she has titled this the Humanbecoming Paradigm (Parse, 2014).
Philosophical Underpinnings of the Theory
Parse synthesized the Humanbecoming Paradigm from principles and concepts from Rogers’s work. She also
incorporated concepts and principles from existential phenomenologic thought as expressed by Heidegger,
Sartre, and Merleau-Ponty (Parse, 2014). The theory comes from her experience in nursing and from a
synthesis of theoretical principles of human sciences.
Major Assumptions, Concepts, and Relationships
Assumptions
As with many of the major concepts, the major assumptions of Parse’s theory originated with Rogers’s
Science of Unitary Human Beings and from existential phenomenology. Parse’s thinking has brought her to a
new ontology. Kuhn (1996) warned the scientific community that when the facts no longer support the current
paradigm, the paradigm must change. For the humanbecoming perspective, a new paradigm has ascended.
The language comes from the humanbecoming school of thought but has developed beyond that to a newer
realm. Assumptions about Humanbecoming Paradigm are shown in Box 9-4.
Box 9-4 The Philosophical Assumptions of the Humanbecoming Paradigm
Humanuniverse is indivisible, unpredictable, and ever-changing.
Humanuniverse is cocreating reality as a seamless symphony of becoming.
Humanuniverse is an illimitable mystery with contextually construed pattern preferences.
Ethos of humanbecoming is dignity.
Ethos of humanbecoming is august presence, a noble bearing of immanent distinctness.
Ethos of humanbecoming is embedded with the abiding truths of presence, existence, trust, and worth.
Living quality is the becoming visible-invisible becoming of the emerging now.
Living quality is the ever-changing whatness of becoming.
Living quality is the personal expression of uniqueness.
Source: Parse (2014, pp. 29–30).
Parse synthesized the nine assumptions of humanbecoming in four broad statements:
Humanbecoming is structuring meaning, freely choosing the situation.
Humanbecoming is configuring rhythmic humanuniverse patterns.
Humanbecoming is cotranscending illimitably with emerging possibilities.
Humanbecoming is humanuniverse cocreating a seamless symphony (Parse, 2013, p. 113).
Concepts
Parse builds on previous concepts and provides concepts and paradoxes that are found in this paradigm:
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Imaging: explicit–tacit; reflective–prereflective
Valuing: confirming–not confirming
Languaging: speaking–being silent; moving–being still
Revealing–concealing: disclosing–not disclosing
Enabling–limiting: potentiating–restricting
Connecting–separating: attending–distracting
Powering: pushing–resisting; affirming–not affirming; being–nonbeing
Originating: certainty–uncertainty; conforming–not conforming
Transforming: familiar–not familiar (Parse, 2013, p. 113)
Relationships
From the major concepts, outlined three principles in the theory. These are updated and meaningful as
enduring principles.
1. Structuring meaning is the imaging and valuing of languaging.
2. Configuring rhythmic patterns of relating the revealing–concealing and enabling–limiting of
connecting–separating.
3. Cotranscending with the possible is powering and originating of transforming (Parse, 2010, p. 258).
Nurses guide individuals and families in choosing possibilities in changing the health process; this is
accomplished by intersubjective participation with the clients. Practice focuses on illuminating meaning, and
the nurse acts as a guide to choose possibilities in the changing health experiences (Parse, 2013).
Practitioners using Parse’s method do not focus on changing an individual’s behavior to fit a defined
nursing process and do not attempt to label them with possibly erroneous nursing diagnoses. Rather, they
practice from the understanding that the human–universe process involves the nurse’s true presence with the
person and the family. The nurse “dwells with the rhythms of the person and family” (Parse, 1995, p. 83) as
they move through the experience. Nurses taking the time “to be fully present with the patient provides patient
and nurse [who are] grounded in the humanbecoming theory [sic]” with meaningful and enlightening
experiences (Smith, 2010, p. 216).
Usefulness
Parse’s theory has been a guide for nurses all over the world. For example, in practice, McLeod-Sordjan
(2013) used Parse’s theory to illustrate the concept of “death acceptance.” In this work, she described how to
promote communication with low-English proficiency patients near the end of life. In other examples, Doucet
(2015) described how the humanbecoming model could be applied to caring for a family who had a member
with severe dementia, and Hart (2015) used a case study approach to demonstrate how the humanbecoming
theory may be used to evaluate long-term care. Finally, Wilson (2016) applied Parse’s humanbecoming theory
in developing a comprehensive plan of care for a family experiencing the loss of a pregnancy or an infant.
In educational settings, Ursel (2015) used Parse’s humanbecoming theory to describe a tool to enhance
communication between patients and nursing students, seeking to use the theory to better focus on
communicating relevant, timely, and accurate patient information. Several service learning opportunities
directed by Parse’s theory of humanbecoming were provided to a cohort of nursing students (Condon,
Grimsley, Knaack, Pitz, & Stehr, 2015). In this work, theory and practice were creatively and effectively
connected to the benefit of both students and various community groups. Finally, Drummond and Oaks (2016)
describe how concepts and processes from Parse’s theory have been interwoven within the curricula of both
undergraduate and graduate programs in one nursing school.
Testability
The humanbecoming perspective is testable in principle, and many concepts that arise from it are being
studied as the researchers develop perspectives on the human science of nursing. Research within Parse’s
method describes the lives, lived experiences, and ways of being of humans differently from research in the
more reductionistic models. To study humanbecoming, Parse developed a research method similar to those of
existential phenomenologists and derived specific steps that are rigorous and reproducible. The method
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involves dwelling with the information from the participant’s perspective (dialogical engagement) and
deriving themes from that data (extraction–synthesis) and then synthesizing the meanings into a relevant
whole through heuristic interpretation (Parse, 1987). The inductive research method Parse and others have
created is a research strategy that values the lived experiences of humans as they go about their daily lives,
cocreating their health in human universe concert. Welch (2004) explored his experience using the method
developed by Parse. His comments (Table 9-3) are important to students who wish to develop themselves as
researchers within the method.
Table 9-3 Lessons From a Doctoral Dissertation
Lessons
Writings as He Worked
Through the Process Welch’s Actions
Finding a focus for the study Considered depression incurable
and had other preconceived ideas.
Reviewed literature, thought
through process. Came to view
depression as a time for people to
work through difficult times (p.
202).
Locating a philosophical
approach to inquiry
Considered several different
approaches to phenomenologic
inquiry.
Realized the superficiality of his
understanding but was unaware of
the significance of the differences
in the approaches.
Deciding on a phenomenologic
position
Found himself at an impasse,
different terms, philosophical
stances. Read the works of Parse.
Developed a lexicon of terms to
understand the world of
phenomenology (p. 203).
Walked in the desert of theoretical
confusion and increasing
disillusionment with lack of
progress in 2 years.
Found humanbecoming method,
but his advisors were not familiar
with process and terminology of
Parse’s method.
Discussion with Parse was a
“watershed” in realizing that he
needed to review the focus on the
study and also his philosophical
disposition toward adopting the
humanbecoming perspective.
Attended Humanbecoming
Institute in Pittsburgh. Dialogued
with Parse and other scholars.
Parse agreed to assist with
dissertation as a second advisor.
Selecting participants for the
study
Wanted to include only the best
and most appropriate potential
participants to tell their stories of
taking life day by day.
Realized that his inclination to
take only the best candidates
would compromise the integrity
of the study. Therefore, he
decided he had to adhere to the
established criteria and remain
cognizant of his personal bias.
Engaging the participants As each participant talked of
taking life day by day, I sensed
myself moving with the rhythms
of their stories (p. 205).
Being with the participants in true
presence as they shared their
stories was a profound experience
(p. 205).
Inadvertently straying from the
humanbecoming path
Embracing the art of living
humanbecoming was an affirming
enterprise; however, learning the
art of humanbecoming was
difficult (p. 205).
Dr. Parse provided important
feedback about the conduct of the
first tape and it was subsequently
excluded. Came to the
understanding of the importance
of maintaining rigor (p. 205).
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Allowing the voice of the text to
be heard
My initial attempts to move the
essences of the participants’
stories to the language of the
researcher and engage in the
process of heuristic interpretation
could be described only as
throwing seed on barren ground
(p. 206).
“I realized that the process of
abstraction is concept driven; in
other words, language is a vehicle
for expressing what has already
been formulated in the mind’s
eye. The extraction–synthesis and
heuristic interpretation processes
of Parse’s method were perceived
as pathways to new levels of
knowing in explicating the
participants’ lived experiences”
(p. 206).
Gleaning insights from the
journey
Being comfortable with the
uncomfortable: A willingness to
learn from the experienced
scholars and a preparedness to
move with the rhythms of the
humanbecoming school of
thought.
Mapping the journey: The
telling of the researchers’
experience is an opportunity for
other researchers contemplating
such endeavors (p. 206).
Rethinking authentic rigor:
Authentic rigor involves more
than adhering strictly to an
established set of protocols; it also
requires the researcher to be the
embodiment of humanbecoming.
Living the spirit of
humanbecoming has to engage in
a seamless movement of
researcher with participant,
researcher with text, and
researcher with reader in the
process of cocreating new
horizons of understanding of the
phenomenon under study (p. 206).
“I feel comfortable about testing
the boundaries of conventional
scientific inquiry. I no longer feel
the need to engage in academic
debate concerning the primacy of
particular research paradigms
within the community of scholars.
Of importance to me is keeping
alive the creative process or
inquiry even though at times
doing so means being lost in the
labyrinthine paths of creative
discovery” (p. 207).
Source: Welch (2004). Reprinted by permission of Sage Publications.
Parse’s method for research, a descriptive phenomenologic method of inquiry, entitled “the Human
Becoming Hermeneutic Method” (Barrett, 2002, p. 53), has been selected by nurse scholars in Australia,
Canada, Denmark, Finland, Greece, Italy, Japan, South Korea, Sweden, the United Kingdom, and the United
States. Baumann (2016) used this method to study how older adults experience suffering, and Doucet (2013)
used the method to discover the lived experience of “feeling at home” in community-dwelling adults. A small
sample of the numerous current studies of other aspects of human experience within Parse’s Humanbecoming
Paradigm are listed in Box 9-5.
Box 9-5
Examples of Current Research Using Parse’s Humanbecoming
Perspective
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Bauman, S. L. (2016). The living experience of suffering: A Parse method study with older adults. Nursing
Science Quarterly, 29(4), 308–315. doi:10.1177/0894318416660530
Florczak, K. L. (2016). Power relations: Their embodiment in research. Nursing Science Quarterly, 29(3),
192–196. doi:10.1177/0894318416647167
Hawkins, K. (2015). Feeling disrespected: An exploration of the extant literature. Nursing Science Quarterly,
28(1), 8–12. doi:10.1177/0894318414558612
Ma, L. (2014). A humanbecoming qualitative descriptive study on quality of life with older adults. Nursing
Science Quarterly, 27(2), 132–141. doi:10.1177/0894318414522656
Parse, R. R. (2016). Parsciencing: A basic science mode of inquiry. Nursing Science Quarterly, 29(4), 271–
274. doi:10.1177/0894318416661103
PetersonLund, R. R. (2013). Living on the edge: A review of the literature. Nursing Science Quarterly,
26(4), 303–310. doi:10.1177/0894318413500311
Parsimony
Parse’s model is parsimonious and artistic, having nine assumptions, which have been synthesized to four
working assumptions; four postulates; three principles; and numerous concepts and paradoxes organized
together in artful, logical, balanced ways to explain humanbecoming. With careful study, the paradigm lends
itself to scholarly research and debate. The paradigm may seem complicated because much of the terminology
is unfamiliar to most nurses. Indeed, this is a new and working way of seeing nursing in the real world (Smith,
2010). Students who want to use this model to guide their research and practice might consider contacting
Parse and or one of her students for assistance to fully understand this new paradigm.
Value in Extending Nursing Science
The principal value of the Humanbecoming Paradigm is the worldview that sees humans as intentional beings,
freely choosing to live within paradoxical ways of being. It is a unique way to view health and gives insight
into how individuals create their own destiny.
Practice and research in the Humanbecoming Paradigm are quite different from those espoused in the
other nursing perspectives. By living true presence with their clients, nurses guide and cocreate ways of being
that enable choosing health. The amount of literature depicting use of Parse’s work is multiplying rapidly, and
support for the Humanbecoming Paradigm is growing.
Summary
The models presented in this chapter are considerably different from those described in the previous chapters.
Additionally, significant similarities and differences are evident among these three models. Table 9-4
summarizes some of these by comparing definitions of the metaparadigm concepts. As Table 9-4 shows, the
conceptualization of human beings is similar because Rogers heavily influenced both Newman and Parse. On
the other hand, Parse was more specific when describing the environment, and Newman was much more
explicit in her discussions of health. Perhaps, the greatest difference, however, relates to how they view nurses
and nursing. Those wishing to use these theories should study these concepts closely and seek to apply them
in their practice and research. When employing the research methods, which are unique, close work with the
researchers or their former students will assist the novice researcher to develop the depth of effort that is
required (Welch, 2004).
Table 9-4 Comparison of Concepts Common to the Unitary Process Nursing Theories
Author and Model Human Health Environment Nursing
Rogers: Unitary Human
Beings (Rogers, 1990)
A sentient, unitary being;
a multidimensional
irreducible energy field
known by pattern
manifestation, and who
Signifies an irreducible
human field
manifestation.
“An irreducible,
indivisible,
multidimensional energy
field identified by pattern
. . . integral with the
A learned profession, a
science and an art, whose
uniqueness lies in
concern for human
beings.
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cannot be known by the
sum of parts.
human field” (p. 7).
Newman: Health as
Expanding
Consciousness
(Newman, 1999)
Accepts the definition of
human as stated by
Rogers.
Health is a unitary
process, a fluctuating
pattern of rhythmic
phenomena. Health
includes illness within
the pattern of energy.
Universal energy system
as in Rogers’s Science of
Unitary Human Beings.
Assist persons to use
innate power to evolve
toward a higher level of
consciousness. Nurses
facilitate pattern
recognition in this
process.
Parse: Humanbecoming
Paradigm (Parse, 2010)
Intentional beings
involved with their
world, having a
fundamental nature of
knowing, being present,
and open to their world.
The unitary human is one
who “coparticipates in
the universe in creating
becoming and who is
whole, open, free to
choose ways of
becoming” (p. 260).
A way of being in the
world; it is not a
continuum of healthy to
ill, nor is it a dichotomy
of health or illness, rather
it is the living of day-to-
day ways of being.
The world, the universe,
and those who occupy
spaces along with others
who freely choose to be
in the situation.
Guides humans toward
ways of being, finding
meaning in situations,
and choosing ways of
cocreating their own
health. Nurses live true
presence in the day to
day of the person’s life.
Nurses, such as Kristin from the opening case study, who prefer to view the person as a unitary being and
who have a comprehensive view of health often find the theories from the simultaneity paradigm fascinating
and helpful. These works have been extremely enlightening and helpful for the discipline of nursing, and all
three have many adherents worldwide. A large and growing body of research explores patterns of lived
experiences and health perspectives based on them, and the expanding topics of study currently enhance
nursing science and will continue to do so into the future.
Key Points
The simultaneity paradigm is an entirely different and nursing-centered way of studying nursing and
humans.
Martha Rogers and two of her students, Margaret Newman and Rosemarie Parse, have been active in
providing education, collaborative communities, and the groundwork for students and nursing scientists
who are currently working within the paradigm.
Newman’s Health as Expanding Consciousness is conversant with the current lives of the millennial age.
Young people live an age of motion, information, and continuous communication. Expanding
consciousness is the hallmark of this generation.
Parse continues to develop the Humanbecoming Paradigm and frame its research processes. This paradigm
offers new ways to understand the human–environment process and new lenses through which nursing care
is provided. This paradigm generates considerable nursing-focused research and scholarship.
Learning Activities
1. Select one of the theories described and apply it in developing comprehensive patterns of
nursing care for young teenagers who are becoming first-time mothers. How would a nurse
practicing in this paradigm care for new mothers and the issues they encounter as they prepare
for the birth of their babies. Share findings with classmates.
2. Select two simultaneity paradigm theories and apply them in developing comprehensive
patterns of nursing care for the family of an elderly client with Alzheimer disease. Compare
the two models for depth of understanding the client and family responses.
3. These three theorists suggest that health—rather than being a dichotomy (health-illness)—is
as a way of being, a pattern of consciousness, or a manifestation of the human field. Can you
envision health in this way? How would such a belief affect your practice?
4. Two of the theorists, (Newman and Parse) provide art and musical referents in their theories.
Can you describe how using art and music might add to the ability of nurses to effectively
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interact with patients?
5. Kristin, the nurse from the opening case study, determined that Parse’s Humanbecoming
Paradigm best fits her practice of hospice nursing. Reflect on a case or situation from your
personal practice or experience. Can you apply one of the theories described in this chapter to
the situation? How does the perspective from the theory change how you view the situation?
Are nursing interventions the same? Do you anticipate that the care would be more holistic?
Why or why not?
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10
Introduction to Middle Range Nursing Theories
Melanie McEwen
Annette Cohen is a second-year graduate nursing student interested in starting her major research/scholarship
project. For this project, she would like to develop some of her experiences in hospice nursing into a
preliminary middle range theory of spiritual health. Annette has studied spiritual needs and spiritual care for
many years but believes that the construct of spiritual health is not well understood. She views spiritual health
as the result of the interaction of multiple intrinsic values and external variables within a client’s experiences,
and she believes that it is a significant contributing factor to overall health and well-being.
After reviewing theoretical writings dealing with spiritual nursing care, Annette found a starting point for
her work in Jean Watson’s Theory of Human Caring (Watson, 2012) because of its emphasis on spirituality
and faith. From Watson’s (2012) work, she was particularly interested in applying the concepts of “actual
caring occasion” and “transpersonal” care. To develop the theory, Annette obtained a copy of Watson’s most
recent work and performed a comprehensive review of the literature covering theory development and the
Theory of Human Caring. She then did an analysis of the concept of spiritual health. Combining the concept
analysis and the literature review of Watson’s work led to the development of assumptions and formal
definitions of related concepts and empirical indicators. After conversing with her instructor, she concluded
that her next steps were to construct relational statements and then draw a model depicting the relationships
among the concepts that comprise spiritual health.
As discussed in Chapter 2, middle range nursing theories lie between the most abstract theories (grand nursing
theories, models, or conceptual frameworks) and more circumscribed, concrete theories (practice theories,
situation-specific theories, or microtheories). Compared to grand theories, middle range theories are more
specific, have fewer concepts, and encompass a more limited aspect of the real world. Concepts are relatively
concrete and can be operationally defined. Propositions are also relatively concrete and may be empirically
tested.
The discipline of nursing recognizes middle range theory as one of the contemporary trends in knowledge
development, and there is broad acceptance of the need to develop middle range theories to support nursing
practice and nursing research (Alligood, 2014; Fitzpatrick, 2014; Kim, 2010; Peterson, 2017). According to
Suppe (1996), this call to develop middle range theory is consistent with the third stage of legitimizing the
discipline of nursing. The first stage focuses on differentiation of the perspective of the emerging discipline,
which is characterized by separation from antecedent disciplines (i.e., medicine) and the establishment of
university-based education, which in nursing occurred during the 1950s and 1960s. The second stage is
marked by the quest to secure institutional legitimacy and academic autonomy. This stage characterized
nursing during the 1970s and through the 1980s, when pursuit of nursing’s unique perspective on and
clarification of the phenomena of interest to the discipline were stressed. The third stage began in the 1990s
and is distinguished by increased attention to substantive knowledge development, which includes
development and testing of middle range theories. This stage is expanding and evolving further to include
evidence-based practice and situation-specific theories (see Chapter 12).
Middle range theories are increasingly being used in nursing research studies. Many researchers prefer to
work with middle range theories rather than grand theories or conceptual frameworks because they provide a
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better basis for generating testable hypotheses and addressing particular client populations. A review of
nursing research journals and dissertation abstracts indicates that nursing research is currently being used in
the development and testing of a number of middle range theories, and middle range theories are frequently
being used as frameworks for investigation. Furthermore, middle range theories are presently being refined on
the basis of research results.
Despite the recent promotion of middle range theories, there is a lack of clarity regarding what constitutes
middle range theory in nursing. According to Cody (1999), “It appears that almost any theoretical entity that
is more concrete than the broadest of grand theories is considered middle range by someone” (p. 10). Several
nursing theory textbooks (e.g., Alligood, 2014; Chinn & Kramer, 2015; Fawcett & DeSanto-Madeya, 2013;
M. C. Smith & Parker, 2015) disagree to some extent on which theories should be labeled as middle range.
Indeed, some authors list a few of the readily accepted grand theories (e.g., Parse, Newman, Peplau, and
Orlando) as middle range. Others consider somewhat more circumscribed theories (e.g., Leininger, Pender,
Benner and Erickson, Tomlin, and Swain) to be middle range, although the theory’s authors may not agree. In
essence, there has been a paucity of discussion on the subject, and therefore, there is little consensus. This
issue is discussed in more detail later in the chapter.
Purposes of Middle Range Theory
Middle range theories were first suggested in the discipline of sociology in the 1960s and were introduced to
nursing in 1974. Scholars came to believe that middle range theories were useful for emerging disciplines
because they are more readily operationalized and addressed through research than are grand theories. More
than 15 years elapsed, however, before there was a concerted call for middle range theory development in
nursing (Blegen & Tripp-Reimer, 1997; Meleis, 2012).
Development of middle range theories is supported by the frequent critique of the abstract nature of grand
theories and the difficulty of their application to practice and research. The function of middle range theories
is to describe, explain, or predict phenomena, and, unlike grand theory, they must be explicit and testable.
Thus, they are easier to apply in practice situations and to use as frameworks for research studies. In addition,
middle range theories have the potential to guide nursing interventions and change conditions of a situation to
enhance nursing care. Finally, a major role of middle range theory is to define or refine the substantive
component of nursing science and practice (Higgins & Moore, 2000). Indeed, Lenz (1996) noted that
practicing nurses are actually using middle range theories but are not consciously aware that they are doing so.
Each middle range theory addresses relatively concrete and specific phenomena by stating what the
phenomena are, why they occur, and how they occur. In addition, middle range theories can provide structure
for the interpretation of behavior, situations, and events. They support understanding of the connections
between diagnosis and outcomes and between interventions and outcomes (Fawcett & DeSanto-Madeya,
2013).
Enhancing the focus on middle range theories in nursing is supported by several factors. These include the
observations that middle range theories:
Are more useful in research than grand theories because of their low level of abstraction and ease of
operationalization
Tend to support prediction better than grand theories due to circumscribed range and specificity of the
concepts
Are more likely to be adopted in practice because their relative simplicity eases the process of
developing interventions for identified health problems (Cody, 1999; Peterson, 2017)
Like theory in general, middle range theory has three functions in nursing knowledge development. First,
middle range theories are used as theoretical frameworks for research studies. Second, middle range theories
are open to use in practice and should be tested by research. Finally, middle range theories can be the
scientific end product that expresses nursing knowledge (Suppe, 1996).
Characteristics of Middle Range Theory
Several characteristics identify nursing theories as middle range. First, the principal ideas of middle range
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theories are relatively simple, straightforward, and general. Second, middle range theories consider a limited
number of variables or concepts; they have a particular substantive focus and consider a limited aspect of
reality. In addition, they are receptive to empirical testing and can be consolidated into more wide-ranging
theories. Third, middle range theories focus primarily on client problems and likely outcomes as well as the
effects of nursing interventions on client outcomes. Finally, middle range theories are specific to nursing and
may specify an area of practice, age range of the client, nursing actions or interventions, and proposed
outcomes (Meleis, 2012; Peterson, 2017).
The more frequently used middle range theories tend to be those that are clearly stated, easy to understand,
internally consistent, and coherent. They deal with current nursing perspectives and address socially relevant
topics that solve meaningful and persistent problems. In summary, middle range theories for nursing combine
postulated relationships between specific, well-defined concepts with the ability to measure or objectively
code concepts. Thus, middle range theories contain concepts and statements from which hypotheses may be
logically derived and empirically tested, and they can be easily adopted to guide nursing practice. Table 10-1
compares characteristics of grand theory, middle range theory, and practice/situation-specific theory, and
characteristics of middle range theory are shown in Box 10-1.
Table 10-1 Characteristics of Grand, Middle Range, and Practice/Situation-Specific Theories
Characteristic Grand Theories
Middle Range
Theories
Practice/Situation-
Specific Theories
Complexity/abstractness,
scope
Comprehensive, global
viewpoint (all aspects
of human experience)
Less comprehensive
than grand theories,
middle view of reality
Focused on a narrow
view of reality, simple
and straightforward
Generalizability/specificity Nonspecific, general
application to the
discipline irrespective
of setting or specialty
area
Some generalizability
across settings and
specialties, but more
specific than grand
theories
Linked to special
populations or an
identified field of
practice
Characteristics of concepts Concepts abstract and
not operationally
defined
Limited number of
concepts that are fairly
concrete and may be
operationally defined
Single, concrete concept
that is operationalized
Characteristics of
propositions
Propositions not always
explicit
Propositions clearly
stated
Propositions defined
Testability Not generally testable May generate testable
hypotheses
Goals or outcomes
defined and testable
Source of development Developed through
thoughtful appraisal and
careful consideration
over many years
Evolve from grand
theories, clinical
practice, literature
review, and practice
guidelines
Derived from practice or
deduced from middle
range or grand theory
Box 10-1 Characteristics of Middle Range Nursing Theory
Not comprehensive but not narrowly focused
Some generalizations across settings and specialties
Limited number of concepts
Propositions that are clearly stated
May generate testable hypotheses
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Concepts and Relationships for Middle Range Theory
Middle range theories consist of two or more concepts and a specified relationship between the concepts.
Middle range theories address phenomena (concepts) that are toward the middle of a continuum of scope with
the metaparadigm concepts (nursing, person, health, environment) at one end and specific concrete actions or
events (medication administration, preoperative teaching, electrolyte management, fall prevention) at the
other. The concepts should be discrete, observable, and sufficiently abstract to be applied across multiple
settings and used with clients with differing problems (Blegen & Tripp-Reimer, 1997). Examples from the
nursing literature include theories describing health promotion, comfort, coping, resilience, uncertainty, pain,
grief, fatigue, self-care, adaptation, self-transcendence, and transitions (Meleis, 2012; Peterson, 2017; M. J.
Smith & Liehr, 2014).
Middle range theories link discrete and observable phenomena or concepts in relationships statements. In
middle range theory, relationships are explicitly stated, and, preferably, they are unidirectional. Relationships
can be of several types. The most common are causal relationships that state that a change in the value of one
variable or concept is associated with a change in the value of another variable or concept (Peterson, 2017).
Categorizing Middle Range Theory
The question as to which nursing theories are middle range is not clear-cut. Middle range theory is more
specific than grand theory but abstract enough to support both generalization and operationalization across a
range of populations; this sets it apart from practice or situation-specific theory.
In a well-researched effort to describe the place of middle range theory in nursing, Liehr and Smith (1999)
analyzed 22 middle range theories published during the previous decade. These theories were categorized as
“high-middle,” “middle,” and “low-middle” based on their level of abstraction or degree of specificity. In the
review, high-middle theories included concepts such as caring, growth and development, self-transcendence,
resilience, and psychological adaptation. Middle theories included concepts such as uncertainty in illness,
unpleasant symptoms, chronic sorrow, peaceful end of life, cultural brokering, and nurse-expressed empathy.
Low-middle theories, those that are closer to practice or situation-specific theories, included hazardous
secrets, women’s anger, nurse midwifery care, acute pain management, helplessness, and intervention for
postsurgical pain.
As mentioned, there is some debate on which theories should be considered middle range. Indeed, some
theories not termed middle range more appropriately fit the criteria of middle range theory than a grand
theory, and some theories that are labeled middle range better fit the criteria of situation-specific or practice
theory. Chapter 11 presents a number of middle range nursing theories described in the literature, organized as
high, middle, and low theories. It should be noted that the designations are arguably arbitrary and that one
theory that is listed here as “high-middle” may be considered by others to be a grand theory. Likewise,
another theory listed here as “middle” might be considered by others to be “high-middle” and so forth.
Situation-specific theories and their relationship to evidence-based practice are discussed in more detail in
Chapter 12.
Development of Middle Range Theory
Several methods for development of middle range theories have been identified in the nursing literature.
Middle range theories emerge from combining research and practice and building on the work of others.
Sources used to generate middle range theory include literature reviews, qualitative research, field studies,
conceptual models, taxonomies of nursing diagnoses and interventions, clinical practice guidelines, theories
from other disciplines, and statistical analysis of empirical data (Fawcett & DeSanto-Madeya, 2013; Peterson,
2017). Five approaches for middle range theory generation were identified by Liehr and Smith (1999) (Box
10-2). The following sections present examples describing the source and development process of middle
range theories from each of the five approaches listed in Box 10-2.
Box 10-2 Approaches for Middle Range Theory Generation
1. Induction through research and practice
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2. Deduction from research and practice or application of grand theories
3. Combination of existing nursing and non-nursing middle range theories
4. Derivation from theories of other disciplines that relate to nursing
5. Derivation from practice guidelines and standards rooted in research
Middle Range Theories Derived From Research and/or Practice
The most common sources for development of middle range nursing theories and models are nursing research
and nursing practice. Grounded theory research and other qualitative methods in particular are frequently
noted as sources for middle range theory development. Examples of middle range theories derived from
qualitative research include the Theory of Family Vigilance (Carr, 2014) (see Nursing Exemplar 1), the
Theory of Spiritual Care in Nursing Practice (Burkhart & Hogan, 2017), a theory describing sustaining health
in faith community nursing practice (Dyess & Chase, 2012), a theory describing “death imminence
awareness” of family member of patients in critical care (Baumhover, 2015), and a theory of career
persistence in acute care nurses (Hodges, Troyan, & Keeley, 2010).
NURSING EXEMPLAR 1: MIDDLE RANGE
THEORY DERIVED FROM
RESEARCH/PRACTICE
The process used to develop a middle range Theory of Family Vigilance was described by
Carr (2014). Her purpose was to provide an explanation of “the meanings, patterns and
day-to-day experience of family members staying with hospitalized relatives” (p. 251).
Theory Development Process: The Theory of Family Vigilance was derived from three
ethnographic studies carried out among family members of patients in various units of a
large, acute care hospital. The first study among family members of patients in a
neurology unit, yielded five “categories of meaning”—commitment to care, resilience,
emotional upheaval, dynamic nexus, and transition. Carr (2014) noted that each of these
categories of meaning were supported by the findings of the subsequent studies.
Carr (2014) then described how she employed the strategies of concept synthesis and
statement synthesis to define and then illustrate the relationships between and among the
different defining characteristics of the categories that comprise family vigilance. Finally,
through the process of theory synthesis, she constructed the information into a formalized
theory.
Variations of the idea of development of middle range theory from research are fairly common. Theorists
report combining qualitative research with literature review, concept analysis, concept synthesis, theory
synthesis, and other techniques in the process of developing middle range theory. For example, Murrock and
Higgins (2009) explained that they used statement and theory synthesis, along with literature review, to
develop “the theory of music, mood and movement to improve health outcomes.” In other works, Davidson
(2010) developed “facilitated sensemaking” to support families of intensive care unit (ICU) patients following
systematic literature review and synthesis, and Eakes, Burke, and Hainsworth developed the middle range
Theory of Chronic Sorrow from an extensive review of the literature and data gathered through 10 qualitative
research studies (Eakes, 2017).
Identification of middle range theories and models derived primarily from practice is more difficult. One
example is the Theory of Unpleasant Symptoms (Lenz, Pugh, Milligan, & Gift, 2017), which was reportedly
developed by integrating or melding existing practice and research information about a variety of symptoms.
A second example is the Client Experience Model (Holland, Gray, & Pierce, 2011), which was reportedly
developed through clinical observations in acute care settings using a practice-to-theory method.
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Some models that describe areas of specialty nursing practice report being developed from combination of
practice and another source, typically research or standards. One example of this technique is Benoit and
Mion’s (2012) model for pressure ulcer etiology in critically ill patients, which was constructed from
combining a literature review and practice standards. The Omaha System, which is a model for community
and home health nursing practice, is a second example. Martin (2005) explained that the conceptual
framework for the Omaha System was a combination of practice, research, and literature review.
Middle Range Theory Derived From a Grand Theory
As explained previously, many nursing theorists and scholars agree that grand theories are difficult to apply in
research and practice and suggest development of middle range theories derived from them. During the last
two decades, several theories developed from grand theories have been published in the nursing literature.
One example is a middle range theory of health promotion for preterm infants (Mefford, 2004), which was
derived from application of Levine’s Conservation Model (see Nursing Exemplar 2). Two examples used
Orem’s theory. In one, Riegel, Jaarsma, and Strömberg (2012) developed the Theory of Self-Care of Chronic
Illness, patterning their notion of self-care from Orem’s theory. Similarly, Pickett, Peters, and Jarosz (2014)
developed a middle range Theory of Weight Management based on Orem’s theory.
NURSING EXEMPLAR 2: MIDDLE RANGE
THEORY DERIVED FROM A GRAND THEORY
Mefford (2004) used Levine’s Conservation Model of Nursing to develop a Theory of
Health Promotion for Preterm Infants. In this case, Levine’s theory was used as a
framework for nursing practice for the neonatal intensive care unit (NICU) to ensure that
needs of both the infant and family are addressed.
Theory Development Process: To develop the Theory of Health Promotion for Preterm
Infants, the theorist first described elements of Levine’s Conservation Model internal and
external environments, wholeness, and conservation principles (conservation of energy,
structural integrity, personal integrity, and social integrity) and applied these concepts in
the NICU. She determined a “goal of restoring a state of wholeness, or health” (p. 260)
(Figure 10-1).
Figure 10-1
Conceptual diagram of Levine’s conservation model of
nursing.
(From Mefford, L. C. [2004]. A theory of health promotion for preterm infants based on Levine’s conservation model
of nursing. Nursing Science Quarterly, 17[3], 261. Used with permission of Sage Publications, Inc.)
Following initial development of the theory, its validity was tested in a retrospective
study of 235 preterm infants. This study was designed to examine the influence of
“consistency nursing care” on the health outcomes of the infants at discharge. Structural
equation modeling demonstrated “strong support for the utility of this theory of health
promotion . . . as a guide for nursing practice in the NICU” (p. 266). It was noted that the
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derived middle range theory validated Levine’s work.
In other examples, Hastings-Tolsma (2006) developed the Theory of Diversity of Human Field Pattern
from Martha Rogers’s Science of Unitary Human Beings. Cazzell (2008) employed the Neuman Systems
Model as a basis for the middle range theory of adolescent vulnerability to risk behaviors, and in another
work, Polk (1997) cited the work of both Margaret Newman and Martha Rogers as sources contributing to her
middle range theory of resilience.
Several middle range theories were found which were developed from the Roy Adaptation Model (RAM).
In one example, Dobratz (2011) derived the Theory of Psychological Adaptation in death and dying from a
series of studies linked to the RAM, and in a similar example, she synthesized the middle range Theory of
Adaptive Spirituality based on 21 published studies in which the RAM examined aspects of spirituality
(Dobratz, 2016). In other examples, Hamilton and Bowers (2007) developed the Theory of Genetic
Vulnerability from Roy’s work, and Troutman-Jordan (2015) applied the results of a concept analysis within
the RAM to develop the Theory of Successful Aging. Finally, Roy (2014) described synthesis of a middle
range Theory of Coping using concepts and processes from the RAM.
Middle Range Theory Combining Existing Nursing and Non-Nursing Theories
Combining concepts or elements of multiple theories is common in middle range theory development. In
many cases found in recent nursing literature, the authors of a middle range theory reported that they had
derived their theory from both nursing and non-nursing theories. For example, Sousa and Zauszniewski
(2005) used Orem’s Self-Care Theory and Bandura’s Self-Efficacy Theory to develop a theory of diabetes
self-care management. Similarly, Ulbrich (1999) developed the Theory of Exercise as Self-Care through
“triangulation of Orem’s self-care deficit theory of nursing, the transtheoretical model of exercise behavior,
and characteristics of a population at risk for cardiovascular disease” (p. 65). In another example, Reed (2014)
used the philosophic views of Rogers’s Science of Unitary Human Beings to relate the nursing perspective to
self-transcendence. For this theory, Rogers’s work was used as a framework, and it was reportedly combined
with concepts and processes from developmental psychologists, including Piaget and Fagan. Finally, Dunn
(2004) combined several non-nursing theories with the RAM to develop her middle range Theory of Adaption
to Chronic Pain (see Nursing Exemplar 3).
NURSING EXEMPLAR 3: MIDDLE RANGE
THEORY COMBINING EXISTING NURSING
AND NON-NURSING THEORIES
Dunn (2004) provided an excellent example of combining existing nursing and non-
nursing theories in development of a middle range Theory of Adaptation to Chronic Pain.
Her intention was to describe coping and pain control in older adults with the purpose of
maintaining their quality of life and functional ability.
Theory Development Process: Dunn wrote that the first step in developing her theory
was to review and synthesize the theoretical knowledge related to pain in older adults,
coping with pain, religious coping, and spirituality. She reported identification of three
theoretical models that addressed concepts related to pain control and coping in older
adults. These were Melzack and Wall’s (1992) Gate Control Theory of Pain, Lazarus and
Folkman’s (1984) Stress and Coping Theory, and Wallace, Benson, and Wilson’s (1971)
Relaxation Response. To ensure that the final model was applicable to nursing, she
selected the RAM to guide the theory development process.
The second step reported by Dunn was to define assumptions for the theory; these
were reportedly based on the assumptions from the four models from which the theory
was drawn. Using the process of theoretical substraction, she then took concepts,
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relational statements, and propositions from the existing theories and arranged them into a
diagram to represent the theoretical and operational systems. Finally, the concepts from
the Adaptation to Chronic Pain Model were linked to empirical indicators to provide a
logical and consistent connection.
Middle Range Theory Derived From Non-Nursing Disciplines
A significant number of middle range nursing theories are developed from one or more non-nursing theories.
Indeed, non-nursing theories, including those from the behavioral sciences, sociology, physiology, and
anthropology, appear to be the most common source for theory development, and many examples are evident.
Kolcaba’s Theory of Comfort, for example, was reportedly derived from a review of literature from medicine,
psychiatry, ergonomics, and psychology as well as from nursing literature and history (Dowd, 2014). Role
Theory was foundational for both Meleis’s Transitions Theory (Meleis, 2015) and Mercer’s Theory of
Maternal Role Attainment (Meighan, 2014). In other examples, Benner explained that the Dreyfus Model of
Skill Acquisition, developed by a mathematician and a philosopher, was the primary source for her work
(Brykczynski, 2014) and Mishel’s Uncertainty in Illness Theory incorporated elements of Chaos Theory
(Mishel, 2014).
In a work of theory synthesis, Pickering and Phillips (2014) described how their model for elder
mistreatment was derived from several sources including Caregiver Burden Theory, theories describing “non-
normal caregivers,” Transgenerational Transmission of Violence Theory, ecological theory, the Family
Caregiving Dynamics Model, and the Phenomenon of Caregiver Dependency. Lastly, Covell (2008) explained
how she derived the middle-range Theory of Nursing Intellectual Capital from a number of organizational
behavior theories (see Nursing Exemplar 4).
NURSING EXEMPLAR 4: MIDDLE RANGE
THEORY DERIVED FROM A NON-NURSING
DISCIPLINE
Covell (2008) proposed the middle range Theory of Nursing Intellectual Capital to explain
the influence of nurses’ knowledge, skills, and experience on patient and organizational
outcomes.
Theory Development Process: Covell (2008) described using strategies of concept and
theory derivation followed by research synthesis to develop and support the theory’s
propositions. Specifically, she noted how “Intellectual Capital Theory” (ICT) consisted of
concepts from economics, accounting, and organizational learning theory. Key concepts
or elements from ICT applied to her work were human capital, structural capital, relational
capital, social capital, and business performance outcomes.
In applying ICT to nursing, Covell (2008) explained that she followed the steps in
Walker and Avant’s process of theory derivation to identify and define the theory’s major
concepts: nursing human capital and nursing structural capital. She also identified two
factors within the work environment that influences nursing human capital—specifically
nurse staffing and employer support for continuing professional developing. Following
this, she proposed relationships among the concepts and illustrated how they influence
both patient and organizational outcomes (Figure 10.2).
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Figure 10-2 Middle range nursing intellectual capital theory.
(From Covell, C. L. [2008]. The middle-range theory of nursing intellectual capital. Journal of Advanced Nursing,
63[1], 94–103. Reprinted with permission of John Wiley and Sons.)
Several middle range nursing theories have been derived from theories or models of behavioral change.
Frequently cited are the Health Belief Model (Becker & Maiman, 1975; Rosenstock, 1990), the Theory of
Reasoned Action (Ajzen & Fishbein, 1980), and the Social Learning/Social Cognitive Theory (Bandura, 1977,
1986), along with others. Table 10-2 lists some of these middle range theories and gives sources from which
the theorist claims derivation of portions of their work.
Table 10-2 Middle Range Nursing Theories Derived From Behavioral Theories
Theory Non-Nursing Theory Source(s)
Commitment to Health Theory (Kelly, 2008) Transtheoretical Model of Behavior Change
Recovery Alliance Theory of Mental Health Nursing
(Shanley & Jubb-Shanley, 2007)
Humanistic Philosophy
Health Promotion Model (Pender, Murdaugh, &
Parsons, 2015)
Social Learning Theory and Expectancy-Value
Theory
Theory of Care-Seeking Behavior (Lauver, 1992) Health Belief Model and the Theory of Reasoned
Action
Medication Adherence Model (Johnson, 2002) Health Belief Model, Social Learning Theory, the
Theory of Reasoned Action, and the Self-Regulation
Model
Self-Efficacy in Nursing Theory (Lenz &
Shortridge-Baggett, 2002)
Social Learning Theory
Theory of Prenatal Care Access (Phillippi & Roman,
2013)
Lewin’s Theory of Human Behavior
Cues to Participation in Prostate Screening (Nivens,
Herman, Pweinrich, & Weinrich, 2001)
Health Belief Model, Social Learning Theory
Model for Cross-Cultural Research (Poss, 2001) Health Belief Model, Theory of Reasoned Action
Middle Range Theory Derived From Practice Guidelines or Standard of Care
Practice guidelines or standards of care appear to be the least common source for middle range theory
development, as only a few examples could be found. In one example, the Public Health Nursing Practice
Model (K. Smith & Bazini-Barakat, 2003) was developed by “melding of nationally recognized components”
(p. 44) of public health nursing (PHN) practice. The identified components were the Standards of PHN
practice, the 10 Essential Public Health Services, Healthy People 2010’s 10 Leading Health Indicators, and
Minnesota’s Public Health Interventions Model. In other examples, Good (1998) used clinical guidelines for
management of postoperative pain to develop a middle range Theory of Acute Pain Management, and Huth
and Moore (1998) used practice standards to develop a Theory of Acute Pain Management in infants and
children. Finally, Ruland and Moore (1998) used standards of care to develop the Theory of the Peaceful End
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of Life from standards of care for terminally ill patients (see Nursing Exemplar 5).
NURSING EXEMPLAR 5: MIDDLE RANGE
THEORY DERIVED FROM PRACTICE
GUIDELINES OR STANDARD OF CARE
Ruland and Moore (1998) developed the Theory of the Peaceful End of Life from
standards of care for terminally ill patients. In this work, the theorists observed that
relational statements of the standards needed to be more specifically defined to make them
applicable for empirical testing. Because the standards were too specific, they were too
detailed to illustrate the major themes succinctly.
Theory Development Process: The first step of the theory development process was to
define the theory’s assumptions based on the standards of care. The second step was to
perform a “statement synthesis,” whereby five outcome criteria were developed that
contributed to a peaceful end of life (not being in pain, experiencing comfort,
experiencing dignity and respect, being at peace, and experiencing closeness to significant
others or another caring person). For the third step, conceptual definitions for each of the
outcome indicators were determined, and the fourth step involved defining relational
statements between the outcome indicators and the nursing interventions. In this step, all
process criteria from the standard were examined and combined into “prescriptors” to
facilitate the desired outcome. The process of theory synthesis was then used to combine
the relational statements into an integrated structure or theory. The final step was to draw
a diagram of the relationships as a model (Figure 10-3).
Figure 10-3
Theory of peaceful end of life: Relationships between the
concepts of the theory.
(Reprinted from Ruland, C. M., & Moore, S. M. [1998]. Theory construction based on standards of care: A proposed
theory of the peaceful end of life. Nursing Outlook, 46[4], 174. Used with permission from Elsevier.)
Final Thoughts on Middle Range Theory Development
Middle range theories should be “user-friendly” in language and style. They need to be described with
practice implications in journals that practicing nurses are likely to read, and the theorists need to identify
implications and specific interventions suggested by the theory (Lenz, 1996). Liehr and Smith’s (1999)
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specific recommendations to enhance development and use of middle range theory include:
Clearly articulate the theory name.
Succinctly describe approaches used for generating the theory.
Clarify the conceptual linkages of the theory in a diagrammed model.
Elucidate the research–practice links of the theory.
Explain the association between the theory and the discipline of nursing.
Analysis and Evaluation of Middle Range Theory
The move to enhance middle range theory development and use in nursing practice and research necessitates
corresponding analysis and critique. Like grand theories and conceptual frameworks, middle range theories
should be subject to evaluation. In addition, research guided by middle range theory should be congruent with
the philosophical underpinnings of the theory and should be critiqued with regard to more than just the
statistical significance of the findings.
Whall (2016) specifically addressed analysis and evaluation of middle range theory. Her criteria modified
the guidelines she used for analysis and evaluation of grand nursing theories. The modifications removed
explicit review of the metaparadigm concepts, which are assumed to be more implicit than explicit in middle
range theory, and added questions regarding the congruence and fit of the middle range theory with the
existing nursing perspective and domains. Furthermore, Whall explained that middle range theories should
provide specific empirical referents for defined concepts. The ability to operationalize and measure aspects of
the theory is extremely important in middle range theory, and operational definitions should be evaluated.
Finally, she suggested analysis of middle range theories to assess their congruence with grand theories.
Smith (2014) also proposed a format for evaluation of middle range theories. She suggested evaluation
based on three categories: substantive foundations, structural integrity, and functional adequacy. When
evaluating substantive foundations, one would determine whether the theory was within the focus of nursing;
whether assumptions are specified and congruent with the focus; whether the theory provides substantive
description, explanation, or interpretation of a phenomenon that would be considered middle range; and
whether the theory is rooted in practice or research experience. Evaluation of structural integrity would
determine whether concepts are clearly defined and at the middle range of abstraction, whether the number of
concepts is appropriate, and whether the concepts and relationship are logically represented with a model.
Evaluation of functional adequacy examines whether the theory can be applied in practice or with various
client groups, if empirical indicators have been identified for theoretical concepts, and if there are published
examples of use of the theory in practice or research.
Chapter 5 includes a more detailed discussion of analysis and evaluation of middle range theories. In
addition, the synthesized method for theory evaluation (see Box 5-3, p. 107) can be used as a guide for
analysis and evaluation of middle range theory.
Summary
This chapter has described the current emphasis of nursing theory development, which focuses on efforts to
construct, test, refine, and evaluate middle range theories. To help advance the discipline, nurses should be
encouraged to write and publish papers that describe middle range theories and report research studies in
which a middle range theory has been used. This process of middle range theory generation and refinement
will further develop the discipline’s substantive knowledge base.
Annette Cohen, the graduate student in the opening case study who was working toward development of a
theory of spiritual health, related it to the practice of hospice nursing. Like Annette, nurses in all settings
should strive to learn about existing or emerging middle range theories or seek to develop and describe
theories that will explain phenomena they observe in practice.
Nursing has the knowledge, skills, manpower, and resources to move beyond delineation of conceptual
models and domain concepts to emphasize development and application of middle range theory. Middle range
theory holds much promise for the evolution of the discipline’s science and practice. But, as Liehr and Smith
(1999) pointed out, the challenge is to develop middle range theories that are empirically sound, coherent,
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meaningful, useful, and illuminating.
Key Points
Middle range nursing theories were first introduced into nursing in the mid-1970s; their number and use
have grown dramatically in the last decade.
Middle range theories are more specific, have fewer concepts, and encompass a more limited aspect of the
real world compared with grand nursing theories; they are also more readily testable in research.
Middle range theories may be developed through research, practice, or literature synthesis; they may be
derived from grand nursing theories or non-nursing theories; or they may be derived from practice
guidelines and standards.
Before being used in a research study or applied in practice, middle range nursing theories should be
analyzed or evaluated.
Learning Activities
1. Search current nursing journals for examples of the development, analysis, or use of middle
range theories in the discipline of nursing. Can any trends be identified?
2. Select one of the middle range theories derived from a grand nursing theory and one derived
from a non-nursing theory. Analyze both for ease of application to research and practice.
3. Annette, the nurse from the opening case study, determined that she wanted to develop a
middle range theory of spiritual health. Consider a concept of interest or one relevant to your
practice. How could you develop the concept into a preliminary middle range theory
following one of the processes presented in this chapter?
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11
Overview of Selected Middle Range Nursing Theories
Melanie McEwen
Elaine Chavez is employed as a nurse at a public health clinic in an urban area. She is also in her second
semester of a graduate nursing program preparing to become a mental health nurse practitioner. In her
practice, Elaine has worked with a number of women who have been abused by their partners, and she has
observed a pattern of comorbidities in these women, including depression, alcoholism, substance abuse, and
suicide attempts. Over the last few months, Elaine has reviewed the nursing literature and identified several
intervention strategies that have been effective in working with women who have been victims of domestic
violence. Using this information, she would like to implement a program to promote early identification of
abuse and multiple-level interventions. This is a project that will work well with one of her master’s portfolio
assignments.
From her literature review, Elaine identified several theories related to her study. She was particularly
interested in examining the set of circumstances that would cause the women to seek help. For this, she
performed a more detailed literature review and identified Kolcaba’s (2003, 2017) Theory of Comfort, which
helped her conceptualize many of the issues faced by abused women. Indeed, the theory described individual
characteristics that contributed to health-seeking behavior. These were stimulus situations, which can cause
negative tension. By providing comfort measures, the nurse can help decrease negative tensions and promote
positive tension. Elaine wanted to continue to identify comfort measures that would encourage the women to
seek care for their problems.
For the next phase of her project, Elaine collected all of the information she could find on Kolcaba’s
theory. This included studies that had used the model as a conceptual framework and studies that had tested
the model. From that information and the articles she had gathered previously about issues related to domestic
violence, she was able to draft a set of interventions that she hoped to implement at the clinic following
approval by her supervisor.
Previous chapters have described the growing emphasis on the development and testing of middle range
theories in nursing. As a result, during the past two decades, a significant number of these theories have been
presented in the nursing literature. The purpose of this chapter is to introduce some of the commonly used
middle range nursing theories as well as some of the recently published ones to familiarize readers with these
works and direct them to resources for more information. An attempt was made to include works from a
variety of areas and from many scholars but by no means is the list presented here exhaustive. Nor does
inclusion or exclusion relate to the quality or significance of the theory or its usefulness in research or
practice.
To assist with organization of the chapter, the theories are divided into sections based on whether they
appear to be “high,” “middle,” or “low” middle range theories. As explained in Chapter 10, the
high/middle/low distinction relates to the level of abstraction as posed by Liehr and Smith (1999), with the
“high” middle range theories being the most abstract and nearest to the grand theories. The “low” middle
range theories, on the other hand, are the least abstract, and they are similar to practice or situation-specific
theories. It is noted that these designations are arguably arbitrary and that one theory that is listed here as
“high middle” may be considered by others to be a grand theory. Likewise, another theory listed here as
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“middle middle” might be considered by others to be a high middle range theory, and so forth.
Elements of theory description and theory analysis as explained in Chapter 5 serve as the basis for the
more detailed discussions of selected theories. Each will include a brief overview, an outline of the purpose
and major concepts of the theory, and context for use and nursing implications. Finally, evidence of empirical
testing and application in practice are described (Box 11-1).
Box 11-1 American Association of Colleges of Nursing Essentials
Middle range theory is vital for the ongoing development of the nursing profession. Indeed, according to the
doctorate of nursing practice “essentials,” “Nursing science frames the development of middle range theories
and concepts to guide nursing practice” (American Association of Colleges of Nursing, 2006, p. 9).
High Middle Range Theories
The high middle range theories presented here are some of the most well-known and widely used theories in
nursing. Included are the works of Benner, Leininger, Pender, and Meleis. These theories may be considered
grand theories or conceptual frameworks by other nursing scholars and possibly by the author of the theory.
These theories, however, do not totally fit with the criteria for grand theories as outlined in this text and
therefore are not covered in the chapters dealing with that content. In addition, the Synergy Model, a nursing
model that is widely used in research and practice, particularly in critical care, will be discussed. Table 11-1
lists other high middle range theories or conceptual models, their purposes, and major concepts.
Table 11-1 High Middle Range Nursing Theories
Theory/Model Purpose Major Concepts
Tidal model
(psychiatric and
mental health
nursing)
(Barker, 2001a,
2001b)
Describes psychiatric nursing
practice focusing on three care
processes; emphasizes the fluid
nature of human experience
characterized by change and
unpredictability
Personhood (dimensions—world, self, others), discrete
holistic (exploratory) assessment; focused (risk)
assessment, empowerment, narrative as the medium of
self
Spiritual Care
in Nursing
Practice Theory
(Burkhart &
Hogan, 2008)
Describes the process in which
positive nurse–patient spiritual
encounters can lead to positive
spiritually growth-filled
memories that will increase
nurses’ spiritual well-being
Patient cue, decision to engage/not engage, spiritual
intervention, immediate emotional response (positive
or negative), search for meaning, formation of a
spiritual memory, spiritual well-being
Parish nursing
(Bergquist &
King, 1994)
Describes the integration of
physical, emotional, and
spiritual components in
provision of holistic health care
in a faith community
Client (spiritual, physical, emotional components),
parish nurse (spiritual maturity, pastoral team member,
autonomy, caring, effective communication), health
(physical, emotional, and spiritual wellness and
wholeness), environment (faith community)
Parish nursing
(L. W. Miller,
1997)
Integrates the concepts of
evangelical Christianity with
application of parish nursing
interventions
Person/parishioner, health, nurse/parish nurse,
community/parish, the triune God
Neal Theory of
Home Health
Nursing (Neal,
1999a, 1999b)
Describes the practice of home
health nurses as they use
process of adaptation to attain
autonomy
Autonomy, three stages (dependence, moderate
dependence, and autonomy), logistics, client’s home,
client’s resources, client’s needs, and learning capacity
Occupational Shows how the occupational Work setting influences (corporate culture/mission,
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health nursing
(Rogers, 1994)
health nurse works to improve,
protect, maintain, and restore
the health of the
worker/workforce and depicts
how practice is affected by both
external and internal work
setting influences
resources, work hazards, workforce characteristics),
external factors (economics, population/health trends,
legislation/politics, technology), occupational health
nursing practice (health promotion, workplace hazard
detection, case management/primary care, counseling,
management, research, legal/ethical monitoring,
community orientation)
Omaha System
(Martin, 2005)
Comprehensive classification
system that promotes
documentation of client care,
generally in community and
home health nursing practice
Depicts the nursing process as circular rather than
linear; steps are collect and assess data, state problems,
identify admission problem rating, plan and intervene,
identify interim/dismissal problem rating, and evaluate
problem outcomes.
Schuler Nurse
Practitioner
Practice Model
(Shuler &
Davis, 1993)
Integrates essential nursing and
medical orientations to provide
a framework for holistic
practice for nurse practitioners
(NP)
Patient and NP inputs (noted as episodic and
comprehensive with and without health problem); data
gathering/role modeling; patient and NP throughputs
include identification of problems and diagnosing,
contracting, and planning and implementing of the
plan of care. Outputs involve comprehensive
evaluation of patient and NP outcomes.
Public health
nursing practice
(K. Smith &
Bazini-Barakat,
2003)
Guides public health nurses to
improve the health of
communities and target
populations
Interdisciplinary public health team, standards of
public health nursing practice, essential public health
services, health indicators, population-based practice
(systems, community, individual, and family focus),
healthy people in health communities
Rural nursing
(Weinert &
Long, 1991)
Guides rural nursing practice,
research, and education by
understanding and addressing
the unique health care needs
and preferences of rural persons
Health (health as ability to work), environment
(distance and isolation), person (self-reliance and
independence), nursing (lack of anonymity,
outsider/insider, and old-timer/newcomer)
Benner’s Model of Skill Acquisition in Nursing
Patricia Benner’s theoretical model was first published in 1984. The model, which applies the Dreyfus model
of skill acquisition to nursing, outlines five stages of skill acquisition: novice, advanced beginner, competent,
proficient, and expert. Although Benner’s work is much more encompassing in regard to nursing domains and
specific functions and interventions, it is the five stages of skill acquisition that has received the most attention
with regard to application in administration, education, practice, and research.
Purpose and Major Concepts
Benner’s model delineates the importance of retaining and rewarding nurse clinicians for their clinical
expertise in practice settings because it describes the evolution of “excellent caring practices.” She notes that
research demonstrates that practice grows “through experiential learning and through transmitting that
learning in practical settings” (Benner, 2001, p. vi). Expertise develops when the clinician tests and refines
propositions, hypotheses, and principle-based expectations in actual practice situations. Finally, the model
seeks to describe clinical expertise including six areas of practical knowledge (graded qualitative distinctions;
common meanings; assumptions, expectations, and sets; paradigm cases and personal knowledge; maxims;
and unplanned practices) (Benner, Tanner, & Chesla, 2009).
The central concepts of Benner’s model are those of competence, skill acquisition, experience, clinical
knowledge, and practical knowledge. She also identifies the following seven domains of nursing practice:
Helping role
Teaching or coaching function
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Diagnostic client-monitoring function
Effective management of rapidly changing situations
Administering and monitoring therapeutic interventions and regimens
Monitoring and ensuring quality of health care practices
Organizational and work-role competencies (Benner, 2001)
Context for Use and Nursing Implications
The Benner model has been used extensively as rationale for career development and continuing education in
nursing. Areas specifically cited for utilization include nursing management, career enhancement, clinical
specialization, staff development programs, staffing, evaluation, clinical internships, and precepting students
and novice nurses (Benner, 2001; Benner et al., 2009).
Evidence of Empirical Testing and Application in Practice
Over the previous decade, dozens of articles have been written based on Benner’s model, and a number of
these were research-based studies. For example, Wilson, Harwood, and Oudshoorn (2015) examined the
“perpetual novice phenomenon,” and Cates and colleagues (2015) employed a Delphi method to develop a
simulation-based competency assessment instrument for neonatal nurse practitioners, both based on Benner’s
model. In other research, Meretoja and Koponen (2012) used Benner’s model to compare nurses’ optimal and
actual competencies in clinical settings, and Abraham (2011) reported on a study to evaluate a program based
on Benner’s model, which was designed to develop leadership skills and professionalism. Lastly, Homard
(2013) reported on a correlational study which used Benner’s novice-to-expert theory to compare exit
examination scores and National Council Licensure Examination for Registered Nurses (NCLEX-RN) pass
rates among students in a prelicensure nursing program following implementation of a program using
standardized testing. Non–research-based articles included a report by Woody and Davis (2013) which
described how to use Benner’s model to develop and implement an educational module designed to improve
nurse competence in peripheral intravenous therapy.
A fairly common theme was noted as several writers discussed Benner’s applicability in development of
procedures and protocols for orientation of new graduates or nurses into new specialty areas. For example,
using Benner’s model, Koharchik, Caputi, Robb, and Culleiton (2015) presented a process which can be used
by clinical faculty and preceptors to develop clinical reasoning in nursing students; Coyle (2011) discussed an
internship program in home health for new graduates; and Dumchin (2010) described a method for using
online learning experiences to develop perioperative nurses. Finally, Benner’s work was used in several
articles (e.g., Bitanga & Austria, 2013; Haag-Heitman, 2012; Owens & Cleaves, 2012) to discuss the
development or updating of career enhancement or clinical ladder programs.
Leininger’s Cultural Care Diversity and Universality Theory
Madeleine Leininger was instrumental in demonstrating to nurses the importance of considering the impact of
culture on health and healing (Leininger, 2002). Prior to her death in 2012, Leininger was a prolific nursing
researcher and scholar, and she is credited with starting the specialty of transcultural nursing. In addition, she
was a leading proponent of the idea that nursing is synonymous with caring.
Leininger reported that she conceptualized transcultural nursing as a distinct area of nursing practice in the
late 1950s during her doctoral work in anthropology; she continued to study and develop a transcultural
nursing conceptual framework throughout the 1960s. In the mid-1970s, she presented a “transcultural health
model” that was expanded in 1978 and 1980. The Leininger Sunrise Model was first described as such in
1984 and depicts the transcultural dimensions of culturologic interviews, assessments, and therapies
(McFarland, 2014; McFarland & Wehbe-Alamah, 2015).
Purpose and Major Concepts
The purpose of Leininger’s theory is to generate knowledge related to the nursing care of people who value
their cultural heritage and lifeways. Major concepts of the model are culture, culture care, and culture care
differences (diversities) and similarities (universals) pertaining to transcultural human care. Other major
concepts are care and caring, emic view (language expressions, perceptions, beliefs, and practice of
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individuals or groups of a particular culture in regard to certain phenomena), etic view (universal language
expression beliefs and practices in regard to certain phenomena that pertain to several cultures or groups), lay
system of health care, professional system of health care, and culturally congruent nursing care (Leininger,
2007; McFarland, 2014).
Context for Use and Nursing Implications
The goal for application of Leininger’s theory is to provide culturally congruent nursing care to persons of
diverse cultures. A central tenet of the theory is that it is important for the nurse to understand the individual’s
view of illness. Also, the focus is on recognizing and understanding cultural similarities and differences and
using this information to positively influence nursing care and health (McFarland & Wehbe-Alamah, 2015).
The theory has been widely used for research, and findings are appropriate for nurses in any setting who work
with individuals, families, and groups from a cultural background different from the nurse’s.
Evidence of Empirical Testing and Application in Practice
Leininger (2007) explained that her theory was derived and refined through a number of years of study. Over
the past two decades, research on various groups was conducted, and she listed cultural values and culture
care meanings and action modes for 23 cultural groups in her book. Many graduate students and nursing
scholars have used Leininger’s theory as a basis for research, and as a result, hundreds of examples of articles
can be located in the literature. Many of these used Leininger’s work as a conceptual framework to study
cultural implications of a variety of health problems. For example, J. M. Long and colleagues (2012)
examined health beliefs among four different Latino subgroups specifically related to type 2 diabetes; Gillum
and colleagues (2011) researched cardiovascular disease in the Amish; Mixer, Fornehed, Varney, and Lindley
(2014) examined end-of-life care for people in rural Appalachia; and López-Entrambasaguas, Granero-
Molina, and Fernandez-Sola (2013) studied the incidence of HIV/AIDS among a group of sex workers in
Bolivia.
Leininger’s model has also been used by many authors to identify variables or characteristics of cultural
groups or subcultures that might influence health. For example, Farren (2015) performed a comprehensive
literature review of research that examined cultural differences in cancer survivors’ perceptions and
experiences to promote patient-centered, culturally congruent care for adult cancer patients, and Lee (2012)
used Leininger-inspired “ethnonursing research methods” to discover care meanings and expression among
Appalachian mothers living with their children in a homeless shelter. Other examples of research studies using
Leininger’s model are listed in Box 11-2.
Box 11-2
Research Studies Using Leininger’s Theory of Cultural Care Diversity
and Universality
Bhat, A. M., Wehbe-Alamah, H., McFarland, M., Filter, M., & Keiser, M. (2015). Advancing cultural
assessments in palliative care using web-based education. Journal of Hospice and Palliative Nursing,
17(4), 348–354.
Doornbos, M. M., Zandee, G. L., & DeGroot, J. (2014). Attending to communication and patterns of
interaction: Culturally sensitive mental health care for groups of urban, ethnically diverse, impoverished
and underserved women. Journal of the American Psychiatric Nurses Association, 29(4), 239–249.
McCullagh, M. C., Sanon, M. A., & Foley, J. G. (2015). Cultural health practices of migrant seasonal
farmworkers. Journal of Cultural Diversity, 22(2), 64–67.
Millender, E. (2012). Acculturation stress among Maya in the United States. Journal of Cultural Diversity,
19(2), 58–64.
Missal, B. (2013). Gulf Arab women’s transition to motherhood. Journal of Cultural Diversity, 20(4), 170–
176.
Morris, E. J. (2012). Respect, protection, faith, and love: Major care constructs identified within the
subculture of selected urban African American adolescent gang members. Journal of Transcultural
Nursing, 23(3), 262–269.
Street, D. J., & Lewallen, L. P. (2013). The influence of culture on breast-feeding decisions by African
American and white women. The Journal of Perinatal & Neonatal Nursing, 27(1), 43–51.
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Tasçi-Duran, E., & Sevil, U. (2013). A comparison of the prenatal health behaviors of women from four
cultural groups in Turkey: An ethnonursing study. Nursing Science Quarterly, 26(3), 257–266.
Turk, M. T., Fapohunda, A., & Zoucha, R. (2015). Using photovoice to explore Nigerian immigrants’ eating
and physical activity in the United States. Journal of Nursing Scholarship, 47(1), 16–24.
A number of nonresearch articles describing aspects of transcultural nursing and focusing on Leininger’s
works have also been published in recent years. These include a review of a workshop to enhance cultural
awareness for nurse practitioners (Elminowski, 2015); a report on how to provide culturally competent,
patient-centered nursing care (Darnell & Hickson, 2015); and an article describing the impact of international
service learning on nursing student’s cultural competence (T. Long, 2016).
Pender’s Health Promotion Model
Nola Pender began studying health-promoting behavior in the mid-1970s and first published the Health
Promotion Model (HPM) in 1982. She reported that the model was constructed from expectancy-value theory
and social cognitive theory using a nursing perspective. The model was modified slightly in the late 1980s and
again in 1996 (Pender, Murdaugh, & Parsons, 2015).
Purpose and Major Concepts
The HPM was proposed as a framework for integrating nursing and behavioral science perspectives on factors
that influence health behaviors. The model is to be used as a guide to explore the biopsychosocial processes
that motivate individuals to engage in behaviors directed toward health enhancement (Pender et al., 2015).
The model has been used extensively as a framework for research aimed at predicting health-promoting
lifestyles as well as specific behaviors.
Major concepts of the HPM are individual characteristics and experiences (prior related behavior and
personal factors), behavior-specific cognitions and affect (perceived benefits of action, perceived barriers to
action, perceived self-efficacy, activity-related affect, interpersonal influences, and situational influences), and
behavioral outcomes (commitment to a plan of action, immediate competing demands and preferences, and
health-promoting behavior). Figure 11-1 shows the HPM.
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Figure 11-1 Health Promotion Model.
(Adapted from Pender, N. J., Murdaugh, C. L., & Parsons, M. A. Health Promotion in Nursing Practice, 7th ed., © 2015. Reprinted by
permission of Pearson Education, Inc., New York, New York.)
Context for Use and Nursing Implications
Health promotion interventions are essential for improving the health of populations everywhere. It is noted
that people of all ages can benefit from health promotion care, which should be delivered at sites where
people spend much of their time (e.g., schools and workplaces). Nurses can develop and execute health-
promoting interventions for individuals, groups, and families in schools, nursing centers, occupational health
settings, and the community at large. Per the HPM, nurses should work toward empowerment for self-care
and enhancing the client’s capacity for self-care through education and personal development.
Evidence of Empirical Testing and Application in Practice
Pender and colleagues (2015) wrote that the model has been used by a very significant number of nursing
scholars and researchers and has been useful in explaining and predicting specific health behaviors. Indeed, in
the last decade, more than 250 English language articles that reported using or applying Pender’s HPM have
been published.
Most research studies used Pender’s work as one component of a conceptual framework for study. For
example, Park, Choi-Kwon, and Han (2015) used the HPM to study health behaviors of Korean nursing
students related to obesity and osteoporosis, and Jackson and colleagues (2016) used the model to explain the
relationship between several factors including physical functioning, personal factors, and behavioral
influences on physical activity between prehypertensive and hypertensive African American women. Also
focusing on physical activity, Hatzfeld, Nelson, Waters, and Jennings (2016) used the HPM to examine
factors influencing health behaviors among active duty air force personnel.
Other studies use health promotion as an outcome or to predict behaviors. Burns, Murrock, and Graor
(2012), for example, used the model to identify the relationship between body mass and injury severity among
adolescents, concluding that overweight/obese adolescents may be at increased risk for serious injury.
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Additional examples of recent research studies using Pender’s HPM are listed in Box 11-3.
Box 11-3 Research Studies Using Pender’s Health Promotion Model
Anderson, K. J., & Pullen, C. H. (2013). Physical activity with spiritual strategies intervention: A cluster
randomized trial with older African American women. Research in Gerontological Nursing, 6(1), 11–21.
Bhandari, P., & Kim, M. Y. (2016). Predictors of the health-promoting behaviors of Nepalese migrant
workers. The Journal of Nursing Research, 24(3), 232–239.
Bryer, J., Cherkis, F., & Raman, J. (2013). Health-promotion behaviors of undergraduate nursing students: A
survey analysis. Nursing Education Perspectives, 34(6), 410–415.
Kim, H. J., Choi-Kwon, S., Kim, H., Park, Y. H., & Koh, C. K. (2015). Health-promoting lifestyle behaviors
and psychological status among Arabs and Koreans in the United Arab Emirates. Research in Nursing &
Health, 38(1), 133–141.
Lubinska-Welch, I., Pearson, T., Comer, L., & Metcalfe, S. E. (2016). Nurses as instruments of healing: Self-
care practices of nursing in a rural hospital setting. Journal of Holistic Nursing, 34(3), 223–228.
McClune, A. J., & Conway, A. (2016). Farm safety: A tale of translational research and collaboration.
Pediatric Nursing, 42(1), 31–35.
Valek, R. M., Greenwald, B. J., & Lewis, C. C. (2015). Psychological factors associated with weight loss
maintenance: Theory-driven practice for nurse practitioners. Nursing Science Quarterly, 28(2), 129–135.
Transitions Theory
Meleis (2010) wrote that the Transitions Theory evolved over the course of about four decades. She explained
that it began in practice with her observations of the experiences that humans face as they deal with changes
relating to health, well-being, and their ability to care for themselves. Meleis’s work moved through multiple
steps, including concept analysis and several comprehensive literature reviews. The result was a conclusion
that “transitions” is a central concept in nursing (Schumacher & Meleis, 1994). More focused attention
through observation and research has contributed to formal development, testing, and application of the theory
(Meleis, 2010).
Purpose and Major Concepts
Transitions Theory attempts to describe and attend to the interactions between nurses and patients, suggesting
that nurses are concerned with the experiences of people as they undergo transitions whenever health and
well-being are the desired outcome. The goal of “nursing therapeutics,” then, is to conceptualize and address
the potential problems that individuals encounter during transitional experiences and develop preventative and
therapeutic interventions to support the patient during these occasions (George & Hickman, 2011; Im, 2014;
Meleis, 2010).
Meleis (2010) defined transitions as “a passage from one fairly stable state to another fairly stable state,
and it is a process triggered by a change” (p. 11). Furthermore, transitions are characterized by different
stages, milestones, and turning points. These changes, or transitions, can be assisted or managed by nurses as
they care for patients.
Numerous years of research and analysis into transitions led Meleis and her colleagues to the
identification “of four major categories of transitions that nurses tend to be involved in” (Meleis, 2010, p. 3).
These transitions and representative examples are:
Developmental transitions—birth, adolescence, menopause, aging, death
Situational transitions—changes in educational and professional roles, changes in family situations
(e.g., divorce, widowhood), or changes in living arrangements (e.g., move to a nursing home,
homelessness)
Health–illness transitions—recovery process, hospital discharge, diagnosis of chronic illness
Organizational transition—changing environmental conditions that affect the lives of clients; may be
social, political, or economic (Im, 2014)
Other key concepts include “patterns” and “properties” of the transitions. Patterns denote whether the
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transitions are single, multiple, sequential, simultaneous, related, or unrelated. Properties of the transition
experience are often interrelated in a complex way and refer to awareness, engagement, change/difference,
time span, and critical points and events (Im, 2014).
In Transitions Theory, the nurse must consider the “facilitators” and “inhibitors” of the transition
conditions. These include personal meanings, cultural beliefs and attitudes, socioeconomic status, preparation,
and knowledge. Community conditions and societal conditions may also facilitate or inhibit transitions (Im,
2014).
“Nursing therapeutics” are those activities and actions that nurses may take during times of transitions
(Schumacher & Meleis, 1994). These include assessment of readiness (assessment of each of the transition’s
conditions), preparation for transition (typically involves education to enhance optimal conditions to prepare
for transition), and role supplementation (use of education and practice to facilitate the transitional process)
(George & Hickman, 2011). The outcomes of transitions, and potential for nursing therapeutics, include the
“patterns of response” of the patient. These are designated as process indicators (feeling connected,
interacting, locating and being situated, developing confidence, and coping) and outcome indicators (mastery
and “fluid integrative identities”) (Im, 2014). Figure 11-2 shows the interaction of the major constructs of the
theory.
Figure 11-2 Transitions Theory.
(From Meleis, A. I., Sawyer, L. M., Im, E.-O., Messias, D. K. H., & Schumacher, K. [2000]. Experiencing transitions: An emerging middle
range theory. ANS. Advances in Nursing Science, 23[10], 12–28. Used with permission.)
Context for Use and Nursing Implications
According to Meleis (2010), most nursing care occurs during a transition that the patient is experiencing, and
the goal of nursing care is to promote or encourage health outcomes during these occasions. Indeed, Meleis
and Trangenstein (1994) defined nursing as the art and science of facilitation of the transitions of health and
well-being and noted that nurses are concerned “with the processes and experiences of human beings
undergoing transitions where health and perceived well-being is the outcome” (p. 257).
Transitions Theory is widely applicable and provides a comprehensive guide that considers cultural and
social diversity. It was developed from multiple research studies among very diverse groups of people, during
many types of transitions. Additionally, it has been shown repeatedly to be able to direct nursing practice,
research, and education.
Evidence of Empirical Testing and Application in Practice
Transitions Theory has been based in both research and generated research (George & Hickman, 2011;
Meleis, 2010). Meleis (2010) compiled and published a history of the development of the theory along with
multiple examples of research and application in practice. Additional examples are becoming increasingly
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evident in the literature. Some of these focus on research examining patient transitions encountered by nurses
in various specialty areas. For example, Joly (2016) addressed supportive care for young people with
medically complex needs as they transition into adulthood; Rew, Tyler, Fredland, and Hannah (2012)
examined adolescents’ concerns as they transition through high school; Ekim and Ocakci (2016) looked at the
transitions involved in discharge planning for children with asthma; and Häggström, Asplund, and Kristiansen
(2012) researched patients’ transition from the intensive care unit (ICU).
Several research studies using Transitions Theory focused on the experience of caregivers. One (Beaudet
& Ducharme, 2013) such study identified transitions encountered by patients with Parkinson disease and their
caregivers. The intent was to develop more focused interventions to assist the caregivers. In another example,
Dossa, Bokhour, and Hoenig (2012) performed a grounded theory study that examined the transitions from
hospital to home for patients with mobility impairments and their family caregivers; they concluded that
health care providers need to improve systems to address patient concerns after discharge, focusing on
improving communication and coordination to facilitate recovery and prevent complications.
Finally, Geary and Schumacher (2012) presented an interesting look at the integration of Transitions
Theory with concepts from complexity science. They argued that the complexity of many of the transition
situations encountered by nurses today is better described when the theories are integrated, concluding that the
integration encourages recognition that transitions affect many, including the patients, their caregivers, health
care providers, and the health care system. Integration of the theories should enhance dialogue and promote
better understanding of the situations through changing outcomes for the better.
The Synergy Model
The Synergy Model for Patient Care was developed in the mid-1990s by a panel of nurses of the American
Association of Critical-Care Nurses (AACN) Certification Corporation as a framework for certified practice.
The initial model was revised somewhat, and the revised version was then used as the basis for the AACN’s
certification examination (Curley, 2007; Hardin, 2017).
Purpose and Major Concepts
The purpose of the Synergy Model is to articulate nurses’ contributions, activities, and outcomes with regard
to caring for critically ill patients. The model identifies eight patient needs or characteristics and eight
competencies of nurses in critical care situations (AACN, 2016; Pate, 2017). Of the many unique
characteristics nurses assess, the eight most consistently observed are listed in Box 11-4. The nursing
competencies denote how knowledge, skills, and experience are integrated within nursing care.
Box 11-4 The Synergy Model: Patient Characteristics and Nurse Competencies
Patient Characteristics
Resiliency
Vulnerability
Stability
Complexity
Resource availability
Participation in care
Participation in decision making
Predictability
Nurse Competencies
Clinical judgment
Clinical inquiry
Facilitation of learning
Collaboration
Systems thinking
Advocacy and moral agency
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Caring practices
Response to diversity
Source: AACN (2016).
The Synergy Model also describes three levels of outcomes—those relating to the patient, the nurse, and
the system. Patient outcomes include functional and behavioral change, trust, satisfaction, comfort, and
quality of life. Nurse outcomes include physiologic changes, presence or absence of complications, and extent
to which care objectives were attained. System outcomes include recidivism, costs, and resource utilization
(Curley, 1998, 2007). For more information, see AACN (2017).
Context for Use and Nursing Implications
As mentioned, the Synergy Model was originally developed to structure the AACN’s certification
examination by identifying nursing competencies that are essential for those providing care to the critically ill.
In 2002, assumptions of the model were expanded to establish it as a conceptual framework for designing
practice and developing competencies required to care for critically ill patients. Use of the Synergy Model in
practice is designed to optimize patient outcomes. When patient characteristics and nurse competencies match
and synergize, outcomes for the patient are optimal (Curley, 2007; Hardin, 2017). In addition, the model can
be used for developing nursing curricula and for conducting research (Curley, 2007; Hardin, 2017).
Evidence of Empirical Testing and Application in Practice
Although the Synergy Model is relatively new, a significant number of articles have been published
describing its use in practice. Identified were two articles that tested application of the model in critical care
situations. For example, Swickard, Swickard, Reimer, Lindell, and Winkelman (2014) described the process
of development of a tool to determine the appropriate level of care needed for interfacility patient transport,
using the Synergy Model as a guide. In another work, Stacy (2011) used the Synergy Model as a framework
when reporting on “progressive care units,” which are increasingly being used to bridge the gap between ICUs
and medical-surgical units. A few works (Hardin, 2012; Hart, Hardin, Townsend, Ramsey, & Mahrle-Henson,
2013; Tejero, 2012) described research studies using the Synergy Model as a framework. Box 11-5 shows
several examples of articles describing the model’s use in leadership/administration, practice, and education.
Box 11-5 The Synergy Model in Practice and Education
Goran, S. F. (2011). A new view: Tele-intensive care unit competencies. Critical Care Nurse, 31(5), 17–29.
Gralton, K. S., & Brett, S. A. (2012). Integrating the synergy model for patient care at Children’s Hospital of
Wisconsin. Journal of Pediatric Nursing, 27(1), 74–81.
Hardin, S. R. (2012). Engaging families to participate in care of older critical care patients. Critical Care
Nurse, 32(3), 35–40.
Hardin, S. R. (2015). Vulnerability of older patients in critical care. Critical Care Nurse, 35(3), 55–61.
Helman, S., Lisanti, A. J., Adams, A., Field, C., & Davis, K. F. (2016). Just-in-time training for high-risk
low-volume therapies: An approach to ensure patient safety. Journal of Nursing Care Quality, 31(1), 33–
39.
Jeffery, A. D., Christen, M., & Moore, L. (2015). Beyond a piece of paper: Learning to hire with synergy.
Nursing Management, 46(1), 52–54.
Kohr, L. M., Hickey, P. A., & Curley, M. A. Q. (2012). Building a nursing productivity measure based on
the synergy model: First steps. American Journal of Critical Care, 21(6), 420–430.
Schleifer, S. J., Carroll, K., & Moseley, M. J. (2014). Developing criterion-based competencies for tele-
intensive care unit. Dimensions of Critical Care Nursing, 33(3), 116–120.
Middle Middle Range Theories
A number of nursing theories may be categorized as “middle middle range.” Four theories that have been
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cited in a considerable number of nursing studies are discussed in the following sections. They are Mishel’s
(1984) Uncertainty in Illness Theory, Kolcaba’s (1994) Theory of Comfort, Lenz and colleagues’ Theory of
Unpleasant Symptoms (Lenz, Pugh, Milligan, Gift, & Suppe, 1997; Lenz, Suppe, Gift, Pugh, & Milligan,
1995), and Reed’s (1991b) Self-Transcendence Theory. Table 11-2 lists other middle middle range theories
that have been used in nursing practice and research.
Table 11-2 Middle Middle Range Nursing Theories
Theory/Model Purpose Major Concepts
Self-help (Braden, 1990) Describes a process of factors that
decrease self and life quality and
factors that increase learning a self-
help response and thus a greater
quality of life
Disease characteristics, background
inducements, monitoring (level of
information about illness), severity of
illness, dependency, uncertainty,
enabling skill, self-help, life quality
Chronic Illness Trajectory
Framework (Corbin &
Strauss, 1991, 1992)
Describes a view of chronic illness
with eight phases, from pretrajectory
to dying, with each possessing the
possibilities of reversals, plateaus,
and upward or downward movement;
allows for conceptualization of the
course of illness to comprehensively
direct care and conduct research
Trajectory, trajectory phases
(pretrajectory, trajectory onset, crisis,
acute, stable, unstable, downward,
and dying), trajectory projection,
trajectory scheme (shape illness
course, control symptoms, and handle
disability)
Motivation in health
behavior (health behavior,
self-determinism) (Cox,
1985)
Describes intrinsic motivation in
health behavior
Individual’s self-determined health
judgments, self-determined health
behavior, perceived competency in
health matters, internal–external cue
responsiveness
Theory of Care-Seeking
Behavior (Lauver, 1992)
Explains the probability of engaging
in health behavior as a function of
psychosocial variables and facilitating
conditions regarding the behavior
Clinical and sociodemographic
variables, affect (feelings associated
with care-seeking behavior), utility
(expectations and values about
outcomes), normative influences,
habits, care-seeking behavior
Self-efficacy (Lenz &
Shortridge-Baggett, 2002)
Applies Bandura’s work in nursing to
assist people to be as independent as
possible in managing their health
Person (perception, self-referent),
behavior (initiation, effort,
persistence), efficacy–expectation
(magnitude, strength, generality),
information sources (performance,
vicarious experiences, verbal
persuasion, physiologic information),
and outcome expectations
Model for social support
(Norbeck, 1981)
Outlines the elements and
relationships that must be studied to
incorporate social support into
nursing practice; emphasis placed on
developing the environment
Properties of the person (age,
demographic characteristics, needs),
properties of the situation (role
demands, resources, stressors), need
for social support, available social
support
Theory of Resilience
(Polk, 1997)
Proposes interrelatedness of
dispositional, relational, situational,
and philosophical patterns to describe
concept of resilience to guide
Dispositional pattern (pattern of
physical and ego-related psychosocial
attributes that contribute to
manifestation of resilience), relational
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generation of nursing interventions to
assess and strengthen resilience
pattern (roles and relationships that
influence resilience), situational
pattern (characteristic approach to
situations or stressors), philosophical
pattern (personal beliefs)
Theory of Caring
(Swanson, 1991)
Proposes a definition of caring and
the five essential categories or
processes that characterize caring
Knowing, being with, doing for,
enabling, and maintaining belief
Theory of Successful
Aging (Troutman-Jordan,
2015)
Describes the process in which
individuals use various coping
mechanism to progress toward
desirable adaption to physiologic and
functional changes over their lifetime
Successful aging (meaning, purpose
in life), functional performance
mechanisms (health promotion
activities, physical health, physical
activities), geotranscendence
(decreased death anxiety, purpose in
life), intrapsychic factors (creativity,
personal control), spirituality
(spiritual perspectives, religiosity)
Theory of Self-Care of
Chronic Illness (Riegel,
Jaarsma, & Strömberg,
2012)
Describes the process of maintaining
health with health-promoting
practices within the context of the
management required of a chronic
illness
Self-care maintenance, self-care
monitoring, and self-care
management, influencing factors
(experience, skill, motivation, culture,
confidence, habits, function,
cognition, support, access to care)
Mishel’s Uncertainty in Illness Theory
Merle Mishel began studying the concept of uncertainty in illness in the early 1980s when she desired to
explain the stress that results from hospitalization (Mishel, 1981, 1984). In the late 1980s, she formally
developed the theory, which she then revised in the early 1990s (Mishel, 2014). The Mishel Uncertainty in
Illness Scale was created to better examine the concept, and since that time, her model and instruments have
been used in numerous nursing studies (Bailey & Stewart, 2014; Mishel, 2014).
Purpose and Major Concepts
According to Mishel (1999, 2014), the Uncertainty in Illness Theory explains how clients cognitively process
illness-related stimuli and construct meaning in these events. Uncertainty is seen as “the inability to structure
meaning of illness-related events inclusive of inability to assign definite value and/or to accurately predict
outcomes” (Mishel, 2014, p. 56).
The early iteration of the model (Mishel, 1988) described the concepts of “stimuli frame” (symptom
pattern, event familiarity, event congruency), “cognitive capacities,” and “structure providers” (credible
authority, social support, education) that may lead to uncertainty. Other concepts include appraisal, inference,
illusion, and opportunity as well as coping mechanisms; these may lead to adaptation. In 1990, the process of
theory derivation was used to update and revise the theory to address issues related to chronic uncertainty.
Interestingly, chaos theory was used in this process (Mishel, 1990). Figure 11-3 shows the Uncertainty in
Illness Theory.
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Figure 11-3 Model of perceived uncertainty in illness.
(From Mishel, M. H. [1990]. Reconceptualization of the uncertainty in illness theory. Image—The Journal of Nursing Scholarship, 22[4], 256–
262. Used with permission of Wiley.)
Context for Use and Nursing Implications
The Uncertainty in Illness Theory explains how individuals cognitively process illness-related stimuli and
how they structure meaning for those events. In the theory, adaptation is the desirable end-state achieved after
coping with the uncertainty. Nurses may develop nursing interventions that attempt to influence the person’s
cognitive process to address the uncertainty. This, in turn, should produce positive coping and adaptation
(Mishel, 1999, 2014).
Evidence of Empirical Testing and Application in Practice
During the process of theory development and refinement, Mishel developed and tested several research
instruments. These are the Adult Uncertainty in Illness Scale and the Adult Uncertainty in Illness Scale—
Community Form, the Parents’ Perception of Uncertainty in Illness Scale, the Parents’ Perception of
Uncertainty in Illness Scale—Family Member (Mishel, 2014), and the Uncertainty Scale for Kids (Stewart,
Lynn, & Mishel, 2010).
The Uncertainty in Illness Theory is becoming increasingly recognized in nursing literature as a resource
for research and practice. A significant number of research studies were identified using Mishel’s theory or
instruments or both in addressing health issues among a wide variety of groups and covering many different
health problems. For example, in a longitudinal study, Bailey, Kazer, Polascik, and Robertson (2014) used
Mishel’s theory as part of the conceptual framework that examined uncertainty experienced by men who must
have their prostate-specific antigen levels monitored following prostate cancer surgery. Other research
employing Mishel’s instruments included works by Kurita, Garon, Stanton, and Meyerowitz (2013), who
studied uncertainty among patients with lung cancer and their psychological adjustment, and Cypress’s (2016)
examination of the uncertainty experienced by patients in the ICU. Interestingly, many studies using Mishel’s
theory were directed at patients and their families or caregivers. For example, White, Barrientos, and Dunn
(2014) examined uncertainty experienced by stroke survivors and family caregivers; Unson, Flynn, Glendon,
Haymes, and Sancho (2015) studied the stress and uncertainty of the caregivers of persons with dementia; and
Germino and colleagues (2013) looked at uncertainty of breast cancer survivors and their families.
Mishel’s work has achieved worldwide recognition, and her instruments have been translated into several
languages including Italian (Giammanco, Gitto, Barberis, & Santoro, 2015), Persian (Saijadi, Rassouli,
Abbaszadeh, Alavi Majd, & Zendehdel, 2014), and French (C. A. Miller, 2015). Finally, Christensen (2015)
described development of the Health Change Trajectory Model—a new middle range theory—integrating
concepts and relationships from Mishel’s Uncertainty in Illness Theory and the Corbin and Strauss Chronic
Illness Trajectory Framework (Corbin, 1998).
Kolcaba’s Theory of Comfort
Katherine Kolcaba (2017) wrote that the first step in developing the Theory of Comfort was a concept
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analysis conducted in 1988 while she was a graduate student. Following a number of steps over several years,
the Theory of Comfort was initially published in 1994 and later modified (Kolcaba, 1994, 2001).
Purpose and Major Concepts
Kolcaba (1994) defined comfort within nursing practice as “the satisfaction (actively, passively, or co-
operatively) of the basic human needs for relief, ease, or transcendence arising from health care situations that
are stressful” (p. 1178). She explained that a client’s needs arise from a stimulus situation that can cause
negative tension. Increasing comfort measures can result in having negative tensions reduced and positive
tensions engaged. Comfort is viewed as an outcome of care that can promote or facilitate health-seeking
behaviors. It is posited that increasing comfort can enhance health-seeking behaviors. One proposition notes
that “if enhanced comfort is achieved, patients, family members and/or nurses are strengthened to engage in
HSBs [health-seeking behaviors], which further enhance comfort” (Kolcaba, 2017, p. 200).
Major concepts described in the Theory of Comfort include comfort, comfort care, comfort measures,
comfort needs, health-seeking behaviors, institutional integrity, and intervening variables. There are also eight
defined propositions that link the defined concepts (Box 11-6) (Kolcaba, 2001, 2017). Figure 11-4 presents
the Theory of Comfort.
Box 11-6 Propositions of Comfort Theory
1. Nurses and members of the health care team identify comfort needs of patients and family members.
2. Nurses design and coordinate interventions to address comfort needs.
3. Intervening variables are considered when designing interventions.
4. When interventions are delivered in a caring manner and are effective, the outcome of enhanced
comfort is attained.
5. Patients, nurses, and other health care team members agree on desirable and realistic health-seeking
behaviors.
6. If enhanced comfort is achieved, patients, family members, and/or nurses are more likely to engage in
health-seeking behaviors; these further enhance comfort.
7. When patients and family members are given comfort care and engage in health-seeking behaviors, they
are more satisfied with health care and have better health-related outcomes.
8. When patients, families, and nurses are satisfied with health care in an institution, public
acknowledgment about that institution’s contributions to health care will help the institution remain
viable and flourish. Evidence-based practice or policy improvements may be guided by these
propositions and the theoretical framework.
Sources: Kolcaba (2001, 2017).
Figure 11-4 The conceptual framework for the Theory of Comfort.
(© Kolcaba [2007]. Used with permission. http://thecomfortline.com.)
Context for Use and Nursing Implications
Comfort Theory observes that patients experience needs for comfort in stressful health care situations. Some
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http://thecomfortline.com
of these needs are identified by the nurse, who then implements interventions to meet the needs (Kolcaba,
1995). Kolcaba (2017) stated that “Comfort Theory can be adapted to any health care setting or age group . . .
” (p. 200). Understanding of comfort can promote nursing care that is holistic and inclusive of physical,
psychospiritual, social, and environmental interventions. It is noted that any actually unhappy, unhealthy, or
unwell patients can be made more comfortable (Kolcaba, 1994). Finally, outcomes of comfort can be
measurable, holistic, positive, and nurse sensitive.
Evidence of Empirical Testing and Application in Practice
The General Comfort Questionnaire (GCQ) is a 48-item Likert-type scale that was developed to measure
concepts and propositions described in the theory. The GCQ has been modified to be used for different
populations in a number of studies, and a shortened GCQ (28 items) is also in use (Kolcaba, 2017).
Kolcaba (2017) described development of other tools to assist in research and practice application for the
Theory of Comfort. These include the Verbal Rating Scale Questionnaire, the Radiation Therapy Comfort
Questionnaire, the Hospice Comfort Questionnaire, the Urinary Incontinence and Frequency Comfort
Questionnaire, and the Healing Touch Comfort Questionnaire. In addition, the Comfort Behaviors Checklist
was developed to measure comfort in patient who can’t use traditional questionnaires or other instruments.
A number of research studies have been conducted by Kolcaba and her colleagues using the instruments
listed earlier. For example, Andersen, Jylli, and Ambuel (2014) used Kolcaba’s Comfort Behaviors Checklist
to evaluate the comfort care provided by a group of health providers and Seyedfatemi, Rafii, Rezaei, and
Kolcaba (2014) used her instruments to study comfort and hope among preoperative patients. Whitehead,
Anderson, Redican, and Stratton (2010) reported using Kolcaba’s instruments to study the effects of an end-
of-life nursing education program on nurses’ death anxiety, knowledge of the dying process, and related
concerns. Also examining nursing care at the end of life, Murray (2010) used Kolcaba’s instruments to assess
spiritual beliefs and practices of nurses caring for patients at the end of life, along with similarities and
differences in spiritual beliefs and practices comparing hospice nurses and nurses working on oncology and
other special care units.
In practice-specific examples, Marchuk (2016) described how Comfort Theory can be applied in end-of-
life care in the neonatal intensive care unit (NICU), and Krinsky, Murillo, and Johnson (2014) explained how
comfort measures can be used to improve nursing care for cardiac patients. Finally, Boudiab and Kolcaba
(2015) presented a comprehensive look at the application of Comfort Theory in directing holistic, quality care
for veterans and their families.
Lenz and Colleagues’ Theory of Unpleasant Symptoms
The Theory of Unpleasant Symptoms was developed by a group of nurses interested in a variety of nursing
issues, including symptom management, theory development, and nursing science (Lenz, Pugh, Milligan, &
Gift, 2017). The theory was initially published in the nursing literature in the mid-1990s (Lenz et al., 1995)
and then updated a few years later (Lenz et al., 1997). The theory was based on the premise that there are
commonalities in experiencing different symptoms among different groups and in different situations. The
theory was developed to integrate existing knowledge about a variety of symptoms to better prepare nurses in
symptom management.
Purpose and Major Concepts
The purpose of the Theory of Unpleasant Symptoms is “to improve understanding of the symptom experience
in various contexts and to provide information useful for designing effective means to prevent, ameliorate, or
manage unpleasant symptoms and their negative effects” (Lenz & Pugh, 2014, p. 166). Lenz and colleagues
(1997) reported that the theory has three major components: (1) the symptoms that the individual is
experiencing, (2) the influencing factors that produce or affect the symptom experience, and (3) the
consequences of the symptom experience.
Within the theory, symptoms are described in terms of duration, intensity, distress, and quality.
Influencing factors can be physiologic factors, psychological factors, and/or situational factors. Performance
is described in terms of functional status, cognitive functioning, or physical performance (Lenz et al., 2017).
Figure 11-5 depicts the Theory of Unpleasant Symptoms.
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Figure 11-5 Updated version of the middle range Theory of Unpleasant Symptoms.
(From Lenz, E. R., Pugh, L. C., Milligan, R. A., Gift, A., & Suppe, F. [1997]. The middle range theory of unpleasant symptoms: An update.
ANS. Advances in Nursing Science, 19[3], 14–27. Used with permission.)
Context for Use and Nursing Implications
The Theory of Unpleasant Symptoms helps nurses recognize the need to assess multiple aspects of symptoms,
including characteristics of the symptom(s) itself; the underlying disease or other cause; as well as the
frequency, intensity, duration, quality, and distress felt by the patient due to the symptom(s) (Lenz et al.,
2017). The developers of the Theory of Unpleasant Symptoms note that it is clinically applicable to multiple
client situations because it should stimulate nurses to consider factors that might influence more than one
symptom and the ways in which symptoms interact with each other (Lenz et al., 1997). The theory’s
developers noted that it has been used in an emergency department (ED) to develop a symptom assessment
scale for cardiac patients and has been useful in predicting the need for hospitalization among patients with
chronic obstructive pulmonary disease (COPD).
Evidence of Empirical Testing and Application in Practice
A growing number of research studies using the Theory of Unpleasant Symptoms as a conceptual or
organizing framework have been conducted. One study by Kim, Oh, Lee, Kim, and Kim (2015) used the
theory in their investigation of predictors of symptoms and symptom experience among cancer patients
undergoing chemotherapy. Also studying cancer patients, Hsu and Tu (2014) used the Theory of Unpleasant
Symptoms to evaluate the effects of cancer treatments on functional status, depressive symptoms, fatigue, and
quality of life. Other works applied the Theory of Unpleasant Symptoms in caring for patients undergoing
bariatric surgery (Tyler & Pugh, 2009), patients with coronary heart disease (Eckhardt, Devon, Piano, Ryan,
& Zerwic, 2014), and patients with inflammatory bowel disease (Farrell & Savage, 2010).
Reed’s Self-Transcendence Theory
Pamela Reed first wrote about the concept of self-transcendence in 1983 and formally outlined her theory in
1991 (Reed, 1991b). She reported that she used “deductive reformulation” of theories of life span
development in constructing the theory. These she integrated with Rogers’s conceptual system, clinical
experience, and empirical work (Reed, 1991b). Self-transcendence is developed by introspective activities and
concerns about the welfare of others and by integrating perceptions of one’s past and future to enhance the
present (Reed, 1991a).
Purpose and Major Concepts
Self-transcendence is considered to be a “characteristic of developmental maturity whereby there is an
expansion of self-boundaries and orientation toward broadened life perspectives and purposes” (Reed, 1991b,
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p. 64). Self-transcendence moves the individual beyond the immediate or constricted view of self and the
world (Reed, 1996). Within self-transcendence, there is “an expansion of personal boundaries outwardly
(toward others and the environment), inwardly (toward greater awareness of beliefs, values, and dreams), and
temporally (toward integration of past and future in the present)” (Reed, 1996, p. 3). Other central concepts of
the theory include well-being (a sense of wholeness and health) and vulnerability (awareness of personal
mortality) (Coward, 2014; Reed, 2014).
Context for Use and Nursing Implications
Reed (1991b) reported that a theory of self-transcendence may be used by nurses to attend to spiritual and
psychosocial expressions of self-transcendence in clients who are confronted with end-of-life issues. To
promote self-transcendence, nurses may use interventions such as meditation, self-reflection, visualization,
religious expression, counseling, and journaling to expand the individual’s boundaries.
Evidence of Empirical Testing and Application in Practice
A number of nursing research studies have used the theory of self-transcendence. In an early work, Reed
(1991a) found support for the theory in an examination of the mental health of older adults. In the study, she
identified a relationship between self-transcendence and mental health and an inverse relationship between
self-transcendence and depression. More recently, studies have been undertaken to examine self-
transcendence and its effect on well-being or other variables. These studies are conducted among those with
health issues such as spinal muscular atrophy (Ho, Tseng, Hsin, Chou, & Lin, 2016), Alzheimer disease
(Walsh et al., 2011), hypertension (Thomas & Dunn, 2014), and at the end of life (Shockey-Stephenson &
Berry, 2015).
Several projects have looked at self-transcendence among nurses and/or nursing students. For example,
Hunnibell and colleagues (2008) studied differences in self-transcendence between hospice and oncology
nurses, analyzing how it influenced burnout in those groups. In similar works, Palmer, Quinn Griffin, Reed,
and Fitzpatrick (2010) studied self-transcendence and engagement in acute care registered nurses (RNs), and
Haugan (2014) examined whether student nurses’ self-transcendence could positively influence their attitudes
toward caring for older adults. Finally, several works were identified that sought to enhance self-
transcendence or to associate it with successful ageing. These included a study by McCarthy, Ling, and Carini
(2013) and a second study by McCarthy, Ling, Bowland, Hall, and Connelly (2015).
Low Middle Range Theories
The number of low middle range theories appears to be growing as nursing researchers and nursing scholars
describe phenomena directly related to practice. Three theories are examined in the following sections. They
are Eakes, Burke, and Hainsworth’s (1998) Theory of Chronic Sorrow; Beck’s (1993) Postpartum Depression
Theory; and Mercer’s (1981) Conceptualization of Maternal Role Attainment/Becoming a Mother. Table 11-3
lists other low middle range theories.
Table 11-3 Low Middle Range Nursing Theories
Theory/Model Purpose Major Concepts
Theory of Adaptation to
Chronic Pain (Dunn,
2004)
Describes the process and
outcome of adaptation to
chronic pain through use of
religious and nonreligious
coping to create human and
environmental integration that
promotes survival, growth, and
integrity
Stimuli (background contextual variables,
total pain intensity), compensatory life
process (religious and nonreligious coping),
adaptive modes (functional ability,
psychological, and spiritual well-being)
Acute pain management
(Good, 1998; Good &
Proposes prescriptions for
nursing activities to reduce pain
Potent pain medication, pharmacologic
adjuvant, nonpharmacologic adjuvant,
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Moore, 1996) after surgery or trauma to
ensure that clients have less
intense pain with minimal side
effects of medications
assessment of pain and side effects, goal
setting, and balance between analgesia and
side effects
Theory of Suffering
(Morse, 2001)
Describes phases of suffering
and relationship between states
of enduring suffering and
caregiver response
Enduring (emotional suppression) and
emotional suffering, outcomes (recognition,
acknowledgments, acceptance)
Theory of the Peaceful
End of Life (Ruland &
Moore, 1998)
Directs care necessary for
terminally ill clients; enhances
nursing care by combining the
dimensions that are important to
dying in a unifying whole
Not being in pain, experience of comfort,
experience of dignity and respect, being at
peace, closeness to significant others and
people who care
Caregiving Effectiveness
Model (C. E. Smith et al.,
2002)
Explains and predicts outcomes
of technology-based home
caregiving provided by family
members
Caregiving context (caregiving
characteristics, caregiving/care-receiving
interactions, patient education), adaptive
context (family economic stability,
caregiver health status, family adaptation,
reactions to caregiving), caregiving
effectiveness outcomes (patient quality of
life, caregiver quality of life, patient
condition, technologic side effects)
Theory of Caregiver
Stress (Tsai, 2003)
Predicts caregiver stress and its
outcomes from demographic
characteristics, burden in care
giving, stressful life events,
social support, and social roles
Caregiver adaptation, input (objective
burden, stressful life events, social support,
social roles, demographic information),
control process (perceived caregiver stress
and depression), output (physical function,
self-esteem, role enjoyment, marital
satisfaction)
Theoretical model for the
development of skin
ulcers of nonsystemic
origin and dependence-
related lesions (García-
Fernández, Agreda,
Verdú, & Pancorbo-
Hidalgo, 2013)
Explains the production
mechanism of seven
dependence-related lesions
considered to lead to pressure
ulcers
Moisture lesions (incontinence exposure),
friction lesions (friction/grazing), pressure
ulcers (pressure [decreased capacity for
repositioning, decreased sensory
perception], shear)
Theory of Family
Vigilance (Carr, 2014)
Describes the meanings,
patterns, and day-to-day
experience of family members
staying with hospitalized
relatives
Commitment to care (advocacy, love,
responsibility, solicitude, involvement),
resilience (caring for self, perseverance,
hope), emotional upheaval (anxiety,
uncertainty, life and death decisions),
dynamic nexus (relationships with
family/friends, relationship with health care
providers), transition (lifestyle, daily
rhythm, comfort, space)
Eakes, Burke, and Hainsworth’s Theory of Chronic Sorrow
The concept of chronic sorrow was introduced in the early 1960s to describe grief observed in the parents of
children with mental deficiencies. Subsequent research indicated similar patterns of chronic sorrow in parents
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of mentally or physically disabled children. The Nursing Consortium for Research on Chronic Sorrow
expanded the concept to include individuals who experience a variety of loss situations and to their family
caregivers (Eakes, 2017; Eakes et al., 1998).
The middle range Theory of Chronic Sorrow was formalized in 1998. The theory was inductively derived
and validated through a series of studies and a critical review of the existing research. Chronic sorrow is
defined as the “periodic recurrence of permanent, pervasive sadness or other grief related feelings associated
with a significant loss” (Eakes et al., 1998, p. 179), which was described as a normal response to ongoing
disparity associated with loss.
Purpose and Major Concepts
The Theory of Chronic Sorrow was developed to help analyze individual responses of people experiencing
ongoing disparity due to chronic illness, caregiving responsibilities, loss of the “perfect” child, or
bereavement. Chronic sorrow was characterized as pervasive, permanent, periodic, and potentially progressive
in nature. The person has a perception of sadness or sorrow over time in a situation with no predictable end.
The sadness or sorrow is cyclic or recurrent and brings to mind a person’s losses, disappointments, or fears
(Eakes, 2017).
The primary antecedent to chronic sorrow is involvement in an experience of significant loss. The loss is
often ongoing with no predictable end. Disparity is a second antecedent and is created by loss experiences
when the individual’s current reality differs from the idealized. Trigger events (e.g., milestones,
circumstances, situations, and conditions that create negative disparity resulting from the loss experience)
focus or exacerbate the experience of disparity. The “lack of closure associated with ongoing disparity sets the
stage for chronic sorrow, with the loss experienced in bits and pieces over time” (Eakes, 2017, p. 95).
Context for Use and Nursing Implications
Chronic sorrow is commonly experienced by individuals across the life span who have encountered
significant loss or experience ongoing loss. The theory’s developers suggest that nurses need to view chronic
sorrow as a normal response to loss and provide support by fostering positive coping strategies and
encouraging activities that increase comfort.
Interventions that demonstrate an empathic presence and a caring professional are helpful. These include
taking time to listen, offering support and reassurance, recognizing and focusing on feelings, and appreciating
the uniqueness of each individual. Other interventions include providing information in a manner that can be
understood and offering practical tips for dealing with the challenges of caregiving.
Evidence of Empirical Testing and Application in Practice
Eakes and colleagues (1998) reported that a number of research studies were used to develop and support the
theory. Several recent research studies were identified using the Theory of Chronic Sorrow as a conceptual
framework. These include Vitale and Falco’s (2014) examination of parental chronic sorrow experienced with
the premature birth of their infants; Nikfarid, Rassouli, Borimnejad, and Alavimajd’s (2015) study of chronic
sorrow in mothers of children with cancer; and Bowes, Lowes, Warner, and Gregory’s (2009) study of
chronic sorrow in parents of children with type 1 diabetes.
Other works focused on how to care for those experiencing chronic sorrow. Among them, Glenn (2015)
described the use of online health communication technology to help mothers of children with rare diseases
manage chronic sorrow. Also, Joseph (2012) described the importance of ED nurses recognizing chronic
sorrow among family member of patients seen in the ED.
Beck’s Postpartum Depression Theory
Building on a background of research on postpartum depression (Beck, Reynolds, & Rutowski, 1992), Cheryl
Beck (1993) developed a theory regarding postpartum depression. A grounded theory approach was used to
formulate the theory, which she described as a four-stage process of “teetering on the edge” into postpartum
depression.
Purpose and Major Concepts
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The purpose of the theory was to provide insight into the experience of postpartum depression. The concepts
or stages in Beck’s (1993) theory were defined as encountering terror (horrifying anxiety attacks, obsessive
thinking, and enveloping fogginess), dying of self (alarming “unrealness,” isolation of self, and contemplation
of self-destruction), struggling to survive (battling the system, praying for relief, and seeking solace), and
regaining control (making transitions, mounting lost time, and attaining a guarded recovery). A meta-
synthesis of postpartum depression by Beck (2002a) produced a list of predictors or risk factors, including
prenatal depression, child care stress, life stress, social support, prenatal anxiety, marital satisfaction, history
of depression, infant temperament, maternity blues, self-esteem, socioeconomic status, marital status, and
whether the pregnancy was planned. Distillation of predictors and risk factors of postpartum depression added
these stressors/potential consequences: sleeping and eating disturbances, anxiety and insecurity, emotional
lability, mental confusion, loss of self, guilt and shame, and suicidal thoughts (Maeve, 2014).
Context for Use and Nursing Implications
The model proposed nursing interventions to alert nurses to the incidence and impact of postpartum
depression. Beck stressed the importance of identifying new mothers who might be suffering from postpartum
depression and suggested interventions such as referral to postpartum depression support groups (Beck et al.,
1992).
Evidence of Empirical Testing and Application in Practice
Beck’s theory has been used in a significant number of nursing studies and in practice situations (Marsh,
2013). To further examine the concept of postpartum depression, Beck (1995, 1998) performed a meta-
analysis to document its effects. Based on the information from a meta-analysis, Beck and Gable (2000)
developed the Postpartum Depression Screening Scale (PDSS) to improve detection of the disorder. The tool
was revised in 2002 (Beck, 2002b), translated into Spanish (Beck & Gable, 2003), and revised further in 2006
(Beck, Records, & Rice, 2006). These tools have been validated (Beck et al., 2006; Clemmens, Driscoll, &
Beck, 2004) and used by nurses in a growing list of research studies in many countries and in additional
languages (Maeve, 2014).
In one example, Le, Perry, and Sheng (2009) used the PDSS to examine the feasibility of using the
Internet to screen for postpartum depressive symptoms, concluding that it is viable and feasible tool to screen
for postpartum depression. In another work, Logsdon, Tomasulo, Eckert, Beck, and Dennis (2012) presented
guidelines for hospital-based postpartum depression screening using the PDSS. A team lead by Thomason
(Thomason et al., 2014) used the PDSS to examine parenting stress and depressive symptoms, and Lucero,
Beckstrand, Callister, and Sanchez Birkhead (2012) used the Spanish version of the PDSS to examine the
prevalence of postpartum depression among Hispanic immigrants in the United States.
Mercer’s Conceptualization of Maternal Role Attainment/Becoming a Mother
Ramona Mercer first described a theoretical framework for the maternal role in the early 1980s; she expanded
on the process in a subsequent publication in 1985. She reported that the theory was based on role theory,
knowledge of the infant’s traits, and a review of the literature to identify variables that influence or are
influenced by maternal roles. She defined maternal role attainment as a process “in which the mother achieves
competence in the role and integrates the mothering behaviors into her established role set so that she is
comfortable with her identity as a mother” (Mercer, 1985, p. 198).
Following a review and synthesis of research related to the concept of “maternal role attainment,” Mercer
(2004) proposed changing the name of her theory to “Becoming a Mother.” This change was later expanded
on (Mercer, 2006), and a number of related nursing interventions were identified supporting the change
(Mercer & Walker, 2006).
Purpose and Major Concepts
Mercer attempted to identify the “form and strength of the relationships between key maternal and infant
variables and maternal role attainment” as well as “other factors that appear to influence maternal role
attainment” (Mercer, 1981, p. 73). She proposed that the variables of age, perception of the birth experience,
early maternal–infant separation, social stress, support system, self-concept and personality traits, maternal
238
illness, childrearing attitudes, infant temperament, infant illness, culture, and socioeconomic level affect the
maternal role.
In the more recent iteration of her theory, Mercer (2004) explains that the process of establishing maternal
identity in becoming a mother is (1) commitment, attachment, and preparation (during pregnancy); (2)
acquaintance, learning, and physical restoration (in the first 2 to 6 weeks following birth); (3) moving toward
a new normal (2 weeks to 4 months); and (4) achievement of the maternal identity (around 4 months). She
noted that these stages may overlap and may be highly variable due to maternal and infant variables as well as
the social/environmental context. Additional key concepts and ideas identified in Mercer’s works include
infant temperament, infant health status, infant characteristics, and infant cues as well as family, family
functioning, father or intimate partner, mother–father relationship, and social support (Meighan, 2014).
Context for Use and Nursing Implications
Nurses in postpartum situations should recognize that competency in the maternal role toward “becoming a
mother” increases with age and experience. Also, the demands on first-time mothers challenge the nurse to be
active in anticipatory socialization and guidance to prepare for the realities of the maternal role. Interventions
suggested in Mercer’s works include promoting parenting groups to highlight maternal needs during the first
months (Noseff, 2014).
Evidence of Empirical Testing and Application in Practice
In early works, Mercer (1985) reported that mothering over the first year presents similar challenges for all
groups, and a study by Fowles (1994) used Mercer’s theory as part of her conceptual framework to examine
the relationship between maternal attachment, postpartum depression, and maternal role attainment. More
recently, a comprehensive study of maternal role attainment with medically fragile infants was undertaken to
examine the quality of parenting (Holditch-Davis, Miles, Burchinal, & Goldman, 2011) and characteristics
that influenced maternal role attachment longitudinally (Miles, Holditch-Davis, Burchinal, & Brunssen,
2011). In other works, Kinsey, Baptiste-Roberts, Zhu, and Kjerulff (2014) studied the effect of miscarriage
history on maternal–infant bonding, and Sriyasak, Akerlind, and Akhavan (2013) examined childrearing
among Thai teenage mothers using Mercer’s theory as a framework. Lastly, Fouquier (2013) performed a
comprehensive literature review to evaluate the applicability of Mercer’s theory to African American women.
She determined that the homogeneity of the samples for most of the research on Mercer’s theory is not
necessarily generalizable to African American women and concluded that more research is needed to identify
attributes that influence maternal role attainment to that population.
Summary
This chapter presented a wide variety of middle range nursing theories. Because of space limitations, the
descriptions are very brief and are intended to merely introduce the theories. The readers are directed to
original and supporting sources for more information.
Elaine Chavez, the graduate student from the opening case study, saw how one of the numerous middle
range nursing theories that have been published in recent years could be used to develop interventions in her
practice. All nurses should likewise continue to review current nursing literature for new theories and ideas
that are being presented to remain current and knowledgeable about nursing practice. To illustrate, Link to
Practice 11-1 provides some thoughts on how nurses can apply middle range theories in their daily practice.
Link to Practice 11-1
Applying Multiple Middle Range Theories in Practice
How might nurses apply multiple middle range theories in their practice? Consider these situations:
1. A nurse is providing care for a woman with ovarian cancer (Theory of Unpleasant Symptoms) who
recently immigrated to the United States from Somalia (Leininger’s Culture Care Diversity and
239
Universality Theory) in an ICU (Synergy Model).
2. A nurse manager is charged with developing an orientation packet (Benner’s Model of Skill
Acquisition) for nurses new to a hospice practice (Kolcaba’s Theory of Comfort) focusing on their
awareness of beliefs, values, and well-being (Reed’s Self-Transcendence Theory).
3. A family nurse practitioner is working with a new mother (Mercer’s Theory of Becoming a Mother)
who has just given birth to a child with a severe genetic disorder (Theory of Chronic Sorrow).
4. A public health nurse is charged with teaching a group of American Indian women (Leininger’s
Culture Care Diversity and Universality Theory) how to develop a healthy lifestyle (Pender’s Health
Promotion Model).
It must be mentioned again that the high, middle, and low range theories described here are by no means
an exhaustive display of the growing number that have been presented in the nursing literature. Indeed, it was
remarkable to observe the growth in middle range theory development over the last decade, and it is
anticipated that this emphasis will continue well into the future.
Key Points
A growing number of widely used middle range theories have been proposed, applied, and tested and have
been presented in the nursing literature.
Among the “high” middle range nursing theories (theories that are relatively abstract and apply to a very
broad aspect of nursing) frequently used by nurses for research and practice are the works of Benner,
Pender, Leininger, and Meleis and the Synergy Model.
“Middle” middle range nursing theories (theories that apply in a many aspects and situations) frequently
used by nurses for research and practice include the Uncertainty in Illness Theory, the Theory of Comfort,
the Theory of Unpleasant Symptoms, and Reed’s Self-Transcendence Theory.
“Low” middle range nursing theories (theories that are fairly concrete and apply to a narrow range of
patients and situations) frequently used by nurses in research and practice include the Theory of Chronic
Sorrow, Beck’s Postpartum Depression Theory, and Mercer’s Theory of Maternal Role Attainment.
Many other middle range theories have been described in the nursing literature, and new ones are being
developed by researchers and scholars to improve nursing care and patient outcomes.
Learning Activities
1. Select one of the middle range theories discussed in this chapter. Obtain a copy of the original
work(s) and perform an analysis/evaluation using the criteria presented in Chapter 5.
2. Select one of the high middle range theories covered in this chapter and obtain a copy of the
original work. Review three or four of the research studies cited for that theory that either
study relationships of the theory or use it as a conceptual framework. While reviewing these
works, consider the following questions: Do the studies appear to use the theory
appropriately? Are the works consistent in their use of the theory? Do the studies contribute to
the knowledge base of the theory? How? Write a paper describing your findings.
3. Search current nursing journals for examples of the development, analysis, or use of middle
range theories in the discipline of nursing. Debate trends with classmates or develop your
analysis into a paper.
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12
Evidence-Based Practice and Nursing Theory
Evelyn M. Wills and Melanie McEwen
Helen Soderstrom was stricken with changes in her vision, disturbances of gait, and occasional periods of
severe fatigue during her senior year of nursing school. She experienced intermittent periods of normality as
well as illness, and the periods when she had no symptoms lasted many months. During a time when her
symptoms were unusually active, she sought medical help, and her physician determined that her symptoms
were related to stress. Despite the periods of weakness and fatigue, she was able to complete the nursing
program and graduated with honors.
During Helen’s first year of practice, she experienced two periods of symptom exacerbation, but each was
short-lived. With full insurance, she was able to see a neurologist who concluded that she was experiencing
the beginning stages of a neuromuscular disease. Because there was no “cure,” the neurologist worked with
Helen to find interventions that helped her manage the symptoms when they became problematic.
After a few years in practice, Helen enrolled in a graduate program to work toward a career as a nurse
educator. During her first year of graduate studies, she seldom experienced neurologic symptoms, but during
her practice teaching course, they returned.
The recurrence of symptoms, along with a new understanding of evidence-based practice (EBP) from her
graduate courses, led Helen to make her personal health experience the topic of her final, capstone paper. To
learn more, she sought resources that would help her gain better control of the neuromuscular symptoms as
well as assist her in her studies. To that end, she contacted her university hospital’s neuroscience department
and applied to join a clinical team to learn about the efficacy of treatments and evidence-based interventions
currently being used for patients with neuromuscular diseases. As she gained more experience with EBP, she
considered what system she would use to develop guidelines on symptom management and selected the Iowa
Model of Evidence-Based Practice because of its basis in research applied to clinical problems.
Florence Nightingale, nursing’s first investigator, devised a statistical means of deciphering her data from
Scutari during the Crimean war (Cohen, 1984; McDonald, 2014). Despite her accomplishments as an
epidemiologist and researcher, however, Nightingale failed to recognize this vital role for nurses as she
described nursing as an “art” and medicine as a “science” (Nightingale, 1860/1957/1969). Focused on the
“art” of nursing and the apprentice-style nature of early nursing education, Nightingale developed a
systematic method for showing the results of nursing care in her own practice (see Chapter 2). In contrast, the
idea of “science-based medicine” has been recognized since “mid-nineteenth century France and even earlier”
(Sackett, Rosenberg, Gray, Haynes, & Richardson, 1996, p. 71). Furthermore, the ideal of science-based
medicine was influenced by the great influenza epidemic of 1918 to 1919 when physicians learned that
understanding factors leading to that health crisis were necessary to prevent similar occurrences (Barry, 2005).
In the 1960s, several physicians led by Dr. Archie Cochrane endeavored to begin teaching and practicing
medicine based on data produced by scientific and epidemiologic research (Sur & Dahm, 2011). Cochrane
questioned the efficacy of non–research-based practices in medicine (Sackett et al., 1996; Shah & Chung,
2009) and emphasized the critical review of research, focusing on randomized control trials (RCTs) to support
medical practice. His influence led to development of the Cochrane Collaboration (now simply “Cochrane”)
in 1993, an endeavor supported by a group of 70 international physicians (Shah & Chung, 2009). That effort,
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originally termed “evidence-based medicine,” and now “evidence-based practice,” has grown exponentially.
Today, the Cochrane initiative, and its attendant partners, is an organization charged with developing,
maintaining, and updating systematic reviews of health care interventions (Cochrane, 2017). The intent of
Cochrane is to help transform how health decisions are made by gathering and summarizing the best available
evidence from health-related research to help patients and health providers make informed treatment choices.
Following efforts by Cochrane to collect and summarize research information, the requirement for
scientific review of research and practice has become widespread in health disciplines. The Joanna Briggs
Institute, for example, was named for an Australian nurse. Implemented in the 1990s, it now has worldwide
influence in EBP (Joanna Briggs Institute, 2016; Polit & Beck, 2017). More recently, Sigma Theta Tau
International, which has supported nursing research for decades, now sponsors a journal focused on
publishing evidence-based nursing research (Polit & Beck, 2017). Although the notion of EBP was somewhat
delayed in being recognized and implemented in nursing, over the past two decades, EBP has now essentially
become the standard for research-based, informed decision making for nursing care.
In contrast to “research,” which refers to the systematic, rigorous, critical investigation to answer
question(s), EBP is an approach to problem solving that conscientiously collects, evaluates, and integrates the
most current, or “best,” evidence based on meta-analyses of the latest research for patient care (LoBiondo-
Wood & Haber, 2018). Nurses have expanded the original EBP requirements (which largely espouse
experimental research) by including qualitatively derived findings from phenomenologic, ethnographic, and
grounded theory research and case studies (Polit & Beck, 2017). “Metasynthesis” is the term applied to the
process of systematic review of qualitative studies on a topic and is a way to systematize such evidence for
use in nursing situations (Butler, Hall, & Copnell, 2016; Melnyk & Fineout-Overholt, 2015).
Thus, EBP is a process that involves identifying a clinical problem, searching the literature, synthesizing
the findings to critically evaluate the research evidence, and then determining appropriate interventions.
Nursing scholars note that EBP relies on integrating research, theory, and practice and is equivalent to theory-
based practice as the objective of both is the highest level of safety and efficacy for patients (Fawcett &
Garity, 2009). Finally, EBP is an “essential” component of advanced nursing education and vital for both
master’s- and doctorate-prepared nurses (Box 12-1).
Box 12-1
American Association of Colleges of Nursing Essentials and Evidence-
Based Nursing Practice
Evidence-based practice (EBP) is one of the critical elements identified in the “Essentials of Master’s
Education” (American Association of Colleges of Nursing [AACN], 2011), and EBP is mentioned more than
50 times in the document. One statement helps summarize the relationship between EBP, theory, and
professional nursing practice: “Master’s-prepared nurses, when appropriate, lead the healthcare team in the
implementation of evidence-based practice. . . . Integrate theory, evidence, clinical judgement, research and
interprofessional perspectives using translational processes to improve practice and associated health
outcomes for patient aggregates” (p. 16).
Similarly, according to the AACN (2006), doctor of nursing practice (DNP) programs are designed to
prepare experts in specialized advanced nursing practice. It has been determined that DNP programs should “
. . . focus heavily on practice that is innovative and evidence-based, reflecting the application of credible
research findings” (p. 3). Indeed, Essential III explains the importance of “Analytical Models for Evidence-
Based Practice” and includes a number of related competencies and objectives for DNP programs.
Overview of Evidence-Based Practice
The concept of EBP is widely accepted as a requisite in health care. EBP is based on the premise that health
professionals should not center practice on tradition and belief but on sound information grounded in research
findings and scientific development (Melnyk & Fineout-Overholt, 2015; Schmidt & Brown, 2015). Until the
early part of the 21st century, the concept of EBP was more common in Canadian and British nursing
literature than in U.S. nursing literature. Over the last decade, however, the term has become ubiquitous. This
is attributed in part to the guideline initiatives of the Agency for Healthcare Research and Quality, the Institute
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of Medicine, and the U.S. Preventative Services Task Force, among others (Hudson, Duke, Haas, & Varnell,
2008; Melnyk & Fineout-Overholt, 2015).
Many nursing scholars (DiCenso, Guyatt, & Ciliska, 2005; Hall, 2014; Ingersoll, 2000; LoBiondo-Wood
& Haber, 2018; Melnyk & Fineout-Overholt, 2015; Pugh, 2012; Rycroft-Malone, 2004) have pointed out that
EBP and research are not synonymous. They are both scholarly processes but focus on different phases of
knowledge development—application versus discovery. In general, EBP refers to the integration of individual
clinical expertise with the best available external clinical evidence from systematic research. It is largely
based on research studies, particularly studies using clinical trials, meta-analysis, and studies of client
outcomes, and it is more likely to be applied in practice settings that value the use of new knowledge and in
settings that provide resources to access that knowledge. However, nursing studies that employ qualitative
methods or mixed method research are considered valuable to the discipline, as mentioned above (Hall, 2014).
Definition and Characteristics of Evidence-Based Practice
In medicine, EBP has been defined as the conscientious, explicit, and judicious use of the current best
evidence in making decisions about the care of individual patients (Sackett, Straus, Richardson, Rosenberg, &
Haynes, 2000). It is an approach to health care practice in which the clinician is aware of the evidence that
relates to clinical practice and the strength of that evidence (Jennings & Loan, 2001; Tod, Palfreyman, &
Burke, 2004).
To distinguish nursing from medicine in discussing EBP, a number of definitions have been presented in
the literature. Sigma Theta Tau International (2005) defined “evidence-based nursing” as “an integration of
the best evidence available, nursing expertise, and the values and preferences of the individuals, families, and
communities who are served” (para. 4). Similarly, DiCenso and colleagues (2005) defined EBP as “the
integration of best research evidence with clinical expertise and patient values to facilitate clinical decision
making” (p. 4). Both of these definitions use similar terms (e.g., best evidence, expertise, patient values).
In nursing, EBP generally includes careful review of research findings according to guidelines that nurse
scholars have used to measure the merit of a study or group of studies. Evidence-based nursing de-emphasizes
ritual, isolated, and unsystematic clinical experiences; ungrounded opinions; and tradition as a basis for
practice and stresses the use of research findings. Other measures or factors, including nursing expertise,
health resources, patient/family preferences, quality improvement efforts, and the consensus of recognized
experts, are also incorporated as appropriate (Melnyk & Fineout-Overholt, 2015; Schmidt & Brown, 2015).
In summary, EBP has several critical features. First, it is a problem-based approach and considers the
context of the practitioner’s current experience. In addition, EBP brings together the best available evidence
and current practice by combining research results with tacit knowledge and theory. Third, it incorporates
values, beliefs, and desires of the patients and their families. Finally, EBP facilitates the application of
research findings by incorporating first- and secondhand knowledge into practice. Link to Practice 12-1
presents information on databases that nurses and others can access to find specific information on current
guidelines and other collections of “evidence” that can be used to improve health care.
Link to Practice 12-1
Key Resources for Evidence-Based Practice
Several important databases have been set up over the last 20 years to promote integration of “evidence” in
health care. Information on three of the most influential are presented here.
Cochrane Collaboration—http://www.cochrane.org/
The Cochrane Collaboration is an international network that helps health care practitioners, policy makers,
patients, and their advocates make informed decisions about health care. The Cochrane Library prepares,
updates, and promotes the accessibility of the Cochrane Database of Systematic Reviews.
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http://www.cochrane.org/
Joanna Briggs Institute—http://www.joannabriggs.edu.au/
The Joanna Briggs Institute is an international research and development organization from the School of
Translational Science at the University of Adelaide, South Australia. The Institute and its collaborating
entities promote and support the synthesis, transfer, and utilization of evidence through identifying
feasible, appropriate, meaningful, and effective health care practices to assist in the improvement of health
care outcomes.
Agency for Healthcare Research and Quality (U.S. Preventative Services Task
Force/National Guideline Clearinghouse)—http://www.guideline.gov/
The National Guideline Clearinghouse (NGC) is a database of evidence-based clinical practice guidelines.
It is intended to be used by health professionals, practitioners, patients, and others to obtain objective,
detailed information on clinical practice guidelines and to further their dissemination, implementation, and
use.
Concerns Related to Evidence-Based Practice in Nursing
Despite growing acceptance of application of EBP in nursing, some criticisms and concerns have been voiced
in the nursing literature. For example, there is the concern that EBP is more focused on the science of nursing
than on the art of nursing. Some authors have expressed concern that strict concentration on empirically based
knowledge will lead to the failure to capture the uniqueness of nursing and the importance of holistic care in
contemporary practice (Fawcett, Watson, Neuman, Walker, & Fitzpatrick, 2001; Hudson et al., 2008; Upton,
1999).
Another concern is that strict reliance on EBP will place nurses in the role of medical extender or medical
technician, where nursing will be reduced to a technical practice. This concern was voiced as equating EBP
with “cookbook care” and a disregard for individualized patient care (Finkelman & Kenner, 2016; Melnyk &
Fineout-Overholt, 2015). Indeed, although evidence may provide direction for development of procedures,
techniques, and protocols for nursing, it has been established that these are not the only knowledge that
informs the nursing practice and that consideration of individual needs and values is essential (Hudson et al.,
2008; Mitchell, 2013).
Third, because research involving humans is complex, findings may be open to interpretation and
therefore should not be the sole basis for practice. Research must be considered within the context of the
practice prescribed by theory, and it must integrate the values and beliefs of nursing philosophy (Chinn &
Kramer, 2015; McKenna & Slevin, 2008; Walker & Avant, 2011).
A fourth concern relates to promoting a link with evidence-based medicine and its emphasis on positivist
thinking and the dominance of randomized clinical trials as the major evidence. This concern is related to the
absence of consideration of evidence gathered through qualitative research and theory development (Fawcett
et al., 2001; Jennings & Loan, 2001; Stevens, 2002).
A fifth concern relates to the potential for linking health care reimbursement exclusively to interventions
that can be substantiated by a documented body of evidence (Ingersoll, 2000). This leads to a number of
ethical questions and issues that should be considered. For example, restricting “off-label” use of medications
that may be helpful for certain patients or certain diagnoses, attempts to alter financial reimbursement to
reduce emergency and specialty care, and adjusting payment to providers for over (or under) use of
prescription pain medications.
Finally, it is argued that not all practice in the health professions can or should be based on science. In
many cases, researchers have yet to accumulate a sufficient body of knowledge. In other cases, a different
frame of reference provides a different rationale for action (McKenna & Slevin, 2008). In these instances,
strict reliance on EBP may result in numerous voids when developing a plan of care.
Concerns such as these have been addressed by DiCenso and colleagues (2005), who assert that a
fundamental principle of EBP is that research evidence alone is not sufficient to plan care. Other ethical and
pragmatic factors, such as benefits and risks, associated costs, and patient’s wishes, should be considered.
Furthermore, they note that “best research evidence” can be quantitative or qualitative and does not
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http://www.guideline.gov/
necessarily rely on RCTs. These notions are also supported by Rycroft-Malone (2004), who maintains that
well-conceived and well-conducted qualitative and quantitative research evidence, clinical experience, and
patient experiences, combined with local or organizational influences, are necessary to facilitate EBP.
Evidence-Based Practice and Practice-Based Evidence
A new concept—“practice-based evidence” (PBE)—was introduced into the discussion of EBP a few years
ago (Horn & Gassaway, 2007). The notion of PBE addresses many of the concerns noted previously and is
grounded in the recognition that frequently interventions have limited formal research support, particularly in
the number or quality of RCTs.
The premise of PBE is that large databases—not just clinical research—should be reviewed or “mined” to
gather data to demonstrate quality and effectiveness. This type of review can provide comprehensive
information about patient characteristics, care processes, and outcomes while controlling for patient
differences (Walker & Avant, 2011). PBE acknowledges the importance of the environment in determining
practice recommendations and recognizes that knowledge can be generated from practice as well as from
research (Chinn & Kramer, 2015).
The intent behind PBE is to determine what works best for which patients, under what circumstances, and
at what costs by providing a more comprehensive picture than RCTs, which typically examine one
intervention with limited populations and under strictly controlled circumstances (Huston, 2017). Additional
sources beyond formal research studies that are appropriate as PBE include benchmarking data, clinical
expertise, cost-effective analyses, infection control data, medical record data, national standards of care,
quality improvement data, and patient and family preferences (Huston, 2017).
Horn and Gassaway (2007) concluded that use of the PBE analyses can uncover better practices more
rapidly leading to improved patient outcomes. Figure 12-1 illustrates one interpretation of the
interrelationships among EBP, PBE, research, and theory in nursing.
Figure 12-1
Relationships among practice, theory, research, and the practice-based
evidence/evidence-based practice cycle.
(From Walker, L. O., & Avant, K. C. Strategies for Theory Construction in Nursing, 5th ed., © 2011. Reprinted by permission of Pearson
Education, Inc., New York, New York.)
Promotion of Evidence-Based Practice in Nursing
Implementation of EBP in nursing is still evolving, as often, nursing interventions are based on experience,
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tradition, intuition, common sense, and untested theories. Although emphasis on EBP has grown rapidly,
especially over the last decade, the actual incorporation of nursing research findings in practice has lagged.
Melnyk and Fineout-Overholt (2015) have outlined barriers to implementation of research and EBP in nursing
(Box 12-2).
Box 12-2 Barriers to Evidence-Based Practice in Nursing
Lack of evidence-based practice (EBP) knowledge and skills
Misperceptions or negative attitudes about research and evidence-based care
Lack of belief that EBP will result in more positive outcomes than traditional care
Voluminous amounts of information in professional journals
Lack of time and resources to search for and critically appraise evidence
Overwhelming patient loads
Organizational constraints, such as lack of administrative support or incentives
Demands from patients for a certain type of treatment
Peer pressure to continue with practices that are steeped in tradition
Resistance to change
Lack of consequences for not implementing EBP
Peer and leader/manager resistance
Lack of autonomy over practice and incentives
Inadequate EBP content and behavioral skills in educational programs
Continued teaching of rigorous research methods in bachelor of science in nursing (BSN) and master’s of
science in nursing (MSN) programs instead of teaching evidence-based approach to care
Source: Melnyk and Fineout-Overholt (2015).
There is significant support for increasing emphasis on EBP in nursing, and many organizations, such as
the Institute of Medicine, Sigma Theta Tau International, and the Magnet Recognition Program of the
American Nurses Credentialing Center, among others, have designed initiatives to advance EBP (Finkelman
& Kenner, 2016; Huston, 2017; Melnyk & Fineout-Overholt, 2015). Indeed, practitioners, researchers, and
scholars should welcome it because a systematic process of EBP may assist nurses in reducing the gap
between theory and practice.
Theory and Evidence-Based Practice
The growing interest and appreciation of EBP in nursing, along with its considerable interconnectedness with
research, has served in some ways to de-emphasize theory. As nurses become more aware of and attuned to
EBP, however, they are renewing their appreciation of the linkages among research, theory, and practice. It
has been observed that nursing focus on EBP has the potential to promote and draw new attention to this
connection (Chinn & Kramer, 2015).
Walker and Avant (2011) pointed out that practice is the central and core phenomenon and focus of
nursing; arguably, it is the reason for nursing’s existence. Thus, it is critical to remember that theory guides
practice, and it also generates models of testing in research through both PBE and EBP. Furthermore, research
and clinical data provide evidence for EBP or PBE and can generate practice guidelines and/or theories (e.g.,
situation-specific theories). This process is interactive and iterative (Walker & Avant, 2011). For nursing,
therefore, practice must not only be evidence-based but also be theory-based, for when research validates a
theory, it provides the evidence required for EBP. Finally, as more research is conduced about a specific
theory, more evidence is provided to support practice (Chinn & Kramer, 2015; George, 2011).
Fawcett and colleagues (2001) wrote of a preference for the term “theory-guided, evidence-based
practice,” noting that theory is the reason for, and the value of, evidence. The “evidence,” they stated, must
extend beyond an emphasis on empirical research and RCTs to include evidence generated from theories.
Indeed, the evidence itself refers to evidence about theories. Furthermore, they contend that theory determines
251
what counts as evidence; thus, theory and evidence are inextricably linked.
Theoretical Models of Evidence-Based Practice
Numerous models of EBP have been developed by nurses to encourage translation of nursing research into
practice. In many instances, the goal or intent is to create or establish EBP protocols, procedures, or
guidelines. In some instances, universities and hospital groups have developed models to assist students or
health care professionals in implementing EBP in their setting. In other instances, nurse researchers and
scholars have interpreted the transfer of research evidence to nursing education and practice through processes
that progressed from theory-based nursing, quality improvement, research utilization, and lately, evidence-
based nursing practice. This section reviews five EBP models that are among the most frequently cited in the
nursing literature. These have been widely studied and applied, many in multiple settings and for a variety of
patient issues, situations, or nursing care processes. These models include:
Academic Center for Evidence-Based Practice Star Model (ACE Star Model) (Stevens, 2005, 2012)
Advancing Research and Clinical Practice Through Close Collaboration (ARCC Model) (Melnyk &
Fineout-Overholt, 2015)
Iowa Model (Titler et al., 2001)
Johns Hopkins Nursing Evidence-Based Practice (JHNEBP) Model (Dearholt, 2012; Newhouse,
Dearholt, Poe, Pugh, & White, 2007)
Stetler Model of Evidence-Based Practice (Stetler, 2001)
These models can provide guidance for practicing nurses and advanced practice nurses to promote or
enhance EBP and to develop practice guidelines, protocols, or interventions as appropriate. Each model will
be described briefly and reviewed for its utility in nursing practice and education.
Academic Center for Evidence-Based Practice Star Model of Knowledge Transformation
The ACE Star Model was developed by faculty at the University of Texas Health Science Center at San
Antonio (UTHSCSA) (Stevens, 2012). The Star Model is depicted by five points of knowledge
transformation. The five forms of knowledge transformation occur in “relative sequence” when research
evidence progresses through several cycles and is combined with other knowledge and then applied in
practice.
Each point of the star represents a step in a process. The stepwise depiction allows for easy comprehension
and is therefore useful even for novice nurses. In order, the points are:
1. Discovery research
2. Evidence summary
3. Translation to guidelines
4. Practice integration
5. Process, outcome evaluation (Stevens, 2012) (Figure 12-2)
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Figure 12-2
Diagram of the Academic Center for Evidence-Based Practice Star Model
for evidence-based practice.
(Used with permission from Stevens, K. R. [2012]. Star model of EBP: Knowledge transformation. San Antonio, TX: Academic Center for
Evidence-Based Practice, University of Texas Health Science Center. Retrieved from http://nursing.uthscsa.edu/onrs/starmodel/star-model.asp.)
This sequence allows the nurse to move research-based knowledge from one point to the next in sequence
to provide a translation of evidence on which to base practice (Stevens, 2005, 2012). Knowledge
transformation consists of eight premises that underlie and explain the position of the researchers who created
the model. These are presented in Box 12-3. The rigor of the process the nurse or committee uses is part of the
value of the knowledge transformation that occurs when using this model.
Box 12-3
Academic Center for Evidence-Based Practice Star Model: Knowledge
Transformation—Underlying Premises
1. Knowledge transformation (KT) is necessary prior to using research results in clinical decision making.
2. KT derives from multiple sources, including research, experience, authority, trial and error, and
theoretical principles.
3. Systematic processes control bias; the research process is the most stable source of knowledge.
4. Evidence can be classified into a hierarchy of strength of evidence depending on the rigor of the science
that produced the evidence.
5. Knowledge exists in a variety of forms. As research is converted through a system of steps, other
knowledge is created.
6. The form in which knowledge exists can be referenced to its use.
7. The form of knowledge determines its usability.
8. Knowledge is transformed through steps, such as summarization, translation, application, integration,
and evaluation.
Abstracted from Stevens, K. R. (2012). Star model of EBP: Knowledge transformation. San Antonio, TX: Academic Center for Evidence-
Based Practice, University of Texas Health Science Center. Retrieved from http://nursing.uthscsa.edu/onrs/starmodel/star-model.asp
The model is used at UTHSCSA hospitals, and their nursing program maintains a very detailed and
informative online educational site (http://www.acestar.uthscsa.edu/). The website provides an extensive
online tutorial on the ACE Star Model complete with detailed information, resources, instructive videos, and
slides. A quiz and a certificate of attendance are available for those completing instruction in the model (see
Link to Practice 12-2). The ACE Star Model is useful in teaching nurses and nursing students the process of
research evidence utilization in practice (Schaffer, Sandau, & Diedrick, 2013). One concern or criticism of the
ACE Star Model has been noted by White (2016), who pointed out that it does not use evidence other than
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http://nursing.uthscsa.edu/onrs/starmodel/star-model.asp
http://www.acestar.uthscsa.edu/
research per se.
Link to Practice 12-2
Academic Center for Evidence-Based Practice Star Model of Knowledge Transformation
Access the website, take the tutorial, and complete the quiz to obtain a certificate of completion of the
program at http://nursing.uthscsa.edu/onrs/starmodel/star-model.asp. This website may be useful for
teaching the elements of evidence-based practice to nursing students.
Advancing Research and Clinical Practice Through Close Collaboration Model
Melnyk and Fineout-Overholt (2002) developed the ARCC Model through their work with many health care
institutions seeking to advance and sustain EBP. This development was a process that involved many
iterations and empirical testing of key relationships. The framework of the ARCC Model is taken from control
theory and cognitive behavioral theories, which help guide nurses’ behaviors as they gain acumen in EBP
(Melnyk & Fineout-Overholt, 2015). Numerous studies and examples of how the ARCC Model has been
implemented in clinical practice are available in the literature (Melnyk, 2002; Melnyk, 2017; Melnyk,
Feinstein, & Fairbanks, 2002; Melnyk & Fineout-Overholt, 2011; Melnyk, Fineout-Overholt, Giggleman, &
Choy, 2016; Melnyk, Rycroft-Malone, & Bucknall, 2004).
The AARC Model relates best to clinical practice, and much of the research supporting its development
and implementation was conducted in acute care, pediatric settings. The central constructs are assessment of
organizational culture and readiness for EBP, identification of strengths and major barriers to EBP, and
development and use of EBP mentors. These constructs are done sequentially and followed by EBP
implementation. Outcomes that should be evaluated include health care provider satisfaction, cohesion, intent
to leave, turnover, improved patient outcomes, and hospital costs (Melnyk & Fineout-Overholt, 2015).
In employing the ARCC Model, the authors developed several scales to measure the ability to implement
EBP. These are the Organizational Culture and Readiness Scale for System-Wide Integration of Evidence-
Based Practice (OCRSIEP) and the EBP Beliefs (EBPB) scale (Melnyk & Fineout-Overholt, 2015).
Organizational readiness is first assessed, and when feasible, mentors are identified and developed. The
clinical nurses are then mentored through use of the ARCC system. Melnyk and Fineout-Overholt (2015) state
that measuring the key constructs along with workshops and academic offerings assist organizations to adopt
and sustain EBP. Finally, Melnyk and Fineout-Overholt (2015) developed a flow chart to assist in use of the
model. Box 12-4 gives examples of research that has been conducted employing the ARCC Model of EBP.
Box 12-4
Research Based on the Advancing Research and Clinical Practice
Through Close Collaboration Model of Evidence-Based Practice
Hanrahan, K., Wagner, M., Matthews, G., Stewart, S., Dawson, C., Greiner, J., et al. (2015). Sacred cow
gone to pasture: A systematic evaluation and integration of evidence-based practice. Worldviews on
Evidence-Based Nursing, 12(1), 3–11.
Kim, S. C., Stichler, J., Ecoff, L., Brown, C., Gallo, A.-M., & Davidson, J. (2016). Predictors of evidence-
based practice implementation, job satisfaction, and group cohesion among regional fellowship program
participants. Worldviews on Evidence-Based Nursing, 13(5), 340–348.
Thorsteinsson, H. S. (2013). Icelandic nurses’ beliefs, skills, and resources associated with evidence-based
practice and related factors: A national survey. Worldviews on Evidence-Based Nursing, 10(2), 116–126.
Underhill, M., Roper, K., Siefert, M. L., Boucher, J., & Berry, D. (2015). Evidence-based practice beliefs
and implementation before and after an initiative to promote evidence-based nursing in an ambulatory
oncology setting. Worldviews on Evidence-Based Nursing, 12(2), 70–78.
The Iowa Model of Evidence-Based Practice to Promote Quality Care
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http://nursing.uthscsa.edu/onrs/starmodel/star-model.asp
The Iowa Model of EBP was developed in 1994 to promote quality care through research utilization. It is
intended to provide guidance for nurses and others in making decisions about practice that affects patient
outcomes. The Iowa Model incorporates starting points, which are nursing problems that are termed
“triggers.” It continues through multiple decision points and feedback loops to provide for evaluation of any
changes (Titler et al., 2001).
The model has been refined over time to produce the current iteration (Titler, 2004, 2014). The diagram of
the model shows the starting points, decision points, and feedback loops. When implemented, it will assist in
providing quality care to clients of clinics, home health agencies, and hospitals (Titler et al., 2001) (Figure 12-
3). The Iowa Model is very detailed and specific and has been applied to address a number of clinical topics.
It is also one of the best researched EBP models. Box 12-5 shows some of the recent research studies that
have used the Iowa model.
Figure 12-3 Diagram of the Iowa model of evidence-based practice.
(Reprinted with permission from University of Iowa Hospitals and Clinics. © 1998. For permission to use or reproduce the model, please
contact University of Iowa Hospitals and Clinics at 319-384-9098.)
Box 12-5
Research Based on the Iowa Model of Evidence-Based Practice to
Promote Quality Care
Bankhead, S., Chong, K., & Kamai, S. (2014). Preventing extubation failures in a pediatric intensive care
255
unit. The Nursing Clinics of North America, 49(2), 321–328.
Brown, C. G. (2014).The Iowa model of evidence-based practice to provide quality care: An illustrated
example in oncology nursing. Clinical Journal of Oncology Nursing, 18(2), 157–159.
Estus, K. (2014). Cancer survivorship using IM & EBP to promote quality of care. Clinical Nurse Specialist,
28(3), 173–174.
Turenne, J. P., Héon, M., Aita, M., Faessler, J., & Doddridge, C. (2016). Educational intervention for an
evidence-based nursing practice of skin to skin contact at birth. The Journal of Perinatal Education,
25(2), 116–128. doi:10.1891/1058-1243.25.2.116
White, S., & Spruce, L. (2015). Perioperative nursing leaders implement clinical practice guidelines using
the Iowa model of evidence-based practice. AORN Journal, 102(1), 51–56.
doi:10.1016/j.aorn.2015.04.001
The Johns Hopkins Nursing Evidence-Based Practice Model
The JHNEBP Model was developed to accelerate the transfer of research to practice and to promote nurse
autonomy, leadership, and engagement with interdisciplinary colleagues (Dearholt & Dang, 2012). The
JHNEBP Model was designed as a problem-solving approach to clinical decision making. It combines
elements of the nursing process, the American Nurses Association’s Standards of Practice, critical thinking,
and research utilization processes (Dearholt, 2012; Newhouse et al., 2007). The model has numerous levels of
activity, but it is based on practical teaching processes to promote use by novice nurses as well as more
experienced nurses.
The JHNEBP process is based on three core elements: a practice question, evidence, and translation (PET)
(Dearholt, 2012; Newhouse et al., 2007). As presented in Box 12-6, 18 steps are included in the model. As
shown, each of the PET phases is based on several steps that clarify how the processes are to proceed.
Box 12-6 Steps of the Johns Hopkins Nursing Evidence-Based Practice Model
Practice Question
1. Recruit interprofessional team.
2. Develop and refine the evidence-based practice (EBP) question. (Apply PICO elements.)
3. Define the scope of the EBP question and identify stakeholders.
4. Determine responsibility for project leadership.
5. Schedule team meetings.
Evidence
6. Conduct internal and external search for evidence.
7. Appraise the level and quality of each piece of evidence.
8. Summarize the individual evidence.
9. Synthesize overall strength and quality of evidence.
10. Develop recommendations for change based on evidence synthesis.
Translation
11. Determine fit, feasibility, and appropriateness of recommendation for translation pathway.
12. Create action plan.
13. Secure support and resources to implement action plan.
14. Implement action plan.
15. Evaluate outcomes.
16. Report outcomes to stakeholders.
17. Identify next steps.
18. Disseminate findings.
Source: Dearholt (2012, pp. 33–53).
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This method begins with an EBP question, following the PICOT format. The first step is to generate an
answerable practice question which includes the Patient, population, and the problem. It goes on to define an
Intervention, makes a Comparison with other treatments if possible, and finally defines the desired Outcome
and the Time table (PICOT) (Dearholt, 2012; Elias, Polancich, Jones, & Colvin, 2015). Other steps in the
“practice question” phase include defining the scope of the question and identifying stakeholders, assigning
responsibility for project leadership, recruiting a team, and scheduling a meeting.
In the evidence phase, the team conducts internal and external searches for evidence; this includes
comprehensive literature searches. Appraisal of the level and quality of the evidence follows, and the evidence
is summarized. This phase concludes with a synthesis of the overall strength and quality of the evidence
leading to recommendations for change (Dearholt, 2012).
In the third phase, translation, the team decides whether or not and how to implement the changes. This
involves determining the fit, feasibility, and appropriateness of the recommendations, before creating an
action plan. Support and resources are secured, and the action plan is implemented and evaluated. The
outcomes are reported to stakeholders and “next steps” are identified, and the findings are disseminated to
appropriate individuals or groups (Dearholt, 2012). The JHNEBP Model is clearly explained and simple to
apply. Related writings include the guidelines and definitions of the background, elements of the process, and
the steps of the model (Dearholt & Dang, 2012; Newhouse et al., 2007). Lately, Elias et al. (2015) have added
a “D” to the PICOT method to denote “digital data” components. This takes into account the factor of the
current digital records and systems changes in the patient care industry.
Stetler Model of Evidence-Based Practice
The Stetler Model was initiated in the 1970s as a quality improvement (QI) effort employing the research
utilization (RU) ideals then in widespread use (Melnyk & Fineout-Overholt, 2015). Over time and through
several iterations, Stetler updated the approach and clarified the series of phases of the model such that it is
readily implemented by practicing nurses and useful at the bedside (Stetler, Ritchie, Rycroft-Malone, Schultz,
& Charns, 2007). Stetler and colleagues (1998) and Stetler and Caramanica (2007) argued that all research
studies are not ready for use at the bedside. Furthermore, they explained that alternative sources of evidence
are necessary to fill the gaps in nursing research evidence.
The current Stetler Model of EBP is similar to the nursing process; therefore, it is easily assimilated by
practicing bedside nurses. The phases of the approach include preparation, validation, comparative
evaluation/decision making, translation/application, and evaluation. It provides practitioners with stepwise
directions for integrating research into practice. See Table 12-1 for description of the phases. The Stetler
Model incorporates five steps to generate a process that takes into account the many other facets of nursing
and the clinical situation prior to using research findings in the nurse’s clinical practice. When implemented,
the results should be systematically evaluated to track goal-oriented outcomes and proffer both formative and
summative evaluation strategies. The major outcomes of RU or EBP should be improved patient results as
well as enhanced professional practice (Stetler & Caramanica, 2007).
Table 12-1 Phases of the Stetler Model
Phase Content Actions
I Preparation (purpose, control,
and sources of research
evidence)
Define potential issues
Seek sources of research evidence
Perceive problems
Focus on high-priority issues
Decide on need for a team
Consider other influential factors
Define desired outcomes
Seek systematic reviews
Determine need for explicit research evidence
Select research sources with conceptual fit
II Validation (credibility of Credibility of findings
257
findings and potential
for/detailed qualifiers of
application)
Critique and synthesize resources
Critique systematic reviews
Reassess fit of individual sources
Rate the level and quality of evidence
Differentiate statistical and clinical significance
Eliminate noncredible sources
End the process if there is no evidence or clearly
insufficient credible research evidence
III Comparative
evaluation/decision making
(synthesis and
decisions/recommendations
for criteria of applicability)
Synthesize the cumulative findings
Evaluate the degree and nature of other criteria
Make a decision whether/what to use
If decide to “not use,” STOP use of the model
If decide to use, determine recommendations for a
specific practice
IV Translation/application
(operational definition of
use/actions for change)
Types
Methods
Levels
Direct instrumental use
Cognitive use
Symbolic use
Caution: Assess whether translation/product or use
goes beyond actual findings/evidence
Formal dissemination and change strategies should be
planned per relevant research
Consider need for appropriate reasoned variation
V Evaluation (alternative types
of evaluation)
Evaluation can be formal or informal, individual or
institutional
Consider cost-benefit of evaluation efforts
Use RU as a process to enhance credibility of
evaluation data
For both dynamic and pilot evaluations include two
types of evaluative information
From Stetler, C. B. (2001). Updating the Stetler model of research utilization to facilitate evidence-based practice. Nursing Outlook, 49(6),
272–279. From Figure 3B. Stetler Model Part II: Additional, per phase details.
Theoretical Models: A Summary
The five EBP models described above are compared in Table 12-2 using the following criteria:
Groups of health care professionals affected (groups affected)
Environmental factors in which the model is useful (environment)
Analysis of the model (analysis)
Implementation: barriers/facilitators (implementation)
Evaluation of effectiveness identified by the model (evaluation)
Table 12-2 Comparison of Selected Models of Evidence-Based Practice
Models of Evidence-Based Practice
Comparison
Element ACE Star Model ARCC Model Iowa Model
Johns Hopkins
Model Stetler Model
Groups of health
care professionals
Instructors,
students, practicing
Advanced practice
nurses, practicing
Instructors,
students, practicing
Practicing nurses Practicing nurses or
groups of nurses
258
(users) nurses nurses nurses
Environmental
factors in which the
model is useful
(environment)
Learning
environments,
hospitals
Patient care
organizations
Nursing schools
and patient care
agencies
Learning
environments,
hospitals
Clinical situations
Analysis of the
model (analysis)
Five major points
similar to the
nursing process
Five constructs
with similarity to
nursing process
Six steps of the
model:
Identify knowledge
or problem-focused
triggers (catalysts
to critical thinking).
Priority:
organizational
Form a team
responsible for
development,
implementation,
and evaluation of
EBP
PET (see Figure 3-
3, p. 42) steps are
the basis for the
model.
Team approach to
answer Practice
questions, critique
Evidence, and
Translate it into
usable form
Five phases:
(I) Preparation
(II) Validation
(III) Comparative
evaluation/decision
making
(IV)
Translation/application
(V) Evaluation
Implementation:
barriers/facilitators
(implementation)
Implementation
into practice is the
fifth stage and
involves bringing
evidence to clinical
decision making.
Implementation is
based on the
mentor’s
determination of
organizational
readiness.
Determine
sufficiency of
evidence.
If yes: Pilot
recommended
change.
Team determines
feasibility and
creates an action
plan to implement
the change.
Translation and
application is the fourth
step.
Evaluation of the
effectiveness of the
model (evaluation)
Evaluation is the
final stage and
focuses on
verification of the
success EBP
(Stevens, 2005).
Evaluation is the
fifth of the
constructs and has
three levels that
provide feedback
(Melnyk &
Fineout-Overholt,
2002).
Evaluate pilot
success and
disseminate results;
implement into
practice (Titler et
al., 2001).
Evaluate outcomes.
Report outcomes to
stakeholders.
Identify next steps
(Dearholt, 2012, p.
51)
Evaluation is the last
step (Stetler, 2001).
As shown, there are a number of similarities among the models. Schafffer and colleagues (2013) recently
compiled a review of models for organizational change based on EBP. Similar to what has been presented
here, their overview examined the key features of six models with the view to change practice in
organizations. Most of the models incorporate the steps of the research process in some way, and all the
models are focused on bringing the best in safe and effective nursing care to their major focus: the patient, or
recipient of nursing care. Nurses who are actively engaged in promoting EBP are encouraged to review these
as well as other published models and to select the one that best fits their needs and desired outcomes.
Helen, the nurse from the opening case study, conducted a systematic review of neuromuscular illnesses
and management protocols using the Iowa Model of EBP. During this process and while working with the
clinical team, she came to better understand her illness and the treatments that would most likely forestall
deterioration of her condition. The complexity and high level of information she accumulated through her
review of the research guided by theories of EBP brought Helen to a level of practice where she could not
only help herself but also her patients and clients. Following graduation, she based her clinical practice on the
expertise she had gained through her extensive study of the research and practice in neuromuscular diseases.
Summary
There is little doubt that EBP has become one of the key tenets of quality nursing care. As described,
however, it is critical to remember that EBP must go beyond research per se and emphasis on RCT but must
also be theory based. Many authors have written about the problems and barriers to EBP, and others have
written on how to strengthen the process and make it relevant to practicing nurses.
Over the last decade, a number of models have been constructed to assist nurses to learn how to proceed in
the development of evidence-based guidelines and promotion of EBP, as illustrated by the work of Helen in
the case study. The five models described here, along with a number of others that have been mentioned in the
nursing literature, give nurses information about the steps and processes necessary to elicit the evidence that is
needed to provide safe interventions that are effective in nursing practice. Nurses who seek to use tested and
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published evidence in their clinical areas are advised to seek out a working model of EBP and follow it
through to effect reasonable, safe, and effective changes for the benefit of their patients or clients.
Key Points
Research, theory, and practice are integrated in nursing; EBP is a key element and outcome of that linkage.
EBP is an approach to problem solving that uses the current best evidence in the care of patients.
In nursing, EBP has been defined as “the conscientious, explicit, and judicious use of theory-derived,
research-based information in making decisions about care delivery . . . in consideration of individual
needs and preferences.”
Nursing as a profession has been relatively slow to incorporate EBP; this has changed in recent years.
Some nurses are concerned that too much attention to EBP will draw attention away from the art of nursing
care—that nursing will become lost in the science.
Models of EBP have developed from early studies of research utilization and quality improvement. Many of
these models have been developed with the impetus of hospitals or educational institutions’ support.
The major impetus for integration and implementation of research evidence—guided by EBP—should be
reasonable, effective, and safe care for patients.
Learning Activities
1. Similar to the process used by Helen, the nurse in the opening case study, select one model of
EBP presented. Using your current clinical setting and a practice problem you have noticed,
determine what you would do to institute EBP into your current practice to address the
problem.
2. Compare and contrast two EBP models and write a blog on which would most likely work in
your agency or clinical unit. Explain why one model would work better than the other with
your colleagues or your organizational culture.
3. Prepare a proposal for practice change in your agency or clinical unit using one of the models
given in this chapter. Use as many of the steps of the model as possible and project the
outcomes for the remaining steps.
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UNIT III
Shared Theories Used by Nurses
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13
Theories From the Sociologic Sciences
Joan C. Engebretson
Simon Brown is a family nurse practitioner (FNP) who is currently working in a school-based clinic located
within a high school in a disadvantaged, inner-city neighborhood. In his practice, Simon sees a number of
students who are sexually active as well as some who are already parents. Although teen pregnancy and
childbearing rates have dropped dramatically over the last few years elsewhere, they have remained
disproportionately high at his school. Simon has conducted sex education classes, but he speculates that the
key to a more effective intervention lies elsewhere.
A literature review reinforced what Simon suspected—that abstinence and contraception-focused
programs for adolescents have had only modest results in reducing teen pregnancy rates and minimal impact
on teens in disadvantaged inner-city communities. He confirmed that patterns of adolescent sexual risk
behaviors are shaped by the social environment, social position, and gender. He also learned that in the United
States, although very young motherhood is concentrated in disadvantaged groups, regardless of race and
ethnicity, the very early adoption of the role of mother is not the typical first choice of young women who
perceive themselves as having options.
From his review of the literature, Simon identified two sociologic perspectives, Role Theory and the
Social-Ecological Model, which helped him conceptualize the major issues facing adolescents in his school.
He understands the interrelatedness and complexity of the factors and roles which are deeply embedded in
social structures and knows they are not easily changed. Furthermore, he recognizes that young people in
inner-city neighborhoods typically have a scarcity of positive adult role models and often lack appropriate
adult supervision and meaningful job networks.
Further study led Simon to realize that the reproductive role is one area over which poor, inner-city
adolescents can exercise control. Young men can validate their masculine role by biologically fathering a
child, and young women can demonstrate their capacity for love in the maternal role. It is sometimes
perceived that postponing childbearing will not improve their circumstances and becoming a parent may
elevate their personal status.
Armed with the information gathered from his literature searches, Simon is seeking to learn even more
about cultural variations and social constructs of behavior. His goal is to use this knowledge to develop
interventions that will promote adolescent health and facilitate developmentally appropriate and positive role
behaviors among the students in his school.
Historically, nursing has been responsive to society’s needs. Early nurse leaders such as Florence Nightingale,
Clara Barton, Lillian Wald, Margaret Sanger, and Mabel Keaton Staupers were, to varying degrees, social
activists. They observed and understood the historical and social forces that affected large aggregates of
individuals. Their understanding was demonstrated through their population-focused nursing interventions.
Mills (1959) coined the term sociological imagination to refer to this process of looking at social phenomena
to discover the unseen and repetitive patterns that govern individuals’ social existence.
Beginning in the early 1900s, as Americans became increasingly focused on the ideology of
individualism, and as cures were discovered for dreaded infectious diseases, the emphasis of health care
shifted from populations and social factors that affect health to the individual and personal lifestyles.
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Consideration of the influence of social forces on health became almost obsolete. An understanding of
theories from sociology and related disciplines that focus on the interaction between human society and
individuals is important for nurses, however, because sociologic factors have a dramatic impact on the health
and well-being of individuals, families, groups, and society. Thus, advanced nursing practice and research
must consider those social factors and issues that may promote, constrain, and/or shape health and health
behaviors.
This chapter reviews selected sociologic concepts, theories, and frameworks for their relevance to nursing
practice, research, administration, and education. Systems theories and the related Social-Ecological Model
and social networks, which locate the individual within progressive spheres of influence, are discussed
initially. This is followed by an overview of the classic social science theoretical perspectives of Social
Constructionism and interaction theories, focusing on role theories and cultural diversity. A review of
exchange theories and critical theories, which are focused on social economic and political perspectives
follows. The chapter concludes with a look at Complexity Science, Complex Adaptive Systems, and Chaos
Theory. Each section begins with a brief historical overview that is followed by a discussion of basic
assumptions, central concepts, and related theoretical viewpoints. Examples of nursing practice or research
application of the theories are included where available.
Systems Theories
Systems theories and systems thinking have been very important to the nursing profession. Indeed, several
nursing theorists based their works on systems theory. Notable examples include Neuman, Rogers, Roy, and
Johnson. These foundational theories generally depict the individual, their family, and their environment as
holistic systems within a configuration of connected parts, continually influencing and being influenced by
each other. In the late 20th century, however, following expansion of the reductionist approach of
biomedicine, these theories and perspectives were somewhat eclipsed in nursing as the profession became
more focused on clinical research and clinical practice.
Despite this change, it is vital to recognize that systems theories are extremely relevant in the human and
social sciences. During the recent years, enhanced attention has been given to subsequent extensions of
system theory. This section will describe the most basic systems model—General Systems Theory—as well as
the more contemporary Social-Ecological Model and social networks. Complexity Science, an even more
recent iteration of systems theory, will be described at the end of the chapter.
General Systems Theory
General Systems Theory (GST), or more specifically, Open Systems Theory (OST) (von Bertalanffy, 1968), is
regarded as a universal grand theory because of its unique relevancy and applicability (B. M. Johnson &
Webber, 2010).
Overview
The GST was initially introduced in the 1930s by biologist Ludwig von Bertalanffy. In GST, systems are
composed of both structural and functional components that interact within a boundary that filters the type
and rate of exchange with the environment. Living systems are open because there is an ongoing exchange of
matter, energy, and information. Basic tenets of GST are that (1) a system is composed of subsystems, each
with its own function; (2) systems contain energy and matter; (3) a system may be open or closed (open
systems exchange energy and closed systems have clearly defined boundaries); and (4) open and closed
systems reach stationary states (Mason & Attree, 1997).
The following elements are common to systems (Figure 13-1):
Input—matter, energy, and information received from the environment
Throughput—matter, energy, and information that is modified or transformed within the system
Output—matter, energy, and information that is released from the system into the environment
Feedback—information regarding environmental responses used by the system (may be positive,
negative, or neutral) (Kenney, 1995)
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Figure 13-1 Elements of a system.
For survival, a system must achieve a balance internally and externally (equilibrium). Equilibrium
depends on the system’s ability to regulate input and output to achieve a balanced relationship of the
interactive parts. The system uses various adaptation mechanisms to maintain equilibrium. Adaptation may
occur through accepting or rejecting the matter, energy, or information or by accommodating the input and
modifying the systems responses (Kenney, 1995). Several GST principles that are purported to be applicable
to all systems are shown in Box 13-1.
Box 13-1 Open Systems Theory Principles
1. A system is a unit that is greater than the sum of its parts (wholeness is a major premise of both GST
and OST).
2. A system comprises subsystems that are themselves part of suprasystems (hierarchically “nested”).
3. A system has boundaries (i.e., abstract entities such as rules, norms, and values) that permit exchange of
information and resources both into (inputs) and out of (outputs) the system (boundaries can also hinder
or block exchange processes).
4. Communication and feedback mechanisms between system parts are essential for system function.
5. A change in one part leads to change in the whole system (circular causality).
6. A system goal or end point can be reached in different ways (equifinality).
Application to Nursing
In addition to widespread use of systems principles and perspectives in nursing theories as was mentioned,
systems theory has been frequently applied to nursing practice. Meyer and O’Brien-Pallas (2010), for
example, applied OST to large-scale organizations and from their data developed the “Nursing Services
Delivery Theory.” Reviewing the literature, Myny and colleagues (2011) identified five categories of
nondirect patient care factors related to nurses’ workload in acute care hospitals. Guided by systems theory, a
conceptual model was built from the data. In educational situations, Zieber and Williams (2015) used systems
theory to examine the experiences of nursing students who made errors in clinical practice, and Hamrin and
colleagues (2016) described how nurse practitioner students could use systems thinking to develop effective
and innovative quality improvement projects.
In direct-care clinical situations, major tenets of family systems theory, a derivative of systems theory, was
applied to develop an intervention to assist families dealing with crisis (Tomlinson, Peden-McAlpine, &
Sherman, 2012) and to help nurse practitioners work with family members of patients with mental illness
(Haefner, 2014). Finally, Gerardi (2015) suggested that Complex Adaptive Systems Theory (described in
more detail later in the chapter), another derivative of systems theory, should be applied by nurse managers
and leaders to identify dysfunctional patterns and resolve conflicts in today’s complex workplace
environments.
Social Ecological Models
Scholars and researchers from sociology, anthropology, and social psychology applied tenets of systems
theory to develop additional theories and perspectives to describe and explain behaviors. Social-Ecological
Models (SEMs) are contemporary applications of the bio-psycho-social perspective to examine the
patient/family experience of health or illness within the social ecological context.
Overview
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The SEMs have been used in various forms for several decades to examine the complex interplay among
individuals, social groups and other entities which influence health-related behaviors. As depicted in Figure
13-2, the SEM situates the individual within a series of concentric contextual systems: microsystems—the
individual and immediate neighborhood; mesosystem—the larger local community; ecosystem—an even
larger system (e.g., a country); and the macrosystem. This interdependent matrix allows for an examination of
the more complex interactions of systems theory.
Figure 13-2 Social-Ecological Theory.
The SEM was expanded by Urie Bronfenbrenner (1979), a social psychologist. Bronfenbrenner’s model is
widely used by nurses and other health professionals to examine the reciprocal, causative relationships that
ultimately influence human behavior from the perspective of humans in continuous interaction with their
environment. Bronfenbrenner originally applied his conceptualization of the SEM to child development and
then in later version included the trajectory of time to illustrate how social perspectives change or evolve.
Application to Nursing
Examples depicting use of SEMs in nursing research, education, and practice are easy to identify in the
literature. In one work, Clary-Muronda (2016) reported on application of the SEM to evaluate facilitators and
barriers to enhance success of culturally diverse nursing students. Through a systematic literature review, she
was able to describe how the SEM provided a “multidimensional view” of potential problems and helped
suggest possible solutions to improve workforce diversity. Similarly, Dwyer and Hunter-Revell (2016)
explained how they used the SEM to organize the factors identified from a systematic literature review which
influenced transition to practice in new graduate nurses.
Several recent examples of clinical practice application of the SEM were found. In community-based
settings, the SEM was used as a guide to develop a school-based program to improve asthma symptoms
among school children (Nuss et al., 2016), to discuss predictors of physical activity among adolescents (Spurr,
Bally, Trinder, & Williamson, 2016), and to identify strategies to improve breastfeeding rates among African
American women (Reeves & Woods-Giscombé, 2015). Finally, in acute care settings, the SEM was used as a
framework to identify the multiple factors that influence the performance of the health team during neonatal
resuscitation (Clary-Muronda & Pope, 2016) and to identify the factors that influence patient safety during the
transfer of postoperative patients to the post anesthesia care unit (Rose & Newman, 2016).
Social Networks
The study of social networks can be a productive approach to understanding systems in nursing. In terms of
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the health and well-being of individuals, social support networks, as actual or potential resources, are
especially relevant. This particularly relates to family networks (Logan & Spitze, 1996).
Overview
Social networks can also consider relationships, roles and positions of individuals, such as those found in
health care organizations (e.g., nurses, physicians, pharmacists, and administrators). In network analysis, these
units are referred to as points. Ties link points and represent the directional flow of resources. Figure 13-3
illustrates the exchange process in a simplistic diagram. In this figure, A, B, C, D, and E represent points, and
arrows indicate ties. In the illustration, B has reciprocal ties to all other points, but A, C, D, and E have ties to
only three other points. In the social world, resource exchanges can be instrumental, as in the exchange of
information or materials, or affective, as shown by respect, approval, or an empathic ear.
Figure 13-3 Example of resource flows in a noncomplex network.
Examples of techniques or tools for capturing and mapping network patterns include Moreno’s (1953)
sociograms, which plot the patterning of sentiments among group members; the echo map used in family
assessments to diagram exchange relations between families and their external environment; and the exchange
theory and network analysis program developed by Emerson (1981).
Application to Nursing
Variations in social networks are dependent on context and can be very influential in addressing health needs.
Indeed, support from social networks is widely regarded as mediating the adverse effects of stressful events,
as illustrated by a study examining grief reactions and posttraumatic growth among adolescents who had lost
a parent (Hirooka, Fukahori, Ozawa, & Akita, 2017). In much the same way, Palmer, Saviet, and Tourish
(2016) looked at social support networks, along with other variables, to help direct guidance to assist
adolescents and young adults with grief over the loss of a loved one. Similarly, T. Y. Lee, Wang, Lin, and
Kao (2013) found a significant moderating effect of perceived nurses’ support on fathering ability and
paternal stress for fathers of premature infants. In another work, lack of perceived social support was found to
be significantly associated with antenatal depressive symptoms among Chinese women (Ngai & Chan, 2012).
Thus, health care providers need to routinely assess the adequacy of individuals’ perceived social support
networks and target relevant interventions for those with inadequate support.
Social Construction and Interaction Theories
The philosophical base for much anthropologic and sociologic research is Interpretive Interactionism or Social
Constructionism. “Social Constructionism” was first posited by Berger and Luckmann (1966) when they
discussed how people share constructions or interpretations of reality. In this view, “taken for granted
realities” arise from, and are maintained by, social interactions. A number of philosophers, sociologists,
anthropologists, and influential thinkers have contributed to the understanding of Social Constructionism.
Social Constructionism, then, refers to the collective ways of making sense of the world and giving meaning.
It is based on the observation that knowledge and cognition are socially constructed and is considered to be
accomplished through language acquisition and development of social processes (Denzin & Lincoln, 2003;
Schwandt, 2007).
In the late 19th century, the focus of sociology moved to social interactional processes that link
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individuals to each other and to society. A diverse group of interactionist theories resulted from this shift.
Three constructivist/interaction theories are discussed in this section. These are symbolic interactionism,
cultural diversity, and Role Theory.
Symbolic Interactionism
George H. Mead (1934), the acknowledged father of symbolic interactionism, synthesized the concepts of
self, mind, and society or social environment, which he perceived to be inseparable.
Overview
Central to Mead’s work is the notion that humans adapt to, and survive in, their environment by sharing
common symbols, both verbal and nonverbal. A distinctive feature of this symbolic interaction is that humans
can imagine themselves in other social roles, a concept termed “role-taking,” and internalize the attitudes,
values, and norms of the “generalized other” or social group. Mead outlined stages of interactional learning by
which he believed humans acquire social understanding. For Mead, the self is nonexistent at birth and
emerges as the result of social experience. Mead’s basic assumptions are listed in Box 13-2.
Box 13-2 Assumptions of Symbolic Interactionist Theories
1. Human beings have the capacity to create and use symbols.
2. Through the capacity to create and use symbols, humans have freed themselves from most of their
instinctual and biologic programming.
3. Human beings adapt and survive in the social world.
4. Humans use words and language symbols to communicate, and they also use nonverbal gestures that
have common meanings.
5. Humans can effectively communicate because of their ability to read symbols produced by others and to
take on the position or point of view of another person.
6. Humans acquire a mind and self from interactions with others.
7. Human interactions form the basis of society.
Sources: Lindesmith and Strauss (1968); Turner (2013).
The focus for symbolic interactionism is on the connection between symbols (shared meanings) and
interactions. Mead emphasized the process of role-taking as a basic mechanism by which interactions occur.
Role-taking refers to the ability to not only put yourself in the role of another person but also anticipate how
that person will think, feel, or respond (Mead, 1934). Although they are sometimes used interchangeably,
role-taking and empathy are not synonymous. Role-taking is a cognitive process, whereas empathy
emphasizes the affective. The concept of role was extended to include the expectations attached to structural
positions in society, and the concept of self became associated with the multiple roles played within these
positions.
Application to Nursing
Social Constructionism and symbolic interactionism form the basic foundation for much of the qualitative
research in nursing. Several qualitative research studies in nursing were found that used symbolic interaction
as a conceptual framework. For example, Martsolf, Draucker, Bednarz, and Lea (2011) explored how
adolescents make sense of their troubled dating relationships (i.e., verbal, emotional, sexual, or physical
abuse). In another study, symbolic interactionism provided part of the theoretical framework in exploring
young gay and bisexual men’s definition of being healthy as well as describing their fears and concerns.
Findings from this study can assist nurses in identifying culturally appropriate ways for
interacting/intervening with this population (Guarnero, 2012). In another example rooted in symbolic
interactionism, Horton and Dworkin (2013) explored the notion of gender-based power imbalances in HIV
risk reduction and suggested moving beyond the interpersonal in HIV prevention policy solutions to include
broader social inequalities and power imbalances that impact, for instance, condom negotiations.
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Grounded theory methods were used to understand the social constructs in the decision-making processes
that occur between persons with end-stage cancer and their family caregivers in a home setting. Implications
for practice include palliative care education for nurses in all health care settings and health-promotion
initiatives for advance directives education and end-stage illness management in home settings (Edwards,
Olson, Koop, & Northcott, 2012). The perspective of the importance of social constructions has also been
examined in dealing with several chronic conditions. To that end, Engebretson (2013) explored several
individual studies of how patients experienced different chronic conditions and identified stigmas, concerns,
and common issues.
Cultural Diversity
Culture refers to the shared beliefs and values that underlie and generate social behavior. It is how people
make meaning of their experiences, operate in daily life, and develop social organization. The interest in and
the study of culture within the United States has been steadily pushing its way to the social forefront since the
mid-1980s (Alexander & Smith, 2009). It was also during this time that a shift occurred in U.S. population
demographics and the corresponding increase in diverse ethnic groups became more pronounced. Indeed,
culture is very relevant to nursing practice because it is a significant determinant of health-related behaviors
and a major factor in health care delivery.
Overview
Despite some variations, social scientists agree on the essential principles of culture. These principles are that
(1) culture consists of tangible (material) and intangible (nonmaterial) components; (2) people inherit and
learn a culture; (3) biologic, environmental, and historical forces shape and change culture; and (4) culture is a
tool that people use to evaluate other societies and adapt to problems of living (Ferrante, 2015). Most people
are so accustomed to these beliefs, perspectives, and practices they are often unaware of them until they
encounter another culture. Equating ethnic perspectives or research only on ethnic or minority groups is a very
limited view as everyone and every group has its own cultural beliefs and practices. The word bias refers to an
inclination for or against some phenomenon that inhibits impartial and objective judgment and that can, in the
extreme, constitute prejudice. Cultural bias, interpreting and judging phenomena in relation to one’s own
culture, is common among social and human societies and needs to be recognized. A multitude of historical
and contemporary examples of cultural biases deal with the “isms”: racism, sexism, classism, and ageism. An
alternate perspective views cultural bias as a normative response to safeguard that which is known and
familiar to the individual—ethnocentrism. Any normative belief about human beings can be reasonably
isolated as a cultural belief and consequently lead to a biased perspective.
Cultural competence has become very important in clinical practice as ethnic diversity and awareness
have challenged clinicians. Indeed, cultural competence has been linked to sensitivity to culture, race,
ethnicity, gender, and sexual orientation in provision of patient-centered health care and improvement in
health outcomes (Engebretson, 2011). Providing culturally sensitive health care is expected, or even mandated
as Cultural and Linguistic Services (CLAS) standards were established by the Office on Minority Health
(OMH) in 2001 and are incorporated into The Joint Commission’s accreditation (The Joint Commission,
2010).
To be effective, health professionals should consider culturally embedded perspectives, but remember that
one size does not fit all. Although promoting cultural competence and recognition of cultural differences or
variations is welcome, some concerns with these emphases are essentializing this information into
stereotyping individuals with group identities. To address such concerns and incorporate patient values and
circumstances into care delivery, nursing theorists developed the Clinical Model of Cultural Competence
(Engebretson, 2011; Engebretson, Mahoney, & Carlson, 2008). This model incorporated a cultural
competency continuum. At one end of the continuum were cultural “destructiveness” and “incapacity”—
where destructive behavior was directed at specific groups. Toward the middle of the continuum are “cultural
blindness” and “precompetence”; here, clinicians seek to treat all groups with equality, and there are efforts to
move toward understanding of the group. Cultural “competency” and “proficiency” are the highest levels of
the model. Here, the clinician demonstrates an understanding of the cultural issues, and progresses toward
provision of culturally competent, individual-based care.
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Application to Nursing
In the social sciences, significant research is based on how members of a social group attend to their everyday
lives (Holstein & Gubrium, 2008). Ethnography refers to both the product of an anthropologic study as well as
a research approach and is often applied in nursing studies. In the literature, there are many examples of
nursing studies that research cultural beliefs and practices, often using ethnographic techniques. For example,
Higginbottom, Rivers, and Story (2014) conducted a focused ethnography look at the health and social needs
of Somali refugees with visual impairment, concluding there is a significant need for social support and
awareness of community outreach services for these individuals. Also researching refugees, Davenport (2017)
performed a grounded theory study to examine issues faced by Iraqi refugees when they settle in the United
States. In other examples, McCullagh, Sanon, and Foley (2015) used qualitative methods to examine health
practices of migrant seasonal farmworkers and Opalinski, Dyess, and Grooper (2015) used ethnographic
methods to research strategies that can be used by multicultural faith communities to address the problems of
childhood obesity.
In several examples from the literature, “culture” did not necessarily refer to racial or ethnic groups. In
one work, Christensen (2014) described how nurses who work in correctional facilities should consider the
“culture of incarceration” in providing culturally sensitive care for incarcerated women. Then, Richardson
(2014) discussed the importance of considering the specific needs of the “Deaf culture” to provide culturally
competent care to those with hearing impairments.
Finally, information, strategies, and models to promote cultural competence are easily identified in the
nursing literature. Elminowski (2015) reported on development of a workshop to promote cultural awareness
for nurse practitioners, and Long (2016) described the implementation of international service learning
experiences to promote cultural competence in nursing students. Finally, Shen (2015) performed a systematic
literature review and reported on her analysis of the many cultural competence models and cultural
competency assessment instruments that have been published over the past 35 years.
Current methods of research, practice, and training are challenged by multiculturalism. Results from these
and other culturally based studies have implications for health care professionals to provide culture-specific
and evidence-based care. Box 13-3 gives guidelines on how to avoid cultural bias in research and thereby
improve health care for all.
Box 13-3 Recommendations for Avoidance of Cultural Biases in Research
Acknowledge your own cultural beliefs and values through ongoing self-assessments.
Question the value, purpose, cultural origins, and relevance of current practices wherever they are found.
Critically examine any cross-cultural research in literature reviews for potential bias and pretension and be
prepared for anti-intuitive findings and rejection of assumptions.
Engage persons culturally similar to the study sample at each step of the research process.
Promote cultural diversity in scientific nursing communities (local, state, national, and international) to
provide checks and balances for individual biases.
Create environments for egalitarian and pluralistic dialogue.
Collaborate (or consult) with a multicultural interdisciplinary research group.
Consider a qualitative ethnographic study for exploring differences.
Role Theory
The concept of “role” comes from the theater and conveys the notion that normative expectations and
requirements, such as culturally defined behavioral rules, are attached to positions (status) in social
organizations (e.g., family, corporation, society). Succinctly stated, an individual occupies a status but plays a
role (Lindesmith & Strauss, 1968).
Overview
Through the enactment of roles, static social positions are brought to life. Roles can be assumed to carry not
only certain rights and privileges but duties and obligations as well. For example, a registered nurse has the
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right to be paid on time and in turn has the obligation to report to work when scheduled and in a timely
manner.
A status may include a number of roles, with each role appropriate to a specific social context. For
instance, a woman who occupies the status of chief executive officer of a large company has multiple roles
attached to that position. She may also have duties and obligations associated with other statuses, such as
daughter, sister, wife, mother, Red Cross volunteer, and so on. Role behavior, in any given situation, depends
on the statuses occupied by interacting individuals. Staff nurses, for example, behave one way toward their
clients, another way toward their coworkers, and yet another way toward their supervisors.
Social positions are often ascribed based on such characteristics as class (e.g., poor, middle class,
wealthy), gender, and racial or ethnic group membership or are achieved through education, training, and so
forth. There are societal constraints on all statuses. For instance, an African American male nurse occupies
several relevant statuses. He is a qualified professional, but there will undoubtedly be situations in which
others will expect him to enact behaviors traditionally associated with his other ascribed status(es) (i.e., male,
African American, son, brother, father).
Role strain, or role stress, is a subjective experience produced by such conditions as role ambiguity, role
incongruity, role overload, and role conflict. Ill-defined, vague, or unclear role expectations can result in role
ambiguity (e.g., the staff nurse assigned to temporarily act as head nurse with no preparation). Role
incongruity can occur when role expectations run counter to the individual’s values and self-perception; for
example, a staff nurse who takes pride in her caring and supportive behaviors toward clients and coworkers is
promoted to supervisor and must “trim the budget.” The nurse faced with an imbalance in ratio of demands
(excessive) and time (inadequate) on an understaffed acute intensive care unit may experience role overload.
Occupying more than one status at a time increases the likelihood of an individual being unable to enact the
roles associated with one status without violating those of another status (e.g., administrative/supervisor-
professional nurse/client advocate). The individual faced with such mutually exclusive or contradictory role
expectations will likely experience role conflict.
The roles an individual plays have a profound effect on attitude and behavior as well as on self-
perceptions. As society in general, and health care systems in particular, become increasingly more complex
and resources shrink, role stress can be expected to continue and expand. Various researchers have studied
various roles. Link to Practice 13-1 focuses on role changes across generations.
Link to Practice 13-1
Significant attention has recently focused on the notion of “generational differences” in nursing education
and administration. The observations of the differences and subsequent implications are rooted in research
and can be related to many of the theories and principles described in this chapter (e.g., culture, social
exchange/social networks, Role Theory, conflict).
In one example, Hendricks and Cope (2013) explained that generational cohorts carry similar traits
based on sharing of important life events at critical development stages. In their discussion of the
commonly described “generations” (e.g., veterans or traditionals, baby boomers, generation Xers, and
millennials), they explicitly discussed the “cultural” differences and distinctions of the different
generations and focused on some of the variations in techniques of communication and potential sources of
conflict. In another example, Sparks (2012) examined differences in “empowerment” and sentinel
characteristics consistent with critical social theory in her study of job satisfaction in baby boomers and
generation X nurses.
Hendricks, J. M., & Cope, V. C. (2013). Generational diversity: What nurse managers need to know. Journal of Advanced Nursing, 69(3),
717–725.
Sparks, A. M. (2012). Psychological empowerment and job satisfaction among Baby Boomer and Generation X nurses. Journal of Nursing
Management, 20, 451–460.
Application to Nursing
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In recent years, a significant amount of research on caregiver roles and related concepts has been performed.
Friedemann and Buckwalter (2014), for example, conducted a study of gender and family relationship on
caregiver role perception, focusing on workload, burden, and help among families receiving benefits from
home health care agencies. They determined that roles, responsibilities, and responses varied considerably
based on gender and ethnicity and urged community health nurses to recognize vulnerabilities of care
providers. Similarly, Hansen and colleagues (2012) explored the concepts of role strain and satisfaction with
family caregivers making life-sustaining treatment decisions within the context of ongoing care for elderly ill
relatives in a variety of settings. In a final example, Frye (2016) studied issues experienced by fathers in their
role as caregivers of children with autism spectrum disorder, noting that their need for support as they
reported significant concerns related to responsibilities, finances, as well as their experiences of grief and loss.
Role Theory has also been used as one of the major components of some nursing theories. One example is
Ramona Mercer’s Theory of Maternal Role Attainment (Noseff, 2014) (described in Chapter 11). In another
example, Déry, D’Amour, Blais, and Clarke (2015) reported using Role Theory as one of the “theoretical
underpinnings” for development of the “Enacted Scope of Nursing Practice” model which promotes optimal
use of nurses, operating within the full scope of nursing practice to improve health systems and ultimately
patient care.
Exchange Theories, Conflict and Critical Theories
Many anthropologists and sociologists who study health issues recognize how the larger social system
impacts health and health care. This has been labeled the “pol-econ” for the focus on political or economic
issues and refers to a number of social science theories focused on how groups of people behave with
respected to distribution of goods and services and development of power. These theories form the foundation
for political and economic issues, applicable to small groups or aggregates at the local level, national level,
and even international level. This section describes two major pol-econ perspectives: exchange theories and
conflict or critical theories, with attention to critical social theory and feminist theories.
Exchange Theories
Theories that have become known as “exchange theories” have their basis in the philosophical perspective
called utilitarianism.
Historical Overview
Utilitarianism developed between the late 18th century and the mid-19th century and is a legacy from both
moral philosophy and classic economic theory. The moral philosophy component considers the satisfaction of
an individual’s desires or utility. Philosophically, maximization of each individual’s satisfaction automatically
leads to maximum satisfaction of the wants of all. Translated into more familiar terms, “the greatest good for
the greatest number” is an underlying principle of utilitarianism (see Chapter 16 for a more detailed discussion
of utilitarianism).
Three basic assumptions about individuals and exchange relations are added from classic economic
theory. First, individuals are purposive and motivated to maximize material benefits from exchanges with
others in a free and competitive marketplace. Second, as agents in a free market, individuals have access to all
the information needed to weigh alternatives and calculate costs for each alternative. Third, based on their
own calculations, individuals are able to rationally choose the activities that will maximize their profits
(Turner, 2013).
Modern Social Exchange Theories
The influence of utilitarianism is evident in modern exchange theories to varying degrees. Utilitarian
principles were reformulated for modern exchange theories in an attempt to explain human interactions in all
social contexts and without the limitations imposed by a pure economic framework, hence the label “Social”
Exchange Theory. Assumptions of Social Exchange Theories as outlined by Turner (2013) are listed in Box
13-4.
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Box 13-4 Assumptions of Social Exchange Theories
Humans do not seek to maximize profits but attempt to make some profit in their social transactions with
others.
Humans are not perfectly rational, but they do engage in calculations of costs and benefits in social
transactions.
Humans do not have perfect information on all available alternatives, but they are usually aware of at least
some alternatives, which form the basis for assessment of costs and benefits.
Humans always act under constraints, but they still compete with one another in seeking to make a profit
in their transactions.
Humans always seek to make a profit in their transactions, but they are limited by the resources that they
have when entering an exchange relation.
Humans engage in economic transactions in clearly defined marketplaces in all societies, but these
transactions are only special cases of more general exchange relations.
Humans pursue material goals in exchanges, but they also mobilize and exchange nonmaterial resources,
such as sentiments, services, and symbols.
Source: Turner (2013).
The social exchange perspective emerged in American sociology in the 1960s with the work of Homans
(1961) and Blau (1964) and in social psychology with Thibaut and Kelley (1959). Modern exchange theories
emphasize the social and psychological motivation of individuals. There are two major divisions of Social
Exchange Theories: the individualistic or microlevel theories and the societal/collectivist or macrolevel
theories.
Within the individualistic social exchange framework, the central focus is motivation; human beings are
motivated by self-interest to act. Relationships are deemed successful and continue when each party feels that
the nature of an exchange is fair and beneficial. Beneficial or rewarding relationships require commitment to
sustain them. When reciprocity is absent or unrewarding within the relationship, or costs exceed rewards,
individuals tend to withdraw from further exchanges. This premise applies to all social groups, including the
family. Divorce is an example of withdrawing from an unsatisfactory exchange relationship.
In contrast to the individualistic or microlevel perspective are the macrolevel theories. This second broad
division of Social Exchange Theories is derived from a collectivist tradition and gives greater weight to
society. Collectivism has its roots in the perspective of French anthropologist Lévi-Strauss (1969), whose
work emphasized the integration of exchanges from larger social structures. In this perspective, the focus is on
reciprocity from an institutional level.
Three fundamental exchange principles relate to the concept of integration as proposed by Lévi-Strauss
(1969). First, individuals incur costs in all exchange relations, but costs are attributed to the customs, rules,
laws, and values of society, as opposed to the individual motives found in economic or psychological
explanations of exchange. Second, social norms and values regulate the distribution of all scarce and valued
resources. Third, the norm of reciprocity governs all exchange relations (Turner, 2013).
Rational Choice Theory (Coleman, 1990; Hechter, 1987) is the most recently proposed exchange theory.
Rational Choice Theory attempts to explain the macrolevel behavioral processes of both small and large social
systems. Rational Choice Theory has a systems focus, but the psychological needs and motives of individuals
are removed.
Three major sociologic concepts, agency, rationality, and structure, are evident in the assumptions and
propositions of contemporary Social Exchange Theories (Table 13-1). The individualistic perspective
emphasizes agency and considers that individuals actively shape their social lives, rather than being passive
recipients. Individuals affect their own lives by adapting to, negotiating with, and changing social structures.
Table 13-1 Central Concepts in Social Exchange Theories
Concept Meaning
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Agency Individuals actively create or construct their social world, and as thinking, feeling,
and acting beings, they are motivated to control or to condition the situations that
affect their social lives to maximize their advantage.
Rationality Individuals are acquisitive and success oriented and motivated for immediate
rewards. Therefore, to gain the most benefit, individuals calculate costs and the
probabilities of receiving rewards or avoiding punishments in social interactions.
Structure Social and cultural influences that constrain and shape an individual’s behavior and
conscious experiences are assumed to be located in the unconscious mind, in
material relationships, in the symbolic relationships of myth or language, or in
repetitive patterns of permanent interactions.
Source: Waters (1994).
Inherent in the concept of rationality is the assumption that every individual has control over a supply of
socially valued resources, either material or psychological, that serve as bartering tools. Individuals barter
these resources in the social “marketplace” to maximize rewards by enhancing the valuables they control. The
last concept, structure, is highly abstract and not directly observable. Social structure generally refers to the
enduring and recurring patterns of behavior in groups and society.
Subsumed in these concepts (agency, rationality, and structure) are related issues of inequality, power, and
conflict. Prior to its appearance in exchange theorizing, Karl Marx (1977) noted that inequality exists in
hierarchical class structures where those who have control of resources with high economic value also have
the power to exploit those with fewer such resources. Conflict, according to Marx, is inevitable with
oppression, and resolution of conflict requires emancipatory actions. Factors associated with positions of
privilege and power include gender, age, ethnicity, and socioeconomic status.
Application to Nursing
Among recent nursing studies to use Social Exchange Theory as a conceptual framework is Shacklock,
Brunetto, Teo, and Farr-Wharton (2014). They used Social Exchange Theory as a “lens” to study the
relationships among nurses’ “support antecedents” (supervisor relationship and perceived organizational
support) and outcomes of job satisfaction, engagement, and organizational commitment. These findings
suggested that support antecedents were positively associated with satisfaction and reduced intention to quit.
Similarly, Brunetto and colleagues (2013) used Social Exchange Theory to examine the relationships between
supervisors and teamwork activities and the outcomes of psychological well-being and turnover intention.
They concluded that nursing managers must improve workplace relationships to help retain skilled nurses. In
other works, focusing on caregivers, Picot, Youngblut, and Zeller (1997) combined Social Exchange Theory
with equity theory to develop the Picot Caregiver Rewards Scale (PCRS) in order to obtain a more holistic
view of the caregiver experience and to plan health promotion interventions for caregivers, and Carruth,
Holland, and Larsen (2000) found that social exchange and equity theory provided a conceptual framework
for studying reciprocal intergenerational exchanges of assistance and support and for developing a Caregiver
Reciprocity Scale (CRS).
Conflict and Critical Theories
Conflict theories, also termed critical theories, share common ground in the elements analyzed in human
societies: inequality, power/authority, domination/subjugation, interests, and conflict. Modern conflict
theories have their roots in the writings of Karl Marx, the most famous conflict theorist, with later influences
from Max Weber (1958) and Georg Simmel (1956). Marx argued that economic-based class conflict is the
most basic and influential source of all social change. He viewed class conflict as inevitable because of the
unequal allocation of goods and services in capitalist societies.
Marx’s model of conflict was shaped by Europe’s transition from a feudal to a capitalistic society, and to
him, capitalism was an economic system that perpetuates inequality. Marx believed that the only means for
emancipatory social change within a capitalist society was violent revolution, with the workers fighting
against the capitalists. He argued that the ideology of any society is always the ideology of the ruling class or
the powerful people, as those in power use ideology to ensure their value system reigns (Eitzen, Baca-Zinn, &
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Smith, 2017).
Modern critical/conflict theories have modified Marx’s model. Dahrendorf (1958) regarded Marx’s
Theory of Class Conflict and Social Change as too simplistic because other social groups (e.g., political
groups) also experience conflict. Implicit in his perspective is the notion that conflict meets systems’
functional need for change. Society is characterized by struggles between social classes and between powerful
and less powerful groups because of the inequality embedded in hierarchical social structures. The potential
for conflict is inherent in the majority of human relationships because social organization means, among other
things, the unequal distribution of power resulting in the “haves” and the “have-nots” (Eitzen et al., 2017).
Two perspectives or types of conflict theory—Critical Social Theory and feminism are described here.
Critical Social Theory
The early foundation for Critical Social Theory (CST) can be found in Marx’s argument that oppressive
arrangements require revolutionary action. CST or critical theory is both theoretical and philosophical and has
increasingly been used to address sociopolitical conditions that affect inequities in health and health care.
CST uses societal awareness to expose social inequalities that keep people from reaching their full
potential. It is derived from the belief that social meanings structure life through social domination.
Proponents of CST maintain that social exchanges that are not distorted by power imbalances will stimulate
the evolution of a more just society. Furthermore, critical theory assumes that truth is socially determined
(Martins, 2011).
Habermas (1991) is perhaps the best-known contemporary critical social theorist. In opposition to Marx’s
revolutionary action, Habermas argued that emancipation from domination is possible through “[rational]
communicative [inter-]action.” He supported employment of negotiation as integral to communicative action,
realizing that negotiation must be conducted without the use of power or coercion by either of the interacting
parties. With his emphasis on interaction through communication, Habermas discounted the importance of
both material and structural constraints on changing social systems.
Freire (1970) applied critical theory to education and developed programs to liberate individuals and
groups and make them economically independent. His work has greatly influenced pedagogy, focusing on the
importance of education.
Critical Theory and Participatory Action Research. An important application of critical theories has been
Action Research or Participatory Action Research (Wallerstein & Duran, 2010). Participatory Action
Research (PAR) is sometimes employed in communities to stimulate community involvement and develop a
solution to a community issue. A number of community-based PAR approaches have been used to support
community action to improve community life. These projects are designed to reduce disparities in health and
enlighten researchers.
In PAR, the researcher and the community or group members—often in underserved communities—work
collaboratively to construct a particular activity or process to address health-related problems or needs. In
PAR, the community members are encouraged to contribute important information about the realities of the
current situation as well as to identify how it can be improved. This not only empowers the participants to
create a better solution to an issue, it also allows for the participants to employ their unique perspectives to
develop a more realistic, useful, and sustainable solutions (Wallerstein & Duran, 2006). In addition to
empowering the community members in the process, many have developed projects that neither perspective
could have generated independently.
Application to Nursing. Concepts from critical theory of CST have been examined in recent nursing
literature, often within the context of working with disadvantaged groups. For example, in one work, Evans-
Agnew, Boutain, and Rosemberg (2017) described the use of “photovoice” as a participatory tool in
phenomenological research. Using critical theory and feminism as the framework, the authors detailed how
photovoice can be employed to collect vital data from marginalized individuals. The authors explained how
visual exposure of vulnerability through pictures can be used to address power relations and help seek
transformative change.
In other examples, Stanley (2013) used CST as a framework for a project to expose nursing students to
vulnerable populations—specifically homeless persons—to promote their awareness of health disparities and
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the complexity of social, cultural, and economic issues with this population. Similarly, K. E. Johnson, Guillet,
Murphy, Horton, and Todd (2015) used aspects of CST to develop a simulation exercise for bachelor of
science in nursing (BSN) students to illustrate for them some of the issues encountered by those in poverty.
Finally, Bevan and colleagues (2012) used CST as a guide in their examination of the dilemmas faced by
nurse researchers with respect to disclosure of incidental findings during genomic testing.
A number of examples of PAR were found in the nursing literature. One example was a project by Carlson
and colleagues (2006) in which community resources were identified to address information needs about
diabetes and its compactions among residents of low-income, African American communities. Another
example of the action approach was an effort to reduce problems of MRSA infections in a rehabilitation
hospital. Using action-based research strategies, a team found one unit that had much lower infection rates and
discovered the cleaning staff for that unit had developed a unique manner of bagging the laundry and cleaning
the unit (Webber, Macpherson, Meagher, Hutchinson, & Lewis, 2012). In a third example, Skene, Gerrish,
Price, Pilling, and Bayliss (2016) use PAR methods to work with neonatal intensive care unit (NICU) staff
and family members to promote more active involvement of parents in infant care and to promote family-
centered care. Finally, Del Fabbro, Mitchell, and Shaw (2015) used PAR techniques to examine and enhance
educational approaches for nursing faculty who teach international students.
Feminist Theory
Feminist theory is closely related to critical theories as often women have been less socially empowered than
men. Gender differences and subordination have traditionally been viewed as both natural and inevitable, but
some believe that gender is socially constructed and tends to justify the subordination and exploitation of
women. A core assumption in feminist theories is that women are oppressed. This perspective has been
determined to be too simplistic, however, and beginning in the 1960s, new views of feminism were presented
(Eitzen et al., 2017; Waters, 1994).
A rather wide range of perspectives fall under the rubric of feminist theory. Feminist theory has been
described as an analysis of women’s subordination for the purpose of figuring out how to change it (Eitzen et
al., 2017). There are many issues, themes, and assumptions that are common in feminism. Osmond and
Thorne (1993) discuss relevant themes in feminist theory; some of these are summarized in Box 13-5.
Box 13-5 Themes in Feminist Theories
1. Women’s experiences are central, normal, and valuable; experiences open new ways of knowing the
world.
2. Gender is a basic organizing concept. The concept of gender involves two interrelated elements: (1) the
social construction and exaggeration of differences between women and men (i.e., there is a
fundamental basis of inequality, or social stratification, similar to social class and race) and (2) gender
distinctions are used to legitimize and perpetuate power relations between women and men (i.e.,
compared with men, women are devalued and socially, economically, politically, and legally
subordinated).
3. Gender distinctions occur in daily processes of constructing and reconstructing differences between
women and men and devalues women. However, rather than passive victims, women participate in
gendering processes as active agents, actors, and creators of culture.
4. Gender relations must be analyzed within specific sociocultural and historical contexts.
5. Monolithic, bounded notions (e.g., “the family”) contribute to an ideology that contains class, cultural,
and heterosexual biases and supports the oppression of women.
Source: Osmond and Thorne (1993).
Variations of Feminist Theory. There is considerable variation among feminist perspectives. A few of the
most commonly encountered are described in this section.
Liberal feminism is concerned with the political life and well-being of women and focuses on social
justice and sexual equality. Friedan (1963) is probably the most well-known liberal feminist. She argued
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against the entrapment of women by the feminine mystique, an ideology that claims women are separate but
special by extolling the virtues of women’s traditional roles of wife and mother. Especially noteworthy is
Freidan’s examination of differences in women’s pathologies (e.g., married women compared to unmarried
women are more susceptible to diseases/disorders).
Socialist (Marxist) feminism focuses on the economic value of women’s work (Marxist) and examines
social structure in relation to women’s roles and cultural practices (socialist). These approaches are
exemplified by Millet’s (1971) work describing the impact of patriarchy on the social structure, which she
saw as a masculine system of political domination. She questioned the persistence of patriarchal beliefs and
attitudes into an era where women are educated and free yet continue to be subordinate and devalued. She
determined that because patriarchal domination is socially constructed, women can take emancipatory actions
and reconstruct gender relations.
Firestone (1970) is perhaps the epitome of radical feminism. She refuted Marx’s notion of economic class
and argued instead that “sex class divisions” are at the root of women’s oppression. “[T]o assure the
elimination of sexual classes requires the revolt of the underclass (women) and the seizure of control of
reproduction” (Waters, 1994, p. 267).
Application of Feminist Theory to Nursing. Feminist theory and philosophy have been frequently cited in
the nursing literature. Beginning in the late 19th century, Florence Nightingale wrote on gender roles.
Examples of Nightingale’s feminist views included her efforts to obtain women’s right to education, self-
development, and occupations and her criticism of the double sexual standard of the times (Pfettscher, 2014).
Nursing has a history of being a profession for females and one interpretation of nursing was “as handmaiden
to the physician.” This history illuminates the subordinate position of nurses in both profession and gender.
Nursing has moved beyond this as more males enter the profession and the role of nurses as independent
professionals has emerged. However, there are still vestiges of these nondominant positions in the profession.
Thus, the feminist perspective has relevance for nurses to fully develop and exercise their professional role.
In more contemporary writings, feminist theory begins with the narratives of women from widely varied
situations. For example, Cassidy, Goldberg, and Aston (2016) conducted a literature review of the feminist
perspective on young women’s sexual health and discovered “conflicting discourses” on sexuality and sexual
health practices. They urged nurses to “challenge the status quo” and question sexual health norms for young
women. Also addressing health needs of women, Burton (2016) described how using a feminist perspective
can be effective for nurses to employ to improve care for adolescent girls and young adult women.
Considerable contemporary attention has been given in applying feminist concepts toward health needs of
“transgendered” persons. For example, Rew, Thurman, and McDonald (2017) discussed sexual health and
sexual rights and determined that additional work from theoretical development, research, and policy
development must be undertaken to address unmet needs among “variant-gender” persons. Similarly, both
MacDonnell (2014) and Fowler (2017) used a feminist perspective to describe the role of nurses with respect
to promoting lesbian, gay, bisexual, and transgender (LGBT) health.
In more clinically focused examples, Antinuk (2013) used feminist theory to develop interventions for
nurses who work with women who had experienced “forced genital cutting.” In a final study, women’s lived
experiences with electroshock therapy (ECT) were explored and compared with nurses perceptions of ECT.
Whereas nurses saw the treatment as beneficial, the women associated ECT with damage and devastating loss
(van Daalen-Smith, 2011).
Complexity Science, Chaos Theory and Complex Adaptive Systems
The Newtonian-based theories of Western science that emerged from the Enlightenment period were “causal
models,” which focused on linearity, homeostasis, order, equilibrium, predictability, and control. These
concepts formed a sort of invisible template that constrains many scientists from examining the “noise” or
variation in their data (e.g., outliers). An emerging postmodern science of nonlinear dynamic systems—
Complexity Science—takes science “outside that box.” Simply stated, Complexity Science focuses on finding
the underlying order in the apparent disorder of natural and social systems and understanding how change
occurs in nonlinear dynamical systems over time (Walsh, 2000; Vicenzi, 1994).
Complexity Science (CS) is not a single theory but an evolving paradigm. Its focus is on the
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interconnection between individual units or agents that seek to explain relationships among variables and
behaviors that are not fully predictable (Kauffman, 1995). Furthermore, CS examines the systems of diverse
interacting agents to identify how they evolve and maintain order (Lindberg, Nash, & Lindberg, 2008).
CS has been applied to various fields including weather forecasting, economics, neuroscience, and
organizational behavior (Engebretson & Hickey, 2017). In health care, an understanding of complexity and
nonlinear systems is important because “chaos” may be observed in the physical body in heart rhythms,
electrical brain activity, and chemical reactions (e.g., neurotransmitters), as well as in other structures or
organizations. The interdisciplinary application of CS has steadily gained momentum since the 1990s and is
considered “essential” in advanced nursing education (Box 13-6). This section will introduce Chaos Theory,
an early example or precursor of CS, and Complex Adaptive Systems, to be followed by a discussion of how
CS is being applied in nursing and health care.
Box 13-6 American Association of Colleges of Nursing Essentials
Chaos theory and Complexity Science are mentioned several times in The Essentials of Master’s Education
in Nursing (American Association of Colleges of Nursing [AACN], 2011). Specifically noted is that the
master’s degree program should prepare the graduate to “ . . . demonstrate the ability to use Complexity
Science and systems theory in the design, delivery, and evaluation of health care” (p. 12).
In addition, the DNP essentials (AACN, 2006) describes “complexity” with respect to practice and within
the health care setting numerous times, suggesting the need for graduates of DNP programs to understand the
concept and nature of complex systems.
Source: AACN (2006, 2011).
Chaos Theory
Chaos Theory has its origins in meteorology in the 1960s (B. M. Johnson & Webber, 2010). Chaos Theory is
the study of unstable, aperiodic behavior in deterministic (nonrandom) nonlinear dynamical systems.
Dynamical refers to the time-varying behavior of a system and aperiodic is the nonrepetitive but continuous
behavior that results from the effects of any small disturbance. Based on Chaos Theory, natural and social
systems change and ultimately survive because of alterations or disturbances and nonlinear behavior.
One of the key concepts of Chaos Theory is sensitive dependence on initial conditions—the notation that
even a small difference can lead to dramatic, divergent paths. Because equilibrium is never reached in a
dynamic system, trajectories that start from “arbitrarily close” points will ultimately diverge exponentially
(Walsh, 2000). This sensitivity to initial conditions is commonly referred to as the “butterfly effect”—where
hypothetically, a butterfly flapping its wings on one side of the world can cause a tornado the next month on
the other side of the world.
In Chaos Theory, a strange attractor (strange because its appearance was unexpected) is similar to a
magnet that exerts its pull on objects to return them to their original starting point. These patterns can be
graphed in a way that illustrates the change behavior of the system (Haigh, 2008). Figure 13-4 is an example
of a strange attractor showing chaotic motion from a simple three-dimensional model; note the butterfly
resemblance.
Figure 13-4 Three-dimensional model of a strange attractor.
A bifurcation is a sudden change or transition that will lead to a period of doubling, quadrupling and so
forth at the onset of chaos (Walsh, 2000). This change occurs when a system is pushed so far from its steady
state that it is unable to recover and a chaos or crisis state is reached. At this point, the system arrives at a
“fork in the road”—a choice of two or more alternative steady states, each different from the first (Prigogine
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& Stengers, 1984). The history of the system is influential as to which choice is made. When stressors again
impact the system, the process is repeated. At each crisis point, the system reaches a bifurcation with choices.
With successive bifurcations, choices become increasingly limited. A diagram of bifurcations would resemble
a decision tree (Ward, 1995) or, with a more familiar analogy, the human vascular system.
Chaos is natural and universal and can be found in such diverse phenomena as the human heartbeat and
the world economy (Vicenzi, 1994) and may be applied to brain wave patterns, as well as explaining complex
lifestyle-choices or decisions (Coppa, 1993; Ray, 1998). Although chaos may cause uncertainty, it also offers
opportunities that can create hope and bring about change; both are integral components of nursing practice
(Haigh, 2008).
Complex Adaptive Systems
The term “Complex Adaptive System” (CAS) has been used to describe specific systems that have been
applied to individual health, health threats, and health care organizations. Thus, when discussing CAS, the
“system” can be one aspect of a patient (e.g., nervous or circulatory system), the individual, a family, a health
care unit or clinic, or the entire health care apparatus (Engebretson & Hickey, 2017).
A CAS is an interconnected network of individual agents or components that interact within a system in
ways that are not totally predictable (Holden, 2005). In a CAS, agents are units or components of the system,
and patterns are formed by agents acting from a set of internalized rules (often labeled some simple rules).
Some examples of CAS are a flock of birds or a hive of bees, where the birds or bees are the agents
interacting in patterned ways. In this illustration, one can understand the functioning of the system (flock or
hive) in ways that an examination of one of the components (birds or bees) does not. Furthermore, each agent
or component may also be a CAS or part of a larger CAS.
There are other important characteristics of CAS. A CAS may develop new rules that shape the behavior
of the CAS; this is a concept called emergence. Indeed, CAS are dynamical and adaptive to changes in both
the internal and external environments (Smith, 2011). Complexity exists in the dynamic balance between
stability and instability. An example from health care would be a patient who is stable but whose
electrocardiogram (ECG) strip reveals variability in the form of heart block but in which the system is able to
adapt to changes or demands. On the other extreme, fibrillation, in which the rhythm is irregular and
unpatterned, which is not capable of adapting to the environment (Goldberger, 1996).
Self-organization describes how a CAS incorporates an aspect of emergence in which a CAS exhibits
collective behaviors and possible new patterns and activates the nonlinearity within the system to adapt to new
conditions. In CAS, control is distributed, rather than centralized and simple rules allow the system to adapt
and function. The ability to adapt without a centralized control is another sign of a CAS. Finally, a CAS will
utilize coordination dynamics within a part of a system, between different parts of the system, and between
other systems (Kelso & Engstrom, 2006). Again, the flock of birds illustrates these characteristics as the self-
organization, emergence, coordination, and so forth, combine to enable the birds to fly as a group with high
velocity and not bumping into each other.
In CAS, diversity maximizes self-organization. This allows the system to provide for greater adaptation.
These systems are also deterministic. In other words, the system can act on previous behavior, which contrasts
with random systems. Finally, an additional characteristic of CAS is the idea of coevolution which allows
these adaptive changes to be perpetuated and develop. Box 13-7 summarizes basic principles of CS.
Box 13-7
Concepts and Principles from Complexity Science and Complex
Adaptive Systems
Complexity Science—application of principles of physics and mathematics to explain the relationship
among variables that allow for variation and emergent behaviors that are not fully predictable; concepts
can be applied to biomedicine, clinical issues, social science, and health care organizations.
Dynamical system—a system whose state evolves over time according to a rule and initial conditions; the
whole is not reducible to its parts.
Nonlinear dynamics—application of mathematics (nonlinear algebra) to examine patterns of a system over
time.
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These time series patterns in a complex system (in contrast to a chaotic system) have a fractal pattern.
Self-similarity—the fractal patterns are similar at various times and levels or scales of resolution.
Attractor—a mathematical characteristic that describes the point to which a system tends to evolve.
Complex Adaptive Systems (CAS)—a collection of individual agents (or components within the system)
with freedom of behaviors that may not be predictable.
CAS are dynamical and adaptive and operates in response to initial conditions and to internal or
external stimuli.
Internal rules—a system operates by internal rules which may not be explicit or shared. This is often
referred to as operating by simple rules.
CAS are deterministic and not random; therefore, there is a pattern.
Systems are embedded within other systems; CAS have fuzzy boundaries—the environment or
membership can change and adapt.
Self-organization—the system can spontaneously order itself without an external intervention.
Emergent properties—the behavior(s) emerging from interaction among agents may be new or novel;
they are continually evolving.
Control is often distributed, rather than centralized.
Sources: Engebretson and Hickey (2017); Goldberger (1996); Kelso and Engstrom (2006); Lorenz (1993); Plsek and Greenhalgh (2001);
Rickles, Hawe, and Shiell (2007).
Application to Nursing
The application of CS, CAS, and Chaos Theory has considerable relevance for nursing and nursing science.
Understanding the human biologic organism as a CAS allows for application to all areas of clinical nursing.
Application of the perspective of complexity in management/administration and education are also assistive.
As nurses recognize and appreciate the complexity and adaptability of the person, group, or other entity, they
can support and encourage this adaptability on both individual and organizational levels.
The nursing literature contains multiple examples describing use of CS, CAS, and Chaos Theory in
nursing. Aspects of CS, for example, were applied to critical care and critical care nursing in two works
(Khan, Lasiter, & Boustani, 2015; Trinier, Liske, & Nenadovic, 2014). In another example, Hodges (2011)
used principles of CS to develop a problem-based learning experience for community health nursing students.
Then, in research, Oyeleye, Hanson, O’Connor, and Dunn (2013) used CS as the framework for a study
examining the relationships among workplace incivility, stress, burnout, turnover, and psychological
empowerment in acute care nurses, and Kneipp and Beeber (2015) used a CS perspective to study self-
management behaviors and social withdrawal among disadvantaged women who suffer from migraines and
depression.
The construct of CAS was used by Clancy (2014) to explain the importance of workflow management
strategies in health systems. It was also used in another example to identify “best management practice” for
new nurses who must learn to care for multiple patients with simultaneous complex needs (Kramer et al.,
2013).
Several recent examples of clinical application of CAS focusing on various situations or settings were
found. For example, CAS was used as a framework to discuss the care integration and networks of agents
proving care in the NICU (D’Agata & McGrath, 2016). In a similar example, Glenn, Stocker-Schnieder,
McCune, McClelland, and King (2014) used CAS as the framework for a qualitative study examining nursing
care in the intrapartum setting. CS and the CAS were used to explain how sepsis is manifested within the
human body, focusing on how nurses can conceptualize and recognize signs of sepsis to elicit more prompt
intervention (Mann-Salinas, Engebretson, & Batchinsky, 2013). Finally, examples of application of CAS
concepts in graduate nursing education was presented by Lis, Hanson, Burgermeister, and Banfield (2014),
and Mulready-Shick and Flanagen (2014) used CAS concepts to discuss strategies for building and sustaining
the “dedicated education unit” for academic partnerships.
Among the studies that apply Chaos Theory to nursing are Fisher and Wineman (2009), who presented the
possibilities for conceptualizing and exploring complex physiologic patterns that occur in response to aging,
disease, and treatment. Two indirect clinical applications were identified. Chaos Theory provided the
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framework for a study to predict nursing turnover in an acute care setting (Wagner, 2009), and Barker (1996)
explored how chaos might contribute to a metaparadigm of nursing.
Summary
Theories from the sociologic sciences are integral to the discipline of nursing. Indeed, nurses in virtually all
settings, caring for all types of clients, use concepts and principles from social theories daily. Simon, the nurse
in the opening case study, recognized that in dealing with the problem of teenage pregnancy, it was essential
to move beyond the logical intervention of providing more information on sexuality. Because he recognized
that teen pregnancy is a social problem, he knew that it must be addressed using social science concepts,
principles, and theories.
Sociologic theories are rich and substantively diverse. Because of this richness and diversity, it was
impossible to include all theories and perspectives that are relevant to the discipline of nursing in this chapter.
It is hoped, however, that the reader has gained an appreciation of the sociologic perspective and understands
its significance to professional nursing.
Developing a sociologic perspective is not always comfortable because it calls for confronting and
questioning existing ideologies and assumptions regarding social arrangements. It is important to do this,
however, and the knowledge gained can benefit not only clients but also the health care system and
professional nurses.
Key Points
Theories from the sociologic sciences have greatly influenced nursing; indeed, many early nursing leaders
(e.g., Nightingale, Barton, Wald, Sanger) were social activists.
Systems theories, including GST, the Social-Ecological Model and social networks, provide a framework
that allows nurses and other health care professionals to consider the patient(s) within the framework of
their social environment and to recognize the interactions of the multitude of factors that can influence
health decisions and ultimately health.
Interactions frameworks, such as symbolic interactionism and Role Theory, describe how humans relate to
each other (e.g., using language, gestures, and symbols to communicate) and in roles they take or are
ascribed to them.
Exchange theories are based on the philosophical perspective termed “utilitarianism,” which supports the
notion of “the greatest good for the greatest number.” Exchange theories apply to human interactions in
social context.
Conflict/critical theories present the social processes of stability and change and explain how conflict is
endemic to all social organizations because of unequal distribution of power. Critical social theory,
feminist theory, and cultural diversity are examples of conflict theories and perspectives used by nurses.
Complexity Science, Complex Adaptive Systems, and Chaos Theory seek to explain the interrelatedness and
dependence of nonlinear dynamics, to find underlying order in apparent disorder of natural and social
systems, and how changes occur in nonlinear systems over time.
Learning Activities
1. Consider a complex health problem or issue routinely encountered in your practice. Following
the example of Simon, the nurse from the opening case study, apply a social-ecological
perspective to consider how to better address the problem or issues from a more holistic
perspective.
2. Select one of the theories presented in this chapter and obtain copies of the theorist’s work(s).
Read the work and consider ways to apply the concepts and principles in nursing. Are the
concepts and principles more applicable in some settings than in others? Are the concepts and
principles more applicable with some groups or aggregates than others?
3. Select a theory presented in this chapter. Review the nursing literature and identify nursing
articles and studies describing how/when the theory is used in nursing. Present the findings in
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a paper or share them with colleagues.
4. Select one of the grand nursing theorists and review her work. Identify any concepts,
principles, and theories drawn from the social sciences. Share findings with colleagues.
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14
Theories From the Behavioral Sciences
Melanie McEwen, Sattaria Smith Dilks
Tracy Simmons is in a master’s degree program that will allow her to become an adult psychiatric/mental
health advanced practice registered nurse (PMH-APRN). In a course on the application of theory in nursing,
one of her assignments is to write a paper describing how she has applied a theory in providing care for a
client. Although Tracy has been working as a nurse in a psychiatric hospital for the past 10 years, she is
finding this assignment difficult because, thus far in the course, the instructor has focused primarily on grand
nursing theories. Tracy knows little about these theories because in her practice, she uses a broad, eclectic
approach, predominantly applying theories from the behavioral sciences.
Tracy discussed her dilemma with her professor and learned that she can use any theory or set of theories
for the assignment; it is not necessary to rely strictly on nursing theories. The discussion with her professor
enlightened Tracy about the necessity of applying non-nursing theories to nursing practice. With the
realization of the importance of theories from other disciplines to nursing, Tracy’s interest in the many
psychologically based theories is piqued, and she conducted a literature review.
The person that Tracy chose for her assignment is Alan, a 41-year-old Caucasian male, who is married and
the father of two adolescents. Alan was admitted to the hospital with diagnoses of major depression, substance
dependence with physiologic dependency, and hepatitis C. Assessments revealed that he had problems with
his primary support group, problems related to the social environment, occupational problems, and problems
related to interaction with the legal system.
Although this is Alan’s first hospitalization, he has had a long history of alcohol abuse. He also admits to
using cocaine or marijuana occasionally on the weekends. His father was an alcoholic who died at the age of
44 years with cirrhosis of the liver. Although not actively suicidal, Alan expresses passive death wishes. Alan
is a well-known member of the community and owns a large software business, which is on the verge of
bankruptcy. His motivation for entering treatment is that his wife threatened to divorce him unless he stops
using alcohol and drugs.
In reviewing Alan’s care, Tracy planned to use a holistic approach, incorporating principles and concepts
from various theories. The first theory that Tracy chooses is Freud’s Psychoanalytic Theory because of Alan’s
denial. This theory is relevant because Freud discussed how an individual uses defense mechanisms to
decrease anxiety, and Tracy knows that a major defense mechanism of alcoholism is denial. Tracy also thinks
the cognitive-behavioral theories are appropriate because she believes that humans need to change cognition
to change behavior. Because Tracy assumes that drinking and using drugs are means of coping, she plans to
use Lazarus’s Coping Theory to help Alan develop more effective coping strategies. Finally, Tracy plans to
apply humanistic psychology because she believes that Alan, like all individuals, has the potential to change,
and social psychology theories address health beliefs and intent to change.
As discussed in Chapter 1, nursing is a practice discipline, and practice disciplines are considered to be
applied sciences rather than pure or basic sciences (Johnson, 1959). The object of both pure and applied
sciences is the same (to achieve knowledge), but according to Folta (1968), the difference between the two is
their emphasis. In pure science, the emphasis is on basic research, which focuses on the application of the
scientific method to add abstract knowledge. In contrast, the emphasis in applied science is on research related
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to the application and testing of the abstract concepts. Thus, applied sciences use the scientific method to
apply and test fundamental knowledge or principles in practice. Historically, nursing science has drawn much
of its knowledge from the basic sciences and then applied that knowledge to the discipline of nursing.
In learning about theories used in nursing, it is important to remember that nursing has evolved over
decades and that the knowledge base for the discipline is a compilation of phenomena from many different
disciplines. In the case study, Tracy discovered the notion of “shared” or “borrowed” versus “unique” theory.
Johnson (1968) has defined borrowed theories as knowledge that has been identified in other disciplines and
is used in nursing. According to Johnson, knowledge does not belong to any discipline but is shared across
many disciplines; thus, nursing science draws on the knowledge of other disciplines to enhance the knowledge
required for nursing practice.
One of the areas from which nurses draw theoretical understanding are the psychological sciences,
sometimes referred to as the behavioral sciences. The contribution of the behavioral sciences to knowledge in
nursing science and nursing practice cannot be denied. Even though the basic theories, concepts, and
frameworks are derived from another discipline, they are routinely applied in nursing practice. Additionally,
they are frequently applied in nursing research as well as nursing education and administration.
There are many psychological theories, and it would be impossible to cover all of them in this chapter.
Major theories were chosen to illustrate concepts that are used in nursing. For the purposes of this chapter, the
psychological theories will be viewed in four categories: psychodynamic theories, behavioral and cognitive-
behavioral theories, humanistic theories, and stress-adaptation theories. These theories look at an individual
and how an individual responds to stimuli. In psychology, there is also a special field known as social
psychology, which examines how society or groups of individuals respond to various stimuli. This chapter
will examine three theories of social psychology commonly used in nursing: the Health Belief Model, the
Theory of Reasoned Action, and the Transtheoretical Model (Stages of Change).
Psychodynamic Theories
The late 1800s saw the creation of a new discipline, psychology/psychiatry, with a new body of knowledge.
Before Sigmund Freud presented his radical works describing human thoughts and behaviors, people were
considered to be either “good” or “bad,” “normal” or “crazy.” Freud’s work led to a major paradigm shift as
scientists began to consider the thought processes of “man” and to speculate about human personality. From
this paradigm shift came a number of psychological theories.
Freud’s thinking was considered radical in the early 1900s. Even now in the early 21st century, many
people still consider his work radical; yet, others believe it to be antiquated. Despite this, his basic ideas and
concepts have been used and modified extensively in the development of numerous psychodynamic theories
of human thought and behavior.
Psychodynamic theories attempt to explain the multidimensional nature of behavior and understand how
an individual’s personality and behavior interface. They also provide a systematic way of identifying and
understanding behavior. This section describes three psychodynamic theories—the works of Freud, Erikson,
and Sullivan. These three theories are also called “stage theories,” meaning that they describe clearly defined
stages at which new behaviors appear based on social and motivational influences. Table 14-1 compares the
developmental stages of the three theories.
Table 14-1 Stages of Development
Theorist Developmental Emphasis Stages
Sigmund Freud Psychosexual 1. Oral
2. Anal
3. Phallic
4. Latency
5. Genital
Erik E. Erikson Psychosocial 1. Trust versus mistrust
2. Autonomy versus shame and
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doubt
3. Initiative versus guilt
4. Industry versus inferiority
5. Identity versus identity confusion
6. Intimacy versus isolation
7. Generativity versus stagnation
8. Integrity versus despair
Harry S. Sullivan Interpersonal 1. Infancy
2. Childhood
3. Juvenile
4. Preadolescence
5. Early adolescence
6. Late adolescence
Psychoanalytic Theory: Freud
According to Freudian theory, behavior is nearly always the product of an interaction among the three major
systems of the personality: the id, ego, and superego. Even though each of these systems has its own
functions, properties, and components, they interact so closely that it is difficult to distinguish their effects on
behavior. Behavior is generally an interaction among these three systems; rarely does one system operate to
the exclusion of the other two (Freud, 1923/1960).
Overview
According to Freud, the id is the original system of the personality, and it is the matrix in which the ego and
superego differentiate. The id is unable to tolerate an increase in energy, which is experienced as an
uncomfortable state of tension. This increased tension can be perceived either internally or externally. The id
discharges the tension to return the body to a state of equilibrium. This tension release is known as the
pleasure principle (Freud, 1923/1960).
The ego distinguishes between things in the mind and things in the external world. The ego is said to
follow the reality principle with the aim of preventing tension until an appropriate object is found to satisfy
the need. The ego has control over all cognitive and intellectual functions and is considered to be the
executive of the personality because it controls behavior. It does this by mediating the conflicting demands of
the id, superego, and external environment (Freud, 1923/1960).
The third system is the superego. The main functions of the superego are to (1) inhibit the impulses of the
id, (2) encourage the ego to substitute moralistic goals for realistic goals, and (3) strive for perfection. The
focus of the superego is on moral issues: “what is right” and “what is wrong” (Freud, 1923/1960).
Freud based his theory on the scientific view of the late 19th century, which regarded the human body as
an energy system. He proposed that because the body derives its energy from the work of the body (e.g.,
respiration, digestion), then memory and thinking are also defined by the work they perform. He labeled this
concept psychic energy and stated that an instinct is an inborn state of somatic excitement. Furthermore, an
instinct is a quantum of psychic energy or, as Freud (1923/1960) said, “A measure of the demand made upon
the mind for work” (p. 168). All the instincts together yield the sum total of psychic energy (Freud,
1923/1960).
The four characteristics of an instinct are source, aim, object, and impetus. Whereas source is the need, the
aim is the removal of the tension. Object is what will satisfy the need and also includes all behaviors that
occur to obtain the necessary object. The impetus of an instinct is the force or strength, which is determined
by the intensity of the underlying need. Thus, psychic energy is displaced to the object to satisfy the
instinctual need. Freud believed that instincts are the sole energy source for human behavior (Freud,
1923/1960).
The environment plays two roles with regard to instinct. It either satisfies or threatens the development of
the person. The individual responds with increased tension; an increase in tension is known as anxiety. The
function of anxiety is to warn the person of impending danger. Anxiety motivates the person to do something;
thus, a behavior is seen. As a result of increased tension or anxiety, an individual is forced to learn new
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methods of reducing the tension. According to Freud (1926/1959), these new methods are called ego defense
mechanisms. “All defense mechanisms have two characteristics in common: (1) They deny, falsify, or distort
reality and (2) they operate unconsciously so that the person is not aware of what is taking place” (Hall &
Lindzey, 1978, pp. 91–92).
Freud was one of the first theorists to emphasize the developmental aspect of personality. He believed that
the personality was developed within the first 5 years of life. Each of his stages of development, excepting
latency, during which focus lies outside of one’s own body, is defined as a mode of reaction to a particular
zone of the body. Freud’s stages were related to psychosexual development and included oral, anal, phallic,
latency, and genital stages (Freud, 1923/1960).
Application to Nursing
Although nursing theories are not based on Freud’s theory, many of his ideas and concepts are relevant to
nursing practice. These concepts include anxiety, developmental stages, defense mechanisms, and the identity
of self.
Freud’s theory helps to explain the complex nature of a person and how a person’s past influences his or
her personality. The complex processes of the past, which are found in the unconscious mind, suggest an
explanation for the diversity in a person’s behaviors. Even though the emphasis in much of nursing is on the
“here and now,” understanding the person’s relevant past experiences can help the nurse identify underlying
themes and improve care.
The id, ego, and superego are the components of the self. When there is an imbalance among these
concepts, the self becomes lost and must be reconstructed. Nurses can help clients who have undergone a loss
of self to discover a more active sense of self, put the self into action, and use the enhanced self as a refuge.
Furthermore, an understanding of the concepts of id, ego, and superego helps the nurse understand the needs
of the client and helps the nurse respond more appropriately to the behaviors.
In Alan’s situation from the opening case study, the domination of the id would lead to increased
substance use because of the pleasure principles. When Alan sobered, the superego would cause him to have
feelings of shame and guilt. Tracy can now help Alan choose acceptable ways of behaving, thus causing an
equilibrium among the id, ego, and superego. This equilibrium would help to relieve Alan’s feelings of
anxiety.
A behavior is the way an individual responds to increased tension or anxiety, and, in this case, Alan
responded to increased tension by abusing substances (e.g., alcohol, cocaine, marijuana). Alan denied that he
used substances inappropriately; he stated that he used alcohol “socially,” and the drugs were only done on
weekends and therefore “no big deal.” Alan also stated that he had no marital problems when, in fact, his wife
was going to divorce him. Alan was demonstrating Freud’s concept of defense mechanisms, specifically
denial. Defense mechanisms are used to help reduce anxiety and tension. Denial describes a client’s behavior,
and the main two definitions range from adaptive to maladaptive responses. In this case study, Alan uses
denial as a maladaptive response. By using denial, Alan was able to decrease the feelings of rejection from his
wife and the shame and guilt associated with abusing substances. Because Tracy recognized and understood
the use of this maladaptive defense mechanism, she was able to develop a plan of care to help Alan develop
more adaptive defense mechanisms to relieve anxiety.
Although denial is used in the case study to explain substance abuse, nurses encounter the use of denial
with clients in almost all areas of nursing. Examples include those with obesity, cancer, hypertension,
diabetes, and cardiac problems, just to mention a few. The use of denial is a way of protecting the self from a
threat that could harm the person physically and decrease self-concept. When denial is used, the individual
does not believe that he or she has a problem, and this can lead to noncompliant behavior.
Recent nursing literature that reports on application of Psychoanalytic Theory covers a variety of issues.
For example, Steinberg and Cochrane (2013) examined the incorporation of psychodynamic theory in
managing psychiatric mental health patients on an inpatient unit, and Walsh, Crisp, and Moss (2011) used a
psychoanalytic perspective to describe how an intrapersonal mechanism influences organizational change.
Other authors have used Psychoanalytic Theory to examine such concepts as denial in adolescent pregnancy
(Platt, 2014), acceptance and denial-related chronic illness (Telford, Kralik, & Koch, 2006), and transference
and countertransference in nursing care of patients with anorexia nervosa (Swatton, 2011).
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Developmental (or Ego Developmental) Theory: Erikson
Erikson’s Psychosocial Developmental Theory emerged as an expansion of Freud’s concept of ego. In
Erikson’s theory, specific stages of a person’s life from birth to death are formed by social influences that
interact with the physical/psychological, maturing organism. Erikson described this as a “mutual fit of
individual and environment” (Erikson, 1975, p. 102). Also, he is the only developmental theorist who extends
development through adulthood; the other theorists stop with adolescence.
Overview
Erikson’s theory lists eight stages of development: The first four stages occur in infancy and childhood, the
fifth stage occurs in adolescence, and the last three stages occur during the adult years. In his work, Erikson
emphasized the adolescent stage, that time in an individual’s life when the person makes the transition from a
child to an adult, and he determined that this transitional period has the greatest influence on the adult
personality. Erikson believed that each stage of development builds on the next, thus contributing to the
formation of the total person. Also, even though Erikson gave a chronologic timetable, it is not strict because
he believed that each person has his or her own timetable for development (Erikson, 1963).
Erikson further developed the concept of ego to incorporate qualities that expanded the Freudian concept.
He believed the ego is the most powerful of the three parts of the personality (id, ego, and superego) and
described the ego as being robust and resilient. According to Erikson, the ego uses a combination of inner
readiness and outer opportunities, with a sense of vigor and joy, to find creative solutions at each stage of
development. This concentration of the potential strength of the ego empowers people to deal effectively with
their problems (Erikson, 1968).
Application to Nursing
Developmental theory is a foundational element in some nursing theories, and it is important in nursing
practice. For example, an essential part of the assessment process is to determine age appropriateness or
development stage or status. Although developmental issues are generally thought to be associated only with
pediatrics, this is not necessarily the case. By assessing the developmental stage of the adult and elderly
person, data can be collected about interpersonal skills and behaviors because behavioral manifestations are
clues to issues that need to be addressed in client care. Furthermore, individual responsibility and the capacity
to improve one’s functioning are issues to be addressed by nurses.
Erikson’s theory identified the degree of mastery with regard to a person’s chronologic age. This mastery
is known as ego strength. Bjorklund (2000) believed that promoting assessment from the perspective of ego
strengths, instead of ego deficits, is a valuable skill for nurses, who then can use the data for assessment and
treatment outcomes. Besides using ego strengths for assessment and interventions, the nurse can also use them
to empower the client to take control of his or her life and to deal effectively with problems.
Identifying and assessing Alan’s ego strengths helped Tracy locate where Alan falls on the developmental
continuum, thus providing data to develop therapeutic goals. When Tracy graduates and becomes a
psychiatric/mental health advanced practice registered nurse (PMH-APRN), she can conduct family therapy,
and Erikson’s theory would be helpful in working with Alan’s children, especially from the perspective of ego
strength.
Developmental theory is used not only in psychiatric nursing but also in other specialty areas of nursing,
and it is integral to holistic nursing practice (Reed, 1998). Nursing researchers and scholars commonly
employ developmental theory in research studies or in describing practice guidelines for various groups. For
example, Seal and Seal (2011) used developmental theory as the basis for interventions to promote self-
competence in children to enhance their health behaviors while at a summer camp. Nurses have commonly
used developmental theory to improve nursing care among older adults. For example, Giblin (2011) discussed
the importance of nurses supporting older adults in “successful aging”; Jonsén, Norberg, and Lundman (2015)
used developmental theory to study “meaning in life” among the “oldest old people”; and Ehlman and Ligon
(2012) used a model based on Erikson’s generative process to research the developmental issue of
generativity versus stagnation in older adults who shared their life stories.
In other examples, Bailey (2012) wrote about vulnerability of adolescent girls, and Morgan and Stevens
(2012) used developmental theory to examine issues of identity among transgender adults. These examples
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demonstrate that developmental theory is used throughout the life continuum (i.e., children, adolescents,
adults, and older adults) and is used in pediatric, psychiatric, geriatric, and medical-surgical nursing. Further
review of these research studies suggests that both ego strengths and ego deficits are being examined by
nurses.
Interpersonal Theory: Sullivan
Harry Stack Sullivan based his developmental theory on the premise that an individual does not, and cannot,
exist apart from his or her relations with other people.
Overview
Sullivan stated that from the first day of life, a baby is dependent on interpersonal situations and that this
dependence continues throughout the person’s life. Even if the person becomes a recluse and withdraws from
society, the person carries the memories of interpersonal relationships, which continue to influence behavior
and thinking. Sullivan stated that it is a “relatively enduring pattern of recurrent interpersonal relationships
which characterize a human life” (Sullivan, 1953, p. 111).
To explain this phenomenon, the term dynamism must be understood. Dynamism, as defined by Sullivan,
is “the relatively enduring pattern of energy transformation which recurrently characterizes the organism in its
duration as a living organism” (Sullivan, 1953, p. 105). The individual’s dynamisms characterize
interpersonal relations. Although all people have the same dynamisms, the mode of expression varies with the
situation and life experience of the individual. Although most dynamisms satisfy the basic needs of the
individual, an important dynamism develops as a result of anxiety; this is known as the dynamism of self or
the self-system (Sullivan, 1953). Anxiety is a product of interpersonal relationships. Anxiety may produce a
threat to the security of the self, thus causing the person to use various types of protective and behavioral
control measures. This, in turn, reduces anxiety but may interfere with being able to live constructively with
others (Sullivan, 1953).
Sullivan also described the concept of personification, which is the image that a person has of himself or
herself. Personification is a combination of feelings, attitudes, and conceptions that grow out of experiences
with need satisfaction and anxiety. If interpersonal experiences are rewarding, it is known as the “good me”
personification. On the other hand, if interpersonal experiences are anxiety arousing, it is known as the “bad
me” personification. A synonym for personification is self-concept; thus, the “good me” personification is a
high self-concept, and the “bad me” personification is a low self-concept (Sullivan, 1953).
Sullivan viewed the individual as an energy or tension system. The goal of the tension system is to reduce
anxiety. According to Sullivan, the two main sources of anxiety are the tensions that arise from the needs of
the organism and tensions that result from anxiety (Sullivan, 1953).
Sullivan (1953) believed that “tensions can be regarded as needs for particular energy transformations that
will dissipate the tension of awareness with an accompanying change of ‘mental’ state, a change of
awareness” (p. 85). Anxiety is the experience of tension that results from real or imagined threats to one’s
security. High levels of anxiety produce a reduction in the efficacy of satisfying needs, disturbance of
interpersonal relationships, and confusion in thinking. Thus, Sullivan hypothesized that an individual learns to
behave in a certain way related to the resolution or exacerbation of tension (Sullivan, 1953).
Sullivan took his theory further and described the sequence of interpersonal events to which a person is
exposed from infancy to adulthood and ways in which these situations contribute to the development of that
individual. Besides the six stages of interpersonal development, Sullivan also developed a threefold
classification system of cognitions: prototaxic, parataxic, and syntaxic. Although Sullivan formally rejected
the importance of instinct with regard to development, he acknowledged the importance of heredity.
Furthermore, he did not believe that personality is set at an early age but that it may change at any given time
because new interpersonal situations arise and the human organism is malleable (Sullivan, 1953).
From Sullivan’s theory, a new paradigm developed; this was the conception of participant–observer. Prior
to this conception, the therapist observed only what was occurring. Now, the therapist becomes an active part
of the treatment. Another concept developed from Sullivan’s interpersonal theory was that the environment
plays an important role in treatment, thus creating the concept of a therapeutic milieu (Sullivan, 1953).
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Application to Nursing
Peplau (1952, 1963) built her nursing theory, Interpersonal Relations in Nursing, on Sullivan’s theory,
Interpersonal Theory of Psychiatry. Similarly, Orlando (1961) based her nursing theory on Peplau’s theory
and Sullivan’s theory. Thus, it is clear that Sullivan’s theory has been important to nursing.
From Sullivan’s concept of degree of anxiety, Peplau developed the four levels of anxiety (mild,
moderate, severe, and panic levels) that are the standards nurses use in assessing anxiety. Peplau believed that
nurses play an important role in helping clients reduce their anxiety and in converting it into constructive
action. Peplau also believed that the nurse’s role is to help the client decrease insecurity and improve
functioning through interpersonal relationships. These interpersonal relationships can be seen as microcosms
of the way the person functions in his or her relationships (Thompson, 1986). This is very similar to
Sullivan’s concepts of the development of interpersonal relationships.
To educate the client and assist the person in gaining personal insight, Peplau (1963) elaborated on
Sullivan’s concept of participant–observer. According to her, nurses cannot be isolated from the therapeutic
milieu if they want to be effective. Peplau’s belief was that the nurse must interact with the client as a human
being, with respect, empathy, and acceptance.
A major focus of Orlando’s theory is client participation, which correlates with both Sullivan’s and
Peplau’s concept of participant–observer. The formation, development, use, and termination of the nurse–
client relationship is a phenomenon that is studied in nursing because it is a vital component of care and helps
to determine the efficacy of treatment outcomes (Abraham, 2011; Boylston & O’Rourke, 2013; Dmytryshyn,
Jack, Ballantyne, Wahoush, & MacMillan, 2015; Rasheed, 2015; Senn, 2013).
Another important concept of Sullivan’s theory is the therapeutic milieu (i.e., a therapeutic environment).
Almost all facilities today support the concept of a therapeutic environment that aids in facilitating patient
interactions. The therapeutic milieu is an important component of nursing practice, especially in the
psychiatric setting as discussed by Espinosa and colleagues (2015). This concept was mentioned by Zugai,
Stein-Parbury, and Roche (2013) in a discussion of caring for adolescents with anorexia nervosa, by Southard
and colleagues (2012) in relation to renovation of nursing stations in adult care psychiatric units, and by
Paterson, McIntosh, Wilkinson, McComish, and Smith (2013) when discussing use of restraints in mental
health care.
Sullivan also acknowledged the importance of heredity in development. Even though the heredity concept
is a biologic perspective, psychologists, such as Sullivan, acknowledge the importance of heredity in
personality development. In the case study, Tracy thought consideration of hereditable influences was
important in working with Alan because Alan’s father was an alcoholic.
Behavioral and Cognitive-Behavioral Theories
The psychodynamic theories grew from the beliefs that (1) personality is based on how the person develops,
(2) development stops at a certain age, and (3) behaviors associated with development cannot be changed. In
other words, a person’s destiny is set at an early age. Finding these theories problematic, the behavioral
theorists postulated that personality consists of learned behaviors. More explicitly, personality is synonymous
with behavior, and if the behavior is changed, the personality is changed.
Initially, behavioral studies focused on human actions without much attention to the internal thinking
processes. When the complexity of behaviors could not be accounted for by strictly behavioral explanations, a
new component was added: a component of cognitions or thought processes. The cognitive approach is an
outgrowth of behavioral and psychodynamic theories and attempts to link thought processes with behaviors.
Cognitive-behavioral theory, then, focuses on thinking and behaving rather than on feelings.
One of the best known behavioral theorists is B. F. Skinner. Additional cognitive-behavioral theories
discussed in this section are those proposed by Beck and Ellis.
Operant Conditioning: Skinner
Like Freud, Skinner believed that all behavior is determined, but the two have different theories regarding the
origin of the behavior. Although Skinner followed the ideologies of Pavlov and Watson (two early
behaviorists), he expanded the notion of stimulus–response behavioral approaches of learning to include the
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concept of reinforcement. The Pavlovian theory, basically a biologic theory, states that a stimulus elicits a
response. Skinner took this theoretical principle further and applied it to the psychological sciences. He held
that it is possible to predict and control the behaviors of others through a contingency of human reinforcers,
and he expanded on Pavlovian thinking by adding motivation and reinforcement to the principles of learning
(B. F. Skinner, 1969).
Operant Conditioning was the term coined by Skinner to label his theory. Operant Conditioning refers to
the manipulation of selected reinforcers to elicit and strengthen desired behavioral reinforcers. According to
Skinner, an individual performs a behavior (discharges an operant) and receives a consequence (reinforcer) as
a result of performing the behavior. The consequence is either positive or negative, and the consequence will
most likely determine whether the behavior will be repeated. Thus, although negative consequences have a
deterrent effect on the behavior, positive consequences generally result in repetition of the behavior. Absence
of reinforcement generally decreases the behavior. Skinner’s premise was that reinforcement ultimately
determines the existence of behavior (B. F. Skinner, 1969).
Skinner defined a reinforcer as anything that increases the occurrence of a behavior. It is important to note
that the value of the reinforcer depends on its meaning to a particular individual, and the same reinforcer may
have different effects on different people. According to Skinner, there are two types of reinforcers: primary
and secondary. Primary reinforcers are important to survival (e.g., food, water, and sex), and secondary
reinforcers are conditioned reinforcers (e.g., money, material goods, and praise) (B. F. Skinner, 1969).
Behaviors are generally multidimensional, and complex behaviors need to be broken down into smaller
steps. This allows for the shaping of behavior, which consists of progressively reinforcing the smaller steps
needed to achieve a certain behavior (B. F. Skinner, 1987).
Cognitive Theory: Beck
Aaron Beck based his cognitive theory on the work he did with depressed persons. He posited that biased
cognitions are faulty, and he labeled these thoughts as cognitive distortions. Cognitive distortions are habitual
errors in thinking that Beck stated are verbal or pictorial events that are formed in the conscious mind. When
cognitions are distorted, an individual incorrectly interprets life events, jumps to inaccurate conclusions, and
judges himself or herself too harshly. These distorted cognitions create a false basis for beliefs, particularly
regarding the self, and influence one’s basic attitude about the self. Thought distortions are the catalysts for
how an individual perceives events in his or her life; they may keep the individual from reaching a desired
goal. The process of changing cognitive distortions is called cognitive restructuring (Beck, 1976).
Although cognitive distortions are in the conscious mind, Beck believed that they are influenced by an
automatic thinking schema that originates in the unconscious mind. The automatic thinking schemata are
themes that have developed in childhood and have been reinforced throughout life. The automatic thinking
schemata influence cognitions and can cause them to be faulty. Beck stated that an individual expresses illness
through thoughts and attitudes. In other words, thoughts influence emotions, and behavior is controlled by
thoughts. If thoughts are distorted, then illness occurs. To treat the illness, the cognitive distortions must be
changed (Beck, 1976).
Rational Emotive Theory: Ellis
Another cognitive theorist was Albert Ellis, who described Rational Emotive Theory, which focuses on an
interconnectedness between thoughts, feelings, and actions. An individual will think and act based on his or
her perception of life events. The underlying premise is that an individual has the cognitive ability to think,
decide, analyze, and do and that he or she thinks either rationally or irrationally. The repetition of irrational
thoughts reinforces dysfunctional beliefs, which, in turn, produce dysfunctional behaviors. These
dysfunctional beliefs lead to self-defeating behaviors, and the person experiences self-blame. Ellis stated that
the individual learns these self-defeating behaviors and that the individual is capable of understanding his or
her limitations. Ellis further posited that if behaviors are learned, they can be unlearned. A person can change
beliefs by changing thoughts and thinking rationally. If this occurs, then the behavior is changed (Ellis &
MacLaren, 2005).
Application of Behavioral and Cognitive-Behavioral Theories to Nursing
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The behavioral approach is a concrete method of monitoring or managing behavior. Nurses often use it with
children or adolescents and people with chronic illness because it is often successful in changing targeted
behaviors.
By combining behavioral theory with cognitive theory, the nurse can help alter behaviors by encouraging
the individual to change irrational beliefs through problem solving. An individual who is ill may express
feelings of worthlessness, anger, and self-blame. The nurse using a cognitive-behavioral approach can point
out specific positive qualities of the individual. This helps reduce self-blame, and the person gradually begins
to feel better about himself or herself because the belief system is changing. In essence, the nurse has changed
behavior by presenting positive (secondary) reinforcement to the person, thus helping to change self-
cognitions. This, in turn, changes the individual’s belief system.
A cognitive-behavioral approach also helps the nurse point out the use of maladaptive defense
mechanisms (e.g., projection). Projection is an unconscious process in which the individual can ascribe
undesirable thoughts, impulses, ideas, and/or feelings to another person in order to externalize what he or she
feels are unacceptable attributes or traits. Through projection, the individual is able to decrease anxiety and
deal with the situation as a detached entity (Sadock, 2009).
People sometimes blame others for their problems. This is particularly true for those who are addicted to
drugs and alcohol (like Alan); addicts frequently do not take responsibility for their substance use, misuse,
and abuse. Using a cognitive approach, specifically Ellis’s, the nurse teaches the person to take responsibility
for his or her own behaviors. Whereas Ellis’s approach is used more with substance abuse because of the
confrontational approach, Beck’s is used more with depressed persons because it focuses on an empathic
approach. In the case study, Alan has a dual diagnosis of depression and substance abuse, and Tracy would
most likely use a cognitive-behavioral approach in planning his nursing care.
In nursing, cognitive-behavioral therapies have been used to help manage multiple sclerosis (Askey-Jones,
Shaw, & Silber, 2012) and to treat women with postpartum depression (Scope, Booth, & Sutcliffe, 2012).
Furthermore, a cognitive-behavioral approach has been shown to be successful in helping direct care for
patients with schizophrenia in both inpatient settings (Carter, 2015) and community-based settings (Hartigan
& Ranger, 2014). Additionally, cognitive-behavioral therapies have also been used to treat anxiety in children
and adolescents with asthma (Marriage & Henderson, 2012) and caregivers of patients with depression
(McCann, Songprakun, & Stephenson, 2015).
Humanistic Theories
Humanistic theories developed in response to the psychoanalytic thought that a person’s destiny was
determined early in life. Proponents of humanistic psychology believed that Psychoanalytic Theories
explicitly exclude human potential. In other words, there was no hope for a person. Humanistic theories
emphasize a person’s capacity for self-actualization; thus, they present a relatively hopeful and optimistic
perspective about humans. Humanists believe that the person contains within himself or herself the potential
for healthy and creative growth. The theories of Maslow and Rogers are discussed in the following sections
on humanistic theories.
Human Needs Theory: Maslow
Abraham Maslow, known as the father of humanistic psychology, believed that psychology takes a
pessimistic, negative, and limited conception of humans. He charged the discipline to examine human
strengths and to stress human virtue instead of human frailties, and he proposed that human science should
explore individuals who realize their full potential. Furthermore, he believed that the inner core of the person
is the self, which is a unique individual who possesses both characteristics similar to others and characteristics
uniquely distinct to the person (Maslow, 1968).
Overview
Motivation is the key to Maslow’s theory because he assumed that instead of being passive, an individual is
an active participant who strives for self-actualization. Maslow’s theory is basically a hierarchy of dynamic
processes that are critical for development and growth of the total person. There are six incremental stages of
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Maslow’s theory: physiologic needs, safety needs, love and belonging needs, self-esteem needs, self-
actualizing needs, and self-transcendent needs. The goal of Maslow’s theory is to attain the sixth level or
stage: self-transcendent needs (Maslow, 1968).
In Maslow’s scheme, needs are divided into “D” motives and “B” motives. “D” motives are deficiency
needs. This means that these needs are basic and have the greatest strength because they are essential to
human survival. “D” motive needs must be satisfied for a person to turn his or her attention to the satisfaction
of the higher level needs. These higher level needs are called “B” motive needs and include self-esteem and
self-actualization. Such needs are reflective of growth potential (Maslow, 1968).
Until basic deficiency needs are met, the individual does not pursue personal growth needs to develop his
or her fullest potential as a human being. Maslow postulated an optimistic assessment by focusing on the
individual’s strengths instead of personal deficits. According to Maslow (1968), when a person strives for
personal growth, it leads the person to his or her fullest potential. In other words, it is the person at his or her
best. This means that the person develops a problem-solving approach to life, identifies with humankind, and
transcends the environment. The person is able to look realistically at life and make rational decisions; this
brings about inner peace. When a person accomplishes this, Maslow referred to the person as being self-
actualized. Box 14-1 lists characteristics of a self-actualized person. This philosophical perspective helps a
person get in touch with who he or she is and what he or she can become (Maslow, 1968).
Box 14-1 Characteristics of a Self-Actualized Person
Realistic orientation
Spontaneity
Acceptance of self
Acceptance of others
Close relationships with others
Autonomous thinking
Appreciation of life
Reactivity to others
Consideration of others
Respect for others
Application to Nursing
Maslow’s theory can be applied to nursing practice in three ways:
1. It allows the nurse to emphasize the person’s strengths instead of focusing on the individual’s deficits.
2. It focuses on human potential, thus giving the person hope.
3. It provides a blueprint for prioritizing client care according to a hierarchy of needs.
By focusing on a person’s strengths, the nurse empowers the individual. In the case study, when Tracy
began planning Alan’s care, she followed Maslow’s hierarchy by giving priority to his “D” needs (i.e.,
physical and safety needs that help the individual feel safe and secure). She helped him withdraw safely from
the addictive substances and treated active symptoms of hepatitis C. She knew that his physical needs must be
met before she could address the “B” needs (i.e., his potential for personal growth, self-esteem, and self-
actualization).
Considerable nursing research has been done in humanistic psychology, largely using Maslow’s theory.
One research study, for example, focused on identifying the needs of hemodialysis patients in order to
improve quality of life (Bayoumi, 2012), another studied the development of a fall risk assessment for
hospitalized patients (Abraham, 2011), and a third evaluated concepts to enhance retention rates of registered
nurses in South Africa (Mokoka, Ehlers, & Oosthuizen, 2011). Additionally, Liu, Aungsuroch, and
Yunibhand (2016) used Maslow’s theory to help define the concept of job satisfaction in nursing, and Olson
(2015) also used Maslow’s hierarchy to describe the motivating factors for nurses returning to school to
enhance their education.
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Person-Centered Theory: Rogers
Carl Rogers developed a person-centered model of psychotherapy that emphasizes the uniqueness of the
individual.
Overview
Rogers believed that every individual has the potential to develop his or her talents to the maximum potential;
he called this the actualizing tendency. Furthermore, each individual possesses everything that is needed for
self-understanding and for changing attitude and behavior (Rogers, 1959).
Two constructs are fundamental to Rogers’ theory: organism and the self. Organism is the locus of all
experience. Experience includes the awareness of everything potentially available that is going on within the
organism at any given time. This totality of experience constitutes the phenomenal field, which has several
components. The first component is that an individual’s frame of reference can only be known by that person.
The second component is that a person’s behavior depends on the phenomenal field and is not dependent on
stimulating conditions. The third component of a phenomenal field is that it is made up of conscious and
unconscious experiences (Rogers, 1959).
A portion of the phenomenal field gradually differentiates; this is known as the self or self-concept. Self or
self-concept denotes the “organized, consistent conceptual gestalt composed of perceptions of the
characteristics of ‘I’ or ‘me’ and the perceptions of the relationship of the ‘I’ or ‘me’ to others and to various
aspects of life with the values attached to these perceptions” (Rogers, 1959, p. 200). In addition to the self,
there is an ideal self, which is what the person would like to be (Rogers, 1959).
The basic significance of the structural concepts organism and self is directly related to congruence and
incongruence. These terms represent the acceptance or nonacceptance of the organism with the self.
Congruence is when the self accepts the organismic experience without threat or anxiety; thus, the person is
able to think realistically. Incongruence between self and organism makes an individual feel threatened and
anxious, thus causing defensiveness and constricted and rigid thinking. This results in behavioral problems
(Rogers, 1959).
According to Rogers (1951), “Behavior is basically the goal-oriented attempt of the organism to satisfy its
needs as experienced” (p. 491). Behaviors occur for the organism to maintain and enhance itself. Rogers
believed that an individual has two learned needs, positive regard and self-regard. Rogers (1959) stated, “If an
individual should experience only unconditional positive regard, then no conditions of worth would develop,
self-regard would be unconditional, the needs for positive regard and self-regard would never be at variance
with organismic evaluation, and the individual would continue to be psychologically adjusted, and would be
fully functioning” (p. 224). This is not the case when an individual receives both positive and negative
evaluations by others, causing an individual to learn to differentiate between actions and feelings that are
worthy or unworthy.
Organism and self are subject to strong influences from the environment, especially from the social
environment. Rogers did not provide a timetable of significant changes through which an individual passes;
instead, he focused on ways in which evaluation of an individual by others tends to influence the experience
of the organism and the experience of the self (Rogers, 1951).
Application to Nursing
The major contribution that Rogers added to nursing practice is the understanding that each client is a unique
individual who is basically good, with an inherent potential for self-actualization. He introduced the concept
of a person-centered approach, which is easily adapted to nursing. Not only does this approach view the
individual as unique, but there is also equal collaboration between the nurse and the client in the individual’s
care.
Tracy followed Rogers’ philosophy that each individual is unique. Even though Alan had characteristics
that were similar to others, he was an individual who had characteristics that were unique to him. Tracy
collaborated with Alan to develop his plan of care. This is important in all areas of nursing because clients
need to feel they are special and unique and that they have a say in their care. Their input into their treatment
will motivate them to accomplish their goals; thus, treatment outcomes will be enhanced.
Rogers also identified the conditions that are needed for an effective nurse–client relationship:
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unconditional positive regard, empathic understanding, and genuineness. An effective nurse–client
relationship will help to facilitate change in the person and produce a positive outcome of treatment.
Stress Theories
Although the previous theories have dealt with the development of personality and mental illness, the stress
theories deal with normal human functioning. Stress, adaptation, and coping are all natural parts of life. Stress
is inevitable in everyone’s life, and people must deal with stress by adapting through coping. The stress
theories provide nursing with a framework to understand the effects that stress has on the individual and how
the individual responds to stressful situations or life events. Although the ability to successfully adapt to stress
leads to the equilibrium of the individual, the inability to adapt successfully leads to disequilibrium. The
disequilibrium may result in physiologic or psychological disorders. The important thing to remember with
stress theories is that stress is different for everyone. The following sections discuss Selye’s General
Adaptation Syndrome in relation to Peplau’s Levels of Anxiety and Lazarus’ Stress Coping Adaptation
Theory.
General Adaptation Syndrome: Selye
Hans Selye pioneered research into stress and proposed the General Adaptation Syndrome (GAS). Because
Selye defined stress as wear and tear on the body, the GAS explains the physiologic responses to stress. An
explanation of the GAS is presented in Chapter 15, but it will be discussed here briefly because Selye’s GAS
is also presented in psychological literature.
The GAS has three stages: alarm, resistance, and exhaustion. The first stage is the alarm reaction. This
stage mobilizes the body’s defense forces and activates the fight-or-flight syndrome, which puts the body in a
state of disequilibrium. The second stage is resistance and focuses on the body’s physiologic responses to
regain homeostasis. The final stage is exhaustion. In this stage, the body has exhausted all its resources and a
diseased state can occur (Selye, 1956).
Selye concentrated on the physiologic changes in the body and did not elaborate on the psychological
changes. Kneisl and Ames (1986) correlated the three levels of the GAS with Peplau’s Levels of Anxiety.
Table 14-2 compares the stages of Selye’s GAS with Peplau’s Levels of Anxiety. In the alarm stage, there is
an increased level of alertness, and anxiety is found at levels 1 (mild) and 2 (moderate). The individual
focuses on the immediate task, which is to reduce the stressor. If the threat is eliminated, the person has
adapted successfully. If the threat is not effectively resolved, the individual advances to the next stage (Kneisl
& Ames, 1986).
Table 14-2 Selye’s and Peplau’s Anxiety States
Selye’s Stages of the General
Adaptation Syndrome Peplau’s Levels of Anxiety
Characteristics of Levels of
Anxiety
Alarm alert Level 1 (mild)
Level 2 (moderate)
Increased alertness
Increased awareness
Increased efforts to reduce anxiety
Narrowing of perceptual field
Problem solving is present.
Coping is increased.
Resistance Level 2 (moderate)
Level 3 (severe)
Feels threatened
Feels overloaded
Problem-solving difficulties
Selective inattention
Depressed
Irritable
Psychosomatic symptoms
Exhaustion Level 3 (severe) Feels helpless
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Level 4 (panic) Feelings of awe, dread, and terror
Loss of control
Personality disorganization
Loss of rational thoughts
Decreased ability to relate
rationally to others
Out of touch with reality
Dissociation
Disease process (physical and
emotional)
In the resistance stage, the individual experiences level 2 (moderate) or 3 (severe) of anxiety. This is the
stage when the individual increases the use of coping mechanisms to adapt to the stressor. Psychosomatic
symptoms may appear in this stage. If the individual is unable to adapt to the stressor, the individual becomes
overwhelmed with the stressor and advances to the next stage (Kneisl & Ames, 1986).
The stage of exhaustion results when the stressor is not or cannot be neutralized. This occurs because the
stress may have lasted too long, the person is totally overwhelmed by the stressor, or the individual’s normal
coping mechanisms have been exhausted. At this stage, the individual experiences anxiety at level 3 (severe)
or 4 (panic) of Peplau’s Levels of Anxiety. The person becomes dysfunctional, and a multitude of
psychopathologic symptoms can occur: disorganized thinking, disorganized personality, delusions,
hallucinations, stupor, or violence (Kneisl & Ames, 1986).
Stress, Coping, and Adaptation Theory: Lazarus
Lazarus’ theory deals with how a person copes with stressful situations. Whereas Selye’s focus is on the
body’s physiologic responses, Lazarus focused on the person’s psychological responses. He viewed these
responses as a process and stated that a process-oriented approach is directed toward what an individual
actually thinks and does within the context of a specific encounter and includes how these thoughts and
actions change as the encounter unfolds. “Coping, when considered as a process, is characterized by dynamics
and changes that are functions of continuous appraisals and reappraisals of the shifting person environmental
relationship” (Folkman & Lazarus, 1988, p. 3).
The two major factors that are precedents to stress are the person–environment relationship and appraisals.
The person–environment relationship includes such factors as personality, values, beliefs, commitments,
social networks, social supports, demands and constraints, sociocultural factors, and life events. The three
cognitive appraisals are primary, secondary, and reappraisal. Primary appraisal refers to the judgment that an
individual makes about a particular event or stressor. Secondary appraisal is the evaluation of how an
individual responds to an event. Reappraisal is simply appraisal after new or additional information has been
received (Lazarus & Folkman, 1984).
Lazarus posited that stress is much more complicated than just stimulus and response. He focused on the
idea that coping is not due to anxiety itself but how the person perceives the threat. Lazarus identified this
perception as an appraisal and explained that a person’s evaluation of a stressor or events is classified as a
cognitive appraisal. He defined stress as “a particular relationship between the person and the environment
that is appraised by the person as taxing or exceeding his/her resources” (Lazarus & Folkman, 1984, p. 18).
To manage the demands and emotions generated by the appraised stress, coping occurs. Coping is the
process by which a person manages the appraisal. The two types are problem-focused and emotion-focused
coping. Problem-focused coping actually changes the person–environment relationship, and emotion-focused
coping changes the meaning of the situation. Once the person has successfully coped with a situation,
reappraisal occurs. Reappraisal allows for feedback about the outcome and allows for adjustment to new
information (Lazarus & Folkman, 1984).
Successful coping results in adaptation. Adaptation is “the capacity of a person to survive and flourish”
(Lazarus & Folkman, 1984, p. 182). Adaptation affects three important areas: health, psychological well-
being, and social functioning. These three areas are interdependent, and when one area is affected, all three
areas are affected. For example, if a person develops an illness, it can cause problems in work performance,
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which in turn elicits a negative self-concept.
Application of Stress Theories to Nursing
Stress and adaptation are the basis of Roy’s Adaptation Model (Roy, 2009) and Neuman’s System Model
(Neuman & Fawcett, 2011). Roy (2009) stated that the goal of nursing is the promotion of adaptive responses
through the mode of coping. Neuman’s theory deals with a person’s responses to stress (Neuman & Fawcett,
2011).
The application of stress theories to nursing is important. Indeed, they provide a framework for nurses to
assess the effects of stress, both physical and psychological, on the individual and the coping processes that
the individual uses. When assessing a client’s stressors, it is important for the nurse to also consider the
meaning of the stressor to the individual and the resources and support that the person has in coping with the
stressors. The nurse can help with problem solving or cognitive restructuring to facilitate effective coping and
adaptation. This can also lead to the development of new coping strategies for the individual.
Stress theories are very important in nursing practice, and nurses using them as research frameworks have
done considerable research. For example, McMeekin, Hickman, Douglas, and Kelley (2017) utilized Lazarus
and Folkman’s theory to research stress and coping behaviors reported by critical care nurses after they
experience unsuccessful cardiopulmonary resuscitations. The relationship between community financial
hardship and the perception of stress in African American adolescents was examined by Brenner,
Zimmerman, Bauermeister, and Caldwell (2013), and Molina, Beresford, Espinoza, and Thompson (2014)
examined and compared coping behaviors among women from different ethnic groups following receipt of an
abnormal mammogram. Finally, an experimental study was conducted by Padden, Connors, and Agazio
(2011) on perceived stress and coping by female spouses during their husband’s active military deployment,
using Lazarus and Folkman’s theory.
Social Psychology
Health professionals use many different models for understanding behavior change because it is a complex
process. Furthermore, behavior change is often difficult to achieve and sustain. When health professionals
attempt to encourage healthy behaviors, they are competing against powerful influences. These powerful
influences involve social, psychological, and environmental conditioning. In order for change to occur, the
benefits of behavior must be desired and perceived to be beneficial to the person. Although education is an
important factor in facilitating change, information is frequently not enough. The benefits of behavior change
must be compelling. When implementing change, a multilevel, interactive perspective clearly shows the
advantages of incorporating behavioral and environmental components. Social psychology helps to predict
health behavior and is widely used in health-promoting activities.
Three models that address behavior change are the Health Belief Model (HBM), the Theory of Reasoned
Action/Theory of Planned Behavior, and the Transtheoretical Model (and Stages of Change) (TTM). The
HBM addresses a person’s perceptions of the threat of a health problem and the accompanying appraisal of a
recommended behavior for preventing or managing the problem, which is manifested as a behavior. The
Theory of Reasoned Action assumes that people are rational and make decisions based on the information
available to them. The important determinant of a person’s behavior is intent. The TTM describes principals
of change to explain the processes employed by people as they change their health-related behaviors. Each of
these theories will be discussed in more detail in the following sections. For more information, see Link to
Practice 14-1.
Link to Practice 14-1
Recently, a team headed by Plotnikoff (Plotnikoff, Costigan, Karunamuni, & Lubans, 2013) conducted a
systematic literature review examining how several social cognitive theories—specifically the Health
Belief Model, Theory of Planned Behavior, Protection Motivation Theory, Social Cognitive Theory/Self-
Efficacy Theory, Transtheoretical Model, and Health Promotion Model—explained physical activity
300
intention and behaviors in adolescents. Meta-analysis of the published research describing how these
theories were supported (or not) revealed that the theories/models were more effective in explaining
intention than behavior. The researchers concluded that very few studies have actually tested the predictive
capacity of social cognitive theories for adolescent behavior related to physical activity and that more
specific theoretical research is needed on these theories.
Based on these findings, what evidence-based interventions might nurses propose using the Health
Belief Model to promote physical activity in this cohort? Using the Theory of Planned Behavior? Using
the Transtheoretical Model? Social Cognitive Theory (see Chapter 13)? The Health Promotion Model (see
Chapter 11)? Which theory might be best for explaining/researching/enhancing intention? Which might be
best for explaining/researching/enhancing behavior?
Plotnikoff, R. C., Costigan, S. A., Karunamuni, N., & Lubans, D. R. (2013). Social cognitive theories used to explain physical activity
behavior in adolescents: A systematic review and meta-analysis. Preventive Medicine, 56(5), 245–253.
Health Belief Model
The HBM was one of the first models that adapted theories from the behavioral sciences to predict health
behaviors. This was done by focusing on the attitudes and beliefs of individuals. The HBM was originally
developed in the 1950s by a group of social psychologists working for the U.S. Public Health Service who
wanted to improve the public’s use of preventive services (Rosenstock, 1974). Their assumption was that
people fear disease and that health actions were motivated in relation to the degree of the fear and the benefits
obtained. The HBM explained health behavior in terms of several constructs: perceived susceptibility of the
health problem, perceived severity, perceived benefits, perceived barriers, and cues to action (Rosenstock,
1990).
Perceived susceptibility refers to one’s opinion of chances of getting a condition, whereas perceived
severity is one’s opinion of how serious a condition and its sequelae are. One’s opinion of the efficacy of the
advised action to reduce risk or seriousness of impact is known as perceived benefits. Perceived barriers are
one’s opinion of the tangible and psychological cost of the advised action (Rosenstock, 1974). These four
concepts were proposed as accounting for people’s readiness to action. Thus, another concept was identified
as “cues to action.” These cues to action would activate the readiness to act and stimulate overt behaviors
(Rosenstock, 1990; C. S. Skinner, Tiro, & Champion, 2015) (Figure 14-1).
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Figure 14-1 The Health Belief Model.
(From Becker , M. H., Haefner , D. P., Kasl , S. V., Kirscht, J. P., Maiman, L. A. , & Rosenstock, I. M. [ 1977 ]. Selected psychosocial models
and correlates of individual health-related behaviors. Medical Care, 15, 27–46, with permission.)
In 1988, Rosenstock added another concept to the HBM, which he identified as self-efficacy. Self-efficacy
is one’s confidence in the ability to successfully perform an action. This concept was used to help the HBM
better fit the challenges of changing habitual, unhealthy behaviors such as smoking, overeating, and being
sedentary (C. S. Skinner et al., 2015). Table 14-3 summarizes the major concepts of the HBM.
Table 14-3 Health Belief Model Concepts
Concept Definition Examples
Perceived
susceptibility
Subjective risk of contracting a
condition; belief or opinion
regarding chances of acquiring a
health problem or threat
Does a teenage girl believe she will get
pregnant during a single sexual encounter?
Does an elderly man believe he will get the flu
this winter? Does a middle-aged woman with
a strong family history of breast cancer
believe that she is vulnerable?
Perceived severity Concern related to the seriousness
of a health condition and
understanding of potential
difficulties the condition might
cause; belief or perception of
seriousness or consequences of a
health threat or condition
A teenage girl believes that pregnancy would
change her life dramatically. An elderly man
understands that pneumonia is a potential
complication of the flu. A middle-aged
woman knows her grandmother died of breast
cancer.
Perceived benefits Beliefs related to the effectiveness
of preventive actions; opinion that
The teenage girl knows that using
contraception will dramatically reduce the
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changing behavior(s) may reduce
the treat
chances of a pregnancy. The elderly man
believes that flu shots are effective in
preventing illness. The middle-aged woman
recognizes that yearly mammograms are
effective in reducing deaths from breast
cancer.
Perceived barriers Perception of the obstacles to
changing behavior; opinion
related to tangible and/or
psychological costs of action
The teenage girl may be embarrassed about
going to a clinic to obtain contraceptives. The
elderly man may not have transportation to
take him to the clinic to receive a flu shot. The
middle-aged woman’s insurance does not
cover the cost of mammograms.
Cues to action A stimulus (external or internal)
that triggers health-related
behaviors; something that makes
the individual aware of a health
threat
The teenage girl attends a school-sponsored
program on problems encountered by teenage
mothers. The elderly man sees a posted flyer
that a mobile van will be nearby the following
week to provide free flu shots. The middle-
aged woman learns from a public service radio
ad that low-cost mammography is available at
a nearby hospital.
Self-efficacy Belief that one has the ability to
change one’s behaviors;
recognition that personal health
practices and choices can
positively influence health
The teenage girl decides to postpone
intercourse. The elderly man attends the shot
clinic provided by the mobile van. The
middle-aged woman makes an appointment
for a mammogram.
Theory of Reasoned Action (Theory of Planned Behavior)
The Theory of Reasoned Action (TRA) was initially developed in the late 1960s by social psychologists Icek
Ajzen and Martin Fishbein (Fishbein & Ajzen, 1975). The TRA explains the relationship among beliefs,
attitudes, intentions, and behavior. It assumes that people are rational and make decisions based on the
information available to them. The goal of the TRA, therefore, is to understand and predict behaviors that are
largely under the individual’s control (Poss, 2001). The TRA was later modified to the Theory of Planned
Behavior (TPB) (Montano & Kasprzyk, 2015).
According to the TPB, the most important determinant of a person’s behavior(s) is intention. Intention is
the cognitive representation of the individual’s readiness to perform a behavior and is determined by (1)
attitude toward the behavior, (2) subjective norms, and (3) perceived behavioral control.
Attitude, or behavioral beliefs, refers to the individual’s positive or negative evaluation of performing the
behavior; it is concerned with his or her beliefs about the consequences of performing the behavior. Attitude
has been viewed as a combination of feelings, beliefs, intentions, and perceptions. Combined with knowledge,
these factors analyze the acceptability of performing a behavior in relation to a bipolar scale of
positive/negative or yes/no. The determinant of attitude component is called “salient belief.” A person’s
attitude toward a behavior can be predicted by multiplying the evaluation of each of the behavior’s
consequences by the strength of the belief. Beliefs are formed about an issue/object by associating it with all
kinds of characteristics, qualities, and attributes. This leads to the development of an attitude (Ajzen &
Fishbein, 1980).
Subjective norm, or normative beliefs, is seen as the social pressure upon a person to perform or not to
perform a behavior. In deciding whether to perform an action or behavior, an individual may consider what
his or her parents, friends, or others will think about the behavior as well as how important it is to comply
with the wishes of others. It involves both one’s beliefs about the opinions of others and the person’s
motivation to conform to the wishes of those others. Thus, people often behave as they believe others expect
them to behave.
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Control beliefs, or perceived behavioral control, refer to the perceived power of factors that may facilitate
or impede the behavior. In general, the more favorable the attitude and subjective norm, the greater the
perceived control and the stronger would be the person’s intention to perform the behavior. According to the
TPB, behavioral intention is the most immediate determinant of any social behavior but only under conditions
where the behavior in question is under volitional control.
The TPB proposes that an individual’s intention is determined in turn by his or her attitude and subjective
norm regarding the performance of the behavior. Furthermore, attitude to the behavior is accounted for by
beliefs about the outcomes of the behavior and evaluations of those outcomes. Subjective norm is determined
by perceived pressure from specified significant others to carry out the behavior and motivation to comply
with the wishes of significant others. Figure 14-2 depicts the components of the TPB.
Figure 14-2
Theory of Reasoned Action and Theory of Planned Behavior. The lighter
shaded upper section shows the Theory of Reasoned Action; the entire fi
gure shows the Theory of Planned Behavior.
(From Ajzen, I., & Fishbein, M. [1980]. Understanding attitudes and predicting social behavior [p. 8]. Englewood Cliffs, NJ: Prentice Hall.
Reproduced by permission of Pearson Education, Inc.)
Transtheoretical Model and Stages of Change
The TTM reportedly developed from an analysis of 25 theories of psychotherapy to describe the processes
involved in how people make changes with regard to health-related behaviors (Prochaska, 1979). Initially
building on the works of Freud, Skinner, and Rogers to focus on the processes of quitting smoking,
DiClemente and Prochaska (1982) determined that behavior change “unfolds through a series of stages,”
which involves different change processes at each stage. Their work quickly evolved from studies on
smoking, and the TTM has been applied to many other health risks, behaviors, and problems such as
substance abuse, depression, high-fat diets, mammography, pregnancy prevention, and sun exposure
(Prochaska, Redding, & Evers, 2015).
At its core, the TTM focuses on the six “Stages of Change” (Box 14-2) (Prochaska et al., 2015). The
stages are not necessarily linear; rather, change is seen as fluid or dynamic and occurs through the unfolding
of the processes over a period of time. Furthermore, “relapse” can occur at any stage, moving the individual
back. Characteristics of each stage are depicted in Figure 14-3.
Box 14-2 Transtheoretical Model’s Stages of Change
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Precontemplation
Contemplation
Preparation
Action
Maintenance
Termination
Source: Prochaska et al. (2015).
Figure 14-3 Transtheoretical Model—Stages of Change.
(From American College of Sports Medicine. ACSM’s Resources for the Personal Trainer. 4th ed., © 2013. Reprinted with permission from
Lippincott Williams & Wilkins.)
In the precontemplation stage, the individual does not anticipate immediate change; the person may not
yet be motivated or they might not have enough information to determine a need to change. In the
contemplation stage, individuals are aware of pros and cons of changing behaviors and will examine the
balance between the costs and benefits of change. Sometimes, they will be stuck in chronic contemplation
(behavioral procrastination) (Prochaska et al., 2015).
In the preparation stage, the individual is ready to make a change, and action is anticipated within in the
next month (Prochaska et al., 2015). In the action stage, the individual has made lifestyle modifications and
his or her actions are observable. In the maintenance stage, they have been able to sustain the action or
changes, and the individual is working to prevent relapse. Maintenance lasts from 6 months to about 5 years,
depending on the behavior being changed. Finally, in termination, individuals identify no temptation to
relapse and report “self-efficacy” to maintain the behavior changes.
In addition to the Stages of Change, the TTM consists of 10 “Processes of Change” (Box 14-3). These are
activities used to progress through the Stages of Change. Other key constructs are “decisional balance” and
“self-efficacy.” The integration of the “Processes” and “Stages” of change suggest that in the early stages
(precontemplation/contemplation), individuals will experience the cognitive, affective, and evaluative
processes of “consciousness raising,” “dramatic relief,” and “environmental reevaluation.” In the action
stages, individuals “draw more on commitments, conditioning, contingencies, environmental controls and
support for progressing toward maintenance or termination” (Prochaska et al., 2015, p. 132). To enhance
success in developing and implementing activities or interventions to promote positive change, Prochaska and
colleagues (2015) recommend matching the stages and the processes and incorporating the elements of
decisional balance and self-efficacy.
Box 14-3 Transtheoretical Model’s Processes of Change
Consciousness raising
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Dramatic relief
Self-reevaluation
Environmental reevaluation
Self-liberation
Helping relationships
Social liberation
Counterconditioning
Stimulus control
Reinforcement management
Source: Prochaska et al. (2015).
Application of Social Psychology Theories to Nursing
The application of social psychology theories in nursing typically relates to the area of health promotion.
Nurses can propose strategies and develop programs to make people aware of health problems. They can then
implement these programs using the social psychology theories to change unhealthy behaviors to healthy
behaviors. That is the reason that nurses must advocate health promotion for patients using a
multidimensional approach: organizational change efforts, policy development, economic supports, and
environmental change. In today’s society, disseminating the message is much easier. It can be delivered
through printed educational material, electronic mass media, or directly in one-to-one counseling (Glanz,
Rimer, & Viswanath, 2015). Social psychology theories are useful in promoting healthy behaviors, and nurses
should be challenged to use them to make people aware of health problems and to propose positive behavioral
change.
In the case study, Tracy might use a social psychology theory, such as the TPB, to examine factors that
might influence Alan’s intention to change his behavior. For example: What is Alan’s attitude toward
stopping drinking? What is his understanding of his family’s attitudes and beliefs related to his alcohol use?
What does he perceive as his level of control over his behavior? Examining each of these areas can help Tracy
predict Alan’s intention to change and, ultimately, his behavior relative to alcohol use and abuse.
As mentioned, the HBM was developed to help explain health-related behaviors. Besides being a guide to
help identify leverage points for change, it can also be a useful framework for designing change strategies.
Indeed, its use in nursing research and practice has been notable. During the last decade, more than 130
articles have been published in the nursing literature employing or testing the HBM.
For example, in classic application of the HBM, Dardis, Koharchik, and Dukes (2015) used the theory to
develop an educational strategy to improve vaccination rates for pertussis among adults teaching in a
preschool, and Adams, Hall, and Fulghum (2014) focused on cues to action and perceptions of severity and
susceptibility to study vaccine acceptance among patients on hemodialysis. In other examples, Wu and Lin
(2015) used the HBM to develop an intervention to improve adherence to mammography recommendations
among Chinese American women, and Kvamme and Costanzo (2015) used the HBM as a guide to develop
strategies to help prevent postthrombotic syndrome among inpatients with deep vein thrombosis. Numerous
other works describing application of the HBM (e.g., Brown, Patrician, & Brosch, 2012; Davis, Buchanan, &
Green, 2013; Klotzbaugh & Spencer, 2015) can be found in the nursing literature.
The TRA/TPB, likewise, has been used frequently in nursing studies. Review of the literature indicated
scores of citations in recent nursing journals. Research examining the beliefs, attitudes, and intentions of
health care providers was identified covering various topics. For example, Knowles and colleagues (2015)
examined knowledge attitudes, beliefs, and intentions of intensive care unit (ICU) staff to implement bowel
protocols; Youngcharoen and colleagues (2016) looked at nurses’ beliefs attitudes, perceived norms,
perceived control, and behavior intentions related to pain management among older adults with postoperative
pain, and Bennett (2016) examined nurses’ beliefs, behaviors, and perceived control in a study of behavior
intentions for care of patients at the end of life.
Other researchers have used the TRA to look at health behaviors in diverse areas, including intention to
care for patient with alcohol dependence (Talbot, Dorrian, & Chapman, 2015), intention to understand
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perceptions and beliefs of college students related to waterpipe smoking (Noonan, 2013), and intention to
assess application of mobile technology in undergraduate nursing education (Mann, Medves, &
Vanderkerkhof, 2015)
Similarly, the TTM has been widely used in nursing research studies and practice. In one example, a team
led by Kamau-Small (Kamau-Small, Joyce, Bermingham, Roberts, & Robbins, 2015) used the Stages of
Change as one element of an educational workshop to promote “cultural humility and care equity” (p. 169)
among undergraduate nursing students; their intent was to promote behavior change related to cultural
differences in clinical practice for public health nursing providers. Also targeting nursing students, Anderson
and colleagues (2017) reported on a project using undergraduate students to help “super utilizers” of the
emergency department (ED) access appropriate health care resources. The goal for the nursing students was to
apply the TTM to promote behavior change among those clients using the ED for nonemergent health issues.
Other examples using the TTM as a framework from the nursing literature were efforts to prevent
cardiovascular disease using behavior modification (Farrell & Keeping-Burke, 2014), improving self-
management for persons with chronic kidney disease (Vann et al., 2015), and interventions to improve
exercise behavior among patients with coronary heart disease (Zhu, Ho, Sit, & He, 2014).
Finally, several examples were identified that used two or more of the social psychology theories or
compared them. In one example, Barley and Lawson (2016) discussed the importance of using health
psychology theories including the HBM, TTM, and TPB to help promote positive behavior changes and to
develop and compare research. In other works, Othman, Kiviniemi, Wu, and Lally (2012) used both the HBM
and the TRA as the conceptual framework for their study of how demographic factors, knowledge, and beliefs
influence women’s intention to undergo mammography screening, and Leach, Tonkin, Lancastle, and Kirk
(2016) used both the TTM and the TPB as a framework of a strategy to enhance implementation of genomics
into nursing practice. Lastly, Plotnikoff, Costigan, Karunamuni, and Lubans (2013) performed a systematic
review of application of a number of social behavior theories including the TTM, HBM, and TRM to explain
physical activity behaviors in adolescents (see Link to Practice 14-1).
Summary
This chapter has presented five families of theories that attempt to explain human behavior. Although each
theory emphasizes a different concept or viewpoint, no one theory best explains the complexity of human
behavior. The psychodynamic theories attempt to explain an individual’s behavior in terms related to the
development of the self that is formed by adulthood. The behavioral theorists believe that behavior is learned
by reinforcement, whereas the cognitive theorists believe that the reinforcements are related to an individual’s
thought patterns.
Humanistic theories propose that individuals have within themselves the capacity to change. This potential
for healthy and creative growth occurs throughout the individual’s life span; thus, the behavior of an
individual is a dynamic process. The stress-adaptation theories are associated with behaviors identified with
the way a person adapts to stress through individual coping mechanisms. Finally, the social psychology
theories look at how a person changes and explores ways to incorporate change through the promotion of
health. Table 14-4 offers a brief comparison of these theories.
Table 14-4 Comparison of Behavioral Theories
Theory Theorist Emphasis Key Concepts
Psychodynamic Freud The study of unconscious
mental processes of the
psychodynamics of
behavior
Personality structure: id, ego,
superego; libido, pleasure principle,
reality principle, instincts, stages of
psychosexual development
Erikson Psychosocial factors that
influence development
Id, ego, superego; conscious,
preconscious, unconscious;
developmental tasks; eight stages of
biopsychosocial development
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Sullivan Interpersonal experiences
that influence
development
Self-system, anxiety, security
operations, personifications, modes of
experience; stages of interpersonal
growth and development
Cognitive-
behavioral
Skinner Analysis of human
behavior observed in the
current situation
Operant Conditioning; positive and
negative reinforcement
Beck Cognitive distortions Arbitrary inference,
overgeneralization, selective
abstraction, magnification and
minimization, underlying
assumptions, entitlement, perfection,
automatic thoughts
Ellis The values and
assumptions that govern
much of people’s lives
ABC theory of Rational Emotive
Theory
Humanistic Maslow Fulfilling human potential Hierarchy of needs; self-actualization
Rogers Person-centered Organism and the self; congruence
and incongruence; positive regard and
self-regard
Stress-adaptation Selye Analysis of stress at the
physiologic and
biochemical levels of
functioning
Stressor, General Adaptation
Syndrome, alarm reaction, stages of
resistance, stages of exhaustion
Lazarus Cognitive model of stress Appraisal, coping, outcome
Social psychology Rosenstock Perceived threat and net
benefits
Perceived susceptibility, perceived
severity, perceived benefits, perceived
barriers, cues of action, self-efficacy
Ajzen and
Fishbein
People make rational
decisions based on the
information they have.
Intent, attitude, subjective norms
Prochaska People go through several
stages to make changes in
health behaviors.
Stages of Change, processes of
change, decisional balance; self-
efficacy
Tracy, in the opening case scenario, understands the complexity of humans and that using a single theory
will not fully explain all of the variables that are associated with behavior and its impact on health. Therefore,
most nurses adopt an eclectic approach to theory utilization in providing care. This means that the nurse
chooses concepts from various theories that best explain the behaviors of the person. Due to the
interrelatedness of the concepts in the theories (e.g., the self, anxiety, hope, development, cognitions,
reinforcements, empowerment, health promotion), concepts from multiple theories can be used. The concepts
from the various theories chosen for the individual will depend on the patient’s particular behavior, needs, or
problems. By knowing how behavior is formed, the nurse can better plan effective care to change behaviors to
improve health.
Key Points
Theories from behavioral sciences are very widely used by nurses in practice and research.
Psychodynamic theories and theories that focus on development stages that are studied and used by nurses
include the works of Freud, Erikson, and Sullivan.
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Commonly used behavior and cognitive-behavioral theories include the works of Skinner, Beck, and Ellis.
Human needs theories (e.g., Maslow and Rogers) and stress theories (e.g., Selye and Lazarus) are among the
most commonly applied behavioral theories in nursing practice.
The Health Belief Model, the Theory of Reasoned Action (Theory of Planned Behavior), and the
Transtheoretical Model are social psychology theories widely used by nurse researchers.
Learning Activities
1. Consider the case of a school nurse who is working with a 14-year-old student suspected of
being addicted to alcohol. Discuss with classmates what concepts from the various theories
described could be used in planning nursing interventions. Using the theories from social
psychology, how could the nurse set up a health-promotion campaign for a teenage drug and
alcohol program?
2. Consider the following case: A 30-year-old woman arrives in the emergency department. She
is diagnosed with a drug overdose. Assessment data reveal the following information: she has
three children (18 months, 4 years old, and 14 years old); she is in the process of her second
divorce; she took 25 diazepam (Valium) tablets (2 mg/tablet), which her doctor had given her
for stress; she is unemployed; and she did not graduate from high school. Which theory (or
theories) should be used to direct her care? What concepts from other theories could be used
to enhance her care?
3. Consider the following case: A 65-year-old woman is being admitted for a mastectomy due to
cancer. She expresses fear and depression during the nursing assessment. What concepts from
the various theories could be used in planning her care? How might her care be changed if the
woman were 25 years old or 45 years old? How have the social psychology theories been used
in promoting breast cancer awareness?
4. Consider the following case: A 52-year-old man is admitted to the hospital for hypertension
for the third time in the past year. Each time, he stopped taking his medications because he
was “feeling good.” What concepts from the various theories could be used to change his
behavior? How could the nurse set up a health-promotion program for managing hypertension
in the hospital? In the community?
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15
Theories From the Biomedical Sciences
Melanie McEwen
Maria Leon is in her final year of a graduate program preparing to become a certified registered nurse
anesthetist (CRNA). During the course of her graduate education, Maria observed that most people reported a
burning sensation as propofol (a drug used to induce general anesthesia) was administered intravenously (IV).
In conducting a review of the literature and discussing her observations with other CRNAs, Maria found
several techniques used to minimize the injection pain. Based on this information, Maria decided that she
would like to conduct a research study to examine the effectiveness of using lidocaine to reduce the injection
pain of propofol. This project would fulfill the capstone requirement for her master’s degree.
A literature review of pain management led Maria to the Gate Control Theory (GCT) (Melzak & Wall,
1982), which posits that there is a gating mechanism in the spinal cord. When pain impulses are transmitted
from the periphery of the body by nerve fibers, the impulses travel to the dorsal horns of the spinal cord,
specifically to the area of the cord called the substantia gelatinosa. According to the theory, when the gate is
open, pain impulses ascend to the brain; when the gate is partially open, only some of the pain impulses can
pass through. Pain medication has an effect on the gate, and if pain medication is administered before the
onset of pain, it will help keep the gate closed, allowing fewer pain impulses to pass through.
In planning her research project, Maria used the GCT to guide the design and structure of the study. For
the study, she decided to compare two techniques for pain prevention. One technique involved mixing 20 ml
of a 1% propofol solution with 5 ml of a 2% lidocaine solution and injecting 1 ml of the mixture immediately
before administration of the propofol. The second technique involved the placement of a tourniquet inflated to
50 mmHg on the arm in which the IV access device was placed. Then, 5 ml of 2% lidocaine would be
injected, and the tourniquet would be removed 1 minute later; propofol would then be injected. A time frame
of 20 seconds would allow the clients to report pain in the arm before the propofol took effect. Maria also
planned to have a control group that did not have either of the pain prevention interventions.
If the theory was correct, Maria hypothesized that both experimental groups would have less pain from the
injection because the gate that allowed pain sensations would not open or would only partially open. She did
not know which of the two experimental procedures would be more effective in preventing pain but was
enthusiastic about conducting the study and adding to the body of knowledge on pain prevention in
anesthesia.
Theories from the biomedical sciences (e.g., biology, medicine, public health, physiology, pharmacology)
have had a tremendous impact on nursing practice since Nightingale’s time. Indeed, many of these theories
are so integral to nursing practice that they are overlooked or taken for granted. For example, at the beginning
of the 21st century, the Germ Theory seems almost too elemental to mention because even kindergarten
children are taught the basic concept of germs and how to prevent infection. But nurses should recognize the
relatively recent discovery of this revolutionary theory (late 1800s) and understand that a significant amount
of nursing care is based on it. Other theories, concepts, and principles are similarly ingrained within nursing
practice.
Biomedical theories have been the basis for research efforts of physiologists, physicians, and laboratory-
based scientists for many years. Nurses have also been involved in research of this type and are increasingly
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directing studies that have a physiologic or biologic basis. As with any study, the underlying theories or
conceptual frameworks may be broad (e.g., Germ Theory) or very narrow (e.g., Gate Control Theory [GCT]).
This chapter presents some of the most commonly used theories and principles from the biomedical
sciences to illustrate how they are being used in studies conducted by nurses and applied in nursing practice.
The number of these theories is staggering; thus, space allows for discussion of only a few. Although there is
some overlap, the theories will be grouped into two large categories: theories of disease causation (e.g., Germ
Theory, natural history of disease) and theories related to physiology (e.g., stress and adaptation, cancer
causation, pain).
Theories and Models of Disease Causation
On a day-to-day, moment-to-moment basis, nurses in practice use any one of a number of concepts,
principles, and theories from biology and public health. These theories are often related to disease causation
and progression. This includes pathogenesis and infection as well as multiple epidemiologic concepts and
principles (e.g., risk factor, exposure, prevention). This section provides a review of a few of these principles,
theories, and models and shows how they are used in nursing practice and nursing research.
Evolution of Theories of Disease Causation
Disease refers to any condition that disturbs the normal functioning of an organism, whether it affects one
organ or several systems. The term has also been defined as the failure of an organism to respond or adapt to
its environment. The concept has changed dramatically over the course of time, however, and ideas about the
cause of disease have been influenced by the prevailing culture and scientific thought.
In ancient times, disease was frequently viewed as a divine intervention or punishment. Early human
beings attributed diseases to the influence of demons or spirits, and magic was a large part of treatment and
prevention. As time passed, other interventions or treatments, such as the use of plant extracts, became more
common.
As humans formed into societies and distinct cultural groups, two trends, or approaches, to medicine
evolved. Sorcerers and priests embraced a magico-religious approach, whereas early physicians and scientists
developed an empirico-rational approach. The empirico-rational approach was based on experience and
observation and was practiced at first by priests but was adapted by nonclerical physicians. Modern medicine
arose primarily from the empirico-rational approach as the human body and its functions became better
known and as science led medical practice away from superstition and focus on the spiritual realm to include
scientific processes and reasoning.
In the 17th century, William Harvey, an English physician and anatomist, demonstrated the dynamics of
blood circulation (Donahue, 2011). Detailed studies of the organs, diseases, and processes, such as physiology
and respiration, quickly followed, conducted by eminent physicians and scientists of the time. Medical
debates focused on minute features of the body and how to treat particular diseases. Philosophies and theories
developed that were largely reductionistic and deductive, focusing on cause and effect; the medical model
quickly evolved.
In the latter part of the 19th century, scientists began to unravel the basic causes of infectious disease.
Modern medicine began with the advent of Pasteur’s Germ Theory, which posited that a specific
microorganism was capable of causing an infectious disease (Black & Hawks, 2009). The focus on single-
agent or single-organism cause for disease persisted for a number of decades and resulted in multiple
successes in both treating and preventing communicable diseases. Today, however, the predominant general
model of disease causation is multicausal, involving invasive agents, immune responses, genetics,
environment, and behavior.
A number of theories and models describe disease causation and the properties that relate to disease
processes and prevention. Some of the most frequently encountered models in nursing practice and research
are discussed in the following sections.
Germ Theory and Principles of Infection
Louis Pasteur first proposed the Germ Theory in 1858. He theorized that a specific organism (i.e., a germ) was
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capable of causing an infectious disease (Kalisch & Kalisch, 2004). Today, this seems like a simple theory,
but it is one that was critical to the development of modern medical care. Its impact has been phenomenal and
has helped to radically reduce the number of deaths from infection.
Overview
At the beginning of the 21st century, theories of infection are most often applied to prevent infection (e.g.,
practicing strict handwashing, cleansing a scrape and applying antibiotic ointment, or prophylactically treating
a surgery client with antibiotics) or to describe the process that seeks to identify, understand, and manage
infectious diseases. This process initiates the search for the causative agent of an infection and method(s) of
transmission. Once this has been accomplished, the focus can shift to the development of ways to prevent and
treat the disease.
One of the most dramatic examples of this process was the outbreak of AIDS. The syndrome was first
identified by the Centers for Disease Control and Prevention (CDC) in September of 1982, but months passed
before it was determined that the causative agent was a retrovirus, later termed HIV (Shi & Singh, 2015).
Early in the process, even before the virus was isolated, methods of transmission (e.g., sexual, transplacental,
via blood products) were recognized and interventions for prevention proposed. Research on treatment has
produced somewhat successful results in recent years and is ongoing.
Another example involves bovine spongiform encephalopathy (BSE), or mad cow disease, and its
relationship with Creutzfeldt–Jakob disease (CJD). It has been hypothesized that the causative agent of BSE is
a prion, which is not truly a germ, but a protein that is transmitted through ingestion of contaminated meat;
the principles of infection, however, are similar (Secker, Hervé, & Keevil, 2011). Much additional work will
be necessary to support this theory and to enhance preventive efforts. Ultimately, it is hoped that effective
treatments for CJD will be found.
Lastly, a more recent example relates to Zika virus infection and severe birth defects—particularly
microcephaly. In this example, an outbreak of Zika virus infection was initially recognized in Northeastern
Brazil in early 2015 (Schuler-Faccini et al., 2016). By September of that year, 35 cases of microcephaly were
reported in areas affected by the outbreak. This lead public health officials to determine a “possible
association” between Zika virus and the birth defects. This designation was subsequently changed to a
“causal” relationship following more detailed, in-depth review of the evidence (CDC, 2016).
Application to Nursing
Research studies use the Germ Theory to identify the causes or agents of infection. For an infection to occur,
the host must be susceptible to the invasive organism. This susceptibility may be termed risk. For example, a
person who has experienced severe burns is at higher risk of infection because one of the first lines of defense,
the skin, is damaged. Many nursing articles that present practice guidelines and nursing research studies have
focused on prevention and management of infection as well as identifying factors that place an individual at
risk for developing infections. These studies and guidelines use principles from the Germ Theory, although
this is rarely acknowledged.
Examples from recent literature that detail aspects of nursing practice related to prevention of infection
include interventions to promote hand hygiene (Foote & El-Masri, 2016; Hohenberger, 2015; Kukanich, Kaur,
Freeman, & Powell, 2013), guidelines for prevention of infections related to urinary catheters (P. Johnson,
Gilman, Lintner, & Buckner, 2016; L. Williams, 2016b), and strategies to prevent ventilator-associated
pneumonia in intensive care unit (ICU) patients (Klompas, 2015). Upshaw-Owens and Bailey (2012) and
Chun, Kim, and Park (2015) described efforts nurses can use to prevent methicillin-resistant Staphylococcus
aureus (MRSA) infection in hospitals and primary care settings, respectively. With respect to the previous
discussion of Zika virus, strategies to prevent infection and manage complications were presented by Coyle
(2016) and L. Williams (2016a).
The Epidemiologic Triangle
The classic epidemiologic model, particularly useful in the depiction of communicable disease, is the
Epidemiologic Triangle (Figure 15-1). This model is often used to illustrate the interrelationships among the
three essential components of host, agent, and environment with regard to disease causation. A change in any
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of the three components can result in the disease process. For example, exposure at school (environment) of a
child who has not been immunized (host) to the measles virus (agent) will probably result in a case of
measles.
Figure 15-1 Epidemiologic Triangle.
Within the Epidemiologic Triangle, prevention of disease lies in averting exposure to the agent, enhancing
the physical attributes of the host to resist the disease, and minimizing any environmental factors that might
contribute to disease development. Host, agent, and environmental factors that affect health can also influence
progression of the disease process. Host factors include age, gender, race/ethnicity, marital status, economic
status, state of immunity, and lifestyle factors (e.g., diet, exercise patterns, hygiene, occupation, sexual
health). Agent factors include presence or absence of biologic organisms (e.g., bacteria, fungi, viruses),
exposure to physical factors (e.g., radiation, extremes of temperature, noise), and exposure to chemical agents
(e.g., poisons, allergens, gases). Last, environmental factors include such things as physical elements or
properties (e.g., climate, seasons, geology), biologic entities (e.g., animals, insects, food, drugs), or
social/economic considerations (e.g., family, public policy, occupation, culture) (M. McEwen & Pullis, 2009).
The Web of Causation
To explain disease and disability caused by multiple factors, MacMahon and Pugh (1970) developed the
concept of “Chain of Causation,” later termed the “Web of Causation.” Prior to that time, it had been observed
that chronic diseases (i.e., coronary artery disease and most types of cancer) are not attributable to one or two
factors or causative agents. Rather, they result from the interaction of multiple factors.
Overview
An example of the application of the Web of Causation to the development of coronary heart disease is
presented in Figure 15-2. The Web of Causation can also be applied to many health-related threats and
conditions. The problem of teenage pregnancy, for example, is attributable to a complex interaction among a
number of causative and contributing factors, including lack of knowledge about sexuality and pregnancy
prevention, lack of easily accessible contraception, peer pressure, low self-esteem, social patterns in which
teen mothers are more likely to be children of teen mothers, use of alcohol or other drugs, and so on. Family
violence, cocaine use, and gang membership are examples of other threats to health and well-being that can be
more accurately explained through a model of multiple causations.
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Figure 15-2 Web of Causation.
(Adapted with permission from Friedman, G. D. [1994]. Primer of epidemiology [4th ed.]. New York, NY:
McGraw-Hill.)
Recognition that many health problems have multiple causes leads to the recognition that there are rarely
simple solutions to these health problems. When trying to manage teen pregnancy, for example, the solution is
not as simple as addressing a knowledge deficit regarding sexuality and contraception. Many (if not most)
teens are well informed about contraception and the mechanics of how one gets pregnant, and they still fail to
take preventive measures. To prevent heart disease in an individual at risk, interventions include health
education addressing a number of areas, including smoking cessation, weight loss, cholesterol reduction, and
exercise. Likewise, to prevent teen pregnancy, interventions should include health teaching on improving self-
esteem, participating in role-playing exercises on how to say “no,” encouraging orientation toward the future,
enhancing parental supervision, and providing recreational alternatives (sports and other after-school
activities), as well as giving information on sexuality, the mechanics of reproduction, and methods of
contraception.
Application to Nursing
Nurses have developed interventions and proposed strategies to address complex health problems with
multifactorial etiologies. For example, from a large-scale, literature synthesis, García-Fernández, Agreda,
Verdú, and Pancorbo-Hidalgo (2014) organized risk factors for development of pressure ulcers among
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hospitalized individuals into a middle range theory. The risk factors included mobility, exposure to
moisture/incontinence, mental state, nutrition, activity, predisposing disease, age, temperature and
medications.
In another study, N. L. Johnson, Giarelli, Lewis, and Rice (2013) provided an overview of the
correlational factors that are believed to contribute to development of autism spectrum disorder (ASD). These
were broadly grouped into environmental factors (e.g., exposure to high levels of pollutants, viral infection
during pregnancy, use of assisted reproductive therapies), and genetic factors (i.e., “genetic susceptibility” and
“de novo mutations” [new, spontaneous mutations]). The researchers also described nursing implications
including promotion of knowledge and skills to assess genetic risk, advocacy for families, and encouragement
to assess for possible ASD in encounters with children.
In other works, Matthews and Moore (2013) examined the risk factors associated with sudden unexplained
infant death (SUID)/sudden infant death syndrome (SIDS), and Phillippi and Roman (2013) reported on the
factors that facilitated or hindered patient access to prenatal care. In theory-specific examples, Katerndahl,
Burge, Ferrer, Becho, and Wood (2014) used the Web of Causation to describe the complex dynamics in
violent familial relationships, and Siegel (2007) used the Web of Causation as the theoretical framework in
her examination of the predictors of overweight in children in sixth, seventh, and eighth grades.
Natural History of Disease
The natural history of a disease refers to the progress of a disease process in an individual over time.
Overview
In their classic model, Leavell and Clark (1965) described two periods in the natural history of disease,
prepathogenesis and pathogenesis. In this model, the prepathogenesis stage occurs prior to interaction of the
disease agent and human host when the individual is susceptible. For example, an adult male smokes, a
teenage girl considers becoming sexually active, or a preschooler attends a party also attended by a sick child.
After exposure or interaction, the period of prepathogenesis proceeds to early pathogenesis (i.e., alterations in
lung tissue, pregnancy, chicken pox) and on through the disease course to resolution—either death, disability,
or recovery (i.e., lung cancer, teen motherhood, immunity to chicken pox).
In addition to the description of the natural history of disease progression, Leavell and Clark (1965) also
outlined three levels of prevention—primary prevention, secondary prevention, and tertiary prevention—that
correlate with the stages of disease progression (Box 15-1). Each of the three levels of prevention is applied at
the appropriate stage of pathogenesis in an attempt to halt progression (Figure 15-3). Thus, at the primary
prevention stage, interventions focus on general health promotion activities (e.g., encouraging a healthful diet
and promoting regular exercise) and efforts to prevent specific health problems (e.g., vaccination, encouraging
use of seatbelts and car seats, promoting oral hygiene).
Box 15-1 Levels of Prevention
Primary prevention: Activities that are directed at preventing a problem before it occurs. This includes
altering susceptibility or reducing exposure for susceptible individuals in the period of prepathogenesis.
Primary prevention consists of two categories: general health promotion (e.g., good nutrition, adequate
shelter, rest, exercise) and specific protection (e.g., immunization, water purification).
Secondary prevention: Early detection of and prompt intervention for a disease or health threat during the
period of early pathogenesis. Screening for disease and prompt referral and treatment are secondary
prevention.
Tertiary prevention: Consists of limitation of disability and rehabilitation during the period of advanced
disease and convalescence, where the disease has occurred and resulted in a degree of damage.
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Figure 15-3 Natural history of disease.
(Adapted with permission from Leavell, H. R., & Clark, E. G. [1965]. Preventive medicine for the doctor in
his community: An epidemiologic approach [p. 18]. New York, NY: McGraw-Hill.)
Secondary prevention is concerned with early detection and would include any screening activity (e.g.,
mammography, cholesterol screening) and subsequent efforts to limit disease progression for those identified
with a health condition (e.g., taking statin medications, lumpectomy with radiation/chemotherapy). Last,
tertiary prevention involves efforts to enhance rehabilitation and convalescence following advanced disease.
Application to Nursing
Much of nursing practice focuses on efforts to prevent the progression of disease at the earliest period or
phase using the appropriate levels of prevention. There are many examples of applying primary prevention
strategies in practice. These include efforts to prevent polypharmacy among community-dwelling older adults
(Harvath, Lindauer, & Sexson, 2016); maternal morbidity and mortality (Logsdon, 2016); multidrug-resistant,
gram-negative infection in surgical patients (Murphy, 2012); skin cancer in adults (Roebuck, Moran,
MacDonald, Shumer, & McCune, 2015); falls among older adults (Morgan et al., 2017); and cardiovascular
disease through use of statins (Sherrod, Sherrod, & Cheek, 2015).
Excellent examples of nursing interventions targeted to secondary prevention are also common in the
nursing literature. Examples include a program to promote screening for perinatal depression among Special
Supplemental Nutrition Program for Women, Infants, and Children (WIC) recipients (Fritz, 2015), discussion
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of the importance of screening for human papillomavirus (HPV)-related oral cancer (Katz, 2017), guidelines
for depression screening among adolescents with diabetes (Dever, 2016), elder abuse screening (Stark, 2012),
and community-based screening promotion to detect colorectal cancer (Weyl et al., 2015).
Tertiary prevention efforts include information to help nurses work to promote follow-up with
recommendations among colorectal cancer survivors (Hawkins et al., 2015), prevent complications of
hemodialysis through promotion of exercise (Hannan, 2016), and prevent tumor lysis syndrome among cancer
patients (Kaplow & Iyere, 2016).
Finally, Jones-Parker (2012) presented a detailed overview examining all three levels of prevention
intended to assist nurse practitioners in preventing cardiovascular disease in HIV-positive patients, and Klemp
(2015) outlined multilevel preventive strategies for nurses to address breast cancer prevention across the
cancer care continuum.
Theories and Principles Related to Physiology and Physical Functioning
Many theories based on the normal physiologic functioning of the body are used in nursing practice and
research. Although much of normal physiologic functioning is regarded as fact (e.g., the heart pumps blood,
the lungs exchange oxygen and carbon dioxide), a great deal of research still is being conducted to uncover
the mysteries of the body’s physiology. Therefore, theories of physiologic functioning still need to be
developed and tested.
Over the past century, scores of theories, principles, and concepts related to physiology and physical
functioning of humans have been developed. Among others, these include theories and principles of aging,
immunity, wound healing, cancer development, inflammation and infection, hormone action, nutrition,
metabolism, and body systems (renal system, pulmonary gas exchange, cardiovascular physiology, and
nervous system functioning). Space does not allow detailed explanation or presentation of multiple, similar
theories on one topic. Rather, some of the most frequently cited examples from the nursing literature are
discussed. These include principles or theories of homeostasis, stress and adaptation, immunity and immune
function, genetics, cancer, and pain.
Homeostasis
Claude Bernard, a physiologist in the 20th century, first conceived the idea of homeostasis. He hypothesized
that an organism must have the capacity to maintain its internal environment to live. A 20th century physician,
Walter Canon, developed the concept of feedback mechanisms to further explain Bernard’s principles of
regulation.
Overview
Canon coined the term homeostasis, referring to the dynamic equilibrium and flexible ongoing processes that
maintain certain biologic factors within a range (S. Grossman, 2014b). The principles of homeostasis state
that all healthy cells, tissues, and organs maintain static conditions in their internal environment.
Dr. Eugene Yates introduced the related concept of homeodynamics to show that there is continuous
change in physiologic processes (e.g., heart rate, blood pressure, nerve activity, hormonal secretion) based on
changes within or external to the organism. Thus, to survive, the body system depends on a dynamic interplay
of multiple regulatory mechanisms (Lipsitz, 2001). Homeostasis or homeodynamics includes physiologic
principles often described in terms of organ-based systems (e.g., cardiovascular, respiratory, endocrine,
immune, and neurologic systems). However, in reality, the body systems are integrated and are continually
adapting to environmental changes.
As a result, a new term, allostasis, has been used to recognize the complexity and variability of the levels
of activity needed to reestablish or maintain homeostasis. In that regard, allostasis is a “dynamic process that
supports and helps the body achieve homeostasis” (Jansen & Emerson, 2014, p. 13).
Application to Nursing
There are a number of illustrations of how principles of homeostasis are applied in nursing practice. For
example, Walker (2016) reviewed the key assessment parameters for monitoring fluid and electrolyte
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imbalance, highlighting the need for maintenance of homeostasis. A team led by Chapa (Chapa et al., 2014)
explained the complex pathophysiologic interactions of neurohormonal responses experienced by heart failure
patients with comorbid diagnose of depression or anxiety. They concluded that understanding the role of
neurohomones and the effect they have on the autonomic nervous system is key to developing and
implementing appropriate interventions for complex heart failure patients. In an interesting article, Outland
(2010) described homeostasis as “a cornerstone of holistic care” (p. 36) and presented the notion of “intuitive
eating” to help restore and maintain “weight homeostasis” (a dynamic interaction between hormones,
proteins, and neurotransmitters) to help control weight. Finally, Premji (2014) attempted to identify indicators
of perinatal distress and protective factors and processes that promote resilience and allostasis—or ongoing
adaptation—among pregnant women in low- and middle-income countries. Similarly, Ewen and Kinney
(2014) focused on “allostasis” in their examination of adaptation of elderly women as they relocated to senior
housing facilities.
Stress and Adaptation: General Adaptation Syndrome
In addition to the principles of homeostasis, Walter Canon also developed the concept of fight or flight to
explain the body’s reaction to emergencies.
Overview
The fight-or-flight response prepares the body for muscular activity (i.e., running, self-defense) when reacting
to a perceived or actual threat. This process is a series of chemical reactions that are initiated by the adrenal
medulla, which produces epinephrine (adrenaline) and norepinephrine. This reaction increases the heart rate,
respiratory rate, blood pressure, and blood glucose levels. Blood is shunted to the muscles of the legs, heart,
and lungs from the intestines; this prepares the body for quick response to danger (Jansen & Emerson, 2014).
In the 1960s and 1970s, Hans Selye built on Canon’s work by developing a framework to describe how
the body responds to stress. Selye derived his theories of stress from the observations he made while caring
for people who were ill. The clinical manifestations he noted were loss of appetite, weight loss, feeling and
looking ill, and generalized muscle aching and pains. Selye called this response the General Adaptation
Syndrome (GAS) because it involved generalized changes that affect the body.
Selye believed that changes in organs occur in three stages. Stage 1, the alarm phase, begins with the
fight-or-flight response. In this stage, the adrenal glands enlarge and release hormones including
adrenocorticotropic hormone (ACTH). This increases blood glucose and depresses the immune system. If the
stress continues, the body begins to experience detrimental changes (e.g., shrinkage of the thymus, spleen,
lymph nodes, and other lymphatic structures). Other physical manifestations, such as gastric and duodenal
ulcers, can also develop.
Stage 2 (resistance) occurs when the body starts to react and return to homeostasis. If the stressor ends, the
body should be able to return to normal. Stage 3 (exhaustion) occurs when the stressor persists and the body
cannot continue to produce hormones as in stage 1 or when damage has occurred to other organs (Table 15-1)
(Selye, 1976).
Table 15-1 Selye’s Stages of Stress
Stage Characteristics Physical Responses
Alarm Begins with alarm; body prepares for
survival (fight or flight); physiologic
changes are coordinated by the central
nervous system (CNS) and the sympathetic
nervous system (SNS), which stimulates the
adrenal medulla to secrete norepinephrine
and epinephrine; the adrenal cortex is
stimulated by the pituitary gland’s release
of ACTH.
CNS involuntary responses include
secretion of specific hormones and
metabolism and fluid regulation. SNS
responses include increased heart rate,
contraction of the spleen, release of
glucose, increase in respiratory rate,
decrease in clotting time, dilation of pupils,
increased perspiration, and piloerection
(hairs standing on end).
Resistance The body recognizes a continued threat and Adaptation implies return or improvement
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physiologic forces adapt to maintain
increased resistance to stressors; begins
with a decrease in adrenocorticotropic
hormone (ACTH), and the body
concentrates on organs that are most
involved in the specific stress responses.
in physical health. Ineffective resistance
leads to a state of maladaptation in which
there is deterioration in the level of physical
functioning. Chronic resistance eventually
causes damage to the involved systems.
Exhaustion The body enters exhaustion when all energy
for adaptation has been used; ACTH
secretion increases and the organ or organ
systems show evidence of deterioration.
Symptoms include hypertrophy of the
adrenal glands, ulceration in the
gastrointestinal tract, and atrophy of the
thymus gland.
Selye thought that the body’s response to stress is nonspecific; that is, the body reacts as a whole
organism. Also, it is not just bad things that cause stress but good things as well. Health conditions thought to
be related to stress include cancer, hypertension, heart disease, cerebrovascular accident, peripheral vascular
disease, asthma, tuberculosis, emphysema, irritable bowel syndrome, sexual dysfunction, obesity, anorexia,
bulimia, connective tissue disease, ulcerative colitis, Crohn disease, infections, and allergic and
hypersensitivity diseases.
Selye’s syndrome theory has been the basis of many studies. Holmes and Rahe (1967) conducted one
classic study. They proposed that a large number of life changes cause stress, which in turn may cause
disease. The researchers asked individuals of various socioeconomic and cultural groups to rank a number of
life changes according to the amount of energy needed to adapt to change. These events were ranked, and a
certain number of life change units (LCUs) were assigned to each one. This scale was named the Social
Readjustment Rating Scale (SRRS). The total number of LCUs experienced by a person accumulates over
time and theoretically indicates the amount of stress a person has experienced. A significant accumulation of
stress increases the likelihood of an incidence of major illness.
Application to Nursing
A number of nurses have used the SRRS in recent research studies. One study (Staniute, Brozaitiene, &
Bunevicius, 2013) used the SRRS to examine the effects of social support and stressful life events on health-
related quality of life among coronary artery disease patients. Another work (Ngai & Ngu, 2014) used the
SRRS to study depressive symptoms in Chinese childbearing couples focusing on family sense of coherence,
stress, and family and marital functioning, and a third study used the SRRS to examine whether self-esteem
and self-efficacy were predictive of attrition among nursing students in associate degree programs (Peterson-
Graziose, Bryer, & Nikolaidou, 2013). In a similar way, Ganz (2012) studied stress among ICU nurses, using
the GAS as a framework.
In a discussion relative to nursing practice, Okonta (2012) conducted an integrative research review to
examine whether yoga is effective in reducing high blood pressure using Selye’s model as a framework.
Finally, Kang, Rice, Park, Turner-Henson, and Downs (2010) described creation of an “integrated
biobehavioral model” (p. 735) designed to be a framework for conducting research on stress and
inflammation. This model was adapted from Selye (1976), Lazarus and Folkman (1984), and B. S. McEwen’s
(2003) Allostatic Load Theory.
Theories of Immunity and Immune Function
The immune system comprises a complex, coordinated group of systems that produces physiologic responses
to injury or infection. The purpose of the immune system is to neutralize, eliminate, or destroy
microorganisms that invade the body. Extensive interactions affect the manufacture of products that alter the
structure and function of cells.
Overview
Immunity involves specific recognition of what is designated as an antigen, memory for particular antigens,
and responsiveness on reexposure. The immune system is related to other systems involved in inflammation
and healing. Each system is involved in the response of inflammation and has two characteristics: (1)
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recognition of a stimulating structure by specific receptors and (2) response by one or more effector elements
that aims to alter or eliminate the stimulating structure.
The immune system contains a large variety of cells, called leukocytes, that protect the body against
foreign invasion. The five classes of leukocytes are neutrophils, eosinophils, basophils, monocytes, and
lymphocytes; each has a specific function in the immune response. The granulocytes (neutrophils,
eosinophils, and basophils) are short-lived phagocytic cells. They search out bacteria or cell debris and
destroy them through phagocytosis (Workman, 2016).
Monocytes mature into macrophages in tissues and defend against tumor cells. They secrete monokines
(i.e., interleukin-1) that assist in immune and inflammatory responses. Lymphocytes originate from stem cells
in the bone marrow and mature into either B or T cells. The T cells differentiate in the thymus gland, and the
B cells mature in the bone marrow. Both T and B lymphocytes continually recirculate between blood, lymph,
and lymph nodes. The surface of B lymphocytes is coated with immunoglobulin, and when the appropriately
matched antigen is detected by a B cell, the surface immunoglobulin will bind with it. The T lymphocytes
play a role in cell-mediated immunity. There are a variety of T cell subsets; some are regulatory T cells, which
include helper T cells and suppressor T cells (Black & Hawks, 2009).
The complement system consists of around 20 plasma proteins found in serum and on cells. The
complement system participates in inflammation by coordinating elements of the inflammatory response to
microorganisms and tissue injury through generation of peptides that initiate effects such as leukocyte
activation, chemotaxis, and mast cell degranulation. The system facilitates phagocytic function by coating the
target particle with biologically active peptides and fragments of molecules activating the system. A series of
proenzymes and other molecules initiate an attack on the cell membranes of microorganisms (Banasik,
2014b).
Antibody-mediated immunity involves antigen–antibody actions to neutralize, eliminate, or destroy
foreign proteins. Antibodies for these actions are produced by B lymphocytes. The B lymphocytes become
sensitized to a specific foreign protein (antigen) and synthesize an antibody directed specifically against that
protein. The antibody (rather than the actual B lymphocyte) participates in action to neutralize, eliminate, or
destroy that antigen. Cell-mediated immunity involves many leukocytic actions, reactions, and interactions.
Lymphocyte stem cells and lymphoid tissues regulate activities and inflammation by producing and releasing
cytokines. T lymphocytes can be natural killer cells or helper cells (T4 or Th cells) (Workman, 2016).
Application to Nursing
Principles of immune function can be used as a theoretical framework for research. A number of recent
nursing research studies can be identified that look at factors related to immune status. For example, a study
by Hughes, Ladas, Rooney, and Kelly (2008) concluded that as an adjunct intervention, massage therapy
helps reduce side effects of treatment and may boost immune function in children with cancer. In another
example, Kang and colleagues (2011) concluded that persistent practice of relaxation techniques might
positively influence immune responses in women diagnosed with breast cancer. Finally, in a correlational
study, Starkweather (2013) examined the relationship among fatigue, pain, psychosocial factors, and immune
activation in patients with persistent sciatica. She determined that immune activation associated with chronic
pain affects fatigue severity and may also affect other behavioral responses.
The interrelatedness of the nervous, endocrine, and immune systems were described in two works on
psychoimmunology. In one report, Yammine, Kang, Baun, and Meininger (2014) examined the literature and
found that psychosocial risk factors for cardiovascular disease are associated with elevated plasma
vasoconstrictive peptide endothelin-1. Another study led by Starkweather (Starkweather et al., 2017)
examined “clusters of psychoneurological symptoms and inflammation” (p. 167) in a longitudinal study of
women diagnosed with early-stage breast cancer.
Genetic Principles and Theories
Although genetic principles and theories date back to Gregor Mendel’s work in the 1860s, advances in
molecular biology have only recently begun to transform health care delivery. The Human Genome Project is
an organized effort initiated in 1990 and completed in 2003 to create a biologically and medically useful
database of the genome structure and sequence in humans. (The term human genome refers to the entire
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complement of genetic material contained on the 46 chromosomes.) It is anticipated that information gained
from the Human Genome Project will increase understanding of inherited conditions, both single-gene and
complex diseases, as well as responses to treatment (L. C. Grossman, 2014a; Quigley, 2015).
Overview
A gene is the fundamental and functional unit of heredity. It is composed of a double strand of DNA, and each
of the strands has thousands to millions of bases. The order of the bases codes information that directs the
manufacture of a specific protein (Banasik, 2014a). A gene mutation is an alteration in DNA coding that
results in a change in the protein product. Mutations in some genes cause clinical disease because of the
absence of the normal protein. Sickle cell anemia, for example, results when one base is substituted with
another.
Gene discoveries have provided information on genetic disorders that cause symptoms in a large
proportion of persons who have abnormal genotypes. Successes include the isolation of genes for cystic
fibrosis, neurofibromatosis, muscular dystrophy, Huntington disease, and some types of breast cancer
(Banasik, 2014a; L. C. Grossman, 2014b). Many other diseases have a genetic susceptibility component that
results from the interaction of multiple genes with environmental factors. Because these diseases involve
many genes and many possible mutations, an enormous number of combinations of genotypes are possible.
Determining the molecular pathophysiology of human disease will provide opportunities for diagnosis,
prevention, and treatment.
Application to Nursing
Genetics will greatly affect the way health care is practiced in the future, and nurses will need to incorporate
genetic technology and discovery into practice and research at the individual, family, and community levels
(see Box 15-2). Nurses familiar with genetics and who are able to “think genetically” can ask appropriate
questions of patients to assess genetic risk factors, communicate with patients and their families about
inherited risks, make referrals to genetic counselors, reinforce counseling, and administer gene therapy or
genetically specific drugs (see Link to Practice 15-1) (Calzone et al., 2012; Quigley, 2015; T. Williams &
Dale, 2016). Table 15-2 suggests a nursing model for application of genetics in health care illustrating how
and where genetics education can be added to basic nursing science. The result is preparation of the nurses for
“ecogenetic nursing.”
Box 15-2 American Association of Colleges of Nursing Essentials and Genetics
The American Association of Colleges of Nursing’s master’s of science in nursing (MSN) Essential 1 states,
“The master’s degree program prepares graduates to . . . Incorporate current and emerging genetic/genomic
evidence in providing advanced nursing care to individuals, families, and communities while accounting for
patient values and clinical judgment.” (AACN, 2006, p. 8).
Link to Practice 15-1
Calzone and colleagues (2013) discussed the expanding importance of genomics to nursing practice. They
reviewed how genomics provides information that enhances understanding of the biology of disease and
has resulted in new and more personalized therapies that can greatly influence health care decisions. They
explained that nurses have a responsibility to be informed about the potential benefits and challenges of
genomics and to use that knowledge to inform other health care professionals, individuals, families, and
communities.
Several ways that nurses can integrate genomic information into clinical practice were presented.
These are:
Preconception and prenatal testing
Newborn screening
Disease susceptibility
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Screening and diagnosis
Prognosis and therapeutic decisions
Monitoring disease burden and recurrence
Calzone and Jenkins asserted that timely and effective translation of genomics into health care will
require that currently practicing nurses be educated in genomics and future nurses must be taught essential
genetic and genomic competencies.
From Calzone, K. A., Jenkins, J., Nicol, N., Skirton, H., Feero, W. G., & Green, E. D. (2013). Relevance of genomics to healthcare and
nursing practice. Journal of Nursing Scholarship, 45(1), 1–2.
Table 15-2 A Nursing Model for Genetics in Health Care
Nursing Science Genetic Education Ecogenetic Nursing
Individual Caring behavior and
support role
Predictive genetic
testing
Educating patients on genetic testing
Care across the life
span
Gene discoveries for
diseases
Assisting patients to determine need for
testing
Patient counseling Genes in pedigrees Genetic consulting
Medication Pharmacogenetics Educating about individualized medication
therapy
Family Pedigrees Genetic role in
disease
Interpreting and sharing genetic risk and
health promotion
Health promotion Molecular
pathology
Individualizing genetic testing and health
promotion
Multidisciplinary
practice
Genetic specialist on
the health care team
Referring to and interfacing with genetic
specialists
Informed consent Genetic research
concerns
Explaining risks and benefits of genetic
study
Teaching and
counseling families
Genetic risks Assessing and counseling families—
reproductive risks and prenatal diagnosis
Community Community
assessment
Population-based
screening
Community readiness for genetic screening
and intervention
Design and
implement screening
programs and
follow-up service
Genetic testing Availability and voluntary access to genetic
information, testing, and assurance of
follow-up services
Population Clinical trials New technology Coordinating genetically focused research
Nursing research Genetic research Collaborative research: focusing on
ecogenetics, ethics, and psychosocial issues
Patient advocacy Ethical issues
surrounding genetic
tests
Ensuring that patients remain the priority of
clinical treatment and research
A practicing nurse must be sensitive to issues of ethics and confidentiality related to genetic testing and
genetic information. Indeed, genetics is one area of health care where technology precedes the ethical
framework for dealing with issues and creates problems previously unknown; nurses must be prepared to deal
with these problems (Camak, 2016; Halloran, 2015; T. Williams & Dale, 2016). Nurses knowledgeable in
genetics can ensure that patients and families make informed and voluntary decisions about genetic
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information. Nurses can also serve as patient advocates as they obtain informed consent to participate in
genetic clinical trials or to undergo genetic tests.
Nurses knowledgeable in genetics can have an important role in counseling patients at risk for complex
diseases. Because complex diseases occur much more frequently than single-gene disorders, and because the
number of diseases found to have genetic determinates is increasing rapidly, there will not be enough genetic
counselors to serve all who are at risk (Halloran, 2015; Quigley, 2015). Nurses must use their knowledge of
genetics to identify and differentiate genetic risks in patients with complex disorders and refer these patients
to a genetic counselor whenever appropriate (Prows, Hopkin, Barnoy, & Van Riper, 2013; Santos et al.,
2013).
Nurses are becoming more involved with managing genetic information because it is often collected and
recorded when the nurse takes a family history and obtains certain blood tests (e.g., screening for breast
cancer, sickle cell trait). Genetic testing and counseling combines the provision of genetic information with
psychosocial counseling. It is nondirective, voluntary, and personal and should precede testing to allow
informed decision making. Counseling should include an explanation of risk factors, exploration of the
person’s perception of the condition, and discussion of childbearing options. Potential outcomes of decisions
are examined to facilitate decision making, and follow-up counseling is recommended. Goals of genetic
counseling are to help clients and family members comprehend the medical genetic information, appreciate
the genetic contribution to health and illness, understand health options and alternatives, and make informed
health choices (i.e., whether to pursue further testing, evaluation, and treatment). Genetic counseling
frequently includes referral and follow-up for family members to gain more information and possible
treatment.
Nurses have also studied specific genetically based illnesses. For example, Jacobson, Tedder, and Eggert
(2016) reported on genetic implications for development and management of acute lymphoblastic leukemia in
adults. In another example, Snow and Lu (2012) examined genetic “inheritability” of risk for addiction and
described how understanding genetic predisposition to addiction to substances including nicotine, alcohol, or
illicit drugs can help nurses develop better and more directed educational materials as well as treatment
protocols. Finally, Plavskin (2016) reported on an interesting look at genetic and genomic-based approaches
to examination of the mechanisms of resistance, infection, and transmission routes of pathogens.
Cancer Theories
The altered behavior of cancer cells is thought to result from several factors, including exposure to chronic
irritants, chemicals, radiation, infectious agents, and genetic aberrations. Cancer cells are similar to normal
cells in their basic biology and biochemistry, but regulation of their proliferation and differentiation is
defective. Cells taken from malignant tumors typically differ from normal tissue cells in several ways. They
are less sensitive to differentiation-inducing factors, and they can divide indefinitely. Also, key regulatory
factors (i.e., oncogenes, tumor suppressor genes, and cyclins) are altered in cancer cells (S. Grossman, 2014a).
Overview
Cancer presents as a complex series of diseases involving multiple steps. In addition, there is often an
interaction among multiple risk factors (e.g., genetics, hormonal factors, immunologic mechanisms, radiation,
or cancer-causing viruses) or repeated exposure to a single carcinogenic agent (e.g., asbestos, nicotine). It is
thought to begin with an event that leaves a cell premalignant; this is followed by a number of promotional
steps that increase the potential for an initiated cell to become malignant. The strong age correlation (i.e.,
incidence increases with age) supports the concept that most cancers result from the cumulative impact of
multiple exposures over the lifetime (S. Grossman, 2014a).
One theory of cancer development suggests that cancer arises as a series of genetic errors (Cavenee &
White, 1995). In this theory, there are three stages of cancer development: (1) initiation (referred to as the
original genetic error), (2) promotion (genetic changes that continue and favor uncontrolled growth and
metastasis), and (3) progression or latency (uncontrolled growth and full-blown malignant activity) (Figure
15-4).
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Figure 15-4 Process of cancer development.
This theory of cancer development states that cancer begins with one change in a normal cell. That change
may alter cell production or cell function. This initiated cell may undergo additional malignant changes,
especially if the environment supports the malignant activity. The cancer process can be stopped during the
initiation stage, and even in the promotion stage, if the cellular environment is enabled to repair or control the
carcinogenic genetic alteration (Banasik, 2014c).
Between 30% and 40% of all cancer deaths are preventable by modifying lifestyle factors, such as tobacco
and alcohol use and diet. For example, it is thought that combined exposure to alcohol and smoking accounts
for approximately 75% of all oral and pharyngeal cancers. Alcohol alone contributes to about 3% of all
instances of colon, colorectal, esophageal, pancreatic, prostate, and breast cancers (Blattner, 2000). Table 15-3
lists some of the lifestyle, therapeutic, environmental, and host factors that appear to affect the development of
cancer.
Table 15-3 Factors That Contribute to Cancer Development
Factor Examples Type of Cancer
Lifestyle factors Use of tobacco and alcohol, diet Lung, oral, and pharyngeal cancers (smoking and
alcohol); colon and rectal cancer (alcohol, diet)
Therapeutic factors Medically prescribed drugs
(hormones, anticancer drugs,
immunosuppressive agents)
Vaginal and cervical cancer (in utero exposure to
diethylstilbestrol [DES]), endometrial cancer
(synthetic estrogens), breast cancer (possible link
to use of synthetic estrogens), leukemia (some
anticancer drugs), non-Hodgkin lymphoma (drug-
induced immunosuppression)
Environmental
factors
Ionizing radiation, ultraviolet
radiation, occupation, pollution,
some infectious agents
Skin cancers (ultraviolet radiation), leukemia and
thyroid cancer (ionizing radiation), lung cancer
(some occupations and pollutants), cervical
cancer (some subtypes of human papillomavirus),
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hepatocellular carcinoma (hepatitis B and C
viruses)
Host factors Inherent sensitivities to
carcinogenesis
Colon and rectal cancers (familial adenomatous
polyposis), site-specific breast cancers, cancer of
the ovary, retinoblastoma
Source: Blattner (2000).
Theories dealing with cancer have been tested in a multitude of studies, with a goal of identifying the
cause(s) of cancer, improving care, and ultimately finding cures. Studies that provided a basis for a
relationship between lifestyle and cancer prevention have been conducted. For example, a growing body of
evidence suggests that food choices, weight maintenance, and physical activity may have a protective effect
on carcinogenesis (Bail, Meneses, & Demark-Wahnefried, 2016; Hoffman, 2016; Kushi et al., 2012).
Application to Nursing
Several works were found that addressed aspects of cancer prevention and how nurses can promote these
activities. For example, a team lead by Mojica (Mojica et al., 2015) looked at factors that promote secondary
prevention activities related to cancer (e.g., breast, cervical, and colorectal cancer screening) among Hispanics
in the United States using community health workers. Weyl and colleagues (2015) also looked at
interventions to promote colorectal screening in a community setting, and another work examined nursing
interventions to increase women’s intention to get pap smears (Guvenc, Akyuz, & Yenen, 2013). Lastly,
Dickey, Cormier, Whyte, Graven, and Ralston (2016) reviewed protocols and recommendations to give nurses
more information on how to promote prostate screening among African American men to reduce related
health disparities.
An example of primary prevention for cancer was presented by Thomas (2016) who described strategies
nurses can use to overcome barriers and promote vaccination against HPV. Another interesting look at
primary prevention of cancer by nurses was presented by Rosenberg (2013) as she reviewed evidence of the
relationship between cell phone use and brain cancer. Citing a number of recent studies, she summarized
interventions to reduce exposure of children to radio frequency radiation and thereby potentially preventing
associated brain cancer. Finally, Jablonski and Duke (2012) presented a tertiary prevention look at how to best
manage pain in cancer patients living in rural areas.
Pain Management
Pain is a phenomenon that has received a great deal of attention in health care. Early pain theories emphasized
the specific pathways of pain transmission. Later theories attempted to uncover the complexity of central
processing of pain in specific areas of the brain. The specificity theory of pain, for example, was proposed in
the early 1800s. The theory was based on the recognition that free nerve endings exist in the periphery of the
body and suggested that there are highly specific structures and pathways responsible for pain transmission.
These nerve endings act as pain receptors that are capable of accepting sensory input and transmitting this
information along specific nerve fibers. This theory set the stage for further studies on pain and pain
management (Keene, McMenamin, & Polomano, 2002).
A biochemical theory of pain perception was proposed in the 1970s following identification of endorphins
and opioid receptors. This theory postulates that morphine-like substances attach to pain receptors to modulate
or decrease pain. Endorphin, which is synthesized in the pituitary and basal hypothalamus, is released into the
bloodstream from the pituitary gland and mediates pain at the spinal cord level through circulating spinal
fluid. Opioid receptors modulate pain by binding endogenous opioid peptides. When acute pain is elicited,
endogenous opioids are released and are associated with the stress response to modulate or decrease pain. If
pain-relieving medications are administered, they will attach to specified sites and result in pain relief. Pain
can be controlled with drugs that bind to receptors (Litwack, 2009).
Gate Control Theory
The GCT was proposed in 1965 to explain the relationship between pain and emotion. Melzack and Wall
(1982) concluded that pain is not just a physiologic response but that psychological variables (i.e., behavioral
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and emotional responses) influence the perception of pain. According to the GCT, a gating mechanism occurs
in the spinal cord. Pain impulses are transmitted from the periphery of the body by nerve fibers (A, delta, and
C fibers). The impulses travel to the dorsal horns of the spinal cord, specifically to the area of the cord called
the substantia gelatinosa. The cells of the substantia gelatinosa can inhibit or facilitate pain impulses that are
conducted by the transmission cells. If the activity of the transmission cells is inhibited, the gate is closed and
impulses are less likely to be conducted to the brain. When the gate is opened, pain impulses ascend to the
brain. Similar gating mechanisms exist in the descending nerve fibers from the thalamus and cerebral cortex.
A person’s thoughts and emotions can influence whether pain impulses reach the level of conscious awareness
(Bautista & Grossman, 2014; Helms & Barone, 2008).
The gate control model (Figure 15-5) differentiates the excitatory (white circle) and inhibitory (black
circle) links from the substantia gelatinosa to the transmission cells as well as descending inhibitory control
from brain stem systems. The round knob at the end of the inhibitor link implies that its action may be
presynaptic, postsynaptic, or both. All connections are excitatory, except the inhibitory link from substantia
gelatinosa to the transmission cell (Melzack & Wall, 1982).
Figure 15-5
Gate Control Theory. L, large-diameter fibers; S, small-diameter fibers; SG,
substantia gelatinosa; T, transmission.
(Adapted with permission from Watt-Watson, J. H., & Donovan, M. I. [1992]. Pain management [p. 20]. St. Louis, MO: Mosby.)
As mentioned in the case study, it is believed that pain medication has an effect on the gating mechanism.
If pain medication is administered before the onset of pain (i.e., before the gate is opened), it will help keep
the gate closed longer and fewer pain impulses will be allowed to pass through. The greater the degree of
pain, the greater the number of pain impulses passing through the gate. If fewer pain impulses are allowed
through the gate, the person will experience less pain. If the gate is allowed to open completely, a higher
dosage of pain medication is required to close the gate. Therefore, in theory, prevention and management of
pain are linked to keeping the gate closed.
Application to Nursing
The GCT has also been the model for several reports related to pain management. Lane and Latham (2009),
for example, presented aspects of the GCT in use of heat and cold therapy as nonpharmacologic interventions
to reduce pain in hospitalized children. Tansky and Lindberg (2010) performed a comprehensive literature
review on the use of breastfeeding as an intervention to reduce pain caused by immunization using the GCT as
a framework. They found that there is considerable evidence that it is an effective pain management
technique.
In nursing research, one study (Ngamkham, Holden, & Wilkie, 2011) used the GCT to examine pain
pattern responses in location, intensity, and quality among outpatients with cancer. Friesner, Curry, and
Moddeman (2006) used GCT as the framework in a research study to compare two strategies for removal of
chest tubes. They determined that encouraging slow, deep-breathing relaxation helps manage pain during
chest tube removal. Finally, one experimental study, Hatfield (2008) showed that administration of an oral
sucrose solution prior to immunization is effective in helping relieve pain in infants receiving routine
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vaccinations and a second experimental study (Jose, Sulochana, & Shetty, 2012) suggested that “skin tapping”
prior to immunization reduced pain responses in infants receiving diphtheria-pertussis-tetanus (DPT)
injection.
Summary
Nurses continually use concepts and principles from multiple biomedical theories in practice and in research.
Indeed, these concepts, principles, and theories are so integral to nursing that they are difficult to differentiate
and set aside for detailed inspection.
The biomedical theories used by nurses include theories of disease and disease causation as well as
theories related to physiology and physical functioning. Nurses, particularly advanced practice nurses such as
Maria from the case study, should study these theories. They should understand their relevance to nursing
practice and recognize how they are used and supported in nursing research.
Because of length constraints, only a few concepts and theories were described in this chapter. But it is
hoped that these discussions will lead the reader to recognize the importance of understanding theory and to
apply theory to guide practice and research. Ultimately, this will improve the care of clients.
Key Points
Theories from the biomedical sciences have greatly influenced nursing since Nightingale’s time.
Biomedical science theories used by nurses include theories from biology, medicine, public health,
physiology, and pharmacology.
Theories and models of disease causation commonly used by nurses include the “Germ Theory”
(principles of infection) and public health theories, such as the Epidemiologic Triangle and the Web of
Causation.
The Natural History of Disease Model outlines the concepts of health promotion as well as primary,
secondary, and tertiary prevention; these principles are used by nurses in all areas of practice and
research.
Theories and principles of physiology and physical functioning include homeostasis and theories of
stress and adaptation; both are commonly used by nurses in practice and research.
Theories and principles related to immunity and immune function are widely used in nursing practice
and are increasingly being studied in nursing research.
Nursing knowledge regarding genetics, genetic principles, and genetic counseling is growing, and
nurses are recognizing the importance of genetic factors on health.
Cancer theories, particularly related to prevention and early detection, are very important to nurses and
a source for study for nursing research and review for nursing practice.
Pain management is a vital part of nursing practice; nurses are continually researching how to improve
pain management.
Learning Activities
1. Search current nursing journals for research studies that use epidemiologic, biologic, or
physiologic theories as a framework. What theories are being tested?
2. Review the original work of one of the grand nursing theorists. Identify the epidemiologic,
biologic, or physiologic concepts that are components of the theory.
3. Following the example of CRNA student Maria in the opening case study, outline a potential
research study using one of the theories or models presented in this chapter as a framework as
depicted in the opening case study. Show how the model or theory can be used to generate
testable hypotheses.
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16
Ethical Theories and Principles
Cathy L. Rozmus and Jeffrey P. Spike
Heather Benson is currently midway through a program to obtain her doctor of nursing practice (DNP).
Heather is on faculty at a university-based nursing program where she has a group of eight undergraduate
students on the medical-surgical floor of a community hospital. Early one morning, one of Heather’s students
approached her for advice. The student was assigned to a 55-year-old female, Ms. M., who has terminal liver
cancer. Ms. M. has no immediate family and is jaundiced and cachectic with severe ascites. She is
semiconscious and is moaning almost continuously. When Ms. M. is touched or moved, she screams in what
appears to be pain. She is on a morphine drip for pain, and the student explained to Heather that the physician
has just ordered an increase in the morphine drip dosage. The student is concerned because Ms. M.’s
respiratory rate is 8 breaths per minute, and she is afraid that increasing the morphine dosage will reduce Ms.
M.’s breathing even more or perhaps stop it completely.
Heather’s educational program has included a course that presented various ethical theories and principles,
and she and her classmates discussed and debated how the main principles can be applied in everyday
situations encountered in their individual practices. In the course, she also completed an assignment applying
the Code of Ethics for Nurses With Interpretive Statements (American Nurses Association [ANA], 2015a) in a
case study. These activities helped her gain a much greater understanding of the ethical foundations for her
roles and responsibilities.
In consideration of the various ethical theories and principles and nursing responsibilities, how should
Heather advise her student?
Ethics is a branch of philosophy that involves the systematic study of how one should best live his or her life
and treat others. Ethics should not be confused with personal opinions, the law, politics, or religion. Although
all of these may influence how we make decisions, they are not “ethics.” Socrates (469–399 BCE) first
proposed the idea that ethics is a branch of philosophy. He posed the question, “Is something right because it
is commanded by the gods, or is it commanded by the gods because it is right?” (Austin, n.d.).
An ethical perspective—to do what is right—is foundational to nursing. Indeed, as mentioned in Chapter
1, a code of ethics is one of the defining characteristics of a profession, and nursing has met this characteristic
(ANA, 2015a). The nursing profession is widely respected, and nurses are perceived by the public as having
the highest ethical standards of any profession (ANA, 2015b). In their role as patient care providers and
advocates, nurses have defined responsibilities and expectations. These commitments involve basic duties to
respect and care for patients that do not consider social or economic status, personal attributes, or the nature of
their health problems (Winland-Brown, Lachman, & Swanson, 2015).
Bioethics is the systematic study of how to provide the best possible care in the health care delivery
system by evaluating “the impact of biological and technological advances on humans and what is
permissible” (Grace, 2009, p. 6). Ethical theories and principles present frameworks for how to examine
patient health–related issues and make decisions on the best course of action in difficult circumstances where
there is no single, obvious right or best decision or when there are two or more choices that are determined to
be incompatible. It is vital for all practicing nurses to have a basic understanding of their responsibilities to
society. For those who are in advanced practice or leadership roles, it is essential they are aware of the ethical
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foundations underlying the profession and how these ethical theories and principles are applied when making
choices and decisions for patient care.
Ethics and Philosophy: An Overview
Before addressing theories of ethics in nursing, it is important to begin with some semantic clarifications.
Theory in the Humanities and Philosophy
Although confusing, what is often called “theory” in the humanities may be distinct from philosophical
theories of ethics. “Theory” in the humanities usually refers to any one of a combination of ideas, hypotheses,
or propositions derived from a range of the humanities fields such as literary theory, postmodern theory in
sociology, and structuralism or poststructuralism in cultural anthropology. The word theory in these contexts
means a general and abstract method of interpreting a text, but it does not suggest the “theory” is either
rigorous or testable as is implied by the term scientific theory.
Philosophers generally regard something termed theory with indifference and consider that those inclined
to examine “theory” will have little background in philosophy. With that distinction, this chapter provides an
overview of “philosophical theories of ethics”—rather than “theory” per se.
Ethics Versus Morality
There is one more clarification that is important to the philosophical examination of ethics. One often sees the
word morality used interchangeably with ethics, but there is a need to distinguish between these two terms.
Although they have similar historical roots, they have diverged in meaning.
“Morality” is an accepted set of cultural beliefs about what is right and wrong behavior (Beauchamp &
Childress, 2013). Morality can be used to recognize and enforce the traditional social customs and values that
are widely shared by a cultural group. These customs or values, however, may be unsupported beliefs or
biases of dominant groups but not applicable to all. Ethics, in contrast, is the careful, reflective, critical, and
systematic study of morality with the objective of identifying rational and empirical justifications of how one
ought to treat other people or, more generally, how one should lead one’s life. Ethics, then, is the effort to
overcome the biases created by cultural or historical context or circumstances in order to make decisions more
fairly, objectively, or scientifically. The critical difference is the requirement of objective justifications
(Adams, 2011).
The ANA (2015a) expanded on the distinctions by observing that morality refers to “personal values,
character, or conduct of individuals or groups,” whereas ethics is “the formal study of that morality from a
wide range of perspectives including semantic, logical, analytics, epistemological and normative” (p. xi). One
might describe ethics as evidence-based or critically assessed morality.
This chapter focuses on the accepted, foundational Western philosophical theories of ethics. And after a
brief review of the three most central ethical theories, the widely used, contemporary midlevel principles of
bioethics will be presented.
Philosophical Theories of Ethics
In academia, ethics has been one of the main branches of philosophy since the time of Socrates in Ancient
Greece. To focus on the most well-known and influential philosophical theories of ethics, three are presented
here: one from the ancient world and two “modern” theories. To frame the introduction of these theories, it is
important to recognize that although the two modern theories are in many ways the most powerful, the ancient
theory, Virtue Ethics, has proven to be very conducive to generating different approaches to ethical reasoning.
Virtue Ethics
Virtue Ethics, or Virtue Theory, is the term used to describe Aristotle’s views on ethics as well as newer
approaches based on his writings.
Background
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Aristotle’s (384–322 BCE) The Nicomachean Ethics, the first book to explain ethics and ethical ideals, deeply
influenced many medieval philosophers, including Jewish, Christian, and Muslim scholars. Thus, Virtue
Ethics was widely accepted and revered through much of Europe prior to the Enlightenment (Butts & Rich,
2015).
Aristotle was concerned primarily with explaining human nature. Ethics, to Aristotle, was defined as
fulfilling all of our potential as humans (Beauchamp & Childress, 2013). He explained that what makes
humans different from other animals are our rational abilities; to flourish, humans need to excel at using these
rational abilities. Aristotle provided an account of the character traits one needs in order to have good
judgment. Subsequently, a good person is one who can control his or her emotions through practical
knowledge or practical wisdom (phronesis) (Kraut, 2014).
One of Aristotle’s best known insights was his “doctrine of the golden mean between two extremes.” In
short, he advocated for everything in moderation (Kraut, 2014). For example, courage is good but not the
extremes of recklessness or cowardice. Similarly, he wrote about concern for one’s looks (e.g., don’t be
slovenly, but don’t be vain) and balance in exercise and diet and even drinking and joking. According to
Aristotle, the right thing to do in any situation is whatever a wise, experienced, and perceptive person, with
good practical judgment (phronesis), would do in the same situation (Beauchamp & Childress, 2013).
Another unique aspect of Aristotle’s theory was the emphasis on not just knowing the right thing to do, a
cognitive ability, but the importance of having the sort of confidant, action-oriented character that “gets it
done.” This is captured in the Greek word for virtue—arête—which applies to a person who sets lofty goals
and achieves them. Virtue relates to “habit of character that predisposes one to do what is right; what we
should be as moral agents” (ANA, 2015a, p. 46). Furthermore, virtue is viewed as excellence of character
(Russell, 2014). Virtue Theory, then, is especially appealing to people who believe that good role models are
the essence of good teaching (Paola, Walker, & Nixon, 2010). This sense of virtue is also concordant with the
recent emphasis on the importance of leadership in nursing.
Aristotle was also the most important source of inspiration for the medieval approach to ethics known as
casuistry. In casuistry, one analyzes a new case by comparing it to well-known and influential cases from the
past, known as paradigm cases, by identifying the similarities and differences between the cases. In logic, this
is known as analogical reasoning. Most legal reasoning, especially case law, is based on casuistry, and
because legal cases are central to most discussions of clinical and research ethics, clearly, casuistry has a role
in explaining the reasoning process of ethics (Butts & Rich, 2015; Grace, 2009).
Possibly, the one greatest weakness of Virtue Theory, including casuistry, is its foundational origin in
established cultural norms. Many philosophers believe that because of its relationship with cultural norms,
Virtue Theory does not provide a sufficiently objective approach to allow a critique of established traditions
and instead tends too often to uncritically defend traditions (Beauchamp & Childress, 2013).
Application in Nursing
Despite its ancient origins, Virtue Theory is still relevant in contemporary health care. One recent example
from the nursing literature involved application of Virtue Ethics as the philosophical framework for teaching
undergraduate nursing students expectations for civility (Russell, 2014). Russell (2014) explained that virtue
can be learned by practice through role modeling, critical reflection, and narrative exchange. Furthermore,
commitment to virtue impacts conduct, and the virtues expressed in nursing should serve as a framework to
promote ethical development of nursing students while simultaneously encouraging respect in relationships
with clients, other health professionals, and other nurses.
Also focusing on nursing education, Crigger and Godfrey (2014) described the utilization of Virtue Ethics
to enhance “professional identity formation” through character development. The authors stressed Aristotelian
virtues such as courage, humility, and integrity, along with application of phronesis (e.g., deliberation, making
good choices, and acting upon those choices in practice). They organized the constructs into the “Stair-Step
Model” to illustrate to students the processes that lead to examination of the outcomes (telos) of actions,
thereby aiding the formation of one’s professional identity.
Finally, Newham (2015) presented a somewhat contrarian examination of the focus on Virtue Ethics in
nursing. He suggested there is a need to move away from an overemphasis on character and examination of
what sort of person one must be to be a “good” nurse. Noting that although Virtue Ethics (character) is
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important, there is also a need to recognize that “doing good” (or not) is not necessarily dependent on moral
character. He concluded by suggesting that much of nursing practice involves complex situations that require
objective judgment and decisions that are not dependent on the nurses’ character but rather on knowledge and
“praxis” that is independent of character.
Modern Ethical Theories
Before beginning to describe the two “modern” ethical theories—Deontology and Utilitarianism—it is
important to point out that they are often viewed as mutually exclusive. The difference between them is
fundamental, or, in philosophical terms, epistemologic. One—Utilitarianism—is a posteriori (knowledge
dependent on experience or evidence) like the social sciences, whereas the other—Deontology—is a priori
(knowledge independent of experience) like math and logic. As described in Chapter 1, the philosophical
terms for these two contrasting types of epistemology are empiricist and rationalist. These perspectives often
consider different viewpoints, seek different goals, and use different methods to explain and/or interpret truth
and reality. Even in the many situations where the two theories agree about what is the right or best thing to
do, the rationale for the conclusion would be different.
Deontology
The seminal theorist of Deontology is Immanuel Kant (1724–1804). Kant’s ethics focused on rationality, and
he formulated “the moral law” in the terms of universal maxims, or guiding principles every rational agent
must agree to, precisely because they are rational.
Kant claimed to prove there was a single, ultimate rule for ethics, which he called the Categorical
Imperative (Bandman & Bandman, 2002; Beauchamp & Childress, 2013). A paraphrase of his Categorical
Imperative would be to “respect others’ goals in life, and never treat them merely as a means to your own
ends.” But, even though he insisted there was only one rule, he added a second formulation of that rule,
paraphrased as “only act according to rules which you would be willing to require everyone in the world to
follow” (Link to Practice 16-1).
Link to Practice 16-1
Kant and the “Golden Rule”
Kant’s formulations or rules sound very similar to Christianity’s “Golden Rule”—“Do unto others as you
would have them do unto you.” Kant was aware of the similarities and hoped to defend Christian values by
demonstrating that they were rational rather than revealed.
But the rule is also similar to other, even more ancient religious maxims found in the Hebrew Torah,
Confucius’s Analects, and the Mahabharata—all from around 600 to 900 BCE. Thus, it can be concluded
that these early prephilosophical insights support the claim of Kant that this is the most fundamental rule
of ethics. Furthermore, it is vital for philosophers to note that Kant did not claim his formulations were
given to him by a divine source but that they were justified by reason—thus true for everyone.
Kant explained that the two formulations are isomorphic because of a necessary shared foundation in the
concept of “autonomy.” This implies that rational agents must dictate and follow their own laws (self-rule) as
part of having a free will. Although autonomy is often considered a Kantian idea, for Kant, it is restricted to
the choices of a purely rational agent (Kant, 1993).
Kant is often presented as the great synthesizing philosopher of the modern period, bringing together the
truths of both the rationalists (Descartes, Spinoza, and Leibniz) and the empiricists (Locke, Berkeley, and
Hume). He was the clear originator of the tradition known by philosophers as Deontology. Deontology is
Greek for a system of duty-based laws, with duty implying absolute, non negotiable requirements. Kantian
Deontology, then, posits that rational beings are obligated to act first and foremost from a sense of duty—
irrespective of the consequences (Rich, 2015).
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John Rawls (1971, 1993, 2001), the most influential academic philosopher in ethics over the last century,
was a deontologist who was strongly influenced by Kant. Rawls was a proponent of egalitarianism, which is
based on a notation of fairness where everyone should be treated equally (Paola et al., 2010). He proposed that
fairness and equality be examined under a “Veil of Ignorance” where each person would shield themselves
from their own biases and act neutrally when making decisions. Rawls promoted equal rights and basic liberty
and suggested that social and economic inequalities be addressed impartially. He strongly advocated for those
who are disadvantaged, writing that they should be given opportunities for improvement (Butts & Rich,
2015).
Rawls (1971) is known for a thought experiment he called The Veil of Ignorance. In this thought
experiment, Rawls asks participants to imagine the souls in Heaven waiting to be born and looking down at
the world and seeing all the different countries. He posed the question: Which country would they choose to
be born in, assuming ignorance as to what family they will be born into? The goal was to make participants
think objectively and remove implicit biases acquired through the social circumstances of birth and
enculturation (Rawls, 1971).
The notion behind the thought experiment was to get people to agree on what is fair. For example, if one
knows they would be born a girl, would they choose a country with powerful sexist traditions that deny
women equal opportunity? If someone knows they will be born of African heritage, would they choose to be
born into a country where “whites” live longer (and have better education and higher income) than “blacks”?
In general, when assessing the ethics of a situation, a deontologist might start by asking questions such as
these (Bandman & Bandman, 2002).
Utilitarianism
In the second more contemporary ethical theory, Utilitarianism, ethics is exemplified by choosing actions that
maximize the pleasure and happiness and minimize the pain and suffering the choices may cause.
Utilitarianism’s most famous proponent was John Stuart Mill (1806–1873) who succinctly summarized its
central principle as doing “the greatest good for the greatest number of people” (Bandman & Bandman, 2002).
By making that the justification, Utilitarianism regards ethics as an empirical or scientific subject and
ultimately a natural part of policy debates.
Utilitarianism is fundamentally practical and has succeeded in identifying many social ills that had
become invisible to the ruling class in Europe following the Middle Ages and the Renaissance. For example,
beginning over 150 years ago in England, utilitarians fought against child labor and slavery and in favor of
free public schools, universal health care, women’s right to vote, and animal welfare (the latter because all
sentient beings are subject to pain and suffering; thus, animals are legitimate objects of ethical concern). In
policy debates, when deciding on the most ethical course of action, the type of questions to be considered are:
“How many people would be affected by a policy change?” “Who would a policy help?” and “What are the
costs?”
The point of Utilitarianism is not so much the importance of setting pleasure or happiness as the goal, but
the fact that everyone’s pleasure or happiness counts as much as anyone else’s. But in choosing happiness, it
was also placing ethics into the realm of experience and potentially measurable outcomes. This made ethics
appropriate for consideration into policy debates and politics. Mill, like his father (James Mill) and his
godfather (Jeremy Bentham), was a member of the British Parliament. In that role, Mill introduced the first
bill for women’s suffrage into Parliament soon after he was elected in 1865. He coauthored a book with his
wife Harriet Taylor (published in 1869) in which he argued for the “perfect equality” of women, noting that
society was only harming itself by trying to preserve ancient traditions of marriage and family which limited
the education and occupations of women. The utilitarian argument was very clear in his writings which
pointed out that over half of the population was being denied the pleasures and happiness associated with
freedom, education, fulfilling work, and income (Paola et al., 2010).
The persistent power of the utilitarian ethical theory can be seen in one of its most famous contemporary
adherents, Peter Singer. Singer (2011) argued that being ethical in Utilitarianism means one should help
everyone according to need, not just people in your city or country or in your family or religion. To give an
idea of the degree of altruism Utilitarianism demands, the theory proposes that one must not take advantage of
any benefits of position, such as gender, race/ethnicity, or inherited wealth or status. Just as Bentham’s
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concern for animal suffering led him to propose and enact the first anti-vivesection laws in England 150 years
ago, Singer has extended similar arguments to encourage vegan diets and other limits to the human use of
animals (such as in research, and in zoos).
Deontology and Utilitarianism—A Summary
In most cases, Deontology and Utilitarianism perspectives agree on what is the right thing to do. The
difference between them—the philosophically irreconcilable difference—is in the justification (i.e., what
makes an action the right thing to do). In short, utilitarian theories of ethics are predicated on achieving good
consequences for the most people, whereas Deontology leads us to make decisions based on duty rather than
consequences (Butts & Rich, 2015) (Link to Practice 16-2). Despite their differences, or perhaps because of
them, both Deontology and Utilitarianism provide rich but different approaches to ethics. Also, because of the
fundamentally different nature of their arguments and justifications, it would be impossible to construct a
single theory that combines them.
Link to Practice 16-2
A Historical Example of Deontology and Utilitarianism
Dr. Gisella Perl was a Jewish Romanian gynecologist who was imprisoned in Auschwitz in 1944. She was
chosen to work in the women’s infirmary with few supplies or medications to treat the women prisoners in
the camp. Soon after arrival in the camp, Dr. Perl learned that pregnant women were immediately sent to
the gas chamber. Any women who avoided detection of their pregnancies and delivered their infants were
also sent to gas chamber, along with their newborn infants. Furthermore, some pregnant women were the
subjects of Dr. Mengele’s horrendous research before they were killed. Despite her professional and
religious beliefs, Dr. Perl began performing abortions on pregnant women with her bare hands (Brozan,
1982; Reamey, 2009).
Using deontologic theoretical approach, Dr. Perl’s actions could be viewed as unethical. In this
approach, the obligation of the health care provider is to maintain life in all circumstances—to do no harm.
Aborting the pregnancies would be causing harm to the fetus and thus not following a major guiding
principle. Using the utilitarian perspective, aborting the fetus would save the life of the mother; instead of
the loss of two lives, only one life would be lost. Therefore, Dr. Perl’s actions reflect the utilitarian
perspective. She viewed herself as saving the mother’s life and the lives of any future children the mother
might have.
Both perspectives agree that ethics must be universal and result in an altruistic value system that does not
allow one’s self-interest to unfairly or unduly limit another’s liberty. Thus, both theories can be of help when
considering an ethics issue or question, but it is also important to consider both theories in case the
perspectives lead to different conclusions. Practical ethics might best conclude that neither Utilitarianism nor
Deontology can be considered complete and instead argue that they are each necessary and jointly sufficient.
Application to Nursing
Several examples comparing and contrasting the ethical theories of Utilitarianism and Deontology were
identified in the recent nursing literature. In one example, Pieper (2008) presented an excellent review of the
application of the two contrasting perspectives in the dilemma(s) encountered when obtaining the assent of
children for research participation. She used historical examples to examine how the ethical theories can be
applied to balance the determination of risks and benefits encountered when advising children of their
autonomous choices while also considering the desires (and permission) of their parents. She explained that
from a deontologic perspective, the only research with children that is ethically acceptable is that which has
the potential to benefit the child or if the child is capable of assent. On the other hand, Utilitarianism suggests
that research that is potentially beneficial to many children is justified and assent is not mandated, even if
there is greater than minimal risk and the findings will not directly benefit the participants.
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In another example, Hughes and Common (2015) discussed ethical decision making involved in treatment
of patients with dementia. They described several issues and dilemmas frequently encountered from different
perspectives (Deontology, Virtue Ethics, and “consequentialism” [Utilitarianism]). Several situations were
presented in cases that questioned autonomy, use of restraints, and withholding treatment for this very
vulnerable population. In a third example, Winters (2013) presented a case study examining the dilemma
occasionally encountered in health care settings in which a nurse might be required to break patient
confidentiality. She contrasted Utilitarianism and “Kantianism” in a situation in which a threat of violence
was made by a patient against others. In this case, there was a duty for the nurse to consider the patient’s
“rights” versus the best outcome for all who are potentially involved. In short, she concluded that the nurse
should consider all alternatives and consequences and choose that which will minimize potential harms and
maximize benefits to all parties involved.
Bioethical Principles
For many people who study and apply ethics, the major ethical theories described earlier are too philosophical
or too abstract to aid in making decisions—particularly in situations involving health and health care delivery.
They desire guidance that is more concrete and reflective of the normative values that serve as ethical
frameworks. A system of four bioethical principles has been proposed: autonomy, beneficence,
nonmaleficence, and justice. Each of the four principles can be justified using either deontologic or utilitarian
reasoning, and they have found much acceptance among health professionals, including nurses (ANA, 2015a).
Historical Perspective on the Bioethical Principles
A seminal event in the application of ethical theory and principles in health care can be traced to the mid-20th
century. At the end of World War II, the United States directed a trial of the Nazi doctors accused of
conducting “experiments” in the concentration camps that frequently resulted in the torture and murder of the
research subjects (Shuster, 1997). Following the trials, in August 1947, the American judges developed a
document known as the “Nuremberg Code” that outlined the basic principles of ethical human
experimentation. The Nuremberg Code was widely praised and rapidly accepted as the guideline for research
using human subjects; the main tenets are summarized in Box 16-1.
Box 16-1 Summary of the Basic Tents of the Nuremberg Code
Consent of human subjects is voluntary and informed.
Research should aim for positive results and seek to answer questions that cannot be procured any other
way.
Previous knowledge should justify the research.
Unnecessary physical and mental suffering and injury should be avoided.
Research should not be conducted if there is risk of death or disabling injury.
Risks should be proportionate to expected benefits to humanity.
Preparation and facilities should be provided to protect the subject against risk.
Researchers should be scientifically qualified and fully trained.
Subjects must be free to quit the research at any point.
Researchers must stop the research when they observe that continuation would be unduly harmful.
Building on the Nuremberg Code, in 1964, the World Medical Association developed a statement of
“ethical principles for medical research involving human subjects” that became known as the Declaration of
Helsinki (World Medical Association, 2013). The Declaration of Helsinki is more detailed than the
Nuremberg Code and includes the need to obtain assent from those not able to consent themselves.
Furthermore, it established the standard for submitting research protocols to an independent review board for
approval of the research prior to initiation (Paola et al., 2010). The Declaration of Helsinki has been updated
and modified several times since 1964 to address issues such as the requirement to publish negative benefits
and to report sources of funding and declaring potential conflicts of interest (Paola et al., 2010; World
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Medical Association, 2013).
Despite the widespread acceptance of the Nuremberg Code and the Declaration of Helsinki, unethical
experimentation continued in many countries, including the United States. Indeed, the Tuskegee Study was
one of the most infamous instances of unethical biomedical research in recent history. In this study, between
1932 and 1972, almost 400 low-income African American men with syphilis were not offered treatment;
rather, they were monitored to evaluate the course of the disease. Left untreated, many of the men died and
others were seriously harmed (Judkins-Cohn, Kielwasser-Withrow, Owen, & Ward, 2014).
Following the publication of the Tuskegee Study in 1972, the National Commission for the Protection of
Human Subjects of Biomedical and Behavioral Research (NCPHSBBR) published The Belmont Report:
Ethical Principles and Guidelines for the Protection of Human Subjects of Research. The Belmont Report
outlined three basic ethical principles—respect for persons, beneficence, and justice—to serve as an
“analytical framework that will guide the resolution of ethical problems arising from research involving
human subjects” (NCPHSBBR, 1979, p. 2). The principle of nonmaleficence was later added (Beauchamp &
Childress, 2013). Over time, these four principles moved beyond the narrowly focused concerns of biomedical
research to become a framework used to analyze the multitude of ethical issues encountered in the provision
of health care (Beauchamp & Childress, 2013; Farmer & Lundy, 2017).
Beauchamp and Childress (2013) describe these four principles as “midlevel principles” to make clear that
each principle is less abstract than a philosophical theory and makes no claim to being self-sufficient. The four
principles have been recognized as essential to ethical practice and adopted in hundreds of articles and
textbooks, including all health care professions and allied health fields.
Part of the strength of application of these principles is that the principles of beneficence and
nonmaleficence represent more traditional values of medicine (which some might want to differentiate as
more patriarchal), whereas the other two principles, autonomy and justice, represent the two most important
values in modern ethics. In short, the first two principles—beneficence and nonmaleficence—especially
resonate with many older health care providers who are familiar with the traditional “paternalistic” values of
the medical profession, as found in Hippocratic ethics, whereas the other two principles lay the groundwork
for contemporary concepts such as “shared decision making” and “informed choice” which reflect the
importance of the construct of patient-centered care. Each of the four principles will be discussed briefly,
followed by additional examples illustrating how they have been applied in nursing.
Autonomy
The principle of autonomy, or respect for persons, focuses on the rights of individuals to make informed
choices about their health care (Beauchamp & Childress, 2013; NCPHSBBR, 1979).
Overview
This principle is based on the conviction that the patient or subject is the ultimate authority on what is best for
his or her well-being. With respect to the principle of autonomy, health care professionals should always
provide all of the relevant information to the person about his or her health, illness, and treatment options in
order to empower him or her to make an informed decision. This communication includes not only providing
the information but also ensuring that the information is given in a way that can be understood by the person.
Furthermore, there should be no bias or undue influence or coercion to sway the person toward one action or
another (Beauchamp & Childress, 2013; NCPHSBBR, 1979).
One consideration with this principle is the capacity of the person for “self-determination.” Self-
determination implies that the individual is capable of making reasoned decisions that reflect their own values
and goals. Either developmental age, illness, or disability may leave the person unable to make an informed
choice. In some cases, such as with minor children, there is a legal surrogate who makes the decisions. In
other circumstances, however, it is less clear who has authority for a person with diminished decision-making
capability (Beauchamp & Childress, 2013; NCPHSBBR, 1979).
The principle of autonomy refers to patient autonomy—not professional autonomy—and is the natural
result of recognizing the patient’s rights. This principle of autonomy changes the role of the clinician from
being an authoritative expert and decision maker to being an educator and advocate. Currently, the preferred
model of decision making is called shared decision making, which means clinicians have a responsibility to
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help patients understand their illness and all of the reasonable treatment options in order to help the patient
make decisions that are best suited to the patient’s goals and long-term life plans. Of note, autonomy protects
pluralism because it acknowledges and allows different patients to make different choices, whether based on
religious beliefs or other personal values (Spike & Lunstroth, 2016).
The concept of “informed consent” is derived from the principle of autonomy. Patients and potential
research subjects should receive information on the risks and benefits of treatment or research. This
information needs to include not only the risks and benefits of the potential treatments, interventions, or trials
but also all available reasonable alternatives. Additionally, the person needs to be able to comprehend the
information. Thus, the information should be presented in a format and with language that the receiver can
understand. Finally, the choice needs to be voluntary. The person needs to make their decision free of
coercion or undue influence (Beauchamp & Childress, 2013; NCPHSBBR, 1979). The context is also
important for comprehension. A rushed presentation of facts in a noisy, busy room may preclude
comprehension of the information. The consent process should not be seen as a trivial matter or formality but
as part of patient education and requires active listening on the part of the health professional and thoughtful
but honest answers to tough questions. For those individuals with limited ability for comprehension, a
surrogate (i.e., parent or guardian) may be needed for making decisions on care. It is incumbent to note that
surrogates are expected to represent the patient’s wishes, not the surrogate’s wishes (Beauchamp & Childress,
2013).
Application to Nursing
In nursing ethics, one might argue that the importance that is often given to being a patient advocate is best
explained as a way to recognize and promote autonomy. As a patient advocate, it is the nurse’s responsibility
to ensure that the patient has not only been given all of the information but also understands the information.
The accountability for advanced practice nurses is even higher (Farmer & Lundy, 2017). Both legal and
accreditation standards for informed consent must be met; at a minimum, information should include “the
patient’s diagnosis or statement of his condition . . . the purpose and nature of the proposed procedure or
treatment . . . risks, benefits, and potential outcomes, including anticipated course if treatment is refused . . .
and alternatives to the proposed procedure/treatment” (Farmer & Lundy, 2017, p. 126).
This idea was explained succinctly in an essay by Rock and Hoebeke (2014) who discussed the ethical and
legal basis for informed consent. The authors explained the duties of both the physician and the nurse in
obtaining informed consent and concluded that as patient advocates, nurses must understand the legal and
moral rights of patients for self-determination. Furthermore, the nurse must protect and preserve the patient’s
interests by ensuring that he or she understands the presented information and implications of treatment
decisions.
In another example, Mitchell (2015) discussed the principles of autonomy and self-determination in a
patient’s decision to leave the emergency department (ED) “against medical advice” (AMA). She described
the dilemma frequently faced by ED nurses who learn that a patient is planning on leaving AMA and noted
the importance of recognizing the balance between respecting the patient’s autonomy and promoting their
safety. She explained that the nurse has an obligation to assess whether the patient has the capacity to make
the decision to leave AMA and is fully appraised of possible risks, alternatives, and implications of leaving
but concluded that if the patient has the mental capacity, his or her decision must be respected.
Finally, autonomy and self-determinism were the focus of a work by Olsen (2013). In this essay, the
author discussed the challenge posed by patients who refuse to make lifestyle changes to positively benefit
their health. Examples abound, including patients with lung disease who continue to smoke, those who have
diabetes or are obese but who continue to eat poorly, and those who practice unsafe sex or use illicit drugs or
abuse alcohol. Olsen explained that the nurse is to remember that the patient’s “right” to make poor choices
must be respected and that the nurse should avoid an adversarial relationship.
Beneficence
The principle of beneficence refers to doing what is in the patient’s best interest and involves balancing
benefits and burdens.
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Overview
According to Beauchamp and Childress (2013), beneficence includes deeds of mercy, kindness, and charity.
Health care providers have an obligation to act for the benefit of the patient and not in self-interest or in the
interest of a third party. The risk/benefit analysis for the patient should consider quality of life issues,
effectiveness of treatment, and cost of treatment as well as potential negative outcomes or side effects. The
principle of beneficence identifies the clinician as a fiduciary, meaning that the clinician must always put the
patient’s best interest ahead of his or her own interests; the only benefits (or risks) that count are the patient’s.
Thus, beneficence is highly altruistic (Butts & Rich, 2015).
This principle, if not balanced by the principle of autonomy, is what helps justify paternalism—the
practice of treating or making decisions for others in situations that rely on the expertise of the provider to
decide what is in the patient’s best interest without the input of the patient. In other words, there can be a
conflict between the patient’s autonomous choice and the provider’s perceived benefits for the patient (Butts
& Rich, 2015). Box 16-2 outlines five conditions that must be met to justify paternalism in health decision
making.
Box 16-2 Conditions That Justify Paternalism in Health Decisions
A patient is at risk for a significant, preventable harm.
The paternalistic action will probably prevent the harm.
The prevention of harm to the patient outweighs risks to the patient of the action taken.
There is no morally better alternative to the limitation of autonomy that occurs.
The least autonomy-restrictive alternative that will secure the benefit is adopted.
Source: Beauchamp and Childress (2013, p. 222).
Application to Nursing
One important question that is rarely addressed is the role of nurses in determining what is best for the patient.
As the caregiver who spends the most time with the patient, nurses often find themselves questioning the
judgments or actions of doctors.
Another issue with applying this principle in nursing revolves around the notion of who receives the
benefit? In public/community health nursing where nurses are providing care to groups and populations, there
are sometimes issues where the benefits to the group outweigh the benefit to the individual (ANA, 2015a).
One example is the tension between parents who chose not to vaccinate their children and potentially risk
exposing other children to an illness as a result. A similar tension occurs when public health nurses employ
“direct observation therapy” to ensure that patients with tuberculosis take their medications, arguably negating
their autonomy but benefiting society. A clear risk/benefit analysis must be done by first identifying the group
that will be benefited and how those benefits compare to any risk for an individual within that group
(Beauchamp & Childress, 2013; NCPHSBBR, 1979).
The principle of beneficence was examined in a work by Casarez and Engebretson (2012). They
conducted an analysis of the propensity of health care providers to act in “omission” by failing to provide
spiritual care—which would have potentially benefited a patient. They concluded that nurses should avoid
both extreme secularization and imposition of one’s own personal religious beliefs in the provision of spiritual
care. Also focusing on the principle of beneficence, Denny and Guido (2012) discussed the nurse’s ethical
obligation to help relieve the pain of older adults.
Nonmaleficence
The principle of nonmaleficence relates to the Hippocratic principle of “first, do no harm.” Health care
professionals have an obligation to avoid causing bodily harm and death to patients and to minimize pain and
suffering.
Overview
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Beauchamp and Childress (2013) point out that nonmaleficence involves upholding professional standards of
care, not being careless or negligent, judiciously withholding and withdrawing treatments, and careful
consideration about providing extraordinary or “heroic” treatment. Of the four principles, nonmaleficence is
the only one that is expressed in the negative, a prohibition; for that reason it is taken by many ethicists to be
an inviolable minimum standard and thus to be more important clinically than the other principles.
Controversies surrounding this principle include end-of-life issues (prolonging death vs. quality of life)
and withholding or withdrawing treatment at the end of life (Beauchamp & Childress, 2013; NCPHSBBR,
1979). Butts and Rich (2015) explained the “rule of double effect” which refers to performing an action that
may have two potential outcomes—one is an intended or good outcome, but the other is a potentially
detrimental outcome. In these situations, they explain, it is necessary to balance the positive effects with the
potentially harmful effects.
This tension between beneficence and nonmaleficence was illustrated in the opening case study.
Nonmaleficence may often counsel that hospice or palliative care is the best available treatment choice.
Nonmaleficence in these situations is a conservative principle meant to at least avoid taking unnecessary risks
or performing heroic interventions that may make things worse or protracting the patient’s pain or suffering. It
can also be interpreted to include a warning to know one’s professional limits and to not attempt things that
are beyond one’s skills or training.
Application to Nursing
Nurses who find themselves in the position of trying to stop an aggressive treatment plan that is not working
or achieving any reasonable goals can recognize the importance of the principle of nonmaleficence. Another
issue with nonmaleficence for nurses can arise with military nurses. Military nurses have a dual loyalty—to
country and to the patient. Sometimes, there may be conflict in those loyalties, and the perception of the
military hierarchy may be that loyalty to country is higher priority than loyalty to the patient or enemy
combatant. The role of nurses in torture is an extreme example of the ethical conflicts nurses may have with
nonmaleficence (Holmes & Perron, 2007).
On a more routine level, many nurses report “moral distress” when told to provide care they think is
causing unnecessary or undue suffering. For example, Choe, Kang, and Park (2015) reported on a study of
“moral distress” among critical care nurses. This study noted themes or contributing factors to moral distress
included unnecessary medical treatment, dilemmas from limited autonomy, and conflicts with physicians on
treatment decisions. Similarly, Mason and colleagues (2014) studied moral distress among critical care unit
nurses and identified themes of dealing with death and suffering, dealing with family, powerlessness, and
medical values versus nursing values and contributory to moral distress. In a third example, Wagner and
Dahnke (2015) stated that moral distress can affect nurses conducting disaster triage because it is very
difficult to make life or death decisions for nurses who want to help and nurture all patients.
Justice
Justice is often described in terms of fairness in both treatment and research. Justice obligates health care
professionals to provide necessary treatment for all members of society (Beauchamp & Childress, 2013;
NCPHSBBR, 1979). Fair distribution of health care resources should include access to care but can also be
applied to the notion of preventing waste and fraud.
Overview
In clinical care, justice requires providing health care to members of vulnerable populations, including the
poor, the uninsured, and the undocumented, as well as the mentally and physically disabled. Perhaps, more
controversially in the United States, the reality is that many people have access to health care based on ability
to pay. There is a tension because given limited resources, the principle of justice also includes a duty to be
careful stewards of those resources. To turn away an indigent patient for lack of ability to pay would be
ethically condemned in any epoch, starting with Hippocrates. That duty has been built into the very definition
of being a health care professional, as part of the “social contract” with society that authorizes exclusive
privileges to practice (Butts & Rich, 2015; Grace, 2009). But there remains a tension when considering such
issues as: Is everyone entitled to every available treatment without consideration of cost? Geographic
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location? Willingness or ability to follow up with care? Or age, as well as other potential issues?
Similarly in research, the principle of justice requires that one group not bear the risks of research to
benefit another group. Research subjects should not be recruited simply because they are easily accessible,
easily convinced, or easily coerced into participation. Vulnerable populations should not be exploited to the
advantage of another group for research benefits or for profit. Research on prisoners is a good example of a
practice that has become less common after ethical protections were put in place.
Issues in the principle of justice include allocation of resources at the unit, regional, or national level;
setting priorities for and rationing of resources (Beauchamp & Childress, 2013; NCPHSBBR, 1979). This
priority setting can often fall to public health and nursing in policy discussions.
Application to Nursing
Nursing leaders and managers must often address issues of justice involving allocation of resources. In
extreme circumstances such as in disasters, pandemics, and war, the principle of justice may be a top priority.
An example could be distribution of flu vaccine or antiviral medications during a flu pandemic. Allocation of
intensive care unit (ICU) beds is another common allocation issue for nurses.
The most extreme example may have been the murder of disabled children and psychiatric patients by
German nurses during the 1930s and 1940s. Nurses in Germany during the years of the Nazi government
began to view the “volk,” or people as a whole, as their patient instead of the individual. If resources were
needed for wounded warriors, then killing children and psychiatric patients was seen as the better (more just)
use of resources (Benedict & Rozmus, 2014; Benedict & Shields, 2014).
In a contemporary example, Douglas and Dahnke (2013) described the ethical issues health providers
encounter in the case of “periviable” infants (neonates born between 22 and 24 weeks). The principle of
justice was highlighted in this essay as the authors described the “burden” of health care to be “fair” to the
population when only a small percentage of these infants will survive, and many of those who do will have
major morbidities that will affect their life, their family’s lives, and society as a whole. One notion posed by
the authors is that what should be considered “is not looking at whether they can be treated, but whether they
should be treated” (Douglas & Dahnke, 2013, p. 36). They concluded that it is “the moral obligation of the
physicians and health professionals to provide the necessary information that will allow parents the ability to
make an informed decision regarding their infants’ care” (Douglas & Dahnke, 2013, p. 36).
Other Bioethical Principles
In addition to these ethical principles, ethical “rules” have also been widely described in the nursing and
health care literature. These include veracity (or truth telling), privacy, confidentiality, and fidelity
(Beauchamp & Childress, 2013). Other ethical principles found in the health care literature include fidelity to
the profession, maintaining competence, and avoiding or managing conflicts of interest. All of these are
important to providing quality, safe, patient-centered care, but none of them have the same level of generality
as the four original principles.
Ethical Decision Making
The principles and philosophical theories of ethics can be used as an analytic framework to make decisions
when encountering challenging issues or difficult choices—ethical dilemmas.
Overview
The first step in the process of ethical decision making is to recognize when an ethical issue or dilemma
exists. Often, in the midst of a patient care situation or research project, the ethical issues and potential actions
may not be obvious. Here, one might be advised to consider such questions as: What is the worst case
scenario? What could possibly go wrong? Are we making any naïve assumptions? Or are we overlooking any
stakeholders?
The second step in ethical decision making is to determine as many of the responses as possible to the
issues or dilemma that might arise; this would be followed by an analysis of how the principles and
philosophical theories relate to these possible responses. The four principles are mutually independent, and
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conflict among the principles is to be anticipated whenever there is an ethical dilemma. For example, as
mentioned, autonomy may conflict with nonmaleficence in a situation in which a patient insists on a treatment
plan that the nurse recognizes has a significant chance of causing harm.
Jonsen, Siegler, and Winslade (2010) proposed an approach to clinical decision making that superimposed
the ethical principles within four “topics”—medical indication, patient preferences, quality of life, and
contextual features. For each of the topics, they suggested questions that can be used to assist with the
decision-making process. Table 16-1 summarizes these topics and questions. Butts and Rich (2015) explained
that nurses as well as other health professionals should work to answer as many of the relevant questions as
possible and to consider the patient’s situation by involving the family and/or surrogates and members of an
ethics team or committee when appropriate.
Table 16-1 Four Topics Method for Analysis of Clinical Ethics Cases—Questions to Consider
Topic and Ethical Principle(s) Questions to Consider
Medical indication (principles of
beneficence and nonmaleficence)
What is the patient’s diagnosis/health problem?
What are goals of treatment?
In what circumstances/situations is treatment not indicated?
What is likelihood of success of different treatment options?
How can the patient benefit from treatment? How can harm be
avoided?
Patient preferences (autonomy) Has the patient been informed of benefits and risks?
Does the patient understand the information?
Is the patient mentally capable and competent?
What are the patient’s preferences about treatment (if mentally
competent)?
Has consent been given?
If the patient is not capable or competent—
Have preferences been expressed in the past?
Who is the appropriate surrogate?
Is the patient willing and able to cooperate with treatment?
Quality of life (beneficence,
nonmaleficence, and autonomy)
What are the prospects with and without treatment for return to normal
life?
Who would determine “quality of life” if the patient cannot make or
express preferences?
Are there biases that could prejudice the provider’s evaluation of the
patient’s quality of life?
Are there ethical issues related to improving or enhancing the patient’s
quality of life?
What are plans or rationale to forgo life-sustaining treatment?
Contextual features (principles of
justice and fairness)
Are there professional or business interests that might create conflicts
of interest in the patient’s treatment?
Who are the stakeholders (i.e., clinicians, family members, insurers)
that have an interest in the clinical decisions?
What are the limits imposed on patient confidentiality by third parties
(stakeholders)?
What are the financial factors that could create conflicts of interest?
Are there issues with allocation of scarce health resources?
Are there religious or legal issues that might influence decisions?
Are there public health or safety issues?
Are there research and education considerations?
Source: Jonsen et al. (2010).
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Understanding and applying the principles thus often explains the conflicts surrounding ethical issues but
does not automatically resolve them. That still requires judgment of what is at stake, and for whom (the
stakeholders), and then making a conscious, reasoned, and deliberate choice. Finally, there is personal action
on the response that is chosen based on the analysis (Beauchamp & Childress, 2013; Carlin et al., 2011;
NCPHSBBR, 1979).
Application to Nursing
A number of examples of nursing researchers and scholars comparing, studying, or applying the four major
principles were identified in the recent nursing literature as examples of ethical decision making. In one
example, Sundean and McGrath (2013) discussed each principle in their presentation of ethical considerations
encountered by health care providers in the neonatal intensive care unit (NICU). Examining the heart-
wrenching decisions made on a day-to-day basis as NICU providers treat critically ill infants, the authors
described the many conflicts and dilemmas that arise because of the sometimes conflicting perspectives of the
physicians, nurses, and parents, particularly in light of technologic advances. They concluded there is a need
to consider all four principles to promote family-centered care that considers cultural differences.
Building on evolving guidelines and recommendations with respect to use of opioids for pain
management, Bockhold and Hughes (2016) applied an ethical framework to examine how these highly
addictive drugs can and should be used to manage chronic, noncancer pain. The authors noted the need to
ensure that benefits outweigh potential harm in describing the challenges of helping to manage pain and the
problems encountered when trying to taper patients off of opioid medications. In a similar work, Quinlan-
Colwell (2014) applied the ethical principles to pain control, but their focus was on patients in the acute care
setting, again pointing out the need to provide ethical, patient-centered care.
Several works were identified that described application of the four principles at the end of life. For
example, Croft (2012) discussed issues related to attempting cardiopulmonary resuscitation, including the
ethical, legal, and professional issues for “do not resuscitate” decisions. In other examples, Rising (2017)
presented an ethical discussion of consideration of cultural differences with respect to veracity when talking
with patients and family members at the end of life, and Hain, Diaz, and Paixao (2016) discussed ethical
issues to consider when elders elect to stop dialysis. Several examples were found that applied the four
principles in general contexts. These included public health nursing (Ivanov & Oden, 2013), hospice nursing
(Cheon, Coyle, Wiegand, & Welsh, 2015), genetic research (Bevan et al., 2012), and nursing research (Doody
& Noonan, 2016).
Summary
Three basic philosophical theories of Virtue Ethics, Deontology, and Utilitarianism provide a framework for
making ethical decisions in nursing. Having an understanding of these theories can help nurses recognize their
own and other people’s viewpoints from an ethical perspective and to make decisions that are “right” or
“good.” The four principles of autonomy, beneficence, nonmaleficence, and justice provide an analytical
framework for examining ethical issues and dilemmas encountered in nursing practice and research.
In the case presented at the beginning of this chapter, Heather’s student is faced with the ethical dilemma
of providing pain relief that might hasten the death of her patient, a frequent issue in health care—balancing
length of life versus quality of life. Heather’s student has two options: (1) increase the dose of the pain
medication or (2) question the increase in the dosage or delay the increase in the pain medication. Increasing
the pain medication may cause the patient to stop breathing and not increasing the dosage will mean the
patient remains in what appears to be uncontrollable pain. In this case, the patient is semiconscious and cannot
speak for herself so she cannot make her wishes known (autonomy) and she has no surrogate decision makers.
The conflict in this case is between beneficence and nonmaleficence. Is pain control, even though it may
hasten death, beneficence or maleficence? Pain control in general is usually viewed as an act of beneficence;
however, hastening death is usually considered an act of maleficence.
As the ethical dilemma has been identified and different potential options for response (i.e., increase the
morphine drip and risk respiratory depression or not increase the drip and leave the patient in pain) have been
determined, the next step would be to consult with the stakeholders and review procedures and protocols to
determine the best course forward.
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Key Points
Ethical theories are grounded in ancient and modern philosophy of what it means to do good.
Although culture may be a major determinant of morality, ethics provides a more analytic approach to
solving dilemmas in health care.
Deontology is based on “duty” or obligation, whereas the utilitarian perspective focuses on what benefits the
most; either perspective can lead to the same conclusion to an ethical dilemma, but the justification they
offer will be different.
The four principles of autonomy, beneficence, nonmaleficence, and justice are used by both clinicians and
researchers in ethical decision making.
Learning Activities
1. Like Heather, the nurse from the opening case study, consider a situation or dilemma, an
ethical issue you have encountered in clinical practice. What were all of the possible solutions
to the issue? What ethical principles are involved in the possible solutions to the issue? What
decision was ultimately made and why?
2. Think about an ethical dilemma you have encountered that caused you distress. Was the
distress you felt because of a conflict in the philosophical theories or among those involved?
Was the distress due to a conflict among the principles?
3. What ethical issues do you see in the news? What principles and philosophical theories might
be involved, and how would they help resolve the issues?
4. Obtain a copy of the ANA’s (2015a) Code of Ethics. With classmates, discuss how/when and
to what extent it is applied in day-to-day practice.
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17
Theories, Models, and Frameworks From Leadership
and Management
Melinda Granger Oberleitner
Marci Noble, an acute care nurse practitioner (NP), has been hired by a local integrated health system to work
with a multidisciplinary team implementing practices across entities affiliated with the system. One goal for
the team is to reduce the hospital readmission rates of patients diagnosed with congestive heart failure.
Although she is an experienced NP, Marci is not yet familiar with the expectations of her new position. She
envisions her role as that of clinical leader in performance improvement and in implementing best practices
related to the care of heart failure patients and based on the latest clinical evidence.
Although Marci does not co nsider her role to be that of an administrator or manager, she recognizes that
as a clinical leader, the information she learned about leadership styles and management practices in graduate
school (e.g., motivating people, implementing change, and leading performance improvement) will be
especially helpful to her as she transitions into her new position. Considerations for her new role include:
How does she work within the management team? How can she be an effective agent for change? How can
she support the team’s performance improvement activities to positively affect patient care?
Nurses in management or leadership positions, regardless of role or practice setting, should have a working
knowledge of theories, models, and frameworks of administration and management, which can help to guide
practice. Furthermore, even though advanced practice nurses (APNs) (i.e., clinical nurse specialists [CNS],
nurse practitioners, nurse anesthetists, and nurse midwives) are viewed primarily as clinicians, each role often
has an administrative or management component. For example, APNs, who are being increasingly employed
in traditional acute care facilities, are often responsible for performance improvement activities related to a
specific product or service line. Similarly, an NP in a rural clinic may have administrative responsibilities for
ancillary and secretarial staff assigned to the clinic in addition to the responsibilities of a client care provider.
This chapter provides a foundation in administration for nurses in any setting. Topics presented are
historical and contemporary theories and models of leadership and management, organizational theories,
motivational theories, and theories related to power, change, decision-making processes, conflict
management, quality control, and quality improvement (QI).
Overview of Concepts of Leadership and Management
Leadership and management are closely related and sometimes intertwined concepts. Leadership is the ability
to influence followers, to inspire confidence, and to generate support among followers for the leader’s
direction and vision. Leadership is viewed as a component of management; however, it is not the same thing.
Leaders empower others and lead others willingly; in simplistic terms, leadership usually involves one
individual trying to change the behavior of others. Furthermore, leaders challenge the current or prevailing
wisdom and, by doing so, create new meaning for members of an organization (Peters, 1987).
Leaders in an organization can be formal or informal. Formal leaders are appointed by official or
legislative authority. Informal leaders derive power through influence and, in reality, may be more important
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to staff or groups than the formal, appointed, or designated leaders. Influencing followers is perhaps the most
essential aspect of leadership. Leaders can influence others by utilization of their expertise, by charisma, by
coercion, or by virtue of the formal position they hold in organizations. Leaders who use expertise and
charisma to influence others are the most effective in creating a sense of commitment in followers (Hellriegel,
Jackson, & Slocum, 2008).
Management can be defined as the process of accomplishing work through and with other people.
Effective management is often expected of a leader. In contrast to leaders, managers always have an official
or appointed position within an organization through which they derive a legitimate source of power. Because
of this official status, managers may direct willing and unwilling subordinates and are expected to perform
specific, delineated functions, duties, and responsibilities. Effective leaders and managers are both required in
today’s workplace (DuBrin, 2007).
Early Leadership Theories
If one considers great historical leaders, names such as Alexander the Great, Julius Caesar, Napoleon
Bonaparte, Thomas Jefferson, and Winston Churchill might come to mind. The Great Man Theory holds that
leaders are born, not created. That is, certain individuals are born with the ability to lead, whereas most others
are born to be led.
Trait Theories of Leadership
The Great Man Theory approach to defining leadership evolved into trait theories in the 1930s and 1940s. The
trait theories assert that leaders possess certain characteristics (i.e., physical or personality traits and talents)
that nonleaders do not. Attributes, such as shyness, laziness, and timidity, are considered the antithesis of
characteristics a leader should possess. An example of a physical attribute associated with leadership is height
(i.e., a tall person may be able to look down on others and, therefore, may cut an imposing figure of
authority). The converse may be true as well. Some individuals believe if someone is born shorter than most
people, the individual may have to be more assertive or aggressive, and those behaviors may result in the
development of a strong leader.
Personality traits or characteristics associated with leaders include intelligence, self-confidence, charisma,
initiative, self-awareness, self-control, the ability to communicate effectively with individuals and in groups,
goal orientation, self-directedness, the ability to assume consequences for actions and decisions, and the
ability to tolerate stress. In lesser leadership positions, technical competence is important because it would be
difficult to establish rapport with group members if the leader did not understand the technical details of the
work (DuBrin, 2007). For example, Marci, as an acute care NP whose clinical area of expertise is focused on
adults with acute illnesses, would have a difficult time assuming the position of director of perioperative
services because of the level of technical expertise required in managing a perioperative nursing area.
Research studies designed to test trait theories of leadership have been inconsistent. The trait theories are
limited by focusing only on leadership characteristics to the exclusion of the environment, the situation, and
other possible confounding variables. Additionally, they focus on the attributes the leader brings to a
particular situation rather than focusing on what specific actions the leader takes to address the situation.
Research attempts to identify traits consistently associated with leadership over time have been successful.
Six traits have been identified that seem to best delineate the differences between leaders and nonleaders.
These leader traits are the desire to lead, honesty and integrity, self-confidence, drive, intelligence, and job-
relevant knowledge (Drafke, 2009). Another framework, the Big Five personality framework, advances the
premise that five major personality traits or factors—extroversion, agreeableness, conscientiousness,
emotional stability, and openness to experience—are predictors of leadership (Robbins & Judge, 2015).
Research in this area concluded that relationships between personality traits and leadership style do indeed
vary depending on the context (De Hoog, Den Hartog, & Koopman, 2005).
Emotional Intelligence
An interest in the inner or personal qualities of leaders has recently reemerged, particularly with respect to
ethical qualities and charisma. This interest has been fueled by the demand for leaders with vision and
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charisma. Personality traits and characteristics have an important influence on leader effectiveness. The traits
and characteristics that are most relevant tend to vary with the situation at hand. A foundational trait for
leadership effectiveness that does not vary from situation to situation is self-awareness (DuBrin, 2007).
Self-awareness is one of the four key factors in emotional intelligence (EI). According to Goleman,
Boyatzis, and McKee (2001), EI is a major contributor to leader effectiveness. The concept of EI refers to
managing one’s self and one’s relationships effectively. EI includes the abilities of self-confidence, empathy,
and visionary leadership. Passion for the work and for the people who do the work is particularly important to
a leader with a high degree of EI. It is difficult, if not impossible, to inspire or motivate others if the leader is
not passionate about the major work activities. The leader with high EI is able to sense and articulate a
group’s shared, yet possibly unexpressed, feelings and is able to develop a mission that inspires others to
achieve a common goal (DuBrin, 2007). EI includes understanding one’s own feelings, sensitivity, and
empathy for others and the regulation of emotions.
Goleman and colleagues (2001) define four key competencies of EI:
Self-awareness—the ability to understand and modulate one’s own emotions. Goleman and colleagues
(2001) contend this is the most essential of the four major competencies. A self-aware individual knows
his or her own strengths and weaknesses and has a high level of self-esteem. The self-aware leader
seeks feedback continually to determine how well his or her actions and decisions are received by
others.
Self-management/self-control—the ability to control one’s emotions; control over mood and temper.
The leader who is self-controlled acts with honesty and integrity in a consistent and dependable
manner.
Social awareness—the leader has empathy for others, including subordinates, and is intuitive about
organizational “political” forces. The socially aware leader shows genuine care for others in the
organization.
Social skills/relationship skills—the ability to communicate clearly and convincingly. The leader who
has social and relationship skills disarms conflicts, builds strong personal and professional bonds, uses
social skills to spread enthusiasm and to solve disagreements and problems, uses kindness and humor
often, and constantly expands network of contacts and supporters within and outside of the organization
(DuBrin, 2007; Hellriegel et al., 2008).
Goleman and colleagues (2001) discovered that the most effective leaders are alike in one essential way—
they all possess a high degree of EI. Without a high degree of EI, some experts contend a leader will never
become a great leader (DuBrin, 2007).
Behavioral Theories of Leadership
Movement away from trait theories to explain and define leadership began as early as the 1940s. Leadership
research from the 1940s through the mid-1960s focused instead on behavioral styles that leaders demonstrated
(i.e., specific behaviors of leaders that make some more effective than others) (Hitt, Black, & Porter, 2011).
This set of theories is referred to as the behavioral or functional theory of leadership. The major difference
between trait theories and behavioral theories is that trait theories are concerned with the leader’s individual
characteristics, whereas behavioral theories seek to explain specific actions taken by the leader (Wagner &
Hollenbeck, 2014).
Lewin and Lippitt conducted some of the first studies of leadership behavior at the University of Iowa in
the late 1930s. The researchers, using an afterschool study group of 20 boys, aged 11 years, explored
autocratic, democratic, and laissez-faire leadership behaviors or styles. The results of this study revealed that
when the boys had a democratic leader, groups were more cohesive, the boys were more motivated, and
originality of work was higher. With a democratic leader, the boys produced less work, but the work was of a
higher quality than the work produced when the group leader used an authoritarian or laissez-faire leadership
style. Nineteen of the 20 boys preferred the democratic style of group leadership over the other two styles
(Lewin & Lippitt, 1938).
Other studies of autocratic versus democratic leadership styles concluded that democratic leadership styles
produced higher performance results in some studies, whereas in other studies, performance was higher in
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groups with an authoritarian leader. However, what was consistent among study groups was that the level of
satisfaction of group members was higher with the democratic style of leadership than with other styles.
Tannenbaum and Schmidt (1973) further explored satisfaction with leadership style and developed a
model known as the continuum of leader behavior. This model provides for a range of leadership behaviors
from leader centered (autocratic) to employee centered (laissez-faire). In determining which leader behavior
the manager should implement, the authors proposed that the manager evaluate the following three variables:
characteristics of the manager (i.e., experience with a certain leadership style), characteristics of the
employees (i.e., level of experience with the process/job), and characteristics of the situation (i.e., offering a
new product or service for the first time). Tannenbaum and Schmidt recommended an employee-centered
approach or style because this approach most often led to increased employee satisfaction, motivation, and
high performance and quality of the work product.
Leader–Member Exchange Theory
Leader–Member Exchange (LMX) Theory was developed by George Graen and James Cashman. The central
focus of LMX Theory is the relationship and interaction between the supervisor (leader) and the subordinate
(group member). The exchange between the superior and the subordinate is the unique, underlying premise of
LMX. Interest in LMX has increased in recent years, leading to many field studies to test the propositions of
the theory.
The theory recognizes that superiors develop unique working relationships with each subordinate or group
member. According to LMX Theory, leaders categorize subordinates into one of two groups: the in-group
(high-quality relationship with the leader) or the out-group (low-quality relationship). Often, the leader’s first
impression of the subordinate’s competence heavily influences the leader’s assignment of the subordinate to
the in- or the out-group. The theory proposes that leaders do not interact with subordinates equally because
supervisors have limited time and resources (Graen & Cashman, 1975).
Members of the in-group often have attitudes and values similar to the leader and interact frequently with
the leader. They have a special exchange or relationship with the leader. In-group members perform their jobs
in accordance with the expectations of their employment contracts. In addition, they can be counted on by the
leader to volunteer for extra work and to take on additional tasks and responsibilities. As a result, in-group
members are given additional rewards (increased job latitude, extra attention from the leader, and inside
information that is not available to all employees), responsibility, and trust by the supervisor in exchange for
their loyalty and performance. Research on LMX in field studies reveals that members of the in-group enjoy
higher degrees of autonomy, job satisfaction, and trust from the supervisor as compared to members of the
out-group.
Out-group members have less in common with the leader and are detached from the leader. There is
limited reciprocal trust and support in the leader–subordinate relationship. Members of the out-group receive
few rewards from supervisors and are more likely to quit because of job dissatisfaction.
Supervisors who aspire to be the most effective leaders create a special exchange relationship with all of
their subordinates (Graen & Uhl-Bien, 1995; Wang, Law, Hackett, Wang, & Chen, 2005). The intent is not
necessarily to treat all employees the same. Those subordinates who by virtue of their position in the
organization have greater responsibility or administrative authority will have a deeper level of exchange with
the superior. However, it is possible and highly desirable that the leader engender relationships of mutual
trust, respect, and support with all followers.
LMX Theory postulates that the quality of the subordinate’s relationship with the supervisor has a large
impact on job behavior and performance and that the quality of that relationship has important job
consequences (Bolino, 2007). Therefore, it is imperative that subordinates be evaluated based on their
competencies rather than on the leader’s favoritism (Graen & Uhl-Bien, 1995).
Motivational Theories of Leadership
The motivational theories expanded on the behavioral theories of leadership by focusing on factors that
enhance worker/employee satisfaction and motivation and identifying factors that have a negative impact on
those factors. Many of the motivational theories were based on the work of Maslow’s (1968) Hierarchy of
Needs Theory. Maslow’s work included the concepts of five basic needs (i.e., physiologic, safety, love,
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esteem, and self-actualization), which he described as being the driving forces or motivators of human
behavior. Lower level physiologic needs, including food and rest, must be satisfied before an individual can
work on accomplishing higher level needs such as self-esteem and self-actualization. Even though his theory
was derived as a motivational theory, Maslow’s early works were not originally applied to motivation in the
workplace.
Theory X and Theory Y
Douglas McGregor first published his work on Theory X and Theory Y in an article in 1957. McGregor was
influenced by the works of Maslow, Herzberg, Argyris, and Likert. McGregor believed the structure of
bureaucratic organizations, as well as prevailing management philosophy and policies, resulted in a situation
in which power resided exclusively with management. In this structure, the role of management was to direct
workers under the assumption that all workers were unmotivated, unambitious, lazy, and preferred to be led.
These assumptions were labeled by McGregor as Theory X. McGregor’s theory was that workers who had no
input in the performance of the job lacked interest in the job and satisfaction with the work, resulting in
resistance to change.
McGregor proposed a different set of assumptions and practices for meeting organizational goals in a
more effective, humanistic manner; he designated this Theory Y. Management’s priorities in Theory Y are to
develop worker potential, remove obstacles, create opportunities for worker growth, and provide guidance,
rather than control direction, for the worker. Theory Y encourages worker responsibility and participation in
decision making. McGregor believed this style of participatory management would result in greater
productivity, creativity, and worker satisfaction.
Because McGregor failed to operationalize concepts in his theories, there have been few direct tests of his
theories. When the theories were tested, conflicting results were obtained (Caplan, 1971; Gray, 1978; Green,
1981; Kay, 1973; Malone, 1975; Morse & Lorsch, 1970). Most recently, Kopelman, Prottas, and Davis (2008)
attempted to test the substantive validity of McGregor’s theory by measuring the focal construct of the central
concept utilizing an investigator-developed Theory X/Y attitude measure. The researchers viewed this as a
critical first step in testing the many assumptions of the theory. The new measure is content valid and has
adequate reliability. Finally, although a few contemporary companies are using Theory X management, many
companies subscribe to the tenets of Theory Y (Daft & Marcic, 2015).
Motivation–Hygiene Theory (Herzberg’s Two-Factor Theory)
Motivation–Hygiene Theory, or Two-Factor Theory, was established by psychologist Frederick Herzberg in
1959. Herzberg sought to describe the differences between factors that are true motivators for individuals (i.e.,
recognition for a job well done, opportunities for promotion or advancement, challenging and rewarding
work) and hygiene or maintenance factors. Examples of hygiene or maintenance factors include salary, quality
of supervision, interpersonal relationships with coworkers, and good working conditions (Herzberg, 1966).
According to Herzberg (1966), hygiene factors, although they keep workers from becoming dissatisfied,
do not act as real motivators. Hygiene factors are most often extrinsic and usually cannot be changed by
employee behaviors; hygiene factors do not motivate employees. Motivators are most often intrinsic factors
and are correlated with increased job satisfaction. Thus, when managers want to motivate employees,
motivators should be emphasized.
Cerasoli, Nicklin, and Ford (2014) conducted a meta-analysis, the 10th such analysis, of more than 40
years of research to discern whether providing extrinsic incentives overcomes intrinsic motivation and the
resultant effects on performance. In answer to the question, which matters most for performance, incentives or
intrinsic motivation, the researchers determined that application of extrinsic motivators impacts the quantity of
performance more so than the quality of the performance. Other findings of the analysis included intrinsic
motivation alone (without incentives) is also a strong predictor of quantity of performance, incentives alone
have little impact on intrinsic motivation, and intrinsic motivation appears to increase as age increases.
Contingency Theories of Leadership: Leadership and Management by Situation
As research into leadership became increasingly complex, it was recognized that leader characteristics, traits,
and behaviors were not sufficient to explain the concept. The focus of research then shifted to include
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components of the situation or the environment into the equation as well. In other words, various external
factors, such as conditions in the situation and the nature of the task to be accomplished, help to determine the
leadership style that would be most effective in a particular situation.
The Fiedler Contingency Theory of Leadership
One of the earlier efforts to address contingencies in leadership situations was the Fiedler (1967) Contingency
Theory of Leadership. Fiedler, Chemers, and Mahar (1976) state,
This theory holds that the effectiveness of a group or organization depends on two interacting or
“contingent” factors. The first is the personality of the leaders to determine their leadership style. The
second factor is the amount of control and influence which the situation provides leaders over the
group’s behavior, the task, and the outcome. This factor is called situational control. (p. 3)
Fiedler (1967) developed the Least Preferred Coworker (LPC) Scale to determine and classify leadership
styles. The instrument, an 18-item semantic differential scale, uses contrasting adjectives (e.g.,
friendly/unfriendly, open/guarded, and insincere/sincere) to direct the leader to describe an LPC. From the
leader’s responses on the scale, an LPC score is obtained. A leader with a high LPC score describes an LPC in
a generally favorable manner. Fiedler believed this leader tends to be relationship-oriented and considerate
about the feelings of coworkers. Conversely, a leader with a low LPC score would be described by Fiedler as
task oriented. Leaders who fall in the midrange of scores are a mix of the two types of leaders and should
determine for themselves to which group they ultimately belong. Fiedler’s assumption is that a leader’s style
is innately either relationship or task oriented and that style cannot be changed as the situation changes
(Fiedler et al., 1976).
Once the leader’s style has been determined by the LPC score, the next step is to match or fit the leader
with the situation. Fiedler used the term situational control to describe three major group classifications or
variables that may be used to evaluate an individual situation (Box 17-1).
Box 17-1 Group Classifications
Leader–member relations: Confidence in the leader and support of the group is effective in influencing
the group’s performance. (This is the most important factor in determining the leader’s control and
influence over the group.)
Task structure: Structure of the task is on a continuum from a well-defined, step-by-step procedure to a
vague and undefined one.
Position power: Authority is vested in the leader’s position by the organization.
Leader–member relations can be classified as good or poor, task structure as high or low, and position
power as strong or weak. According to Fiedler, the better the leader–member relations, the higher the task
structure; the stronger the position power, the more control or influence the leader has. For example, a nurse
who is in an autonomous position as the vice president of patient care services (strong position power) is
highly respected (good leader–member relations) by a group of nurse practitioners (high task structure) and is
employed by the hospital is influential to the nurse practitioner group.
In Fiedler’s studies of more than 1,200 groups since the 1950s, the low LPC leader (task oriented) has
been found to be most effective in very favorable situations (position power is strong and leader–member
relations are strong) and in very unfavorable situations (position power is weak and leader–member relations
are weak). Also, the low LPC leader is most effective when tasks are clear and highly structured. The high
LPC leader (relationship oriented) is most effective in moderately favorable situations when position power is
weak, task structure is low, and leader–member relations are good (Hitt et al., 2011).
Numerous studies have been undertaken to test the validity of the contingency model’s assumptions
(Chemers, Harp, Rhodewalt, & Wysocki, 1985; Fiedler, 1969; Minor, 1980). These comprehensive studies,
including a meta-analysis of 125 tests of the contingency model, provide strong support for the model’s
validity.
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Path–Goal Theory
Robert House (1971, 1996) developed the Path–Goal Theory as an extension of the earlier work of
Georgopoulos, Mahoney, and Jones (1957) and from research related to the expectancy theories of motivation
(Vroom, 1964). Situational factors that are examined in this theory include the nature and scope of the task to
be accomplished, the employee’s perceptions and expectations of the task, and the role of the leader in the
work process. Expectations of the leader in this theory are to assist followers in determining and attaining
goals and to provide the necessary direction and support to ensure that employee goals are compatible with
those of the organization. The role of the leader is also to provide motivation and some type of reward (i.e.,
recognition for the employee once the task has been completed or the goal has been reached) (Podsakoff,
Bommer, Podsakoff, & Mackenzie, 2006). The leader is responsible for helping the employee determine and
clarify the path the worker is to take to reach the goal. An important aspect of the leader’s role is to identify
and remove obstacles from the path of the worker to enable him or her to successfully attain the goal.
House (1971) identified four leadership behaviors to test the assumptions of his theory. The directive
leader provides specific guidance and direction to workers on how the task is to be accomplished; the
supportive leader is concerned with the accomplishment of the task as well as the needs of the worker; the
participative leader involves workers in making decisions about how the task or goal should be accomplished;
and the achievement-oriented leader sets challenging goals and has high expectations that employees will
perform at the highest level. House assumes leaders are flexible and are able to use any of these leadership
behaviors as the situation warrants.
The Path–Goal Theory also proposes two sets or classes of situational or contingency variables that
influence the relationship between the leadership behavior and the outcomes. These two variables are
environmental variables (those outside of the control of the employee) and variables that are part of the
personal attributes of the employee. Examples of environmental variables include the nature and structure of
the task or the goal to be accomplished and the composition of the work group to which the employee has
been assigned. Employee contingency factors include ability, locus of control, and experience. House (1971)
proposed that employee performance and satisfaction are enhanced when the leader is able to compensate in
some way for any shortcomings with either the employee or the work setting.
Path–Goal Theory remains one of the most respected approaches to understanding leadership. Research
related to the path–goal model is generally supportive of the major assumptions of the model (Robbins &
Coulter, 2013; Schriesheim, Castro, Zhou, & DeChurch, 2006; Vecchio, Justin, & Pearce, 2008).
Situational Leadership Theory
Situational Leadership Theory, developed by Paul Hersey and Kenneth Blanchard in the 1970s, is a
contingency theory that examines the relationship among three concepts of management: task behavior,
relationship behavior, and maturity level of the follower or worker. Task behavior is the amount of direction
given by the leader to ensure that the task is accomplished. Relationship behavior is the amount of emotional
support and energy the leader provides to the follower or worker. According to Hersey and Blanchard (1977),
task behavior and relationship behavior are directly related to the maturity level exhibited by the employee
toward the job or task.
Leaders must adjust leadership style depending on the maturity level of the employee. That is, a more
directive leadership style is required with an immature worker, and a less directive style is adequate for a
mature worker. In this theory, a mature employee or worker is described as one who has the willingness,
capacity, and initiative to set goals for himself or herself and to accomplish tasks with minimal direction. The
immature employee requires more direction from the leader to accomplish the task or objective.
A worker’s maturity level is not fixed or constant. Maturity levels may change when the task or objective
changes; therefore, a worker’s maturity level may be placed on a continuum from immature to mature.
Frequent assessments of the follower or worker by the leader are necessary for the appropriate leadership style
to be used.
In this theory, the leader must be able to adapt leadership styles to meet individual and situational
demands. If workers in a situation are immature, the leader should provide a high level of task direction and a
low level of support or relationship behavior. As the worker matures, the reverse may be true (i.e., with a
mature worker, the leader’s task direction decreases and relationship behavior increases). Eventually, the
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mature worker may need minimal task direction and relationship support from the leader (DuBrin, 2012).
Contemporary Leadership Theories
Since the late 1970s, theories of leadership have expanded the number of variables that affect effective
leadership. These variables include increasing complexities of the work environment, the culture of the
organization, values of the organization, leaders and followers within the organization, and the influence of
the leader/manager (Vroom & Jago, 2007). Transactional and transformational leadership, authentic
leadership, charismatic leadership, and servant leadership are considered some of the leading, emerging
contemporary leadership theories.
Transactional and Transformational Leadership
Burns (1978), a scholar in the area of leader–follower interactions, maintained that there are two types of
leaders in management, the transactional leader and the transformational leader. The transactional leader is
viewed as the traditional manager, a manager who is concerned with day-to-day operations. The
transformational leader is a long-term visionary who can inspire and empower others with his or her vision
(Avolio, Zhu, Koh, & Puja, 2004; Bass, Avolio, Jung, & Berson, 2003; Bono & Judge, 2003; Schaubroeck,
Lam, & Cha, 2007; Walumbwa, Avolio, & Zhu, 2008). In health care organizations, the transactional
leadership model appears to be the most prevalent (Schwartz & Tumblin, 2002), although transformational
leadership is ideally suited for environments, such as health care, which are continually changing and
transforming (Borkowski, 2016).
Characteristics of transformational leaders include strong commitment to the profession and to the
organization, the ability to help their followers look at old problems in new ways, as well as the ability to
excite and motivate followers to produce extra effort to achieve group goals. The hallmark of the
transformational leader is vision and the ability to communicate that vision to others so that it becomes a
shared vision. This shared vision between leader and follower is translated as inspiring movement to achieve a
common cause or a common goal for the organization. Research studies conducted in various settings such as
in the military and business sectors support the effectiveness of transformational leadership as compared to
transactional leadership in regard to employee performance and satisfaction (Robbins & Coulter, 2013).
Transformational leadership is built on transactional leadership (Judge & Piccolo, 2004). Transformational
and transactional leadership should not be viewed as opposing forces (Robbins & Coulter, 2013).
Contemporary management theorists caution that characteristics of both transactional and transformational
leadership must be in the repertoire of the effective leader to accomplish the goals of the organization
(Washington, 2007).
The concept of transformational leadership is one of the most widely researched concepts in the field of
leadership (Harms & Crede, 2010). Research has validated the positive relationship between transformational
leadership style and the performance and effectiveness of the leader. In addition, the impact of
transformational leadership on follower satisfaction and motivation has also been extensively studied and
positively validated (Judge & Piccolo, 2004).
Some contend that EI is an antecedent of transformational leadership. The concept of EI as it relates to
leadership ability, especially transformational leadership, has been researched extensively in the past few
years with mixed results. For example, Harms and Crede (2010) reported the results of a meta-analysis
conducted to determine whether EI is related to transformational leadership and, if so, to what extent. Results
indicated a moderate relationship between EI and transformational leadership and suggested that EI may
contribute to successful leadership. The authors caution, however, that the results of this study also seem to
suggest that commonly marketed EI assessment tools, which are often used by organizations for management
screening or training, should not be overemphasized and should be used only for self-awareness and self-
reflection until better screening tools are available and have been psychometrically validated and empirically
tested (Harms & Crede, 2010).
The results of Lindebaum and Cartwright’s (2010) research revealed that when using a strong
methodologic design to evaluate the relationship between EI and transformational leadership, no relationship
between EI and transformational leadership is found. Conversely, the results of another meta-analysis
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conducted by O’Boyle, Humphrey, Pollack, Hawver, and Story (2011) validated the relationship between EI
and job performance and supported the overall validity of EI.
Authentic Leadership
Authentic leadership is a construct derived from the works of the humanistic psychologists, particularly Carl
Rogers and Abraham Maslow, who focused on the human potential for achieving self-actualization. Maslow
(1971) viewed the self-actualized person as someone who has full personal awareness, holds an accurate self-
picture of his or her capabilities, upholds the highest ethical standards, and is not easily swayed or influenced
by others. Early application of the concept of authentic leadership occurred in the disciplines of sociology and
education (Avolio & Gardner, 2005).
Shamir and Eilam (2005) advance four characteristics of authentic leaders. This type of leader:
1. Does not change to meet the expectations of others; he or she remains constant in his or her
convictions.
2. Is not preoccupied with attempting to achieve higher personal status or honors.
3. Makes leadership decisions based on his or her personal point of view and not based on what he or she
thinks others would want him or her to do.
4. Bases actions on personal values and belief systems.
Banks, McCauley, Garner, and Guler (2016) conducted a meta-analysis to compare authentic leadership
and transformational leadership theories to address concerns by some regarding the contribution of authentic
leadership to the leadership literature. The results of the analysis indicated a strong correlation between
authentic and transformational leadership. However, there is significant construct redundancy between the two
theories which elicits concerns that the two are not stand-alone constructs.
Charismatic Leadership
Charismatic leadership is an extension of attribution theory; that is, followers attribute heroic or extraordinary
leadership abilities when they observe certain behaviors in their leaders (Conger & Kanungo, 1988). Several
researchers, including House (1977), Bennis (1984), Conger and Kanungo (1988), and Rowold and Heinitz
(2007), have attempted to describe and define attributes and characteristics of the charismatic leader. These
characteristics include complete and compelling self-confidence in themselves and in their abilities, strong
convictions and vision, and the ability to clearly and forcefully articulate that vision to others (Jung & Sosik,
2006).
Charismatic leaders are viewed as strong agents for change rather than as caretakers or managers of the
current situation or environment. They are perceived as having behavioral characteristics that are
unconventional and out of the ordinary. Charismatic leaders are risk takers and often arise from areas in
society or business in which there is a common or shared ideology, such as the military, religious, political, or
business sectors. These leaders often emerge when the organization has undergone a crisis.
Servant Leadership
A term first used in the late 1960s, servant leadership refers to a leadership style which is focused on
listening, awareness, and stewardship by the leader. The servant leader is viewed as a moral leader who is
driven to help followers meet their goals in order for organizational initiatives to be achieved. Servant leaders
exhibit a commitment to helping others meet their potential by performance coaching which consists of
performance planning, identification of professional development needs, frequent coaching, and consistent
performance evaluation (Blanchard & Hodges, 2003). Although characteristics of servant leaders and
transformational leaders are similar, the focus of the leader is different. The transformational leader’s focus is
on the organization, whereas the servant leader’s focus is on followers (Stone, Russell, & Patterson, 2003).
Followership Theory
The literature on leadership abounds with theories and research related to the outcomes of application of the
theories. Recently, focus has also shifted to followership theory and how it relates to leadership, as
presumably, one cannot lead without followers. Following is a behavior which another person (a leader) is
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allowed to influence (DeRue & Ashford, 2010). Uhl-Bien, Riggio, Lowe, and Carsten (2014) assert that
although most research on leadership acknowledges followers in some way, examining the behaviors of
followers is crucial to fully understand the leadership process.
Organizational/Management Theories
Frederick Taylor, a mechanical engineer in steel plants in Pennsylvania, is recognized as the father of
scientific management (Williams, 2013). In 1911, Taylor published The Principles of Scientific Management,
which revolutionized the way work was accomplished in organizations in the United States. This change led
to the use of the scientific method to help determine the “one best way” for a job to be done. Taylor’s work is
credited with beginning modern management theory.
Scientific Management
Taylor’s work evolved because of what he perceived as inefficiencies on the job by workers and management,
which he believed led to only one-third of the possible output. These inefficiencies included workers applying
differing techniques to get the same job done, employees working at a deliberately slow pace, management
not matching worker expertise and talents to the job, and management making decisions based on hunches
and intuition. Taylor (1911) devised four principles of management (Box 17-2).
Box 17-2 Taylor’s Principles of Management
Using scientific methods (i.e., time and motion studies), work can be organized to produce maximum
efficiency and productivity while capitalizing on the expertise of the individual worker.
Workers with specific attributes and qualifications should be hired and then trained and matched to the job
that would make the best use of their capabilities.
Workers should be rewarded monetarily if production exceeds established goals rather than being paid an
hourly wage; workers should know where and how they fit into the organization and should be informed
of the organization’s mission and how they can help to accomplish the mission.
Managers and workers should work cooperatively; however, the role of management is to plan and
supervise, and the role of the worker is to get the work done.
As a result of implementation of Taylor’s principles and ideas, profits and productivity in American
organizations rose dramatically. His methods gave U.S. companies a competitive advantage over foreign
companies—an advantage that lasted for approximately 50 years.
Theory of Bureaucracy/Organizational Theory
Max Weber, a political theorist and sociologist in prewar Germany, was attempting to address social and
political concerns when he developed his definition of bureaucracy (Williams, 2013). Weber considered a
bureaucracy to be an ideal form for an organization in which there is a clearly defined hierarchy and division
of labor operating in a system of detailed rules and regulations. Weber’s theory emphasized the concepts of
authority, command, power, domination, and discipline. For example, in a bureaucracy, the authority for
decision making depends on the individual’s position in the organization (i.e., the higher the individual is
ranked in the organization, the greater the level of authority of that individual) (Weber, 1970). Many of
Weber’s principles are still used in large health care organizations today.
Classic Management Theory
Henri Fayol, a French mining engineer and industrialist, successfully brought the Commentry-Fourchambault
Mining Company from the brink of bankruptcy in 1888 and made it into a thriving, successful company. He
accomplished this by using 14 principles of administration and management (DuBrin, 2012). These principles
address areas such as division or specialization of work, authority, employee discipline, unity of direction or
supervision, remuneration of workers, chain of command, equity, initiative, and esprit de corps (Fayol, 1949).
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Examples of Fayol’s principles of management are included in Box 17-3. Many, if not most, of Fayol’s
principles are used in organizations today.
Box 17-3 Fayol’s Principles of Management
To ensure maximum efficiency and effectiveness, there should be specialization of work regardless of
whether the work is technical or administrative.
Managers must have the right and the power to give orders; however, with authority comes responsibility.
Responsibility and authority must be commensurate.
Good discipline is essential to the organization; however, management has the responsibility to inform
workers of expectations and to provide good supervision.
When sanctions must be applied, they should be applied fairly and appropriately.
Every employee should have only one supervisor from whom he or she receives orders and directions.
Compensation for work should be judged as fair by both management and the worker.
Motivational Theories
The ability to motivate others is a characteristic shared by leaders. Motivational theories are derived
predominantly from the work of psychologist Abraham Maslow and his theory. McGregor’s and Herzberg’s
theories were presented as evolving from Maslow’s theory. The following sections discuss contemporary
theories of motivation, including Achievement–Motivation or Three Needs Theory, Expectancy Theory, and
Equity Theory.
Achievement–Motivation Theory
The Achievement–Motivation Theory was developed by Atkinson, McClelland, and Veroff. It focuses on
aspects of personality characteristics and proposes three forms of motivation or needs in work situations
(Drafke, 2009; Robbins & Judge, 2015). These three factors or motives are labeled social motives and are
presented in Table 17-1.
Table 17-1 Motivation Needs in Work Situations
Need Characteristics
Achievement (n-Ach) Need to strive for success and excellence in the work situation to accomplish what
has not been accomplished before
Power (n-Pow) Need to be influential and to control others; to be in charge or in authority
Affiliation (n-Aff) Need to be liked, accepted, and respected by others
n-Ach, need for achievement; n-Pow, need for power; n-Aff, need for affiliation.
Individuals with a high need for achievement (n-Ach) are not as concerned with the rewards of
achievement as they are with the actual achievement. These individuals seek out characteristic situations in
which the probability of success is neither too high nor too low, in which success can be achieved through
one’s own efforts, and in which personal credit can be received for a good or successful outcome. For
example, if the probability of success is too high, an individual with n-Ach will find motive satisfaction low—
he or she perceives that there is not a sufficient challenge. Individuals with high n-Ach are often attracted to
entrepreneurial activities, such as developing their own businesses (Rue & Byars, 1977).
Research indicates that a high need to achieve is not necessarily synonymous with being a good manager.
Other research has revealed that the needs for affiliation and power are closely related to managerial success.
That is, the best managers appear to be those individuals who have a high need for power and a low need for
affiliation (Robbins & Judge, 2015).
Expectancy Theory
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Victor Vroom developed Expectancy Theory in the 1960s. Major concepts of this theory include the effects of
ability and motivation on performance; they can be expressed as a mathematical statement:
Performance = Ability × Motivation
Vroom (1960) concluded that managers should attempt to develop and motivate employees
simultaneously. However, he recognized that the successful motivation of employees depends on the
employee’s aptitude and ability as well.
In a later work, Vroom (1964) added the concepts of expectancy, instrumentality, and valence to
motivation. This premise can also be expressed as a mathematical statement:
Motivation = Expectancy × Instrumentality × Valence
Expectancy is defined as the association between the action and the outcome of the action. Action will
lead to the achievement of a goal. Instrumentality describes the type of outcome derived because of an action;
it is the perception that achievement of a goal will lead to a reward. Valence is the value placed on the
desirability of the outcome by the employee (Vroom, 1964).
In short, the Expectancy Theory states that an individual will act (performance) in a certain manner
because there is an expectation (motivation) that the act will result in an outcome. Employee performance is
also based on the attractiveness of that outcome (reward) to the individual. Note that the attractiveness of the
outcome or reward is what the employee perceives it to be, not what the manager perceives. An individual’s
own perceptions of performance and reward will determine the employee’s level of effort. Therefore, it
behooves managers to make certain employees understand and see the connection between performance and
rewards and to determine what rewards are valued (and expected) by workers.
Equity Theory
J. Stacy Adams, a research psychologist, developed Equity Theory in 1963. This theory is based on the
concepts of cognitive dissonance and distributive justice. It attempts to describe the relationship in which an
individual gives something (input) and in exchange receives something (outcome) (Adams, 1965).
In a work situation, an individual expects that if he or she works hard at a job (input), he or she will
receive compensation or recognition (outcome) based on what he or she has put in. The individual then
compares this input–outcome ratio with relevant others in the same job situation (inside or outside of the
organization). If the worker perceives the input–outcome ratio of the relevant others is equal to his or her own,
then a state of equity exists. If the ratios are not equal (i.e., if the workers perceive themselves to be over- or
underrewarded), a state of inequity exists, and the employee will attempt to correct the inequity (Robbins &
Judge, 2015). The corrections may take several forms and include lower or higher inputs or outputs and
increased absenteeism. The presence of inequity results in employee dissatisfaction.
Concepts of Power, Empowerment, and Change
In society and in organizations, the words power and authority are often used synonymously and sometimes
interchangeably. However, the two concepts are not synonymous.
Power
Power is the larger concept from which authority is derived. Power can be defined as influence wielded by an
individual or group of individuals to change behaviors and attitudes and to sway decisions. Power implies a
dependency relationship. In other words, the more dependent an individual is on another, the more power is
generated by the individual in possession of the desired attribute (e.g., wealth, information, prestige). Power
can have positive or negative connotations. For example, among disenfranchised groups, power may have a
negative connotation, as in abusing power or by engendering feelings of powerlessness.
Authority, on the other hand, is a formal right based on the manager’s position in the organization.
Authority is a source of legitimate power; however, some individuals (and organizations) are more proficient
than others in using and delegating authority. Authority can be under- and overused. Usually, the higher one is
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(by virtue of vertical position) in an organization, the greater one’s authority.
French and Raven (1959) conducted early research related to the concept of power. They classified five
bases or sources of power: reward, coercive, legitimate, referent, and expert power (Table 17-2). Coercive,
reward, and legitimate power are considered formal bases of power; referent and expert power are personal
bases of power. Hersey and Blanchard (1982) described two other power sources: informational power—
access to information that others do not have—and connection power. Connection power relates to networks
and contacts within, especially vertical contacts, and outside of organizations—in other words, who you
know. Another base of power, charismatic power, was subsequently identified in the literature (Heineken &
McCloskey, 1985). Charismatic power can be distinguished from referent power as a type of personal power
rather than reflected power. Charismatic power is the power that attracts one individual to another.
Table 17-2 Sources of Power
Type of Power Characteristics Examples
Reward The transfer of positive reinforcers from
the leader to the follower
Praise, compensation, and other rewards
the follower values
Coercive The use of negative sanctions to achieve
results desired by the leader
Unfavorable work assignments;
unappealing work schedules
Legitimate Power derived by virtue of the position
or title held within the organization
Vice president of patient care services;
chief nursing officer; charge nurse; team
leader
Referent Power that some individuals possess by
virtue of their association with a more
powerful individual or entity
Being on the faculty of a well-known
university; working for a renowned
nurse
Expert Power derived through an individual’s
knowledge, experience, and expertise or
skill in a certain discipline or area of
specialization
A clinical nurse specialist consulting in
the case of a pregnant oncology patient;
a nursing professor chairing a
curriculum change committee
Power bases can be used individually or in combination. The effect of the power bases is additive; that is,
the more power bases an individual uses, the greater or broader the power that individual will exert or
exercise. Research indicates that personal sources of power are most effective (Carson, Carson, & Roe, 1993).
In organizations, subordinate employees can also achieve power by having superiors become dependent
on them which is recognized as the most effective method of achieving power by lower level personnel
(Borkowski, 2016). The most common ways lower level employees exercise personal power is by limiting or
withholding access to people, resources, and information which is critical to doing business within the
organization. Ways that managers can develop a successful power base include (1) creating a sense of
obligation among employees to return favors done on their behalf by the manager, (2) establishing a
reputation or track record as an expert in a particular discipline or area, and (3) fostering dependence on the
manager by employees especially as relates to the allocation or withholding of resources (Kotter, 1977).
Researchers such as McClelland (1975), Winter (1973), and Raven (2008) have determined that there are
three major motivators that influence leader behavior when selecting a power strategy: need for power, need
for affiliation, and n-Ach. For example, a manager with a high need for power may be more likely to operate
from a base of impersonal coercive power and legitimate position power, whereas a supervisor with a high n-
Ach may make more use of informational and expert power (Raven, 2008). Self-esteem, high or low, may
also play a role in which power strategy is ultimately selected. It is theorized that individuals with low self-
esteem may be more likely to utilize harsh or hard power bases such as coercion power (Kipnis, 1976).
An emerging area of research explored the use of body language to increase one’s power position and
influence which is also referred to as the power pose (Carney, Cuddy, & Yap, 2010). Positioning oneself in a
high power pose results in positive psychological, physiologic, and behavioral changes which dictate how
ultimately a person thinks and feels about himself or herself.
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Empowerment
In many organizations, including some health care organizations, power has shifted from residing exclusively
with management to the worker or a group of workers, often in a team configuration. Empowerment, in
organizational terminology, is the transfer or delegation of responsibility and authority from managers to
employees; empowerment is the sharing of power. Empowerment also involves the sharing of vision, mission,
knowledge, expertise, decision making, and resources necessary for employees to reach organizational goals.
The concept of empowerment can be operationalized as a continuum with employees in some organizations
having virtually no say in how the work is to be accomplished and employers on the other end of the
continuum having complete control over work processes (Daft & Marcic, 2015).
Empowerment is consistent with the contemporary views of leadership (e.g., transformational, visionary).
In today’s competitive economic environment, organizations that have been successful from an economic and
quality standpoint are those that have empowered employees to “get the job done.” This usually involves
removing bureaucratic barriers to success, such as forcing workers to wait days or weeks for management
approval of new work methods or for allocation of necessary resources to accomplish a task or goal. To
exploit competitive marketplace advantages, decisions and changes are made rapidly and at a lower level in
the organizational structure than in traditional companies. Empowered employees are often more creative and
responsive to the needs of the customer or consumer.
Change
Today, nursing and, in a broader view, health care are arenas that seem to be in a constant state of flux or
change. For most individuals, change elicits feelings of uncertainty, anxiety, and upheaval. Kurt Lewin, a
German psychologist, proposed a method of planned change, which is controlled change or change by design.
Theorists who have expanded the work of Lewin include Havelock, whose theories on change include six
phases; Kilmann, who postulated five stages of organizational planned change; Kotter, who describes a
process that includes eight stages for leading change; and Smith, who identified seven levels of change
(Tomey, 2009).
Planned Change Theory
Lewin (1951) described a method in his field theory that provides a basis for considering the process of
planned change. Planned change occurs by design, as opposed to change that is spontaneous or that occurs by
happenstance or by accident. When Lewin’s process is used correctly and in its entirety by a group or a
system, effective change is implemented.
Central to Lewin’s theories on planned change are the concepts of field and force. A field can be viewed
as a system; therefore, when change occurs in one part or aspect of the system, the whole system must be
examined to determine the effect of that change. Force is defined as a directed entity that has the
characteristics of direction, focus, and strength. Lewin (1951) states that change is a move from the status quo
that results in a disruption in the balance of forces or disequilibrium between opposing forces.
According to Lewin (1951), there are two forces involved in change, driving forces and restraining forces.
As the name implies, a driving force encourages or facilitates movement to a new direction, goal, or outcome.
A restraining force has the opposite effect; restraining forces block or impede progress toward the goal. In
planned change, driving forces should be identified and accentuated. If possible, restraining forces should also
be identified and minimized to achieve the desired outcome or change. Lewin describes effective change as
the return to equilibrium as a result of balancing opposing forces. If driving forces and restraining forces can
be identified, it may be possible to predict if and when change would be successful. Lewin identifies three
phases that must occur if planned change is to be successful: unfreezing the status quo, moving to a new state,
and refreezing the change to make it permanent. In the unfreezing stage, individuals involved must be
informed of the need for change and should agree that change is needed. Change, particularly in the work
environment, often leads to feelings of uneasiness, uncertainty, and loss of control. Change, just for the sake
of change, is viewed by most individuals as stressful and unnecessary.
Driving forces should exceed restraining forces during movement, the second phase of the planned change
process. The initiator of the change, the change agent, should recognize that change takes time, should be
accomplished gradually, and should be thoughtfully and comprehensively planned before implementation.
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During the refreezing phase, stabilization occurs. If stabilization is successful, the change is assimilated
into the system. Change disrupts the comfort of the status quo; it leads to disequilibrium. Therefore, resistance
to change should always be anticipated and expected.
Kotter (1995) expanded Lewin’s theory by devising a more detailed eight-step approach for implementing
change that correlates to the unfreezing, movement, and refreezing phases in Lewin’s model. Kotter analyzed
common mistakes made when managers attempt to initiate a change. Based on these mistakes, Kotter’s Eight-
Step Plan for Implementing Change was devised. The eight steps include:
1. Create a sense of urgency for the change.
2. Form coalitions to have enough power to lead the change.
3. Create a new vision to direct the change; strategies must be developed to achieve the new vision.
4. Communicate the new vision purposefully and effectively throughout the organization.
5. Remove barriers to change, empower others to act on the new vision, encourage an atmosphere of
creativity and risk taking.
6. Plan rewards for short-term “wins” when the organization begins to move toward the new vision.
7. Continually assess the effects of the change and make adjustments as necessary in new programs.
8. Reinforce the changes by linking new behaviors to organizational success (Robbins & Judge, 2015).
Link to Practice 17-1 illustrates an example of one workplace’s successful use of Kotter’s Eight-Step Plan
for Implementing Change.
Link to Practice 17-1
It has been estimated that over 70% of patient care errors occur because of lack of adequate
communication during transitions in care between one provider and another, that is, during handoffs.
Benefits of nursing bedside handoffs have been widely reported in the literature. This article reports on the
efforts of one surgical orthopedic trauma unit in adopting a successful change of shift report process after
attempting to make the change unsuccessfully several times before.
Kotter’s Eight-Step Change Model was utilized to guide the process change. In the first step, a sense of
urgency was created by illustrating risk for harm to patients as a result of miscommunication during poor
handoff. During the second step, a diverse coalition of nurses committed to making the change was
formed. Steps 3 and 4 involved creating the vision for the new process and communicating the change to
all stakeholders. In this example, staff meetings and educational sessions were scheduled to communicate
the vision. During step 5, empowering others to actualize the vision, staff members were instrumental in
developing a new process for handoffs which created a sense of ownership. In the new process, it was
determined it was safer for patients who were sleeping during handoffs to be awakened so that they could
be involved. Identifying quick wins, step 6, reinforced the impetus for the change. A quick win in this
example is staff were more likely to be able to leave on time at the end of shift times as a result of
efficiencies generated with the new handoff process. Steps 7, build on the change, and 8, institutionalize
the change, involved integrating and sustaining the change on the unit. Nurse satisfaction was measured
postimplementation; almost 90% of the unit nurses agreed that conferencing with their patients prior to the
start of the shift left them with a greater sense of satisfaction. The nurses also strongly agreed that
incorporating bedside handoff improved the overall efficiency of the unit and, most importantly, played a
significant role in reducing potential and actual errors in patient care.
Small, A., Gist, D., Souza, D., Dalton, J., Magny-Normilus, C., & David, D. (2016). Using Kotter’s change model for implementing beside
handoff: A quality improvement project. Journal of Nursing Care Quality, 31(4), 304–309.
Uncertain and dynamic environments often characterize the environments of organizations today. In this
environment, stability and predictability rarely exist. Disruptions in the status quo are the norm. Organizations
today face constant change, often bordering on chaos. Leaders in today’s environments of continual change
must be prepared to efficiently and effectively adapt to change and must be able to manage all aspects of
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change—from both external and internal forces.
Most of the time, drivers or the impetus for change originate because of pressure or factors external to
organizations. The organization attempts to adjust or redesign the internal environment in attempt to respond
to outside factors driving the change. Examples of external factors driving change in health care organizations
today include evolving health care policy, fluctuating government and private insurer payment practices,
integration of data analytics, and the expanding role and power of consumers in the selection and evaluation
of health services providers and organizations (Borkowski, 2016).
Resilience
Resilience is a concept or attribute which can be ascribed to individuals and to organizations. The word
resilience is derived from a Latin term and refers to the ability to adapt to adversity and/or to change. Today’s
health care organizations, and the individuals who work in those organizations, are experiencing
unprecedented periods of rapid change. Pressures placed on health care organizations from external forces
such as the government, insurers, physicians, and customers, as well as from internal sources, demand
organizational resilience, adaptability, and the ability to respond and react rapidly to change if the
organization is to succeed and flourish.
Individuals with high levels of personal resilience are highly valued, especially in turbulent times, as they
seem to be able to better manage their reactions to stressful situations and circumstances. In addition, resilient
individuals tend to make more effective team members and leaders (Shirey, 2012).
Problem-Solving and Decision-Making Processes
Decision making is typically viewed as but one component of problem solving. Decision making can occur
without taking the time to complete a comprehensive analysis, a step that is usually required in problem
solving. Also, a decision can be made without identifying the real problem. Factors that play a role in an
individual’s process or method of decision making include the individual’s values, life experiences,
preferences, and inherent ways of thinking.
Early attempts to arrive at a scientific or rational method of decision making were described in the
Rational Decision-Making Model. Research conducted by Vroom and Yetton (1973) and Vroom and Jago
(1988) related to decision making has resulted in quantitative decision technology. This method can help
managers select a decision-making style based on input and mathematical computation of effects of leader and
situational variables.
The Rational Decision-Making Model
The primary assumption of the Rational Decision-Making Model, which has ties to the classic theories of
economic behavior, is that of economic rationality. Economic rationality contends that people always attempt
to maximize their individual economic outcomes when weighing decisions. Individuals or managers evaluate
potential outcomes of their decisions based on current or prospective monetary worth. In a business decision-
making situation, a manager weighs the alternative outcomes of a decision based in terms of profit-and-loss
potential. The alternative selected as part of the decision-making process is the alternative that reaps the
highest expected worth. Expected worth equals the sum of the expected values of the associated costs and
benefits of the outcomes resulting from that alternative (Wagner & Hollenbeck, 2014).
Other assumptions of the model include the following:
The problem is easy to discern and is without ambiguity.
There is one well-defined goal to be achieved.
All possible alternatives and consequences to action are known to the decision maker.
There are no time or cost constraints.
The final choice that is made will have the maximum economic payoff.
However, the assumptions of rationality often do not hold true. For example, in today’s health care
environment, how often does the manager have the luxury of no time or cost constraints?
Simon (1965), an economist and psychologist, concluded that most managers did not make decisions
based on objective rationality. Simon proposed that there are bounds or limits to the ability of humans to make
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rational decisions at all times. Bounded rationality, a term devised by Simon, means that humans are unable to
make entirely rational decisions because of the limits of human mental abilities and because of the influence
of external factors on decision making. As a result, most people who make decisions do not have the time or
capability to wait for the best possible solution to every problem. Decisions are made using incomplete
knowledge and without attempting to determine all possible consequences. The final decision is good enough
or “satisficing.” Most people stop the search for alternatives when they find a satisficing alternative.
There are several influences on the decision-making process, which contribute to bounded rationality.
These include intuition, personality and cognitive intelligence, EI, quality and accessibility of information,
political considerations, degree of certainty, crisis and conflict, the values of the decision maker,
procrastination, and decision-making styles (DuBrin, 2012).
Group Decision Making
In organizations, groups or teams of people typically make decisions rather than individuals. Group decision
making is often used when the decision is complex, such as when a new process or product is being
developed. Advantages of group decision making include the following: The decision made may be of higher
quality because of the collective wisdom of the group members, major errors may be avoided because of the
ability of the group members to evaluate each member’s thinking, and commitment or “buy-in” of the group
may be increased because of members’ role in the outcome of the decision (DuBrin, 2012).
There are several disadvantages to group decision making. It often takes a group longer to reach a
decision. In addition, decision making in groups may lead to compromises that really do not solve the
problem. Because of the increased time involved for group decision making, group decision making should be
reserved for problems that are multifaceted, complex, and important enough to warrant the efforts of the group
(DuBrin, 2012).
An example of a group decision-making process is the Nominal Group Technique (NGT). Use of this
technique allows a manager to explore potential alternatives to a problem and the reaction to implementation
of specific alternatives. NGT follows a very structured format that begins by identifying the problem and ends
with developing an action plan to implement a chosen solution. Once the plan is implemented, the group
reconvenes to discuss progress and to evaluate outcomes (DuBrin, 2012).
Organizational Quantitative Decision-Making Techniques
Many organizations today, particularly health care organizations, rely on data-based decision making. That is,
leaders and managers in those organizations rely on results of facts and quantitative measures to make
decisions, although intuition and judgment still influence the decision-making process.
Examples of quantitative approaches used in decision making include the utilization of the following:
Pareto diagrams for problem identification, Gantt charts and milestone charts to monitor the progress of
scheduled projects, time-flow analyses, break even analyses (a method to determine profitability of new
ventures or programs), decision trees, graphic illustrations of all possible alternatives to solve a particular
problem, and sophisticated inventory-control techniques (DuBrin, 2012). Interactive performance
management tools such as data visualization dashboards and scorecards are frequently used by managers and
clinicians to determine the level of performance on quality metrics important to the organization. Data on key
performance indicators retrieved from performance dashboards are integral to decision making and inform
strategic and performance planning (Ross, 2014).
Conflict Management
Conflict can be positive or negative and functional or dysfunctional, although most people tend to shy away
from situations in which there may be conflict. Negative conflict can be detrimental if allowed to continue for
long periods without intervention from management. In general, a conflict situation has the following
characteristics:
At least two parties are involved.
Strong emotions and behavior, directed toward defeating or suppressing the opponent, are apparent.
Mutually exclusive needs or values exist or are perceived to exist.
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Opposing parties attempt to gain power over each other (Katz & Lawyer, 1985).
Thomas and Kilmann (1974) defined five conflict-handling modes or strategies: competing,
accommodating, avoiding, collaborating, and compromising. Competing or forcing is used when the issue is
important, needs speedy resolution, and “buy-in” from individuals other than the manager is unnecessary.
When the issue in conflict is of relative unimportance to the manager or when the manager “gives in” to the
other party involved in the conflict, accommodation is used. Avoidance should be used when emotions are
still high and when the conflict is trivial; confrontation should be postponed until a more opportune time
arrives. Collaboration is the opposite of avoidance and is used when the issue is too important to each side to
be compromised; all parties want a win–win solution. Compromise is used for complex issues when
conflicting parties are similar in power. Compromise can also be used to craft a temporary solution (Daft &
Marcic, 2015).
Integrating the five conflict-handling modes with the two dimensions of cooperativeness and assertiveness
results in the following conflict resolution options for managers: competing (assertive but uncooperative),
collaborating (assertive and cooperative), avoiding (unassertive and uncooperative), accommodating
(unassertive but cooperative), and compromising (midrange on both assertiveness and cooperation). Each
option has its inherent strengths and weaknesses, and no one option is ideal for every situation.
Quality Improvement
“In God we trust. All others bring data.” —W. Edwards Deming
One of the integral values of American society that has evolved in the last several decades is access to health
care at reasonable cost in terms of resources. With increasing demands on health service organizations for
improved quality and lower costs, the entire health care system has been forced to evaluate modes of
operation. As a result, many health care organizations have incorporated concepts of QI.
QI is the commitment and approach used to scrupulously examine and continuously improve every
process in every part of an organization. The ultimate intent of this methodology is meeting and exceeding
customer expectations. QI empowers individuals and teams within systems to look at the way service is
delivered to customers, to identify root causes of problems in the system, and then to creatively adopt
solutions to the problems. Many health care organizations can accurately claim substantial improvements in
both service effectiveness and efficiency as a result of this commitment and approach to quality.
In the field of QI, there exists a complex, ever-changing vocabulary. Even the term QI is not consistently
used as the primary label for quality-related concepts. Other labels (and their abbreviations) frequently noted
in the literature include continuous quality improvement (CQI), total quality management (TQM), total
quality systems (TQS), quality systems improvement (QSI), and total quality (TQ), among others. Other
related terms include performance improvement and process improvement.
The Case for Quality Improvement in Health Care
Early pioneers of QI in health care included the 19th century physician, Semmelweis, who introduced the
importance of handwashing, and Florence Nightingale, whose work led to decreasing mortality rates among
English soldiers in army hospitals by imposing strict sanitary conditions in the hospitals. Other momentous
steps in QI, especially in the United States, was the formation of the Hospital Standardization Program by the
American College of Surgeons, which eventually transformed into today’s The Joint Commission, the
organization which accredits health care organizations.
In 1966, 1 year after the implementation of Medicare, Donebedian first proposed quality could be
measured by examining the structures, processes, and outcomes of care, which became the first conceptual
approach widely used to measure the quality of health care (Chassin & Loeb, 2011). In 1996, The Joint
Commission implemented its Agenda for Change, a quality-focused methodology to improve the systems,
processes, and outcomes of care (Andel, Davidow, Hollander, & Moreno, 2012) (Table 17-3).
Table 17-3 Health Care Quality Timeline
Date Quality Innovation
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19th century Ignaz Semmelweis, an obstetrician, introduces handwashing to the care of patients.
Florence Nightingale, an English nurse, recognizes the impact of unsanitary living
conditions in English Army hospitals on the morbidity and mortality of patients.
1918 The American College of Surgeons forms the Hospital Standardization Program,
the predecessor of The Joint Commission, and begins on-site hospital inspections
using the Minimum Standards for Hospitals, a one-page document.
1948 The modern randomized clinical trial is instituted and used in a report from the
United Kingdom Research Council on the treatment of pulmonary tuberculosis.
1951 The Joint Commission on Accreditation of Hospitals (JCAH) is created.
1953 JCAH publishes Standards for Hospital Accreditation.
1965 Legislation creating Medicare is enacted. Mandatory utilization review committees
are established by the law that created Medicare.
1966 Donebedian proposes the first conceptual framework for measuring health care
quality.
1970 The Joint Commission modifies its traditional accreditation process, which is based
on standards, to comply with Donebedian’s framework.
1971 Congress creates experimental review organizations to review inpatient and
ambulatory services for quality and appropriateness of care.
1972 Medicare’s Professional Standards Review Organizations established by the Social
Security Administration Amendment.
1979 National Committee for Quality Assurance (NCQA) established.
1983 Professional Standards Review Organizations is replaced by Medicare Utilization
and Quality Control Peer Review Organizations program; later became the Quality
Improvement Organization Program.
1983 Forces of Magnetism are identified as a result of the work environment study
conducted by the American Academy of Nursing Task Force on Nursing Practice
in Hospitals. Hospitals that were able to recruit and retain nurses at higher levels
were described as “Magnet” hospitals.
1989 Agency for Healthcare Policy and Research is created to replace the National
Center for Health Services Research; later renamed the Agency for Healthcare
Research and Quality (AHRQ). Initially, this agency was charged by Congress with
developing practice guidelines and conducting health care research.
1994 University of Washington Medical Center, Seattle, becomes the first American
Nurses Credentialing Center (ANCC) Magnet-designated organization.
1999 National Quality Forum is created; mission is to improve health care delivery by
promoting the use of standardized quality measures and public reporting of
resulting data and outcomes.
1999 Institute of Medicine releases the report, To Err Is Human: Building a Safer Health
System.
2000 AHRQ receives a modified mandate from Congress; no longer directly responsible
for developing new clinical practice guidelines.
2001 Institute of Medicine releases the report, Crossing the Quality Chasm: A New
Health System for the 21st Century.
2010 The Patient Protection and Affordable Care Act (ACA) legislation is approved by
the United States Congress; a stated aim of the ACA is to improve quality and
efficiency of health care. A value-based purchasing program for hospitals is
introduced with Medicare reimbursement payments to hospitals linked to
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performance on key quality indicators associated with high-volume, high-cost
conditions.
2011 The U.S. Department of Health and Human Services submits the National Strategy
for Quality Improvement in Health Care report to Congress; six priority areas are
identified: patient safety, person-centered care, care coordination, effective
treatment, healthy living, and care affordability.
2012 “Health care quality and safety are best characterized as showing pockets of
excellence in specific measures or in particular services at individual health care
facilities. Excellence across the board is emerging on some important quality
measures. What has eluded us so far, however, is maintaining consistently high
levels of safety and quality over time across all health care services and settings”
(Chassin & Loeb, 2011, p. 562).
2017 The Centers for Medicare & Medicaid Services (CMS) continue to move Medicare
provider payments to alternative payment models which emphasize value and
quality outcomes.
Growing reliance on “big data” to guide health care systems’ decision-making
capabilities in quality and cost-effectiveness initiatives.
Sources: American Nurses Credentialing Center, 2013; Chassin & Loeb, 2011; Institute of Medicine, 2013; The Joint Commission, 2013.
Despite the focus on QI and on cost reduction in the health care system, the industry in the United States
remains plagued with inefficiencies and with all too common instances of poor quality. This results in
alarming and unsustainable increase in costs and negatively impacts the ability of U.S. companies to remain
competitive in a global economy. Aside from the staggering economic costs of an inefficient health care
system, poor quality often leads to well-publicized errors, mistakes, premature deaths, and diminished quality
of life for health care consumers.
Prior to the successful passage of national health care reform legislation, the Patient Protection and
Affordable Care Act (PPACA), it was projected that approximately 32 to 45 million Americans who were
uninsured or underinsured at that time would be entering the health care system. According to statistics posted
on the U.S. Department of Health and Human Services website as of March 3, 2016, it is estimated that
approximately 20 million additional Americans were afforded the opportunity to access health insurance
coverage from the time the law was passed in 2010 through early 2016 (U.S. Department of Health and
Human Services, 2016). PPACA makes heavy use of accountable care organizations and value-based
purchasing. Another provision of the PPACA is the Centers for Medicare & Medicaid Services (CMS) no
longer reimburse health care agencies for preventable readmissions and for health care facility–acquired
conditions (Andel et al., 2012). Health care organizations not currently functioning at optimal levels in terms
of efficiency and with the highest levels of quality outcomes are not likely to survive in today’s pay-for-
performance environment.
Quality Improvement Frameworks
For more than four decades, two Americans, W. Edwards Deming and J. M. Juran, were the primary
champions of the quality movement throughout the world (Port, 1991). Deming was the developer of
statistical quality control, whereas Juran was the innovator of total quality control. Both are credited with
playing major roles as statistical and managerial consultants to Japanese industry in Japan’s successful
revitalization after the devastation of World War II (Port, 1991).
Since the 1970s, the literature on QI has grown, and many experts have contributed their ideas on QI. In
the United States, the quality theories of Shewhart, Deming, Juran, and Crosby predominate. Walter
Shewhart, a physicist at Bell Laboratories in the 1920s, was asked to investigate production processes at
Western Electric’s facilities to determine the source of variations in the quality of products produced.
Shewhart coined the terms common-cause and special-cause variation and introduced the Plan-Do-Check-Act
(PDCA) Model for improving work flow processes which are still used in many organizations today as part of
their QI initiatives (Buchbinder & Shanks, 2017).
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Deming’s (1986) major thesis is that the cause of inefficiency and low quality can generally be traced
back to system inadequacies rather than individual worker inadequacy. It is management’s responsibility to
improve the system with the involvement of all employees. This management theory focuses on improving
quality, productivity, and competitive position in the marketplace and is referred to in the literature as
Deming’s 14 points (Box 17-4).
Box 17-4 Deming’s 14 Points
1. Create constancy of purpose for improvement.
2. Adopt the new philosophy.
3. Cease dependence on mass inspections.
4. End the practice of awarding business on the basis of price tags alone.
5. Institute on-the-job training and research.
6. Adopt and institute leadership.
7. Drive out fear among the organization’s employees.
8. Improve constantly and forever every process for planning, production, and service.
9. Dismantle barriers between departments.
10. Eliminate slogans, exhortations, and production targets for employees.
11. Eliminate numerical quotas for employees and numerical goals for managers.
12. Remove barriers to pride of workmanship.
13. Institute a vigorous program of education and self-improvement.
14. Put everyone in the organization to work to accomplish the transformation.
Sources: Aguayo (1990); Deming (1986); Gillem (1988); Masters and Masters (1993).
Deming’s goal was to gear an organization’s workforce to pursue specific organization-wide goals that
were aimed at satisfying customer requirements for quality, price, and service. Juran (1988) defined quality as
“fitness for use.” To satisfy customers, a product or service must have two components—features that a
customer wants and as free from deficiencies as possible. According to Juran, one or the other of these two
components alone does not constitute high quality. Juran offered three processes whereby managers can
maintain and improve quality. These are commonly referred to as Juran’s Trilogy (Table 17-4) (Juran, 1988).
Table 17-4 Juran’s Trilogy: Processes Used to Maintain and Improve Quality
Process Activities
Quality planning Building quality into the processes and the product
Quality control Evaluating actual performance, comparing that performance to predetermined
goals, and taking action on the differences
Quality improvement
(breakthrough)
Encouraging attainment of previously unprecedented levels of performance by the
organization
Crosby (1979) emphasized the importance of systems knowledge and improvement, the disadvantages of
reliance on inspections, and the need for statistical quality control. Crosby termed his major concepts the four
absolutes:
1. The definition of quality is conformance requirements.
2. The system of quality is prevention and on not relying solely on “after-the-fact” methods to improve
quality.
3. The performance standard is zero defects.
4. The measurement of quality is the price of nonconformance, which involves all costs in doing things
wrong. In service companies, the cost of nonconformance is 35% of operating costs, whereas the cost
of conformance is a far lower figure (Crosby, 1979).
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Although experts on QI differ somewhat on their approaches, their theories share several characteristics
(Daft & Marcic, 2015). These include the following:
QI is driven by the leaders of the organization.
Customer-mindedness permeates the organization.
A transition is made from inspection-based management to process improvement.
Formal process-improvement methods and statistical tools are used.
All employees are involved in the exploration and refinement of work processes.
Quality Improvement Processes and Tools
Common terms utilized in QI are measurement and metrics (Buchbinder & Shanks, 2017). Measurement is a
numerical expression of observable events or occurrences. Metrics refers to how those events or occurrences
are tracked, recorded, or measured. Time is often an important unit of measurement in health care. For
example, the wait time for patients to be seen in emergency departments (EDs) is frequently calculated as a
quality measure and may even be advertised to gain competitive advantage. The metric for calculating or
measuring wait times can be derived from the electronic health record (EHR). However, for the ED wait time
to be calculated reliably and consistently over time by different people, the definition of wait time must first
be determined. Is the wait time calculated beginning from the time the patient first registers in the ED, or is
the time calculated from the time the patient is seen by the triage nurse, or is it the time which has elapsed
before the patient is evaluated by the ED physician or NP? Once the metric is determined, the wait time can
be evaluated and trended over time and can be benchmarked or compared against published local, regional,
and/or national ED wait time statistics.
Contemporary approaches to the measurement of quality in health care organizations today rely heavily on
statistical process control, which emphasizes the use of data analytics. QI tools used in data analytics include
scorecards, data visualization dashboards, sophisticated statistical analyses, Pareto charts, cause-and-effect
diagrams, run charts, and control charts, in addition to other similar methods.
Determining and measuring variation in a product or service is a key component of QI. Statistical process
control is used to determine sources of variation in a process or outcome that impacts service quality. For
example, large variation in the quality of a product or service is indicative of an aspect that is out of control.
To use a health care–related example, a health system may monitor the readmission rates of patients with
sternal wound infection after open-heart surgery. Extracting data from the EHR, representatives of the health
system will calculate the average readmission rate for all cardiac surgery patients and compare the rates to
preestablished national benchmarks for open-heart surgery. Data related to readmission rates postsurgery will
then be calculated by cardiac surgery practice, usually composed of a team or group of physicians, and then
may be calculated relative to each specific surgeon in the practice. A cardiac surgery practice and/or a cardiac
surgeon whose patients are readmitted with sternal wound infections at statistically higher rates than the
average rate when compared to local and national benchmarks would most likely be asked by the health
system to address the problem as more frequent infections and readmission rates would indicate a quality
variance.
Approaches to QI, which started in other industries and which have been adapted for use in health care,
include Lean process management and Six Sigma. Lean Thinking, also referred to as Lean, originated in the
1920s in the Ford Motor Company (Ford & Crowther, 1926), whereas Six Sigma was introduced by the
Motorola company. Six Sigma is an extension of Juran’s Trilogy as well as other QI approaches. Today, both
approaches are used extensively in administration and service areas, although their roots are in manufacturing
(Snee & Hoerl, 2004).
Lean represented a fundamental shift from traditional Western manufacturing approaches and beliefs,
which included:
1. Separation of thinking from doing for workers is essential.
2. Deficiencies in products or services cannot be eliminated or avoided.
3. Organizations are most efficient when structured in a chain of command that is based on a hierarchy.
4. Inventories are essential to meet fluctuating production demands (de Koning, Verver, van den Heuvel,
Bisgaard, & Does, 2006).
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Japanese companies, such as Toyota, revolutionized automobile manufacturing implementing Lean
Thinking processes as an alternative to the Western model of manufacturing. Lean focuses on producing what
the customer wants and expects from a product—everything else is considered to be non–value-added
activity. Another focus of Lean is reduction of waste and variability in production and in outcomes during the
manufacturing process by synchronizing the flow of work. The strengths of Lean Thinking are the focus on
the needs and wants of the customer and on its set of standardized solutions to frequently occurring problems
in the process (de Koning et al., 2006).
Six Sigma was introduced as a company-wide QI initiative by Motorola in the late 1980s and then adapted
and developed more extensively by General Electric (GE) in the following decade. Hallmarks of the Six
Sigma approach are focus on customer satisfaction with the product or service, decision making that is driven
by quantitative data analysis, and an emphasis on reducing costs. Six Sigma is a project-based QI strategy.
Projects are selected and prioritized based on the importance of the project to the organization’s mission and
strategic goals. Project leaders are called Black Belts (BBs) and Green Belts (GBs), a reference to skill
acquisition in the martial arts. Members of upper management to whom the BB and GB report are viewed as
project owners and are referred to as “champions” (de Koning et al., 2006).
The steps used in Six Sigma are somewhat analogous to the scientific method, the nursing process, and
similar problem-solving methods and include five steps or phases—define, measure, analyze, improve, and
control—also referred to by the acronym DMAIC. The steps of DMAIC can be used to investigate any
problem in an organization regardless of the scope or scale of the problem. A cost-benefit analysis is
conducted in the define stage; if the analysis is favorable to the organization, the project is accepted and then
proceeds to all stages or phases of DMAIC. Once the project is accepted, it is assigned to a project team
headed by a GB or BB. Strengths associated with Six Sigma include its structured, analytic, and logical
progression to problem solving. Organizational buy-in at all levels to the processes used by Six Sigma is also
viewed as a strength. Weaknesses of the Six Sigma approach include its complexity when used to solve
smaller scale or simpler problems (de Koning et al., 2006).
Some institutions use principles from different QI methodologies on the same QI project. An example is
the use of the “Lean-Sigma” approach, which is a combination of the Lean and Six Sigma approaches
(Varkey, Reller, & Resar, 2007). Link to Practice 17-2 shows how one QI project was used.
Link to Practice 17-2
Increasingly, QI tools and processes, such as Six Sigma, are being utilized in health care organizations. For
example, staff affiliated with a 714-bed hospital in New York designed and implemented a QI project
using Six Sigma methodology to correct issues associated with delayed transfer of patients to the intensive
care units (ICUs) in the facility. An interdisciplinary team of clinicians and nonclinicians, led by a hospital
administrator project Black Belt, analyzed components associated with inpatient transfers into the ICUs
and identified eight steps which significantly impacted the transfer process.
Initially, it was determined by the team that the average time associated with a transfer from a floor
bed to an ICU bed was 214 minutes; however, the time could extend to as long as 420 minutes. After
conducting an initial capability analysis, the master Black Belt recommended a goal of an average of 90
minutes for average transfer time. During the improvement phase of the process, critical elements which
impeded the transfer process were identified and a solution plan integrating new processes was developed.
For example, the process for writing transfer orders to move patients out of the ICU was changed to ensure
that transfer orders were completed by residents immediately following completion of morning rounds so
that ICU beds could become available in a shorter time frame.
Following implementation of the new processes associated with transfer, data were collected and
analyzed over a 1-year period (462 consecutive transfers to the ICU). The target performance goal was
attained by the fourth month. The mean time for patient transfer from a floor bed to the ICU improved to
84 minutes.
Silich, S. J., Wetz, R. V., Riebling, N., Coleman, C., Khoueiry, G., Rafeh, N. A., et al. (2012). Using Six Sigma methodology to reduce
patient transfer times from floor to critical-care beds. Journal for Healthcare Quality, 34(1), 44–54.
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Evidence-Based Practice
In recent years, terms, such as evidence-based medicine (EBM), evidence-based practice (EBP), evidence-
based nursing, evidence-based health care, and best practices guidelines (BPGs), have emerged and assumed
a significant position in health care literature. These terms are probably best understood as decision-making
frameworks that assist health care providers with making complex decisions utilizing research and other forms
of evidence on a routine basis when formulating those decisions (Melnyk & Fineout-Overholt, 2015).
Evidence-based decision frameworks are used to describe methods adopted by practitioners and others in an
effort to increase the quality of health care, to decrease variability of care, and to decrease the costs related to
providing health care.
Utilization of EBP and BPGs increases the quality of care by attempting to bridge the gap between the
discovery of knowledge in health care and the time that knowledge is applied in practice. The Institute of
Medicine (IOM) suggests that time lag may be as long as 20 years (IOM, 2001). The use of EBP and BPGs
should decrease inappropriate variability in practice patterns, which often leads to increased costs. For
example, a woman diagnosed with stage II breast cancer in Provo, Utah, should receive the same level of care
as a woman who is diagnosed with the same stage of breast cancer in Tampa, Florida, if health care
practitioners subscribe to and utilize the latest evidence-based or practice guidelines for the treatment and
management of stage II breast cancer.
EBM utilizes a defined method in four major steps:
1. Eliciting, describing, defining, and refining a structured question about a target population, outcome,
and, typically, an intervention
2. Systematic and comprehensive review of the literature in an attempt to answer the question
3. Evaluation of the data and data sources retrieved for methodologic rigor (i.e., data obtained as a result
of randomized clinical trials as compared to data from anecdotal reports)
4. Analysis of the data uncovered to answer the question (Donald, 2002)
The limitations of EBP include the absence of organizational support and structure to properly utilize this
decision-making framework; insufficient skills to frame the question, retrieve the data, or analyze the data;
and gaps in the literature that make it impossible to sufficiently answer the question. In addition, some
clinicians argue that EBP decreases or threatens clinical autonomy in decision making.
The role of the APN in EBP is continuing to expand. APNs, such as Marci in the opening scenario, are
often relied on to be the clinical leaders of EBP. This leadership role includes continually researching and
acquiring the most updated versions of BPGs or clinical guidelines; interpreting the guidelines for other staff
and for patients and families; successfully implementing the recommendations of the guidelines; and
conducting research to determine the effectiveness of the guidelines from clinical, quality, and cost
perspectives after implementation. Chapter 12 contains additional information on EBP.
Summary
This chapter provides a basis for the APN to achieve understanding and appreciation for the utility of
leadership and management theories in contemporary nursing practice. By virtue of their roles, APNs, such as
Marci, are viewed as leaders and, as such, often have quite visible positions in organizations and the
community.
Marci is in a position in which she needs to define her role. To be an effective leader, she must develop a
leadership style that considers her personal strengths and weaknesses and fits the needs and personality of the
unit. She will also need to use a number of management concepts and principles, particularly related to
motivation and change, and must also be prepared to implement QI strategies that will affect the unit to
improve client care.
Assimilation of strategies to improve leadership, motivation, change, decision making, and other concepts
discussed in this chapter into the practice repertoire of the advanced practitioner in nursing is crucial to the
viability and sustainability of the role.
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Key Points
Leadership and management, although closely related concepts, are different.
Characteristics of both transformational leadership and transactional leadership are crucial to effective
leadership.
Fayol’s principles of Classic Management Theory are still employed in organizations today.
Higher levels of work environment empowerment and LMX result in greater personal transfer of knowledge
in the practice setting by nurses.
Individuals with high levels of personal resilience are valued by organizations, especially during times of
turbulence and rapid change.
QI empowers individuals and teams within systems to systematically examine processes in service delivery,
to identify root causes of problems in the system, and to creatively propose and adopt solutions to the
problems.
Nurses value EBP and are ready to implement EBP.
Learning Activities
1. Analyze the leadership style of your current supervisor. Does the supervisor’s leadership
behavior vary from situation to situation? Would the supervisor be classified as a
transformational, transactional, authentic, charismatic, servant, or other leader? Why?
2. Assess the organization in which you work today. Are Fayol’s and Taylor’s principles of
management evident in this organization? Give examples.
3. Think back to the last time a major change occurred in your work environment. Was the
change a planned change? What were the driving forces and restraining forces? Who was the
change agent? Did the change occur as planned?
4. What QI initiatives are evident in your organization? How would you find out more about
Lean/Six Sigma practices? Have any nurses in your organization served in the capacity as
BBs or GBs? If so, what QI projects have they led or in which projects have they been
involved?
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18
Learning Theories
Evelyn M. Wills and Melanie McEwen
Barbara Davis is a family nurse practitioner working in a community clinic. Recently, she cared for Frank
Young, a 65-year-old African American who came to the clinic at his wife’s insistence because of recurring,
severe headaches. Mr. Young reported that his headaches started about 6 months ago; he attributed them to
stress caused by his recent retirement.
Mr. Young’s physical findings indicated that he was about 50 lb overweight and that his blood pressure
while sitting was 204/110 mmHg. His lower legs and feet were slightly edematous, and laboratory tests
revealed a total cholesterol reading of 240 mg/dl. All other laboratory blood and urine results were normal.
Barbara explained to Mr. Young that he has high blood pressure and asked to discuss the problem with
both him and his wife. She led the Youngs to a room in which they sat in comfortable chairs around a small
table. Barbara began the discussion by asking if the couple had any experience with hypertension (HTN).
After listening to their comprehension of the problem, she recognized the importance of giving them more
current and concrete information. She corrected in plain words their ideas about HTN and explained the
relationships among HTN, age, gender, and weight and described its prevalence among various ethnic groups.
Realizing that learners can take in a limited amount of novel information at a time, she asked them if they
would like to take a short break before going on to how the problem is treated.
When they reconvened, Barbara showed the Youngs a short video that used nonmedical terms to describe
HTN and visually illustrated the physiologic changes that cause HTN. After the video, she questioned the
Youngs to evaluate their level of understanding. A 15-minute discussion followed in which Barbara answered
questions and described management strategies. She gave Mr. Young two prescriptions and explained what
they were for and how to take them. Following the explanation, she had him repeat the information. To
reinforce the information on HTN management, Barbara scheduled another meeting with the Youngs, this
time at their home, where they would likely be less overwhelmed by the clinic atmosphere.
When Barbara visited with the Youngs, she reviewed the information they had already been given. Then
they discussed the importance of limiting sodium and fat intake. She provided an illustrated booklet to
describe varieties of foods. They discussed whether the sodium content was safe, high, or too high to
consume. She included not only foods but also condiments with the allowed amounts. There were recipes for
variations on favorite foods with lowered sodium and fat content; the booklet also included removable
shopping lists to assist with decisions while grocery shopping. Learning that both Mrs. and Mr. Young
enjoyed working and gaming on the computer, Barbara included websites with helpful hints on limiting
sodium and fats and the URLs for “say NAYtoNA,” a local Facebook support group page, and a Twitter site
for social support.
At the end of the home visit, Barbara reviewed the medication and dietary information for HTN
management and answered additional questions. Finally, she made a follow-up appointment for the following
week to assess progress with his HTN control and encouraged Mrs. Young to accompany her husband to that
meeting as well.
Teaching is one of the most important roles of professional registered nurses (RNs) and advanced practice
nurses (APNs). Teaching performed by nurses at all levels is usually more informal than formal. That is, the
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nurse teaches clients and their families, or students and colleagues, more often on a one-to-one basis as the
need arises, than in a formal, planned teaching session in a classroom setting. But teaching includes more than
just providing information. Because someone has been told something does not mean that learning has
occurred. Many factors are involved if learning is to be successful, and providing information is only one of
them.
Health information can be unfamiliar, complex, and difficult to understand for patients and families, and
the idea of health literacy as a component of health teaching is important in teaching patients/clients. Health
literacy is defined as “the degree to which an individual has the capacity to obtain, communicate, process and
understand basic health information and services to make appropriate health decisions” (Bastable, Meyers, &
Poitevent, 2014, p. 261). Although health literacy is not an educational theory, health teaching depends on the
ability of nurses to bring useful information and education to individuals and groups regardless of their
educational level. Because many patients depend on someone else to help or to care for them, oftentimes, the
caregivers must also be taught to provide assistance so that the patient may heal or live with chronic diseases
or the effects of illness and trauma.
This chapter provides professional nurses with tools to facilitate learning for patients, families, and staff.
Basic theories of learning can serve as a framework for the nurse in all teaching endeavors. Theories provide a
way to organize information that will be communicated to other people. They may offer a mechanism
whereby the instructor can look at a situation in a different way when current methods are not working, or
they may provide a map for charting unfamiliar territory. In any event, facilitating learning is an essential
objective of the professional nurse, and application of theories helps ensure that learning is optimized.
What Is Learning?
Learning has been defined as “a change in behavior (knowledge, attitudes, and/or skills) that can be observed
or measured and that occurs at any time or in any place as a result of exposure to environmental stimuli”
(Bastable & Gonzalez, 2016, p. 11) and “a relatively permanent change in behavior or in behavioral
potentiality that results from experience” (Olson & Hergenhahn, 2012, p. 6). Learning occurs as individuals
interact with their environment, incorporating new information into what they already know (Braungart,
Braungart, & Gramet, 2014). Furthermore, if learning is to be permanent, it must be treated as a process that
occurs over time rather than an isolated event. Often, time and repeated contacts are required for an individual
to acquire new knowledge that is meaningful and significant.
Learning can be grouped into three categories: psychomotor learning (the acquisition and performance of
skills), affective learning (a change in feelings, values, or beliefs), and cognitive learning (acquiring
information). Examples of psychomotor learning would include a nursing student mastering certain patient
care procedures (e.g., inserting an intravenous [IV] line or changing a sterile dressing) and a patient learning
to self-inject insulin. Illustrations of affective learning include an alcoholic acquiring strategies to overcome
addiction and a nurse developing cultural sensitivity when caring for immigrants. Cognitive learning generally
involves the addition of new information, as when a new mother learns how to care for her infant or a novice
nurse learns to recognize the signs and symptoms of heart failure. Although not always recognized,
psychomotor learning tends to be more easily accomplished and measured than affective and cognitive
learning (Rankin & Stallings, 2005). Nurses must understand all three types of learning and know how to
facilitate each in patients and their families as well as among other nurses and ancillary staff.
The process of assimilating new knowledge into our daily lives makes all humans constant learners
because learning is necessary for survival. Although all animals can learn, humans are capable of using their
knowledge to be creative, predict the future, explain the past, or deal with the present. Indeed, learning is such
an important human experience that it has created the desire or curiosity to discover how people learn. This
search to understand how people learn has led to the development and formalization of learning theories.
What Is Teaching?
It must be recognized that although teaching and learning are interrelated, learning occurs as a separate and
individual process apart from teaching. Teaching has been defined as “a system of directed and deliberate
actions that are intended to induce learning through a series of directed activities” (Candela, 2012, p. 202). It
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refers to acts that communicate information to facilitate learning (Bastable & Alt, 2014). To accomplish this,
teachers must be aware of the learning styles and learning needs of the individual and how capable that
individual is of responding to the demands of instruction.
It is a common assumption that teaching is helping one to gain knowledge. Although that is certainly an
important component of teaching, knowledge is seldom enough to elicit a change in behavior or thinking.
Knowing what should be done and acting on that knowledge are two different things. For example, a patient
with chronic renal failure may know that salt and potassium are to be avoided in the diet, but learning has not
occurred until that knowledge has been incorporated as a change in behavior.
Anyone who teaches, including a mother or father teaching a child how to put away toys or a woman
teaching a friend to crochet, has some belief regarding how learning occurs. Unfortunately, sometimes, the
knowledge the teacher possesses about learning is simplistic: “I told you; therefore, you should know.” An
individual’s beliefs about learning can influence that person’s behavior regarding what should happen to make
learning occur. By understanding basic theories of learning, the professional nurse will be better prepared to
help the learner make the transition from acquiring knowledge to learning. This chapter presents some of the
many theories of learning and describes how they are used to solve problems encountered in the teaching–
learning process. These theories may be used by nurses in practice or education as well as for designing,
implementing, and evaluating projects that involve education.
Categorization of Learning Theories
Some nurses might question why it is important to understand the process of learning and to know about some
of the theories of learning. Learning theories describe the processes used to bring about changes in the ways
individuals understand information and changes in the ways they perform a task or skill. Furthermore,
learning theories can help provide a focus for creating an environment and conditions in which teaching can
occur more effectively (Candela, 2016; Fisher, 2016). Kurt Lewin is credited with the adage, “There is
nothing so practical as a good theory.” A good theory enables one to make choices confidently and
consistently and to explain or defend why choices were made. Thus, although nursing theory provides the
framework for professional assessment of a client’s condition or needs and the specific language the nurse
uses when making a diagnosis or charting, learning theories explain how this information is assimilated and
suggest effective ways to present it to the client as an intervention. Learning theory, then, combined with
nursing theory, guides nurses as they interact with clients. This is particularly important for APNs and others
prepared at the graduate level (Box 18-1, American Association of Colleges of Nursing [AACN] Essentials).
Box 18-1
American Association of Colleges of Nursing Essentials and Learning
Theories
Graduates of master’s in nursing programs act as educators in almost all roles and settings, regardless of their
specialty or type of practice. As outlined in Essential IX, all master’s-prepared nurses should develop
competencies to “apply learning theories and teaching principles to the design, implementation, and
evaluation of health education programs for individuals or groups in a variety of settings.”
Source: AACN (2011, p. 28).
There are many different types of learning theories and only a few of the most commonly used in nursing
are described in the following sections. The main categories as presented by Bigge and Shermis (1999) are the
behavioral learning theories and the cognitive learning theories. Behavioral learning theories include the
works of Pavlov, Skinner, and others. Cognitive learning theories include several subgroups including
cognitive-field (Gestalt) theories, cognitive development or interaction theories, information-processing
theories, humanistic learning theories, and Adult Learning Theory. Some of the major theories for each group
will be discussed briefly, with examples of application from the nursing literature.
Behavioral Learning Theories
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Behavioral theories were among the first to be widely recognized and used in education. Indeed, they were so
pervasive in the American educational system in the 1950s and 1960s that many people still associate the term
learning theories with behavioral theories. Behavioral learning theories served the growing American
educational system well during the 20th century. They provided the rapidly expanding system with an
organized, systematic approach.
Overview
Behaviorism focuses on what is directly observable in learners. It is largely based on the works of Ivan Pavlov
(1927) and Edward Thorndike (1932), who researched how both humans and animals learned, and their work
became the basis for behavioral psychology (Candela, 2016; Olson & Hergenhahn, 2012). In behavioral
theories, behavior (response) is viewed as the result of stimulus conditions. The behavioral learning theories
that evolved from this perspective are sometimes referred to as the Stimulus–Response (S–R) Model of
Learning. Some of the major behaviorist theorists include Thorndike (connectionism), Pavlov (classical
conditioning), Skinner (operant conditioning), and Hull (reinforcement). Table 18-1 summarizes the
assertions of each of these theorists.
Table 18-1 Comparison of Behavioral Learning Theories
Theorist Theory Distinctions
Thorndike Original stimulus–response framework; learners respond randomly to stimuli; learning is
trial and error
Pavlov Classical conditioning; responses are involuntary and based on experience
Skinner Operant conditioning; learning produces a desirable behavior because it is reinforced or
strengthened
Hull Stimulus–response framework (based on Thorndike); includes reinforcement as a
characteristic of learning
Edward L. Thorndike (1874–1949) was one of the first theorists to attempt scientific studies to understand
the learning process. He perceived that learners are empty organisms who respond to stimuli in a random
manner. He provided the original S–R framework for behavioral psychology. For Thorndike, learning was the
result of associations formed between stimuli and responses, and the S–R connections were formed through
trial and error. Such associations or habits become strengthened or weakened by the nature and frequency of
the S–R pairings. The hallmark of connectionism was that learning could be adequately explained without
referring to any observable internal states (Thorndike, 1932).
In a well-known study, Pavlov (1849–1936) taught his dog to salivate when a tuning fork was rung by
rewarding him with meat powder placed into his mouth. Soon, the dog would salivate when the tuning fork
rang even though no meat powder was provided. This involuntary reaction is known as conditioning. Pavlov’s
work is labeled as classical conditioning to differentiate it from other types of S–R associations that deal with
voluntary behavior (Braungart et al., 2014). Classical conditioning is what one sees in a child’s response to
the sight of a needle. The conditioned stimulus (the sight of the needle) is able to evoke the response (crying)
formerly reserved for the unconditional stimulus (actual pain from an injection). Response to the sight of a
needle is learned behavior based on experience.
To B. F. Skinner (1904–1990), the purpose of psychology is to predict and control the behavior of
individuals. He defined learning as a change in probability of response and coined the term operant
conditioning. An operant is a set of behaviors that constitutes an individual doing something. Operant
conditioning is the learning process whereby a desirable behavior is made more likely to occur in the future or
to occur more frequently because it is reinforced or strengthened (Olson & Hergenhahn, 2012; Ormrod,
2016). When the desired response occurs, whether accidental or planned, a reward that is meaningful to the
learner is provided, so recurrence of the desired response is increased. In the previously discussed classical
conditioning, the person in question receives reinforcement no matter what he or she does, whereas in an
operant conditioning situation, the individual’s behavior causes the reward to happen.
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Clark L. Hull (1884–1952) based his studies on Thorndike’s work but included reinforcement as a major
characteristic of learning. Reinforcement is a complex concept that is widely used in education today.
Reinforcement is a consequence of an action that makes that action more likely to be repeated. Reinforcement
may be internal/external, positive/negative, self-administered, social, or impersonal (Roberts, 1975).
Reinforcement can be seen in many ways, from a simple smile (or frown) to aversion therapy (e.g., the “quit
smoking” clinics that have individuals smoke one cigarette after another until they become sick). Problems
can arise because the behavior the teacher intends to reinforce may not be the actual behavior that is
reinforced.
Behaviorists are concerned with the observable and measurable aspects of human behavior. Basically,
behaviorists believe that behavior can be controlled (thus demonstrating that learning has occurred) through
rewarding desirable behavior and ignoring or punishing behavior that is undesirable. Reinforcing or
strengthening the behavior increases the chance of its recurrence in the future. These theorists are concerned
with behavior modification and make much use of the concepts of reflexes, reactions, objective measurement,
quantitative data, sequence of behavior, and reinforcement schedules (Ormrod, 2016; Ozmon, 2011). Box 18-
2 summarizes characteristics of behavioral learning theories.
Box 18-2 Characteristics of Behavioral Learning Theories
Focuses on behavior modification, reflexes, reaction, and reinforcement
Emphasizes observable and measurable aspects of human behavior
Posits that behavior can be controlled through rewarding desirable behavior and ignoring or punishing
undesirable behavior
Teachers who subscribe to this viewpoint are considered designers and controllers of students’ behavior.
The teacher is responsible for what students should learn and for evaluating how, when, and if they have
learned. Teachers are expected to be content experts, transmit prescribed content, control the way learners
receive and use the content, and then test to determine if they have received it (Knowles, 1981). Learning
objectives (also called behavioral objectives, instructional objectives, or performance criteria) are broken
down into a large number of very small tasks and reinforced one by one. The tasks are organized so that
understanding develops progressively. This premise has led to the development of programmed texts and
computer-assisted instruction. Tests are used in a classroom situation to measure the amount of knowledge a
student has gained.
Use of behavioral theory encourages the development of clear behavioral outcomes and methods for
evaluating those desired behaviors. It works well for many of the psychomotor skills that must be
accomplished for both nurses and patients. Behavioral theory, however, is not without detractors. Because the
learner assumes a relatively passive role, there is a possibility that old behaviors will be resumed once the
learner is removed from the highly structured and controlled environments created by behaviorally based
teaching methods. In other words, without the affective and cognitive components of learning, there is no
change in feelings or thinking for the learner. Once they are returned to the original environment that fostered
and rewarded the undesirable behavior, chances are high that the original behavior will return. Many question
whether behavioral techniques alone are capable of producing permanent changes in behavior.
Application to Nursing
Behaviorist principles are widely used by nurses, nursing educators, and staff developers. For example,
learning contracts with clients are an outgrowth of this perspective. Likewise, nurses often use reinforcement
when they comment on how well clients are following their treatment regimens and when they correctly
repeat instructions. Also, much of nursing education is directed toward having students meet behavioral
objectives, which is a hallmark of behavioral theories (see Chapter 22). Finally, grades can serve as either
reinforcement or punishment—based on student performance, desires, and expectations.
Cognitive Learning Theories
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In contrast to behavioral theories, which generally ignore the thoughts, feelings, and cognitive processes of the
learner, cognitive learning theories emphasize the mental processes and activities that go on within the learner
(Candela, 2016). Cognitive theorists do not view reward as a condition for learning, although they do not
negate the role of reinforcement. The learner’s own goals, thoughts, expectations, motivations, and abilities in
the processing of information are seen as the foundations for learning (Braungart, Braungart, & Gramet,
2016).
Cognitive learning theories began to gain popular momentum in the 1960s when the recognition of the
limitations of behavioral theories led to the development of more complete theories to frame and explain how
people learn and how permanent changes in behavior are accomplished. One of the most important theorists in
cognitive science, Jean Piaget, however, developed major components of his theory in the 1920s.
Cognitive theories focus on the operations of the mind and on how thoughts influence an individual’s
actions in relation to the environment (Candela, 2016). Several major subcategories of cognitive learning
theories have evolved over time. Those described in the following sections include Gestalt (Cognitive-Field)
Theories, cognitive development theories, social learning theories, psychodynamic theories, information-
processing theories, and adult learning theories. Representative examples useful for nurses are presented in the
following sections.
Cognitive-Field (Gestalt) Theories
A break with behaviorism occurred when the concept of “insight” learning was introduced into the gestalt
theories. “Gestalt” is a German word that refers to the configuration or patterned organization of cognitive
elements (Braungart et al., 2014).
Overview
The gestalt view of learning focuses on organization of a person’s perceptual field to sort out and make sense
of multiple parts. The scientific view underlying gestalt principles is field theory. Field theory espouses that a
“field” is a dynamic, interrelated system in which any part can affect all other parts and that the whole is more
than the sum of the parts (Olson & Hergenhahn, 2012). Gestalt Theory and field theory have become so
closely associated that they are commonly referred to as Cognitive-Field Theory.
The cognitive-field psychologists consider learning to be closely related to perception. They define
learning in terms of reorganization of the learner’s perceptual or psychological world—his or her field. The
field includes a simultaneous and mutual interaction among all the forces or stimuli affecting the person—the
internal environment as well as the external environment. Experience is the interaction of a person and his or
her perceived environment, whereas behavior is the result of the interplay of these forces. Consequently,
perception and experiences of reality are uniquely individual, based on a person’s total life experiences.
Nothing exists in and of itself but only in relationship to something else. Learning, then, is the process of
discovering and understanding the relationships among people, things, and ideas in the field. Learning is
viewed as an active, goal-oriented process that is accomplished when information is processed and the “aha”
moment is experienced. Transfer of information from the teacher to the student does not constitute learning. In
order for learning to be accomplished, students must assume responsibility for learning and discover and
assign their own meaning in order to understand and truly learn content. Through the learning process, the
learner gains new insights or changes old ones. The purpose of learning is to think more effectively in a wide
variety of situations and thus be able to solve problems.
Because cognitive-field theorists are concerned with the progressive development of the total person, they
perceive self-actualization as the driving force that motivates all human behavior. Motivation involves the
forces operating in a particular situation that cause the person to want to do something (as opposed to the
behavioral theorists who think of motivation as a drive that reduces a perceived need). Growth and
development are important in motivation and necessary for self-actualization to occur. As an individual
matures, the forces operating to induce one to do something change.
Kurt Lewin (1890–1947), one of the major gestalt theorists, believed that humans have a basic need to
bring order to a situation and that motivation to learn is stimulated by the ambiguity perceived in the situation.
By involving students in the learning process, the instructor helps learners see the need to learn. Through the
use of verbal explanations, showing pictures, drawing diagrams, and other teaching activities, the instructor
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helps the individual understand significant relationships so that the learner can organize the experience into a
functional pattern and solve problems (Knowles, Holton, & Swanson, 2005).
Cognitive-field theorists believe people can learn information cognitively without changing their behavior
and that motivation is the key. Motivation is an extremely difficult concept to implement. In health care, one
often hears reports that an individual is noncompliant, when in actuality, the person is not motivated (for
whatever reason) to do what the health care professionals perceive as the correct thing to do. Indeed, it often
takes months and even years to find the right combination of factors that motivate an individual.
Mr. Young, from the opening case study, would probably rebel against changing his eating habits when he
was a child, but he may be more likely to be motivated to do so as an adult because he understands the
relationship between his diet and his headaches. Box 18-3 depicts characteristics of cognitive-field theories.
Box 18-3 Characteristics of Cognitive-Field Learning Theories
Learning is related to perception.
Perceptions of reality and experiences are uniquely individual and based on life experiences.
Thoughts influence actions.
Motivation is key to learning.
Self-actualization is the main motivating force.
Application to Nursing
Barbara, the nurse in the case study, used Cognitive-Field Theory when she had the Youngs move into a room
more conducive to learning. By controlling the external stimuli affecting the situation, she allowed the brain
to focus more on the information she was presenting. By using visual models as well as her verbal
explanation, she involved more senses in the learning process and thereby more of the whole person. Mr.
Young’s pain served as a good motivator, increasing his desire for relief and his willingness to participate in
the learning process to prevent future episodes.
In reviewing recent nursing literature, Cognitive-Field Theory and/or Gestalt Theory was used several
times. Kelly and Howie (2011), for example, presented an overview of Gestalt Theory and explained how it
can be used by psychiatric nurses to promote self-knowledge, acceptance, self-responsibility, and personal
growth. In another work, Shanley and Jubb-Shanley (2012) described how Gestalt Theory was one of several
approaches they integrated into a system for mental health nurses to counsel people with serious and complex
psychiatric needs. Lastly, Hanson and Stenvig (2008) used Cognitive-Field Theory/Gestalt Theory as a
framework for a study of attributes of clinical nursing educators.
Cognitive Development or Interaction Theories
Cognitive development theories assume that behavior, mental processes, and the environment are interrelated.
Also termed interaction theories, they are concerned with the progressive development and changes in
thinking, reasoning, and perception of individual learners. A major assumption of cognitive development
theories is that learning occurs as a sequential process. Learning takes place over time, as when a child
explores and interacts with the environment.
The experiential learning model exemplifies the interaction theories, which postulate that individuals learn
from their immediate experiences and that learning happens in all human settings (Kolb, 1984). Learning is
how individuals adapt and cope with the environment (the world) in which they live. Because each person’s
experience is unique, individuals develop a preferred style for learning. Whereas behavioral objectives state
what the student will learn, experiential learning focuses on the conditions of learning. The instructor’s role is
to create an environment for learning and the experiences that support student understanding of the whole
rather than its separate parts (Braungart et al., 2014). This is achieved through activities such as group
process, problem-solving activities, and simulation exercises. Some of the theories noted for this perspective
are Piaget’s Cognitive Development Theory, Gagne’s Conditions of Learning, and Bandura’s Social Learning
Theories. Box 18-4 summarizes characteristics of cognitive development/interaction theories.
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Box 18-4 Characteristics of Cognitive Development/Interaction Learning Theories
Behavior, mental processes, and the environment are interrelated.
Individuals learn from their experiences.
Learning is how individuals adapt to and cope with their environment.
Focus is on conditions that promote learning.
Piaget
Jean Piaget (1896–1980) is probably the best known of the cognitive development theorists. He believed that
cognitive development occurs in stages and that the stages occur in a fixed order and are universal to persons
everywhere. He identified the following stages: sensorimotor, preoperational, concrete operational, and formal
operational.
Overview. According to Piaget, for learning to occur, an individual must be able to assimilate new
information into existing cognitive structures or schemes; that is, the new experience must overlap with
previous knowledge. Behavior becomes more intelligent as coordination between the reactions to objects
becomes progressively more interrelated and complex. Cognitive development begins in the sensorimotor
stage (which is evident from birth until about 2 years of age) with the baby’s use of the senses and movement
to explore its world. In the preoperational stage (from about 2 years old until about age 6 or 7 years), action
patterns evolve into the symbolic but illogical thinking of the preschooler. In this stage, language ability
grows rapidly (Berk, 2003). In the concrete operational stage, cognition is transformed into the more
organized reasoning of the school-aged child (age 6 or 7 years until about 11 or 12 years). Abstract reasoning
begins with the formal operational stage of the adolescent where youth are able to construct ideals and reason
realistically about the future (Berk, 2003; Ormrod, 2016).
In Piaget’s work, it is the schemes, or psychological structures, that change with age. Individuals build
new schemes by adapting their experiences into previous knowledge. Assimilation and accommodation
processes make up the adaptive process (Ormrod, 2016).
Many adults, however, have not developed complete formal operational thinking and need concrete
examples before being presented with abstract ideas. Thus, it is important for the teacher to present
information in a manner appropriate for the stage of development. The nurse usually has no formal means of
testing an individual’s cognitive development stage but must rely on the individual’s verbal interaction during
the assessment process. In the case study, Barbara could do this by using a familiar example of a clogged sink
to explain what was occurring inside the blood vessels.
Application to Nursing. A few nursing articles can be found that use Piaget’s theory either as a conceptual
framework for a research study or to interpret or describe findings or actions. For example, Başkale and Bahar
(2011) used Piaget’s writings to develop a program to enhance nutritional education for preschool children.
Another study used Piaget’s theory as the conceptual framework in a cross-cultural examination of children’s
fears of medical experiences (Mahat, Scoloveno, & Cannella, 2004), and a third used Piaget’s work to
describe the processes children use to cope with disasters (Deering, 2000).
Gagne
Robert M. Gagne (1916–2002) believed that much of individual’s learning (from sensorimotor to highly
complex intellectual skills) requires different conditions for learning to be successful.
Overview. Gagne classified learning outcomes into five different categories: intellectual skills, verbal
information, cognitive strategies, motor skills, and attitudes. Each category has subcategories and involves
both internal and external conditions that contribute to, or interfere with, the learning process (Gagne, 1985).
Gagne believed that there are eight different types of learning that proceed sequentially in a hierarchical order
(Box 18-5).
Box 18-5 Gagne’s Types of Learning
1. Signal learning: An involuntary response occurs to a specific stimulus (based on Pavlov’s conditioned
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response).
2. Stimulus–response: A voluntary response occurs to a specific stimulus (similar to Skinner’s operant
conditioning).
3. Chaining: Two or more stimulus–response (S–R) associations occur and a sequence of behaviors is
learned.
4. Verbal association: A chain of verbal S–R connections is involved.
5. Discrimination learning: The learner responds to one stimulus but not a similar one.
6. Concept learning: The learner organizes different stimuli into a class and then responds to any member
of that class in the same way.
7. Principle or rule learning: A chain of two or more concepts is constructed.
8. Problem solving: The combination of two or more principles or rules come together to form higher
order thinking patterns.
Source: Gagne (1985).
For Gagne (1985), teaching means arranging the conditions that are external to the learner. When trying to
get a client or patient to understand a concept (such as HTN in the case study), it is important not only to
provide a definition of the concept but also to give many positive examples to illustrate the concept while at
the same time giving negative examples to illustrate what the concept is not. The nurse can test clients’
understanding of a concept by asking them to think of their own examples and applications.
Application to Nursing. Gagne’s principles have been used in some nursing interventions. Shawler (2008)
describes a strategy that uses standardized patients (actors instructed to simulate a set of symptoms) to teach
graduate nursing students about complex mental disorders. In another example, Miner, Mallow, Theeke, and
Barnes (2015) described how Gagne’s theory was the framework for revision of the processes used for
instruction in a medical-surgical nursing course. They reported that integration of Gagne’s nine events—
including gain attention, inform leaners of objectives, stimulate recall, and so forth—enhanced students’
learning experiences.
Bandura
Albert Bandura’s (1977b) Social Learning Theory (SLT) was based on the concept of reciprocal determinism
and concerned with the social influences that affect learning (e.g., groups, culture, and ethnicity).
Overview. In SLT, environment, cognitive factors, and behavior interact with one another, so each variable
affects the other two. For example, people learn from the continual bombardment of environmental stimuli
without being aware that they are doing so.
Bandura’s theory focuses on how people learn from one another and encompasses such concepts as
observational learning, imitation, and modeling (Bandura, 1977b). Many behaviors that people exhibit have
been acquired through observation and modeling of others. Individuals can imitate behaviors of someone they
admire. For example, teenagers often imitate the behavior of their latest movie or rock star idol, or a nursing
student may imitate the behaviors of an RN who exemplifies the student’s concept of professionalism.
Learning by watching or listening to others (vicarious learning) can occur without imitating the behaviors
observed. In this instance, people can verbally describe the behavior but may not demonstrate it until later,
when there is a need to do so. The concept of vicarious learning is used frequently by schools of nursing.
Because not all students can care for clients with the same condition, nursing schools have students share their
clinical experiences in postconferences. Students learn from each other’s experiences but may not have an
opportunity to implement the learning until after they graduate.
In later years, Bandura focused more on the underpinnings of constructivism and social cognition. He
stressed that the learner is actively involved with the environment through personal selection, intentionality,
and self-regulation of the learning process based on his or her own “filter” of the world. People may actively
select their own role models and regulate their own attitudes and actions regarding learning. An important
finding of Bandura’s research for health care professionals is that self-efficacy promotes learning and
productive human function. This implies that nurses should promote patients’ independence and confidence
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rather than simply accepting and endorsing dependent behaviors in order to facilitate learning and health
promotion.
Application to Nursing. Numerous recent nursing articles cite using Bandura’s theory to develop nursing
interventions. For example, Chen, Wang, and Hung (2015) studied personal and environmental factors that
predict health promoting and self-care behaviors in patients diagnosed as “prediabetic” using Bandura’s SLT.
Many examples of use of SLT to look at education of nurse can be found. In one example, Coulson and
Harvey (2013) built on Bandura’s theory in testing the use of a process called scaffolding to teach reflection
as an independent learning means. They found that students go through a four-phase model which leads to a
process of helping students make sense of an experiential learning opportunity. In this process, students are
assisted by their faculty to learn to reflect and then use strategies of reflection to incubate their experiences as
they are learning. In a second example, a literature review of various aspects of incivility among nurses was
examined and evidence-based strategies to combat the incivility were proposed based on Bandura’s theory
(Lynette, Echevarria, Sun, & Ryan, 2016). Finally, Lin (2016) used SLT to study the relationship among
organizational climate, self-efficacy, and outcome expectations with respect to cross-cultural competence of
RNs. In the opening case study, Barbara was applying aspects of Bandura’s SLT when she gave the Youngs
the URLs for Facebook and Twitter sites of other people who were living with HTN. She understood that
communicating with others living with a similar health situation forms a powerful support for learning and
promotes self-efficacy.
Humanistic Learning Theory
Humanistic learning theories recognize that emotions can have a positive influence on the learning process.
Humanistic psychologists, often referred to as “third force” psychologists, are concerned with human potential
and are interested in helping individuals develop that potential. As individuals or groups achieve new abilities,
the human potential improves; consequently, the individual is always “becoming.” Human relations skills are
one of the major human abilities that concerns humanistic educators. Humanistic educators want learners to
have warm interpersonal relationships, to trust others and themselves, and to be aware of others’ feelings. The
teacher’s role is to design experiences that help improve the learners’ abilities to perceive, feel, wonder, sense,
create, fantasize, imagine, and experience (Roberts, 1975). In addition, educators should strive to motivate
others to develop their own potential and move toward self-actualization (Candela, 2016).
By redefining the role of the educator and focusing on the needs and feelings of the learner, humanistic
theory has given health professionals a useful tool for development of student-centered teaching activities
which promote students’ experiences with learning. Humanistic theory is the foundation for many successful
wellness programs, self-help groups, and palliative care (Braungart et al., 2014) and can be effectively applied
in nursing education in strategies such as problem-based learning, service learning, and the flipped classroom.
Rogers
Carl Rogers (1902–1987), one of the leaders of the humanistic perspective, transferred his principles about
“client-centered” therapy to “student-centered” teaching.
Overview. For Rogers (1983), the learner is in the process of becoming, the goal of education is to develop a
“fully functioning person,” and the teacher’s role is to facilitate the process. He believed learning is a natural
process, entirely controlled internally by the learner, in which the individual’s whole being interacts with the
environment as the learner perceives it. The learner has both the freedom to learn and to be self-directed (as
opposed to teacher-directed). By providing problems real and meaningful to the learner, intrinsic motivation is
stimulated to solve the problem. Rogers perceived the only truly educated person to be the one who learns
how to learn, knows how to adapt to changing circumstances, and is continually seeking knowledge.
Application to Nursing. Nurses often use these principles in practice. For example, Missildine, Fountain,
Summers, and Gosselin (2013) reported on their experiences with “flipping the classroom” to enhance student
performance and satisfaction in an adult health undergraduate course. They noted improved learning with the
flipped classroom but suggested that student satisfaction was less than comparison groups because the
strategy required extra work. Hart (2015) reported on how service-learning projects can promote student
engagement in a variety of learning activities in real-life situations; the result is development of leadership,
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social, and partnership skills. Vacek (2009) used concept mapping with students to promote critical thinking
in a baccalaureate nursing program. The findings were that students using concept mapping experienced
enhanced learning and critical thinking. Wong and colleagues (2008) adopted a problem-based learning
approach in a clinical simulation. They found that the students learned best in a stable, safe environment and
could experience the full range of learning issues without endangering themselves or their patients.
Information-Processing Models
Information-processing theories emerged in the 1970s. They arose from the field of artificial intelligence as
researchers attempted to create computer systems to simulate human cognitive skills (Candela, 2016; Paas &
Sweller, 2012). Learning theorists, such as Gagne, used these models to explain the process of acquiring
information, storing it, remembering it, and using it for problem solving (Braungart et al., 2014; Byrnes,
2008).
Information-processing theories propose an elaborate set of internal processes to account for how learning
and retention occur (Ormrod, 2016). In information-processing theories, human memory is thought to be
composed of three stores: sensory store, short-term store, and long-term store. Information from the
environment passes sequentially through the stores (Braungart et al., 2014). The sensory store (also known as
the sensory memory, iconic memory, or echoic memory) holds incoming information long enough that
preliminary cognitive processing can begin. Information stored in the sensory memory is stored basically in
the form in which it was sensed—visual input is stored visually and auditory input in an auditory form.
Although the sensory store has unlimited capacity, information is stored very briefly (Byrnes, 2008).
The short-term memory is the most active component of the memory systems. Thinking occurs within the
short-term memory and determines which information will be attended to within the sensory memory. The
short-term memory holds information while it is being processed from both the sensory memory and the long-
term memory. Interpretation of newly received environment input is interpreted in the short-term memory.
The long-term memory is the most complicated of the memory systems and the one that has received the
most research. Long-term memory is thought to have an unlimited capacity, but experts disagree regarding
how long the information remains in storage. Some experts believe it is there forever, but others believe the
information is lost through a variety of forgetting processes. Information is rarely stored in the long-term
memory in the form in which it is received. What is stored is the “gist” of what was seen or heard rather than
word-for-word sentences or precise mental images. Individuals organize the information that is stored in the
long-term memory so related pieces of information are associated together (Ormrod, 2016).
In information-processing models, learning consists of strategies to transfer information from short-term
storage to long-term storage. Information in the short-term memory (also known as the working memory) is
lost within 5 to 20 seconds if action is not taken to reinforce it (Leahy & Sweller, 2016). For example,
repeating the individual’s name when introduced to a new person increases the ability to recall it at a later
time. It is important for an instructor using this theory to present information in an organized manner, to
overlap the information with previously learned knowledge, and to show the learner how the material is
organized and how it relates to what was previously learned (Ormrod, 2016). External stimuli are thought to
support several different types of ongoing internal processes involved in learning, remembering, and
performing. Techniques such as visual imagery facilitate learning and the recall of information.
Going hand in hand with the question of how people remember is the question of why people forget.
Three theories have been proposed to explain this phenomenon: decay, interference theories, and the loss of
retrieval cues. Decay theory proposes that information weakens over time, if it is not practiced or used. This is
similar to the “use it or lose it” theory of muscle strength. Interference theory postulates that something
interferes between the information already in storage and the new information being learned. If the new
information being learned interferes with previously stored information, it is called retroactive inhibition; if
old information interferes with the learning of new information, it is called proactive inhibition (Ormrod,
2016). Loss of retrieval cues involves the weakening of associations among the retrieval cues and records
(Byrnes, 2008). For example, a nurse frequently sees a colleague from another unit in the cafeteria. The nurse
knows this person’s name and recognizes him or her. When the nurse meets this same person in the grocery
store in street clothes, however, the nurse knows she knows the person but may not recall from where or the
name. Because the person is out of context, the associations are not readily available for recall.
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Cognitive Load Theory
Cognitive Load Theory (CLT) is an example of an information processing theory based on the work of John
Sweller, who began studying the idea in the 1980s. The major components of CLT include schemas:
classifications of the material that the mind of the learner makes. A basic tenet of the theory is recognition that
working memory can deal with only a few novel pieces of information at a time, but long-term memory
allows the knowledge to be grouped together with already existing schemas to develop a huge amount of
knowledge of specific fields.
Research in elements of CLT indicates that a single educational medium, rather than several types of
presentations, is most productive of learning early in the educative process. Therefore, it is suggested that both
lecture and readings and/or video productions not be used for very complex, new material. Rather, a single
medium such as lecture be the first introduction to new material. Later, when the student has developed a
basis for memory of the material, additional media can assist in providing schemas that will promote long-
term memory (Leahy & Sweller, 2016; Paas & Sweller, 2012; van Merriënboer & Sweller, 2005).
Application to Nursing
Nurses in practice and research have used information-processing theories. In the opening case study, by
asking the Youngs to repeat some actions they could take to assist in lowering Mr. Young’s blood pressure,
Barbara was helping the information to be stored in their long-term memory.
In examples from the nursing literature, using information processing theory, Hessler and Henderson
(2013) found that five or fewer items of information were the maximum that should be presented at any one
time to nursing students during computer simulation for optimum retention, especially if advanced cognitive
skills such as critical thinking or analysis were required. In another work, Kaylor (2014) described how she
used CLT as a framework for teaching pharmacology to undergraduate nursing students. In a third example,
Ojeda (2016) piloted an educational program on carbohydrate counting for RNs and unlicensed personnel.
She found that CLT was highly acceptable to the staff members and may be a promising framework for in-
service education. The process of “mind mapping” was described by Rosciano (2015) as an active learning
strategy nursing students can use to “build upon existing knowledge when new information is presented” (p.
93). Lastly, in a clinical situation, Li and Liu (2012) reported on their literature review of use of “errorless
learning strategies,” a process that promotes use of “implicit memory” and how it relates to long-term
memory for patients with Alzheimer disease. They explained that the intent is to enhance memory
rehabilitation in these patients.
Adult Learning
Malcolm Knowles (1913–1997), although not the first educator to study adult learning, is credited with
popularizing the notion of andragogy in North America. Andragogy is concerned with a unified theory of
adult learning, as opposed to pedagogy, which focuses on learning in children and youth.
Overview
For Knowles (Knowles et al., 2005), the single most important thing in helping adults to learn is to create a
climate of physical comfort, mutual trust and respect, openness, and acceptance of differences. By responding
to the needs of the learner and providing the learning resources required for learning, teachers facilitate
learning. To be effective, presenters (teachers) need to “tell it like it is” and stress “how I do it” rather than
telling the learner what to do. Through self-direction, learners are responsible for their own learning. Knowles
and colleagues (2005) identified six assumptions regarding andragogy (Box 18-6).
Box 18-6 Knowles’s Assumptions of Adult Learners
1. Need to know: Adults need to know why they need to learn something.
2. Self-concept: As people mature, their self-concept moves from one of being dependent toward one of
being self-directed.
3. Experience: As people mature, they accumulate a large amount of experience that can serve as a rich
resource for learning.
4. Readiness to learn: Real-life problems or situations create a readiness to learn in the adult.
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5. Orientation to learning: As a person matures, his or her time perspective changes from one of
postponed application of knowledge to immediacy of application.
6. Motivation: Adults are primarily motivated by a desire to solve immediate and practical problems. As a
person matures, motivation to learn is stimulated by internal stimuli rather than external stimuli.
Knowles and colleagues (2005) believed that adults need to know why they need to learn something. As a
result, the teacher can help learners understand how the knowledge is important to their future or the quality
of their lives. Second, Knowles recognized the importance of self-concept in the adult learner. He taught that
as people mature, their self-concept moves from one of being dependent toward one of being self-directed.
Adult learners want others to see them as being capable of self-direction and resent having someone else’s
will imposed on them. A self-directing teacher avoids “talking down” to the learner, provides information that
enhances the adults’ ability to solve problems, and encourages independence.
A third assumption revolves around experience. Knowles and colleagues (2005) explained that as people
mature, they accumulate a large amount of experience that can serve as a rich resource for learning. Adults
learn better when their own experiences are incorporated into the learning process. New experiences
contribute to the learner’s self-identity. Ignoring or devaluing this experience is perceived as rejecting them as
a person.
The fourth assumption involves readiness to learn. Real-life problems or situations create a readiness to
learn in the adult. Adults are problem-oriented learners, as opposed to subject-oriented learners; they want
information that will help them solve a specific problem rather than an inclusive discussion of the subject. As
a person matures, readiness to learn becomes increasingly oriented to the developmental tasks of social roles.
Organizing learning activities around these life experiences facilitates the learning process. Readiness to learn
can be created by exposing the individual to superior models, simulation exercises, and other techniques.
Similarly, the fifth assumption centers on orientation to learning. As a person matures, his or her time
perspective changes from one of postponed application of knowledge to immediacy of application.
Accordingly, the orientation toward self-learning shifts from one of subject centeredness to one of problem
centeredness (Knowles et al., 2005).
Finally, motivation is the cornerstone of the adult learning theories. According to Knowles and colleagues
(2005), adults are primarily motivated by a desire to solve immediate and practical problems. As a person
matures, motivation to learn is stimulated by internal stimuli rather than external stimuli. The learner is self-
directed, determines what is to be learned and how it is to be learned, and assumes the primary responsibility
for learning. For example, some motivational force is exerted from external sources, such as a desire for a
better paying job, but a stronger force arises from internal sources, such as job satisfaction.
Application to Nursing
There are a number of examples of the use of Knowles’s theory in the nursing literature. A study by Nguyen,
Miranda, Lapum, and Donald (2016), for example, concluded that andragogy, combined with drama, assisted
undergraduate nursing students to understand the situations of their clients on a deeper level. In another work,
the effectiveness of an interprofessional discharge planning process to promote patient and family engagement
was examined by Knier, Stichler, Ferber, and Catterall (2015). They determined that their Adult Learning
Theory–based model of care improved patient satisfaction after discharge. Curran (2014) discussed the value
of nursing professional development specialists understanding and applying Adult Learning Theory principles
to guide curriculum development and staff development activities. Finally, Clapper (2010) provided a detailed
explanation of the importance of using Adult Learning Theory when developing and implementing
simulations in nursing education, encouraging nursing faculty to go “beyond Knowles.” The intent should be
to develop self-directed, lifelong learners who understand and can use technology. See Link to Practice 18-1.
Link to Practice 18-1
Barbara Davis used Knowles’s Adult Learning Theory to educate another client family—the Banzas—on
care of Mr. Banza’s new left ventricular assist device (LVAD) at home. In her planning, Barbara
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considered that because the Banzas were in their 70s, they might be relatively low in health literacy. She
quickly learned that they were both motivated to learn and had the insight and experience of their years to
call upon. Before retirement, Mr. Banza had owned his own successful home maintenance business and
was a licensed and skilled electrician and plumber; therefore, he would be able to understand the implanted
LVAD. Mrs. Banza, however, had only finished 10th grade. As a result, she had a fairly low literacy level
and had never worked outside her home.
Barbara decided to work with the Banzas together and started by explaining the electronics and
“plumbing” of the LVAD to Mr. Banza. Next, she discussed with both seniors the need for cleanliness and
sterility when caring for abdominal and chest incisions. To avoid overwhelming them with information,
Barbara organized her teaching in steps, beginning with what they needed to know immediately. She
showed both Banzas the daily care of the LVAD and explained when and how Mrs. Banza was to summon
assistance if there were problems or complications. In later sessions, Barbara gave the couple training on
more complex elements of care.
Barbara saw the Banzas regularly for several months and less often for several years. They were
successful in caring for Mr. Banza’s device, and when Barbara saw them at their 5-year checkup, both let
her know that they had organized a group of other patients with LVADs and that the support group was
successful.
Summary of Learning Theories
As the previous discussions have illustrated, numerous learning theories have been posited over the past
century. Table 18-2 summarizes the cognitive-focused theories described. Many other diverse areas of study
have developed from both the behavioral and cognitive fields of learning theories. Examples include multiple
intelligence (Gardner, 1999), whole brain learning (Maxfield, 1990), learning styles (Kolb, 1976),
assimilation (Ausubel, 1978), proficiency (Knox, 1980), transformational learning (Brookfield, 1991;
Mezirow, 1981), memory (Atkinson & Shiffrin, 1968), self-directed learning (Tough, 1967), self-efficacy
(Bandura, 1977a), and problem solving (Newell & Simon, 1972).
Table 18-2 Summary of Cognitive Learning Theories
Group of Theories Key Principles
Examples of
Theorists
Cognitive-Field (Gestalt) Theories Learning relates to perception; motivation is key;
behavior is related to perception and experience.
Lewin
Cognitive Load Theory Learning is affected by many variables, including
physical and mental ability, attitudes, interests,
and values; learning interprets information based
on previous knowledge and experiences; learning
continues throughout life.
Piaget Maslow
Erikson
Havighurst
Cognitive development (interaction)
theories
Individuals learn from their experiences; learning
is how individuals adapt and cope with their
environment.
Gagne Piaget
Bandura
Information-processing theories
(Cognitive Load Theory)
Memory is composed of sensory memory, short-
term memory, and long-term memory; learning
consists of strategies to transfer information from
short-term memory to long-term memory.
Anderson
Bahrick
Sweller
Humanism Reeducation of clients is important; focus is on
human potential; emphasis is on collaboration in
the learning process; recognizes that emotions
can positively affect learning.
Rogers
Andragogy (Adult Learning Theory) The process of learning rather than content is the Knowles
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focus; physical comfort, mutual trust and respect,
openness, and acceptance are important concepts.
Learning Styles
It is widely recognized that most individuals have a preferred style of learning. Learning style is a
characteristic that allows individuals to interact with instructional circumstances in such a way that learning is
produced. Learning style preference relates to the likes and dislikes a person has for certain sensory modes,
learning conditions, and learning strategies. Most people have probably not thought about how they learn and
if questioned would give an answer based on what they assume rather than what is correct.
By carefully listening to verbal comments of a patient, a nurse can obtain clues about the preferred
learning style. For example, if the individual says something, such as “I hear what you’re saying,” the
preferred learning style is most likely auditory. This individual learns best by hearing a discussion,
presentation, audio device, and so forth. If, however, the response is “I see what you mean,” the learning style
is probably visual, and the person responds better to pictures, movies, or demonstrations. Tactual and
kinesthetic learners make statements such as “I feel this is very important.” These learners will learn best if
able to manipulate or physically maneuver material with their hands. The availability of paper and pencils for
taking notes, highlighter pens for marking important information, and picture puzzles will assist these types of
learners (Morse, Oberer, Dobbins, & Mitchell, 1998).
In addition to age, gender also influences one’s learning style. Men tend to be more visual, tactile, and
kinesthetic than women. They are also more peer oriented and nonconforming and need the freedom to move
around in an informal setting (Dunn & Dunn, 1992, 1993; Dunn & Griggs, 1995). In contrast, during learning
situations, women tend to be more auditory, conforming, and authority oriented than men and are more able to
sit passively (Pizzo, Dunn, & Dunn, 1990).
An important factor influencing learning is whether the individual tends to learn better analytically or
globally. Analytic learners learn facts step by step in a logical progression building toward a whole. Global
learners, by contrast, want to understand the whole before learning about the parts. Analytic learners will
listen to all the facts as long as they believe they are heading toward a goal. Global learners need to know
what they need to learn and why they need to learn it.
Different environments and different teaching strategies are required for global and analytic learners.
Global learners learn better with intermittent periods of concentration and relaxation in a place with soft
lighting, music, or other sound while sitting informally eating snacks. Short stories, anecdotes, humor, and
illustrations can be used to capture the attention of global learners (Morse et al., 1998). Conversely, the
analytic learner needs a quiet, well-lit formal setting with few or no interruptions and few or no snacks (Dunn
& Griggs, 1998).
Principles of Learning
A common approach for teaching either individuals or groups is the use of learning principles. Principles of
learning have been derived from multiple theories and are ideas that people can agree on no matter to which
learning theory they subscribe. Whereas learning theories provide explanation about the underlying
mechanisms involved in the learning process, principles identify specific elements that are important for
learning and describe the particular effects of these variables on learning. The following are some other
learning principles that may assist nurses as they attempt to provide health information to their clients.
Learning is facilitated if information is provided from simple to complex, concrete to abstract, and
known to unknown. This generally accepted learning principle recognizes the hierarchy in learning.
Learning is facilitated if the information is personal and individualized. Learning occurs inside
individuals and is activated by learners themselves. The client is more likely to remember what is
taught if actively involved in the learning process.
Learning is facilitated if it is relevant to the learner’s needs and problems. What is relevant and
meaningful is decided by the learner and must be discovered by him or her. Information that is
meaningful is more easily stored and retrieved than information learned by rote memorization. What
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the nurse perceives as important to the health of the client may not be what the client perceives as
important.
Learning is facilitated if the individual is attentive. Attention is essential for learning. Attention is the
process through which information moves into the short-term memory. Any internal (e.g., fear) or
external factor (e.g., noise) that distracts the client can interfere with the learning process.
Learning is facilitated when feedback is given close to the event rather than delayed.
Learning is sometimes painful. This is true because learning is part of the growth process. Growth
involves change, and change usually involves a certain amount of anxiety. Therefore, it is more
comfortable for the individual to continue his or her ordinary behavior than to deal with the
accompanying emotions required to change. What seems simple to a nurse giving information to a
client may be a very complex process to the client.
Learning is an emotional process as well as an intellectual process. The nurse needs to address the
emotional aspects in the learning process as well as the knowledge aspects.
The learning process is highly unique and individual. Simply put, people learn in different ways.
Application of Learning Theories in Nursing
Professional nurses and nurses in advanced practice must remember that no theory explains everything known
about learning. There is not one theory that is best used for patient education or staff education. Depending on
the learner and the given situation, certain theories may be more useful than others in designing instruction.
The inherent value in the discussion of the theories in this chapter is that they give the nurse an opportunity to
view patients and teaching through different frameworks and perspectives. It is suggested that the nurse use a
broad knowledge of different theories rather than a specific theory alone to approach his or her teaching role.
In the most pragmatic sense, the role of the nurse is to find what works best based on this broad knowledge
and use it for the benefit of the client, whether that client is a patient, a colleague, or a student.
Learning theories are best contextually applied. Professional nurses must use the circumstances
surrounding each different teaching situation to help decide the most useful and appropriate approach. To
apply principles and adapt concepts to patient education, nurses need to ask themselves the following
questions:
How can I increase my effectiveness in teaching my clients?
Which learning theories are most congruent with my own view of human nature and my purpose for
teaching clients?
Which techniques will be most effective for particular situations?
What are the implications of the various learning theories for my own role and performance?
Which learning theory should I use under what circumstances?
Many authors (Bastable & Alt, 2014; Fitzgerald & Keyes, 2014; Kitchie, 2016) have concluded that better
learning outcomes are achieved when a variety of strategies, based on different learning theories, are used. By
synthesizing elements from a variety of theories, the best approach for a given situation can be found.
Clients coming to nurses, however, are often in pain or frightened, factors that directly interfere with the
learning process. This interference can be misinterpreted as “not paying attention” or noncompliance. During
the assessment process, the nurse should be alert to any cognitive or physical problems that may interfere with
learning. Potential problems include poor hearing, eyesight, or coordination as well as impaired thinking or
memory. The person’s personal and cultural beliefs should also be considered when trying to teach.
Theories from psychology and sociology (e.g., motivation, change, self-efficacy, health belief) can help
the nurse determine the best learning approach. Although not directly related to learning, these theories do
help explain human behavior and its impact on the learning process. Creative presentations, such as making
up a rap song or an acronym for essential information, are often remembered longer than dialogue alone
(Bruccoliere, 2000). Presenting too much information, too fast, and too soon can lead to learner frustration
and failure. Furthermore, clients need feedback regarding what they are doing right as well as what they are
doing wrong.
Nurses can also encourage clients to seek out information on their own. Many people today have access to
the Internet, either at home or through their public library. By seeking answers to their own learning needs,
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individuals accept responsibility for their own learning; this can lead to greater self-confidence and a better
self-image. The more self-confidence individuals have, the more likely they will be to take the actions
necessary to correct health problems.
Summary
Professional nurses and nurses in advanced practice should study learning theories, principles, and concepts
and use them to direct education efforts to best meet the needs of the learner. In the opening case study,
Barbara’s use of multiple techniques and interventions to work with her clients to enhance their understanding
illustrates when and how learning theories can be used in nursing. The idea as discussed is learning that will
result in behavior changes that will promote and maintain health.
As educational research has progressed, theorists have become interested in specific aspects of learning
and have incorporated related concepts such as motivation, memory, and thinking into existing theories, or
they have developed completely separate theories based on the works of others. In addition to the external
environment, physical, emotional, and intellectual maturation have been recognized as affecting the learning
process. The differences between child and adult learning have been explored, and new areas of learning are
being investigated. As these areas are further developed, new theories regarding learning will emerge.
Professional nurses must be aware of new developments in learning theory and be ready to apply new
thoughts and concepts when caring for clients.
Key Points
Learning theories provide background information on different ways people learn.
Understanding different learning theories allows nurses to decide on a variety of strategies to use when
providing meaningful education to clients.
A number of different learning theories have been proposed by scholars both in psychology and in
education.
Using multiple theories can assist the nurse acting as educator to realize that different teaching methods may
be needed at different times and for different health care situations.
Learning is a personal and individual process and nurses must be able to use many different methods to
assist patients and caregivers to promote or enhance patient education.
Learning Activities
1. Following the example of Barbara, the nurse from the opening case study, consider the
patients you see each time you work or are in a clinical situation. Have you noticed whether
they have had effective learning experiences to help them maintain their health? Using some
of the cues in this chapter, decide what form of teaching would have complemented the
learning styles of a particular patient or client, such that his or her health education would
have been more effective?
2. Select a theory presented in this chapter. Review the nursing literature and identify nursing
articles and studies describing how/when the theory is used in nursing. Organize the findings
into a short paper.
3. Select one of the learning theories/learning principles/learning styles discussed in this chapter
and research it in more depth. Use educational texts, original works, the Internet, or other
sources. Write a one-page summary of the theory and how it could be applied to a population
or a health problem that you routinely encounter in your practice.
4. Try to determine how you learn. Are you predominantly an auditory learner, visual learner,
tactile learner, or some combination of these? How would you present learning materials to a
client whose learning style differed from yours?
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UNIT VI
Application of Theory in Nursing
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19
Application of Theory in Nursing Practice
Melanie McEwen
Emily Chan is an acute care nurse practitioner who coordinates a liver transplant program at a large medical
center. In her position, she serves as the case manager for a number of individuals. Emily was assigned to
work with Sarah Bishop, a 45-year-old high school teacher who had recently received a new liver after
contracting hepatitis C from a blood transfusion more than a decade ago. Sarah is married and has two teenage
children.
The management of liver transplant patients is highly complex; it is essential to consider multiple facets of
care over an extended period of time. In designing a plan of care for Sarah, Emily conducted a lengthy
assessment. She was pleased to discover that Sarah was well educated and knew a great deal about her illness.
Sarah asked many informed questions and was anxious to learn all she could from Emily. During the time that
Emily worked with Sarah, she used a number of principles and theories in care delivery. She explained
physiologic principles related to chronic liver disease and liver failure to Sarah, and she combined that
information with pharmacologic principles concerning the large number of medications required to prevent
rejection. Complications of the disease, as well as side effects from the medications, were examined at length.
For the educative processes, Emily used several different learning principles and theories and incorporated a
variety of teaching techniques, including one-on-one time, printed materials, interactive computer programs,
and videos.
To address the many psychosocial issues that Sarah and her family would face, Emily combined principles
and concepts from different theories to plan interventions. She incorporated role theory, family theory,
developmental theory, and others to help Sarah and her family understand how the illness might affect Sarah’s
roles as wife, mother, daughter, sister, and teacher. She encouraged family support and advocated for
counseling for all family members and then referred Sarah to a support group. Emily also guided Sarah in
addressing the spiritual issues involved in living with a chronic, life-threatening illness. Among other
concepts discussed were hope, meaning, and transcendence.
Finally, a significant aspect of Sarah’s care involved management of her finances. Emily carefully
described the process of reimbursement and explained what services were covered. Incorporation of principles
and concepts from management and economics was necessary for Emily to adequately understand and explain
the financial aspects of Sarah’s care.
Theory is considered to be both a process and a product. As a process, theory has numerous activities and
includes four interacting, sequential phases (analyzing concepts, constructing relationships, testing
relationships, and validating relationships) that are implemented in practice. As a product, theory provides a
set of concepts and relationships that may be combined to describe, explain, predict, and prescribe phenomena
of interest; this information is then used to guide nursing practice (Kenney, 2013). In a practice discipline
such as nursing, theory and practice are inseparable. Indeed, development and application of theory affiliated
with research-based practice is considered fundamental to the development of the profession and autonomous
nursing practice.
Theory provides the basis of understanding the reality of nursing; it enables the nurse to understand why
an event happens. To illustrate how theory is applied in practice at a basic level, Dale (1994) used the example
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of a nurse who knows theories and principles of the anatomy of soft tissues and the related physiologic
concept of pressure. This knowledge allows the nurse to recognize how a pressure sore can develop. Armed
with this knowledge, the nurse can take steps to prevent pressure sores.
To improve the practice of nursing, nurses need to search the literature, critically appraise research
findings, and synthesize empirical and contextually relevant theoretical information to be applied in practice.
Furthermore, nurses must continually question their practice and seek to find better alternatives (Litchfield &
Jonsdottir, 2012). Nurses cannot afford to think of theory and research as intellectual pursuits separate from
clinical performance; rather, nurses should be aware that theory and research provide the basis for practice
(Marrs & Lowry, 2006; Risjord, 2010; M. C. Smith & Parker, 2015).
This chapter examines several issues related to the application of theory in nursing practice. First, the
relationship between theory and practice and the concept of theory-based nursing practice are described. This
is followed by a discussion of the perceived theory–practice gap that persists in nursing. Practice theories are
then presented, including a discussion of how they interrelate to evidence-based practice (EBP). This chapter
concludes with examples illustrating how theory is used and applied in nursing practice.
Relationship Between Theory and Practice
According to M. C. Smith and Parker (2015), the primary purpose of theory in nursing is to improve practice
and thereby positively influence the health and quality of life of persons, families, and communities. In
nursing, there should be a reciprocal relationship between theory and practice. Practice is the basis for nursing
theory development, and nursing theory must be validated in practice. Theory is rooted in practice and refined
by research, and it should be reapplied in practice. Box 19-1 shows the many ways in which theories influence
nursing practice.
Box 19-1 Ways in Which Theory Influences Nursing Practice
Identifies recipients/clients of nursing care
Describes settings and situations in which practice should occur
Defines what data to collect and how to classify the data
Outlines actual and potential problems to be considered
Assists in understanding, analyzing, and interpreting health situations
Describes, explains, and sometimes predicts client’s responses
Clarifies objectives and establishes expected outcomes
Specifies actions or interventions to be provided
Determines standards for practice
Differentiates nursing practice from practice of other health disciplines
Promotes responsibility and accountability for nursing care
Identifies areas for research
Sources: Fawcett (1992); Kenney (2013); M. C. Smith and Parker (2015).
Theory provides nurses with a perspective with which to view client situations and a way to organize data
in daily care. Theory allows nurses to focus on important information while setting aside less important, or
irrelevant, data. Theory may assist in directing analysis and interpretation of the relationships among data and
in predicting outcomes necessary to plan care. Furthermore, a theoretical perspective allows the nurse to plan
and implement care purposefully and proactively, and when nurses practice purposefully and systematically,
they are more efficient, have better control over the outcome of care, and can better communicate that care
with others (Masters, 2015; M. C. Smith & Parker, 2015). Thus, nurses need to use theoretical perspectives to
help understand what information is important; how information, findings, and data are related; what can be
predicted by relationships; and what interventions are needed to deal with special relationships.
For example, a nurse working in a postpartum maternity unit should be aware of the theoretical basis for
the development of postpartum depression. That nurse should know risk factors for postpartum depression, its
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signs and symptoms, and various management strategies. Furthermore, if the nurse suspects postpartum
depression in a teenage mother, he or she must know what additional data need to be gathered to address the
complex issues created by the mother’s special needs and circumstances. The additional information should
be analyzed and interpreted based on an understanding of the specific problems and complications posed by
teen pregnancy, and an appropriate plan of care for that young woman can be developed and goals and
outcomes predicted.
Similarly, a nurse working in a pediatric clinic should understand the theoretical principles of immunity
and disease prevention when explaining the importance of immunization to a new mother. If the mother
expresses concerns about a potential complication of the vaccine, the nurse should gather additional
information from the mother to understand her specific concerns. On learning that the mother had read reports
that the measles/mumps/rubella vaccine might cause autism, the nurse must be able to articulate the rationale
behind immunization and to direct the mother to sources of information about vaccine safety and potential
complications, including the most recent and relevant research data. This information will allow the mother to
make an informed decision about the care of her infant.
Theory-Based Nursing Practice
Theory-based nursing practice is the “application of various models, theories, and principles from nursing
science and the biological, behavioral, medical and sociocultural disciplines to clinical nursing practice”
(Kenney, 2013, p. 333). Nursing practice is complex, and theory informs the practitioner to do what is right
and just (good practice). In nursing, practice without theory becomes rote performance of activities based on
tradition, common sense, and following orders (Hanberg & Brown, 2006; Marrs & Lowry, 2006; Risjord,
2010).
Theory offers the practitioner a basis for making informed decisions that are based on deliberation and
practical judgment. With increasing clinical experience, nurses are able to combine theoretical and clinical
knowledge with critical thinking skills to make better clinical decisions and thereby improve practice.
Nursing, like all practice disciplines, uses a special combination of theory and practice in which theory guides
practice and the practice grounds theory. Nurses rely heavily on theoretical understanding, and practice will
be improved not just by experience but by an understanding of a wide range of theories. As Cody (2003)
pointed out, “One learns to practice nursing by studying nursing theories, and one learns to practice nursing
very well by studying nursing theories very intensely” (p. 226).
Dreyfus and Dreyfus (1996) believe that as nurses gain knowledge, skills, and expertise, theory and
practice intertwine in a mutually supportive process; however, only if both theory and research are encouraged
and appreciated can full expertise in nursing practice be realized. Theory is needed to explain the ends and
means of nursing practice, and the nurse who uses theory-based practice will be able to describe, explain,
predict, and control nursing events and initiate preventive actions. Theory-based practice, therefore, is
purposeful and controlled; it includes preventive action and can be explained by the nurse.
It is sometimes difficult to decide where, when, and how to apply theory in nursing practice. This may be
particularly true for nursing students and novice nurses. The application of theory in practice requires an
understanding of concepts and principles associated with the needs of a particular client, group of clients, or
community and recognition of when and how to use these concepts and principles when planning and
implementing nursing care. Chinn and Kramer (2015) suggested criteria for determining when theory should
be applied in practice. These are shown in Table 19-1.
Table 19-1 Guidelines for Application of Theory in Nursing Practice
Question
Process for Determining
Application to Practice Example
Are theory goals and
practice goals congruent?
Examine the goal of the theory and
compare it with the outcomes or goals
of nursing practice (standards of
practice, personal views of nursing).
A rehabilitation nurse developing a
plan of care for a spinal cord injury
must choose between a theory of
coping and a theory of adaptation.
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Is the context of the
theory congruent with the
practice situation?
Examine the theory to determine
context for application and compare it
with the context of the situation at
hand.
A hospice nurse is concerned that a
new agency policy on pain
management is based on a theory for
postsurgical pain relief.
Is there similarity between
theory variables and
practice variables?
Compare the theoretic variables
(concepts) and the variables
recognized to directly influence the
practice situation to determine
whether all essential concepts are
addressed in the theory.
A nurse working with clients with
AIDS believes a learning theory
might not consider the health status of
the learner (the learner is assumed to
be healthy) on the outcome(s) of
client education.
Are explanations of the
theory sufficient to be
used as a basis for nursing
action?
Use expert judgment about nursing
actions that are implied or explicit
within the theory to determine
sufficiency; examine correlation
between theoretical and practice
variables.
A theory of therapeutic touch may be
intriguing to an oncology nurse, but
sufficient study should be conducted
to determine when and how to apply
the intervention in an oncology unit.
Does research evidence
support the theory?
Conduct a review of the literature for
research support of the theory;
critically examine study findings for
validity and applicability to practice.
Before considering implementing
expensive measures that might
prevent nosocomial infection, the
nurse manager of a surgical ICU
conducts a literature review to learn
how effective the measures have been
in similar settings.
How can the theory
influence nursing practice
and the nursing unit?
Consider ways in which an approach
will affect nursing practice and a
nursing unit; plan changes including
observation and recording of factors
relevant to the theory’s application.
A theory that partially explains
medication errors is being
incorporated into new policies and
procedures on a general medical unit,
and the unit supervisor wants to be
sure that the procedures include data
collection for outcomes evaluation.
Source: Adapted from Chinn and Kramer (2015).
The Theory–Practice Gap
Despite the decades-long study of theory in nursing and the development and evolution of nursing theories,
the notion that there is a “gap” between theory and practice is a common perception among nurses (Kellehear,
2014; Monaghan, 2015; M. C. Smith & Parker, 2015). Indeed, it has been observed that nurses in clinical
practice rarely use the language of nursing theory, nursing diagnosis, or the nursing process unless mandated
to do so by accrediting bodies or institutional practice policies (Liaschenko & Fisher, 1999).
Risjord (2010) explains that the gap arises when the body of knowledge is not used as it should be.
Several reasons for this have been suggested. Historically, for example, theory development has been
regarded as the domain of nurse educators and scholars rather than the concern of practitioners. Nursing
theory and practice have been viewed as two separate nursing activities, with theorists seen as those who write
and teach about the ideal, separated from those who implement care in reality.
Although most scholars believe that theory and practice are, or at least should be, reciprocal, to many, the
relationship between theory and practice appears to be unidirectional and hierarchical. To those nurses, theory
is seen as “above” practice and is positioned to direct practice; rarely does practice appear to affect theory.
This has caused confusion and apathy among practitioners who believe academic knowledge has little
relevance in practice situations. Indeed, practitioners often complain that theory distorts practice, if it has any
relevance to practice at all (Hanberg & Brown, 2006; Kellehear, 2014).
Language also contributes to the gap in theory and practice, as many theories contain concepts and
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constructs that must be explained and understood before they can be applied. Furthermore, in the ideal world
of nursing theory, nursing practice is discussed as being performed as it ought to be rather than as how it is.
As a result, many nurses believe that theory is irrelevant to practice because of the obscurity of academic
language and focus on circumscribed, ideal situations (Hartrick Doane & Varcoe, 2005).
Finally, it has been noted that practice often develops without theory, and knowing theory is not a
guarantee of good practice. Furthermore, many practices resist explanation. Practice changes and develops in
the light of theory, but much of the knowledge of practice is different from theory.
A different view has been taken by some. Larsen, Adamsen, Bjerregaard, and Madsen (2002) conducted a
study of nursing literature and determined that there is no inherent gap between theory and practice. They
concluded that although theorists and practitioners are situated in different environments, they share common
and implicit understandings related to knowledge development and implementation of that knowledge in
practice. Furthermore, they contend that theoretical principles are applied daily in practice, although nurses do
not always recognize their use of theory.
Closing the Theory–Practice Gap
Despite repeated calls to relate theory, practice, and research, the interaction remains fragmented or
unrecognized. To promote nursing’s ability to meet its obligations to society, there needs to be an ongoing,
reciprocal relationship among nursing theory, nursing science, and nursing practice. This will help close the
perceived gap between theory and practice.
Several factors that interfere in the reciprocal interrelationship of theory, practice, and research in nursing
need to be addressed. These factors include educational issues, interaction between nursing
researchers/scholars and practicing nurses, and problems or issues central to contemporary nursing practice.
Lack of exposure to theoretical principles during the basic educational program is a major impediment to
closing the theory–practice gap. Because approximately half of nurses in the United States have been educated
in associate degree or diploma schools of nursing, they are frequently not exposed to either theory or research,
as is common among baccalaureate or master’s programs. This lack of focus on theory has been recognized,
and in recent years, there has been momentum in nursing education to enhance emphasis on research and
knowledge development (Johnson & Webber, 2015; Risjord, 2010; Walker & Avant, 2011).
It is equally important to stress theoretical concepts and principles following completion of formal
education because nurses are required to continually assimilate and synthesize a sizable amount of
information into their practice. The professional growth of practicing nurses is vital, and fortunately, many
practicing nurses read scholarly journals, research-based literature, and practice-based journals. It is
imperative that all nurses in clinical practice also be encouraged to expand their knowledge through ongoing
exposure to new theoretical concepts and nursing research in continuing educational offerings or formal
educational programs. These critically viewed notions of enhanced education and training, as well as lifelong
learning for all nurses, were key recommendations of the Institute of Medicine (IOM) in their widely
acclaimed report on The Future of Nursing (IOM, 2011).
A second issue relates to the disparity between the world of nursing theorists and scholars and the world
of practicing nurses. Unfortunately, many nurse theorists and nurse researchers have limited clinical
involvement, and time constraints restrict their ability to develop relationships with clinically based nurses.
Conversely, the majority of nurses in practice have little or no direct contact with nurse theorists or nurse
researchers. To address this problem, those who propose theory and conduct research have recognized the
need to be directly involved in clinical practice. Furthermore, many understand the importance of studying
problems encountered in practice and using language and terminology that can be easily understood by
clinical nurses who are working to implement these changes.
The final issue in closing the theory–practice gap relates to changes in health care delivery and the need to
address current issues and practices from a theoretical perspective. Nurses face many challenges posed by
changes in the health care delivery system. For example, the decrease in length of stay has dramatically
reduced the time available for preoperative and postoperative teaching and discharge planning. Likewise,
reimbursement mechanisms have dramatically influenced the availability of home health care and largely
determined when and how nurses care for clients and what services are provided. These developments and
anticipated changes designed to curb the inflation of health care costs may adversely affect care delivery and
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nursing care.
The demands of the changing health care system and attention to EBP, along with other anticipated
problems, must be addressed from a practice, theory, and research perspective. These problems include
chronic illnesses (e.g., heart disease, cancer), aging of the population, and the increase in the number of
persons from a variety of racial and cultural backgrounds. These factors contribute to the growing need to
integrate multiple concepts, principles, and theories into designing, planning, and implementing effective
nursing care. Thus, as nursing continues to evolve to meet the challenges described, clinical practice will need
to be more heavily based on theory and research and less reliant on routine, common sense, and tradition.
Situation-Specific/Practice Theories in Nursing
Earlier chapters described different types and levels of theory used in nursing. In addition to borrowed or
shared theories, this book has described grand nursing theories and middle range nursing theories. This
section provides information about the theories often termed situation-specific or practice theories, which are
narrow, circumscribed theories proposed for a specific type of practice. It is important to stress that they are
not the only theories applied in nursing practice.
Definition and Characteristics of Situation-Specific/Practice Theories
Practice theories are nursing theories used in the actual delivery of nursing care to clients. Several
characteristics are common to practice theories. First, they are used to carry out nursing interventions and
often include or lead to the performance of psychomotor procedures (e.g., dressing changes, venipuncture,
medication administration) or are related to communication (e.g., education, counseling). Second, practice
theories may be derived from grand or middle range theories, from clinical practice, and/or from research,
including literature reviews, and may describe, explain, or prescribe specific nursing practices. Third, practice
theories combine a set of principles or directives for practice and often have a role in testing theories. Finally,
practice theories may benefit nursing practice and the development of nursing knowledge by allowing for an
in-depth analysis of a particular nursing intervention or practice.
The term situation-specific theory is sometimes used to describe practice theory (Chinn & Kramer, 2015;
Im, 2014; Im & Chang, 2012; Meleis, 2012). Practice theories are clinically specific and reflect a particular
context that may include directions or blueprints for action. Furthermore, in comparison to grand or middle
range theories, practice theories have a lower level of abstraction, are context specific, and are easily applied
in nursing research and practice.
Practice theories often emerge from grounded theory research or from synthesizing and integrating
research findings and applying this knowledge to a specific situation or population. Typically, the intent is to
develop a framework or blueprint to understand that particular situation or group of clients. Many nursing
scholars support developing theories that reflect nursing practice, thus ensuring that nursing practice is a
source for theory development (Im, 2014; Im & Chang, 2012). Table 19-2 lists some areas that have been
proposed for the development of practice theories for nursing.
Table 19-2 Types of Practice Theories Needed in the Discipline of Nursing
Type of Practice Theory Examples
Theories providing explanations about client
problems
Theories of healing, airway patency, fatigue, and
speech
Theories describing therapeutics for client problems Theories of suctioning, wound care, rest, and
learning
Theories providing the nurse with ideas about how
to approach clients
Theories of caring, empowerment, and
communication
Theories providing explanations or ideas about how
the nurse makes or should make decisions
Theories of clinical inference and clinical decision
making
Theories providing explanations about what happens Theories describing outcomes of client care
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in the actual delivery of nursing care
Source: Kim (1994).
Examples of Practice and Situation-Specific Theories From Nursing Literature
The nursing literature contains a growing number of examples of practice or situation-specific theories. In
searching for illustrations, most theories that could be termed practice theories are those that were developed
through grounded theory research or those developed through application of a grand theory or a borrowed
theory to a specific aggregate or in a very defined set of circumstances. A few were identified that were
reported to have resulted from quantitative research studies and literary synthesis. Also, as mentioned in
Chapter 10, some of the theories that are termed by the author or others as middle range may be more
appropriately labeled practice theories.
Examples of practice-level theories developed from qualitative, grounded theory studies include a work by
Doering and Durfor (2011), who developed a theory of “persevering toward normalcy after childbirth.” They
identified the strategies and characteristics necessary to help manage fatigue and sleep deprivation that are key
in the early weeks following childbirth. Also using grounded theory, Law (2009) developed a situation-
specific theory entitled “Bridging Worlds,” which is intended to provide a mechanism to help hospice nurses
ensure that both the physical and emotional needs of dying patients are met. In another example, Riegel,
Dickson, and Faulkner (2016) revised their “situation-specific theory of heart failure self-care” based on a
review of the literature which cited the original theory; they updated it in three key areas based on the review.
An example of a practice theory based on a middle range theory is a work presented by Valek, Greenwald,
and Lewis (2015) who applied concepts and linkages from Pender’s Health Promotion Model to develop a
theoretical framework to help nurse practitioners encourage maintenance of weight loss. A grand theory—
Roy’s Adaptation Model (RAM)—was used by Perrett and Biley (2013) to describe the development of a
framework for “negotiating uncertainty,” which was aimed at helping nurses recognize the process of
adaptation to being HIV positive. Lastly, McLeod-Sordjan (2013) presented an excellent description of what
she termed clinical application of a framework for “facilitated communication” at the end of life, with the goal
of “death acceptance” (p. 390). This framework was based on Parse’s Humanbecoming Theory. Additional
examples of practice or situation-specific theories and information about each are presented in Table 19-3.
Table 19-3 Examples of Situation-Specific/Practice Theories and Models
Practice Theory or
Model
Target
Population Development Process
Goal and Activities or Actions
Prescribed
Anticipatory Grief (Shore,
Gelber, Koch, & Sower,
2016)
Patients with
advanced
disease and
their family
members
Case study based on Roy
Adaptation Model—
extrapolation of
assessment tools and
management strategies
Enhance the care of patients and
caregivers suffering from
anticipatory grief.
Midlife Women’s
Attitudes Toward Physical
Activity (MAPA) (Im,
Stuifbergen, & Walker,
2010)
Midlife
women
Review of the literature;
other models (e.g.,
Attitude, Social Influence,
and Self-Efficacy Model)
and a study on women’s
attitudes toward physical
activity
Directs nursing interventions
and research related to
increasing participation in
physical activity
Health-related behaviors
of Korean Americans
(Lee, Fawcett, Yang, &
Hann, 2012)
Korean
Americans
who have or
are at risk for
chronic
hepatitis B
Literature review of
related research and the
Network Episode Model
Explanation of correlates of
health-related HBV behaviors
of the population; used to
develop and test nursing
interventions to promote
positive health behaviors
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virus (HBV)
infection
Transition to adulthood
(Joly, 2016)
Young people
with medical
complexity
Systematic literature
review; applications of
Meleis’s Transitions
Theory
Support nursing interventions
that aid young people with
complex health conditions to
promote positive outcomes
during transition to adulthood.
Theory of Crisis
Emergencies (Brennaman,
2012)
Invidious with
severe,
persistent
mental illness
Integrative literature
review, application of a
middle range theory in the
defined population
Theory for use by nurses in
emergency department to
distinguish between need for
mental health crisis intervention
or mental health emergency
intervention
Well-being in refugee
women experiencing
cultural transition (Baird,
2012)
Refugee
women from
South Sudan
immigrating to
the United
States
Research studies and
application of Transitions
Theory
Promotes culturally relevant
interventions for nurses working
with immigrant and refugee
populations to foster well-being
Complexity of living with
hepatitis C (MacNeil,
2012)
Patients with
chronic
hepatitis C
virus infection
Hermeneutic dialectic
qualitative research—
interpreted through
Newman’s Theory of
Expanding Consciousness
Identify patterns and themes to
help patients move to higher
level of consciousness through
“transformative changes in their
lives” (p. 261).
Situation-specific theory
of self-care in diabetes
mellitus (DM) (Song,
2010)
Individuals
with DM
Adaption of another
situation-specific theory
and literature review
Describes use of health
outcomes and patients’
decision-making responses to
signs and symptoms of DM;
promote DM self-care to
improve health outcomes
Situation-specific theory:
“Moving Beyond
Dwelling in Suffering”
(Willis, DeSanto-Madeya,
& Fawcett, 2015)
Adult males
who had
experienced
childhood
maltreatment
(abuse and/or
neglect)
Hermeneutic
phenomenological study
—interpreted through
Rogers’s Science of
Unitary Human Beings
Identification of the facilitators
and inhibiting processes help
men move beyond suffering to
well-being.
Situation-Specific Theory and Evidence-Based Practice
EBP and its relationship with nursing theory was discussed in Chapter 12. As mentioned, EBP has become
widely accepted in nursing as an approach to problem solving in clinical practice because it consciously and
intentionally applies the currently agreed upon “best” evidence to direct care for patients (LoBiondo-Wood &
Haber, 2014). A typical process used to develop EBP guidelines includes identifying a clinical problem,
conducting a comprehensive literature search for relevant information about the problem, evaluating the
researched evidence critically, and determining appropriate interventions.
In many ways, this process and the desired outcome mirrors the process and intent of development and
implementation of situation-specific theories. Both are research based and focused on a relatively small set or
subset of patients in fairly narrowly defined situations. Similarly, the desired outcome of both is to develop
nursing interventions that can be applied in clinical practice to improve the health of patients.
Table 19-4 presents selected definitions of situation-specific nursing theory (micro theory or practice
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theory) and evidence-based nursing practice guidelines taken from the recent nursing literature. Critical
review of the definitions suggests several similarities. For example, both are developed to address specific
situations or phenomena and to be applied in clinical situations. For EBP, the intent is to assist clinicians
make decisions in specified conditions or situations; the same is true for situation-specific theories.
Additionally, although the situation-specific theory definitions do not directly or explicitly explain the source
or methods used in their development, a review of the information presented previously indicates that many of
them—particularly the more recently published theories—were developed through comprehensive review of
the relevant health care literature as well as through research studies, which is typically the basis or starting
point for the development of EBP guidelines.
Table 19-4 Definitions of Evidence-Based Nursing Practice Guidelines and Situation-Specific
Nursing Theories
Evidence-Based Nursing Practice Guidelines Situation-Specific Nursing Theories
Practice guidelines are “systematically developed
statements to assist health care providers with
making appropriate decisions about health care for
specific clinical circumstances” (Schmidt & Brown,
2015, p. 542).
“. . . theories that focus on specific nursing
phenomena, that reflect clinical practice, and that are
limited to specific populations or particular fields of
practice” (Im, 2005, p. 298).
Evidence-based practice clinical guidelines “. . .
systematically developed practice statements
designed to assist clinicians [to] make health care
decisions for specific conditions or situations”
(LoBiondo-Wood & Haber, 2010, p. 11).
“Theory that is developed with the sensitive
consideration of context; assumes that theory . . .
[takes] into account important differences across
populations; draws attention to the variables that
significantly affect the successful use of theory”
(Chinn & Kramer, 2015, p. 254).
Evidence-based practice “ . . . tracking down and
applying the best available knowledge related to any
specific clinical process, which specifically meets
patient needs and answers critical questions related
to best practices” (Malloch & Porter-O’Grady, 2010,
p. 4).
[Microrange theories] “. . . focus on specific nursing
phenomena . . . and offer a blueprint that is more
readily operational and/or has more accessible utility
in clinical situations” (M. J. Smith & Liehr, 2013,
pp. 21–22).
“Evidence-based clinical practice guidelines are
specific practice recommendations . . . that are based
on a methodologically rigorous review of the best
evidence on a specific topic” (Melnyk & Fineout-
Overholt, 2015, p. 604).
“Situation-specific theories are coherent
representations and descriptions of a set of concepts,
and explanation of the relationships between those
concepts and prediction of outcomes related to these
relationships . . . grounded in clinical, teaching,
policy or administrative situations . . . focused on a
specific set of phenomena, more subscribed
situations, and has a limited set of conditions”
(Meleis, 2012, pp. 420–421).
Thus, it appears that situation-specific theories and EBP guidelines, standards, and protocols have much in
common. As nursing researchers and nurse theorists move forward in theory development, increasing
attention needs to be given to the development of situation-specific theories, with consideration of how they
might be more explicitly connected to EBP guidelines.
Application of Theory in Nursing Practice
A lack of understanding of theory leads to a failure to recognize the use of theory on a day-to-day, even
minute-to-minute, basis in the practice of nursing. For example, the practice of washing hands prior to client
contact is based directly on the principles of germ theory and the epidemiologic concepts of disease
transmission and disease prevention. Barnum (1998) used the term implied theory to refer to those theories
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used by practicing nurses during routine client care. Examples of application of theory can be taken from
several sources within practice-based nursing literature. With few exceptions, as in real practice, the
theoretical principles are implicit rather than explicit.
This section illustrates the application of a variety of theories, principles, and concepts in nursing journals
and the Nursing Intervention Classification (NIC) system. The intent of this exercise is to show where and
how nurses use theoretical principles in practice. For the most part, these theories are implied and extrapolated
rather than explicitly stated in the works in question. Some readers may argue whether the
theories/principles/concepts are addressed at all in the examples. Furthermore, the theories/principles/concepts
discussed will most likely not be the only ones suggested in the work; indeed, there are probably countless
others.
Theory in Nursing Taxonomy: Examples From the Nursing Intervention Classification
System
To illustrate the use of theory in nursing taxonomies, two interventions from the NIC system are discussed.
The NIC is a comprehensive list of 554 nursing interventions grouped into 30 classes and 7 domains. Nurses
in all specialties and in all types of settings perform these interventions. The NIC includes physiologic,
behavioral, safety, family, and community interventions, and there are interventions for illness treatment,
illness prevention, and health promotion (Bulechek, Butcher, Dochterman, & Wagner, 2013).
The intervention of intermittent urinary catheterization is used to highlight the incorporation of theories
and principles from biology, physiology, and medicine into nursing. In a second discussion, theories related to
behavioral interventions (i.e., learning theories and psychosocial theories and principles) are examined in the
intervention of patient contracting.
Urinary Catheterization: Intermittent
Intermittent urinary catheterization refers to the “regular periodic use of a catheter to empty the bladder”
(Bulechek et al., 2013, p. 406). The procedure may be performed by the nurse, another caregiver, or the client
and may be done in the home or in an institutional setting. The purposes are to eliminate residual urine in the
bladder, reduce urinary infections, prevent incontinent episodes, regain bladder tone, achieve dilation of the
urethra, increase client control of urinary elimination, and facilitate self-care.
The authors presented references to support the need and rationale for the intervention. The data presented
in the references compared rates and are an example of the use of epidemiologic principles. Discussion of
complications and side effects, including urinary tract infection and fistulas resulting from indwelling
catheters, related to principles of anatomy and physiology as well as disease processes. Description of costs of
alternative strategies implied the use of economic principles. Mention of reluctance to report incontinence
suggested incorporation of psychosocial theories and encouraging self-care related to several nursing theories,
such as those of Orem and Erickson, Tomlin, and Swain.
The activities that comprise the intervention of intermittent urinary catheterization largely focus on
prevention and identification of infection and teaching needs related to the psychomotor skills used by nurses
and others providing care. Table 19-5 lists a few of the activities for the intervention and suggests a broad
theoretical basis for each.
Table 19-5 Intermittent Urinary Catheterization: Theoretical Basis for Activities
Activity Possible Theory Base
Perform comprehensive urinary assessment, focusing on
causes of incontinence.
Physiology, certain disease processes
Teach patient/family purpose, supplies, methods, and
rationale of intermittent catheterization.
Teaching/learning principles and theories
Teach patient/family clean intermittent catheterization
technique.
Germ theory (principles of asepsis)
Use clean or sterile technique for catheterization. Germ theory (principles of asepsis)
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Maintain client on prophylactic antibacterial therapy for 2–3
weeks at initiation as appropriate.
Pharmacology, health promotion/prevention
strategies
Establish a catheterization schedule based on individual
needs.
Developmental theory, role theory, needs
theory
Teach patient/family signs and symptoms of urinary tract
infection.
Principles of disease processes
Source: Bulechek et al. (2013).
Patient Contracting
One of the many behaviorally focused NIC interventions is patient contracting. Patient contracting is defined
as “negotiating an agreement with an individual which reinforces a specific behavior change” (Bulechek et al.,
2013, p. 289). Patient contracting involves analyzing patient behaviors, setting goals, determining
responsibilities of interested parties, and determination of consequences and reinforcement mechanisms. A
written, signed contract with terms and dates may be developed.
The major theoretical basis of the intervention is principles from behavior modification and operant
conditioning. The intervention also uses concepts and principles from other theories. These concepts include
motivation, compliance/noncompliance, and risk factor management. In addition, patient contracting is based
on the premise that all individuals have the right to self-determination to make their own choices and to be
active in their own health care and that health care providers must offer treatments that empower patients to
identify their own priorities, strengths, weaknesses, and goals. These are ethical principles, which are
fundamental to professional nursing practice.
Bulechek and colleagues (2013) developed a long list of activities that might be used in patient
contracting. Table 19-6 lists a few of these activities and identifies a possible theoretical basis for each.
Table 19-6 Patient Contracting: Theoretical Basis for Selected Activities
Activity Possible Theory Base
Encourage the individual to identify own strengths and
abilities.
Role theory, developmental theory, needs
theory
Assist the individual in identifying the health practice he or
she wishes to change.
Self-determinism
Assist the client in identifying present circumstances that
may interfere with achievement of goals.
Role theory, developmental theory, health
beliefs, motivation theory
Encourage the individual to choose a reinforcement/reward
that is significant enough to sustain the behavior.
Motivation theory
Source: Bulechek et al. (2013).
Examples of Theory From Nursing Literature
The general nursing literature is replete with examples of how theories are applied in routine nursing practice.
This section presents several examples of practice—application of borrowed or “implied” theories as
described earlier as well as application of middle range and grand theories.
Application of “Borrowed” and “Implied” Theories in Nursing Practice
Examples of applying borrowed theories in practice are easily identified in the literature. For example,
Blevins and Toutman (2011) looked at how several theories are applied in caring for patients with chronic
renal disease. Within a general framework of “successful aging,” they discussed multiple theories and
concepts that should be applied when working with this population. Among them were physiologic and
psychological changes in aging, developmental theory, spiritual concerns, and theories of aging. Other key
concepts discussed within the “Theory of Successful Aging” included coping, adaptation, health promotion,
and decision making. The authors concluded that the Theory of Successful Aging is useful for assisting nurses
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in providing comprehensive care and understanding the complexities of caring for older patients with chronic
renal disease.
In another work, Cleveland, Minter, Cobb, Scott, and German (2008) explained the bases for
recommendations for screening and strategies for managing lead exposure in pregnant women and children.
This discussion included epidemiologic information describing risk factors and demographic data accounting
for the disparities of distribution of high lead levels. Additionally, environmental concepts and theories of lead
contamination and related prevention strategies were examined. Finally, the pathophysiology of lead
absorption was explained, and this discussion included an overview of potential treatment for high lead levels
(chelation therapy) and the related biomedical and pharmacological aspects of the therapy.
Another example of application of non-nursing theories in nursing practice comes from Adeola,
Omorogbe, and Johnson (2016) who reported on the development and implementation of a health education
program for teens to reduced distracted driving. She used the Health Belief Model (HBM) as a guide for a
four-step intervention including a presentation on injury prevention, a video about driver distraction entitled
“Get the Message,” a tour of a trauma center, and crash survivors’ testimonies of injuries and disabilities. In
addition to HBM constructs, this program also illustrated application of other theories, models, and concepts,
including learning theories, developmental theories, and epidemiology (prevention). Link to Practice 19-1
shows another example of applying non-nursing theories in nursing practice.
Link to Practice 19-1
Application of “Shared” Theory in Nursing Practice
Phillips (2012) described an intervention that can be used by community health nurses who are working
with older adults who smoke. She explained that because smoking is the most preventable cause of death,
smoking cessation is a key public health goal. Her research-based guidelines can reduce smoking-related
illness and promote health among older adults. Using Bandura’s self-efficacy construct as well as the
HBM as a framework, the author presented five different caring options for nurses working with elders
who smoke. The options discussed were (1) brief intervention sessions in which the health provider
presented advice, encouragement, and assessment; (2) weekly individual behavioral counseling; (3) group
behavior therapy; (4) use of pharmacotherapies; and (5) provision of self-help materials.
Application of Grand and Middle Range Theories in Nursing Practice
Articles showing how grand and middle range nursing theories have been applied in nursing practice can
readily be found in the nursing literature (Link to Practice 19-2). For example, Seah and Tham (2015) used
RAM to develop an intervention strategy for management of bulimia. Akyil and Ergüney (2013) also reported
on use of the RAM for an effective educational intervention to assist patients adapt to chronic obstructive
pulmonary disease (COPD).
Link to Practice 19-2
Application of Nursing Theory in Practice
Nursing care for mothers-to-be who experience nausea and vomiting was addressed by Isbir and Mete
(2010). The authors explained how to develop a very comprehensive and theory-based plan of care for this
population based on the RAM. With the primary goal of promoting adaptation, the authors first suggested
evaluation of the adaptive system. It was thought that women with mild to moderate symptoms may have
effective cognator and regulator systems and can cope with the symptoms and therefore would need
minimal intervention, as they have adaptation at the compensatory level.
For women with severe and lasting symptoms, however, their compensatory processes are not adequate
409
and the insufficient adaption levels need to be addressed. Nurses can help coordinate regulator and
cognator processes and increase adaptation to compensatory levels. The authors continued to apply the
RAM to other aspects of care for pregnant women experiencing nausea and vomiting. They examined
relationships among the different modes (interdependence, role function, physiologic, and self-concept
modes) and focal, contextual, and residual stimuli. They concluded by describing how nursing activities
and interventions (e.g., counseling about nutrition, promoting social support, identifying stressors, and
reducing stress levels) can positively influence the adaptive/coping systems.
In another work, Joly (2016) used Meleis’s Transitions Theory to develop recommendations for pediatric
nurses to assist young people with chronic health conditions during the process of transition to adulthood. She
suggested development of programs to focus on health determinants, psychosocial concerns, and education to
ease the transition for this vulnerable group.
In another example, the middle range theory of chronic sorrow was used to provide anticipatory guidance
for parents with premature infants (Vitale & Falco, 2014). They explained how the theory can be used by
nurses to recognize how chronic sorrow is a normal grief response, know how to assess chronic sorrow in
parents of premature babies, and understand how to support parents experiencing chronic sorrow by applying
evidence-based strategies to promote effective coping.
Examples of how the Synergy Model has been used in guiding nursing practice can readily be found in the
literature. For example, Hardin (2012) described how the Synergy Model could be used to plan and provide
care to older adults with hearing loss, allowing them to participate in decision making while in a critical care
unit. Then, in another work, Schleifer, Carroll, and Moseley (2014) explained how the Synergy Model could
be used to develop competencies for a tele-intensive care unit. Table 19-7 presents additional examples of
how nurses can apply a variety of theories in their practice.
Table 19-7 Application of Theory in Nursing Practice: Examples From the Literature
Reference
Situation and/or
Population
Theories/Concepts
Applied
Martínez Pérez, G., & Turetsky, R. (2015). FGM
Review: Design of a knowledge management tool
on female genital mutilation. Journal of
Transcultural Nursing, 26(5), 521–528.
Website that provides
information for victims of
female genital mutilation
worldwide
Leininger’s Culture Care
Diversity Theory;
informatics; health
promotion; health
education
Senn, J. F. (2013). Peplau’s theory of
interpersonal relations: Application in emergency
and rural nursing. Nursing Science Quarterly,
26(1), 31–35.
Communication situations
between nurses and
patients in the emergency
department and in rural
settings
Peplau’s Theory of
Interpersonal Relations
Koren, M. E., & Papamiditriou, C. (2013).
Spirituality of staff nurses: Application of
modeling and role modeling theory. Holistic
Nursing Practice, 27(1), 37–44.
Stresses the importance of
self-care for both nurses
and patients, considering
that spirituality is
foundational to nursing
care
Modeling and Role-
Modeling Theory;
Erikson’s Developmental
Theory
Helman, S., Lisanti, A. J., Adams, A., Field, C.,
& Davis, K. F. (2016). Just-in-time training for
high-risk low-volume therapies: An approach to
ensure patient safety. Journal of Nursing Care
Quality, 31(1), 33–39.
Staff nurses who care for
patients undergoing risky,
low-volume (infrequent)
therapies
Synergy Model; quality
and safety strategies
Mitchell, G. (2013). Selecting the best theory to
implement planned change. Nursing
How nursing managers
can use theory to
Lewin’s Change Theory,
leadership theories,
410
Management, 20(1), 32–37. implement changes in
their work settings
Herzberg’s Motivation
Theory, Lippett’s Change
Theory
Darnell, L. K., & Hickson, S. V. (2015). Cultural
competent patient-centered nursing care. The
Nursing Clinics of North America, 50(1), 99–108.
Nurses who provide care
to patients in the United
States
Leininger’s Culture Care
Diversity Theory
Summary
Many nursing scholars believe that theory-guided practice, often in the form of EBP or situation-specific
theory, is the future of nursing. As nursing progresses into the 21st century, nurses must place theory-guided
practice at the core of nursing, and they must integrate relevant outcome-driven practice with the art and
science of caring and healing.
As pointed out in the opening case study, advanced practice nurses like Emily routinely use concepts,
principles, and theories from many disciplines, including nursing, to meet the health needs of their clients. To
provide comprehensive, holistic, and effective interventions, nurses should rely on sound theoretical
principles to develop and implement the plan of care.
Beginning in their basic nursing education program, all nurses should be encouraged to recognize the
theoretical basis for practice and seek ways to enhance the knowledge base that supports practice. In addition,
there should be an increased emphasis on enhancing the reciprocal interaction among theory, research, and
practice with a concerted effort to bridge the theory–practice gap. Through these efforts, nursing can continue
to develop and use a unique knowledge base and further contribute to autonomous and professional practice.
Key Points
Theory is both a process and a product. In the discipline of nursing, theory and practice are inseparable.
To improve practice, nurses need to search the literature continually, critically appraise research findings,
and synthesize empirical and contextually relevant theoretical information to be applied in practice.
Theory-based nursing is the application of various models, theories, and principles from nursing science and
the biologic, behavioral, medical, and sociocultural disciplines to clinical nursing practice.
Despite the recognition of the importance of theory in nursing, there is a perceived gap between theory and
practice.
Theories may be developed by and for nurses (grand, middle range, or situation-specific nursing theories),
may be shared with other disciplines, or may be implied (routinely used without being conscious
processes).
Nurses should promote and embrace theory-guided practice as the core of nursing. Nurses should recognize
the theoretical basis for practice and seek ways to enhance the knowledge base that supports practice and
bridges the theory–practice gap.
Learning Activities
1. Obtain a copy of the NIC (Bulechek et al., 2013). Select several interventions and try to
identify the possible theoretical bases of each.
2. Debate the pros and cons of EBP with several classmates. Why would a focus on EBP be
good for nursing? What are some drawbacks?
3. Obtain copies of recent mainstream nursing journals (e.g., American Journal of Nursing,
Nursing 2018). Examine practice-focused articles and try to identify theories that affect the
suggested nursing interventions and nursing implications.
4. Following the example of Emily, the acute care nurse practitioner in the opening case study,
consider a complex patient or situation from your practice. Review theories and concepts
described in previous chapters. Identify how they have been or could be applied while
planning and implementing care for that patient/situation.
411
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Barnum, B. S. (1998). Nursing theory: Analysis, application, evaluation (5th ed.). Philadelphia, PA: Lippincott Williams & Wilkins.
Blevins, C., & Toutman, M. F. (2011). Successful aging theory and the patient with chronic renal disease: Application in the clinical setting.
Nephrology Nursing Journal, 38(3), 255–260.
Brennaman, L. (2012). Crisis emergencies for individuals with severe, persistent mental illnesses: A situation-specific theory. Archives of
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Cleveland, L. M., Minter, M. L., Cobb, K. A., Scott, A. A., & German, V. F. (2008). Lead hazards for pregnant women and children: Part 2:
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Hanberg, A., & Brown, S. C. (2006). Bridging the theory–practice gap with evidence-based practice. Journal of Continuing Education in
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Hardin, S. R. (2012). Hearing loss in older critical care patients: Participation in decision making. Critical Care Nurse, 32(6), 43–50.
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Lee, H., Fawcett, J., Yang, J. H., & Hann, H. W. (2012). Correlates of hepatitis B virus health-related behaviors of Korean Americans: A
situation-specific nursing theory. Journal of Nursing Scholarship, 44(4), 315–322.
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Methods and critical appraisal for evidence-based practice (7th ed., pp. 5–26). St Louis, MO: Mosby.
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20
Application of Theory in Nursing Research
Melanie McEwen
Peter Jacobson is in his second semester of a master’s program in nursing. He is currently a supervisor on a
general medical floor of a large teaching hospital and wants to advance in nursing administration after his
graduation.
Peter’s program requires that all students complete either a thesis or a formal research application project,
and he wants to get an early start on developing this project. During a theory course in his first semester, Peter
read about Pat Benner’s (2001) work detailing the process of moving from novice to expert practice in
nursing, and this work intrigued him. After talking about possible research topics with one of his professors,
he decides that he wants to use concepts from her theory to develop and test an orientation schedule for new
graduates using selected “expert” nurses as mentors.
To better conceptualize the research study, he obtains a copy of Benner’s most recent work. He also
collects articles from nursing journals describing application of the novice to expert framework in different
situations, including nursing practice, nursing education, and nursing research. From this information, he is
able to develop an outline for his research project that uses the model as the conceptual framework.
In any discipline, science is the result of the relationship between the process of inquiry (research) and the
product of knowledge (theory). The purpose of research is to build knowledge in a discipline through the
generation and/or testing of theory. To effectively build knowledge, the research process should be developed
within some theoretical structure that facilitates analysis and interpretation of findings. This will ultimately
result in development of scientific theory. When a study is placed within a theoretical context, the theory
guides the research process; forms the research questions; and aids in design, analysis, and interpretation.
Thus, a theory, conceptual model, or framework provides parameters for a research study and enables the
scientist to weave the facts together.
For the past several decades, nursing leaders have called for research to develop and confirm nursing
knowledge and for theory to organize it. They have recognized the need to link nursing research and theory
because it has been observed that research without theory results in discrete information or data, which does
not add to the accumulated knowledge of the discipline (Chinn & Kramer, 2015; Hardin, 2014).
However, it has been pointed out that the relationship between research and theory in nursing is not well
understood. This may result from several factors, including the relative youth of the discipline and debates
over philosophical worldviews (i.e., empiricism, constructivism, phenomenology) as described in Chapter 1.
There are also concerns regarding whether nursing should form a discrete body of knowledge without
using theories from other disciplines. Nursing science is a blend of knowledge that is unique to nursing and
knowledge that is imported from other disciplines (e.g., psychology, sociology, education, biology), but
considerable debate continues about whether the use of borrowed theory has hindered the development of the
discipline. This has contributed to problems connecting research and theory in nursing.
This chapter examines a number of issues related to the interface of research and theory in the discipline
of nursing. Topics covered include the relationship between research and theory, types of theory and
corresponding research, how theory is used in the research process, and the issue of borrowed versus unique
theory for nursing. The chapter concludes with discussions of how theory should be addressed in a research
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report and the discipline’s research agenda.
Historical Overview of Research and Theory in Nursing
In the discipline of nursing, research and theory were first integrated in the works of Florence Nightingale. In
Notes on Nursing, she identified the need to organize nursing knowledge through observation, recording, and
statistical inferences. Nightingale also supported her theoretical propositions through research, as statistical
data, and prepared graphs were used to depict the impact of nursing care on the health of British soldiers
(Dossey, 2010).
After Nightingale’s time, for almost a century, reports of nursing research were rare. For the most part,
research and theory developed separately in nursing. Blegen and Tripp-Reimer (1994) explained that between
1928 and 1959, only 2 of 152 studies published in nursing journals reported a theoretical basis for the research
design.
The amount and quality of nursing research grew dramatically, however, beginning with the initial
publication of Nursing Research in 1952. During the last half of the 20th century, the number of nursing
journals focusing on research grew to include Research in Nursing & Health, Western Journal of Nursing
Research, and Advances in Nursing Science. Many other nursing journals, both general (e.g., Journal of
Nursing Scholarship, Journal of Advanced Nursing) and specialty based (e.g., MCN: American Journal of
Maternal Child Nursing, Heart & Lung: The Journal of Critical Care, AORN Journal), also devote significant
portions of each issue to nursing research.
In the early years, research in nursing focused on education and characteristics of nurses rather than on
aspects of nursing practice and nursing interventions. However, by the 1990s, clinical studies comprised over
75% of articles in research journals (Blegen & Tripp-Reimer, 1994).
Beginning in the 1970s, nurse scholars encouraged researchers to provide a theoretical or conceptual
framework for research studies. At about the same time, a growing number of nurse theorists were seeking
researchers to explore ways to test their models in research and clinical application. As a result, there was a
push to combine research and nursing models. This emphasis on using nursing models as the framework for
research was proposed to provide research into the unique perspective of nursing (Chinn & Kramer, 2015).
Despite this encouragement, however, the vast majority of research studies in nursing do not test aspects
of grand nursing theories or use them as a research framework. Rather, they examine concepts, principles, and
theories from a number of theoretical perspectives and disciplines. This trend persisted throughout the 1990s
and into the 21st century as the focus of research, and theory has moved more toward middle range, situation-
specific/practice theories, and evidence-based practice (see Chapters 10, 11, 12, and 19). Finally, most nursing
research still does not mention theory—either nursing or non-nursing. Indeed, according to Yarcheski,
Mahon, and Yarcheski (2012), only about 22% of nursing research studies published in 2010 were
theoretically based; this was down from about 31% in 1985.
Relationship Between Research and Theory
Knowledge development is cumulative, and knowledge generated from separate research studies should be
integrated into a more comprehensive understanding of the subject or phenomenon being studied. The value
of any research study is derived as much from how it fits with, and expands on, previous work as from the
study itself. Thus, research gains its significance from the context within which it is placed—specifically from
its theoretical context. The theoretical context, therefore, is the structure and system of important concepts,
theoretical propositions, and theories that comprise the existing knowledge of the discipline (Chinn &
Kramer, 2015; Fawcett & DeSanto-Madeya, 2013).
Moody (1990) explained that knowledge development in nursing science has lagged due to three major
factors: (1) a limited theoretical base to guide practice; (2) an abundance of isolated studies that have not been
tied to an integrating theoretical framework or placed in a theoretical context; and (3) inadequate efforts to
link theory, measurement, and data interpretation during the research process. To further develop nursing
science and strengthen the discipline, it is essential that nurse researchers and nurse scholars address these
issues. This requires recognizing the relationship between research and theory and developing an
understanding of how theory is used in, and developed through, research. The following sections describe this
415
relationship.
Nursing Research
Research is the “systematic inquiry that uses disciplined methods to answer questions or solve problems”
(Polit & Beck, 2017, p. 3). Research is conducted to describe, explain, or predict variables, and in a practice
discipline such as nursing, research is assumed to contribute to the improvement of care. The research process
consists of several essential steps that are followed in planning, implementing, and analyzing a research study
(Box 20-1).
Box 20-1 Steps of the Research Process
Identify the problem to be investigated and clarify the purpose of the study.
Review the literature.
Define the conceptual/theoretical framework and develop conceptual definitions.
Formulate research questions or hypotheses.
Select a research design.
Determine methods of measurement (instruments/tools).
Define the population sample to be studied.
Address legal/ethical issues related to human/animal rights.
Develop a plan for data collection and analysis.
Collect the data.
Analyze the data.
Interpret findings.
Identify conclusions and recommendations.
Disseminate findings.
Sources: Gray et al., (2017); LoBiondo-Wood and Haber (2014); Polit and Beck (2017).
Nursing research has been defined as a “scientific process that validates and refines existing knowledge
and generates new knowledge that directly and indirectly influences the delivery of evidence-based nursing”
(Gray, Grove, & Sutherland, 2017, p. 2). It is concerned with the study of individuals in interaction with their
environments and with discovering interventions that promote optimal functioning and wellness across the
lifespan. In nursing, researchers have studied principles and laws governing life processes, the well-being and
optimum functioning of human beings, patterns of behavior as individuals interact with their environment
during critical life situations (e.g., birth, loss, illness, death), and processes that bring about positive changes
in a person’s health status. Furthermore, nursing research measures the impact of nursing interventions on
client outcomes to provide an informed basis for practice.
Purpose of Theory in Research
Theory is integral to the research process. It is important to use theory as a framework to provide perspective
and guidance to a research study. Indeed, theoretical frameworks provide direction regarding selection of the
research design, identify approaches to measurement and methods of data analysis, and specify criteria for
acceptability of findings as valid (Fitzpatrick & Kazer, 2012).
Fitzpatrick (1998) summarized how theory can be used to guide the research process. In generating and
testing phenomena of interest to nursing, theory can (1) identify meaningful and relevant areas for study, (2)
propose plausible approaches to health problems to examine, (3) develop or reformulate middle range theory
linked to research, (4) define concepts and propose relationships among concepts, (5) interpret research
findings, (6) develop clinical practice protocols, and (7) generate nursing diagnoses based on research
findings.
The Research Framework
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As shown in Box 20-1, an essential step of the research process is selection of a theoretical or conceptual
model that serves as a research framework. The investigator uses the conceptual model to view situations and
events through a particular frame of reference, the researcher’s perspective about how the concepts and
variables of interest in the study fit together. The research framework describes the phenomena and problems
to be studied as well as the purposes to be fulfilled by the research. It identifies the source of the data (e.g.,
individuals, groups, animals, documents, prior research) and the settings in which data are to be gathered. It
contributes to selection of the research design and instruments, determines procedures to be used, and
identifies the methods to be used for data analysis. Finally, the framework determines the contributions of the
research to the advancement of knowledge by placing the findings within the context of previous knowledge.
LoBiondo-Wood and Haber (2014) believe that using a formal and explicit framework facilitates
generalizing a study’s findings. This can contribute to nursing science development and promote evidence-
based practice. They explain that using a framework can simplify and provide direction to the research
process. Unfortunately, in many published nursing research studies, especially studies involving clinical
practice problems, a study’s framework is implicit rather than explicit. It may be hidden or implied in the
literature review, and the reader must “tease it out.”
Types of Theory and Corresponding Research
As described in Chapter 2, theory is generally classified as descriptive, explanatory, or predictive. The
research designs that generate and test these theories are descriptive, correlational, and experimental,
respectively. Prescriptive theories or practice theories are also mentioned by a number of authors (Dickoff &
James, 1968; Whall, 2016); these are sometimes referred to as situation-specific theories (Meleis, 2013).
Table 20-1 shows the three primary types of theory described in nursing literature (descriptive, explanatory,
and predictive) and provides additional examples from the nursing literature.
Table 20-1 Types of Theory and Corresponding Research
Type of Theory Type of Research Examples From Nursing Literature
Descriptive Descriptive or
exploratory
Development of a model to address African Americans’
spiritual needs during hospitalization (Hodge, Bonifas, &
Wolosin, 2014)
Development of the theory of strengthening capacity to limit
intrusion (Ford-Gilboe, Merritt-Gray, Varcoe, & Wuest,
2011)
Explanatory Correlational Examination of the phenomenon of “Anger” among
adolescents using the Roy Adaptation Model (Pullen et al.,
2015)
Development of a middle range Theory of Adaptive
Spirituality from derived from research of the Roy
Adaptation Model (Dobratz, 2016)
Predictive Experimental Comparison of motivational-interviewing coaching with
standard treatment in managing cancer pain, based on the
Transtheoretical Model (Thomas et al., 2012)
Application of Orem’s Self-Care Model to help reduce and
prevent postpartum complications (Nazik & Eryilmaz, 2013)
Descriptive Theory and Descriptive Research
A descriptive theory is an integrated set of concepts that focuses on dimensions, characteristics, situations, and
commonalities of a phenomenon of interest (Meleis, 2013; Norwood, 2010).
Overview
A descriptive theory looks at a phenomenon and identifies its major elements or events. It may also note some
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relationships among the elements, but it generally only speculates about why the phenomenon occurs, how the
elements relate to each other, or how changes in the elements affect each other (Barnum, 2005; Meleis, 2013).
Descriptive research involves observation of a phenomenon in its natural setting. Data are gathered by
participant or nonparticipant observation and by open-ended or structured interview schedules or
questionnaires. Data may be qualitative or quantitative or both. Descriptive research uses many different
methods, including concept analysis, psychometric analyses, case studies, surveys, phenomenology,
ethnography, grounded theory, and historical inquiry (McKenna & Slevin, 2008).
Descriptive research (exploratory research) answers questions such as: What are the characteristics of the
phenomenon? What is the prevalence of the phenomenon? What is the process by which the phenomenon is
experienced? Through systematic study of these or similar questions with a defined population or in a defined
setting, a descriptive theory may result.
Nursing Studies
The nursing literature holds many excellent examples of descriptive theory and explanatory and descriptive
research. For example, McAndrew and Leske (2015) developed a model for “end-of-life decision making as a
balancing act” (p. 361) following a grounded theory study of the experiences of nurses and physicians
working in critical care units. Their model illustrated how three interactive subthemes of emotional
responsiveness, professional roles and responsibilities, and intentional communication and collaboration
provided the basic structure for the balance scale. The predicted outcomes were either balance, with positive
end-of-life experience, or imbalance, leading to moral distress. Factors promoting balance for decision making
were a team approach, shared goals, understanding perspectives, and knowing one’s own beliefs. Factors
causing imbalance were uncertainty, feeling powerless, difficult family dynamics, and recognizing suffering.
The authors suggested development of support interventions for professionals involved in end-of-life decision
making and efforts to improve communication and collaboration.
In a second example, Baumhover (2015) also used grounded theory methods to interview family member
of intensive care unit (ICU) patients who had recently died to learn how they came to realize that their loved
one was dying. Interviews with 14 family members resulted in a middle range theory termed “the process of
death imminence awareness by family members of patient in adult critical care.” Key categories leading to the
process of family member awareness were the patient’s awareness that they were near death, family members’
recognition of “dying right in front of me,” turning points in the patient’s condition, a reported sense of “no
longer the person I once knew,” family member’s desire to “do right by them,” and the decision that it was
“time to let go.” Baumhover constructed the middle range theory from the findings to help provide more
responsive and effective end-of-life care for both ICU patients and their family members.
Last, Strickland, Wells, and Porr (2015) conducted a grounded theory study of 18 mothers who were
concluding treatment for cancer to assess their experiences of managing their role as mother during their
“cancer journey.” The result of the study was an explanatory model termed “safeguarding the children.” The
women described four strategies to protect their children—customizing exposure (determining how much to
reveal about the cancer), reducing disruption to family life, finding new ways to be close, and increasing
vigilance (maintaining the children’s well-being). The researchers concluded that nurses can use the model to
consider the needs of the whole family in order to better meet the concerns of young mothers during the
cancer experience.
Explanatory Theory and Correlational Research
Explanatory theories specify relationships between dimensions or characteristics of individuals, groups,
situations, or events. They explain why, and the extent to which, one phenomenon is related to another.
Explanatory theories are composed of concepts and propositions (Norwood, 2010).
Overview
Explanatory theories are typically generated and tested by correlational research. Correlational research
requires measurement of the dimensions or characteristics of phenomena in their natural states. Data are
usually gathered by nonparticipant observation or a self-report instrument. Instruments can include fixed-
choice, open-ended questionnaires, or interview schedules. Correlational research yields qualitative or
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quantitative data or both. Statistical analysis uses various nonparametric or parametric measures of association
(LoBiondo-Wood & Haber, 2014).
Nursing Studies
One study (Ohlendorf, Weiss, & Oswald, 2015) used a correlational design to examine predictors and
outcomes of postpartum mother’s weight self-management behaviors using Meleis’s Transitions Theory as
the conceptual framework. In total, 66 women completed all phases of data collection for the 12-week study.
The team determined that Transitions Theory was useful in conceptualizing the weight management after
childbirth. They found that new mothers with “transition difficulty” have lower activation levels and were less
likely to engage in weight self-management behaviors. Among their conclusions was a model illustrating the
“proposed relationship between the study variables” (Ohlendorf et al., 2015, p. 1826) which explained the
health outcome of “engagement in weight self-management behaviours.”
In another example, Scoloveno (2015) conducted a correlational study of resilience in 311 middle
adolescents (15 to 17 years). The intent of the study was to develop and test the “direct and indirect effects of
resilience on hope, well-being, and health-promoting lifestyles” (Scoloveno, 2015, p. 342) among students at
a public high school. The result was a beginning theoretical model which proposed propositions indicating
that hope (belief in a personal future) is an outcome of resilience. Furthermore, resilience was predictive of
both well-being and health-promoting lifestyles in this cohort.
Predictive Theory and Experimental Research
Predictive theories move beyond explanation to the prediction of relationships between characteristics or
phenomena among different groups. Predictive theories are generated and tested by experimental research.
Overview
Experimental research involves the manipulation of some phenomenon to determine how it affects or changes
some dimension or characteristic of another phenomenon. Experimentation encompasses many different
designs, including pretest–posttest–noncontrol group design, quasi-experiments, time series analyses, and true
experiments. Experimental research requires quantifiable data. Statistical analyses, involving various
nonparametric and parametric tests, are used to measure differences. Qualitative data can be collected but
generally must be coded to be tested statistically (LoBiondo-Wood & Haber, 2014).
Nursing Studies
Experimental research studies, and corresponding predictive theories, are relatively uncommon in nursing
literature. Examples from recent nursing literature include a study by Dougherty, Thompson, and Kudenchuk
(2012), which used a randomized experimental clinical trial comparing two interventions designed to improve
outcomes for partners following receipt of an implantable cardioverter defibrillator (ICD). In a work guided
by Bandura’s Social Cognitive Theory, the researchers identified concerns and issues common to partners of
patients who receive an ICD. Based on the ability to anticipate or predict common concerns, they designed
and are currently testing nursing interventions to address them.
A second example using an experimental design is a study by Rogers, Keller, Larkey, and Ainsworth
(2012). The team used Roy’s Adaptation Model as a framework to study the efficacy of 12-week intervention
employing “sign chi do” (SCD) exercises (meditative movements similar to tai chi) to promote physical
activity among sedentary, community-dwelling older adults. Using a randomized experimental design with
repeated measures, they examined the effect of SCD (intervention) on physiologic function adaptation and
self-concept adaptation. Among the findings were that self-concept adaptation measures were not significantly
different between the groups but that physiologic adaptation (balance and physical function) improved for the
SCD group. This suggests that SCD is useful for improving physiologic functioning among sedentary older
adults.
Then, a quasi-experimental design was used to test application of the Neuman Systems Model (Barutcu &
Mert, 2016). In this study, the researchers tested the effectiveness of a support group intervention to improve
the “burden” on caregivers of patients with heart failure. They concluded that the theory-based intervention
improved caregiver burden overall—focusing on practical support, motivational support, emotional support,
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and personal care. All of the dimensions, except personal care showed to be statistically greater in the
intervention group when compared with the control group. Depression symptoms, however, were not
significantly different between the two groups.
How Theory Is Used in Research
Theory brings organization to the variables of interest and the concepts reflected in a study. It provides a
guide for developing a study and allows the findings to be placed in, or linked to, a larger body of knowledge.
Therefore, a theoretical perspective increases the scientific value of a study’s findings.
Both nursing and non-nursing theories have relevance for problems studied by nursing researchers, and
theories tend to show up in the research process in one of three ways. A theory can be generated as the
outcome of a study. In other cases, a research project is undertaken for the specific purpose of testing a theory.
Most frequently, a theory is used in a research framework as the context for a study (McEwen, 2014). Each of
these three ways that theory is used in research is described in the following sections.
Theory-Generating Research
Research that generates theory (i.e., descriptive research) is designed to develop and describe relationships
between and among phenomena without imposing preconceived notations of what these phenomena mean
(Chinn & Kramer, 2015). It is inductive and includes grounded theory, field observations, and
phenomenology. During the theory-generating process, the researcher moves by logical thought from fact to
theory by means of a proposition stated as an empirical generalization.
Overview
Norwood (2010) explained several steps in the process of theory generation. First, the researcher identifies
observations with shared characteristics or common themes in an identified group or in a particular setting.
Second, the researcher translates these observations into more abstract concepts by determining what general
phenomenon these observations represent. The third step involves identifying patterns of relationships
between observations and concepts. Next, the researcher translates observations of relationships into
propositional statements and finally weaves the concepts and propositions together into a framework or
tentative theory. In some cases, the researcher may identify an existing theory that these concepts and
relationships represent. Nursing Exemplar 1 analyzes a grounded theory study to further illustrate the steps
involved in theory-generating research.
NURSING EXEMPLAR 1: THEORY-
GENERATING RESEARCH
Hershberger , P. E. , Sipsma , H. , Finnegan , L. , & Hirshfeld-Cytron, J. (2016). Reasons why young women accept
or decline fertility preservation following cancer diagnosis. Journal of Obstetric, Gynecologic, and Neonatal
Nursing, 45(1), 123–134.
The following study is a good example of theory generation using grounded theory
research techniques. The study is analyzed using the steps described by Norwood (2010).
Identify Common Themes in an Identified Group: The researchers provided background
information explaining the complex decision-making processes young women with
cancer make with respect to fertility preservation. In the United States, many women
delay pregnancy and childbearing until their 30s and 40s, and there is an increase in the
number of women of childbearing age diagnosed with cancer who have not yet
considered having children. Fertility preservation is defined as egg, embryo, or ovarian
tissue cryopreservation. Young women with cancer are at risk for fertility loss, and egg
and embryo cryopreservation are not considered standard in clinical practice. There are
no studies to determine why young women choose fertility preservation.
Translate Observations Into Abstract Concepts: In-depth interviews were used to collect
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data from 27 participants between the ages of 18 and 42 years who had been diagnosed
with cancer to determine how they made their decision about whether to accept or
decline fertility preservation. Four “dimensions” for the decision-making process were
defined from the interviews. These were cognitive appraisals (i.e., success rates, human
risks and safety, financial costs, access, infertility risk), emotional responses (i.e.,
avoiding pain and suffering, fostering joy and happiness), moral judgments (i.e.,
embryo status, spirituality), and decision partners (i.e., family and friends, clinicians).
Patterns of Relationships Identified: The findings suggested, “Women who accepted
fertility preservation often described a desire for motherhood or future children, and
those who declined were often concerned with surviving cancer or minimizing cancer
recurrence” (Hershberger, Sipsma, Finnegan, & Hirshfeld-Cytron, 2016, p. 123). Also,
those who declined fertility preservation cited financial reasons, delay in cancer
therapy, concerns over success rates, and lack of clinician support. For many, support
—or lack of support—from family and friends contributed to decisions. Finally, some
women who declined treatment reported mental and physical energy of preservation
was too great.
Weave Concepts and Propositions Together Into a Framework or Rudimentary Theory:
The four “dimensions” become the foundation for a developing theory of fertility
preservation decision making. The model presented outlines the basic elements of the
decision-making process; however, propositions and relational statements need
additional development. The authors concluded that nurses aware of the reasons
influencing fertility preservation decisions can use the information to help guide
counseling and education.
Nursing Studies
Theory-generating research studies can readily be found in nursing literature. As mentioned, a number of
nursing theories have been developed using grounded theory research techniques. Another method for theory
generation is systematic literature review. For example, Roy (2014) constructed the middle range Theory of
Coping from a review of quantitative nursing research studies examining adaptation and coping and
describing how the findings from the studies could be interpreted and applied within the Roy Adaptation
Model. She identified the major concepts that influence coping as focal stimuli (e.g., ageing and chronic pain,
perceived stress of care giving), contextual stimuli (e.g., race, gender, caregiver burden), coping strategies
(e.g., active, nonreligious, religious, passive avoidance), and outcomes (e.g., adaptive self-concept responses,
spiritual well-being, adaptive role response) and outlined 12 propositions connecting various indicators.
Finally, she described how the Theory of Coping can be applied in nursing practice.
Often, new theories are developed from existing theories. For example, Willis, DeSanto-Madeya, Ross,
Sheehan, and Fawcett (2015) used four nursing theories (Neuman’s Systems Model, Rogers’s Science of
Unitary Human Beings, the Roy Adaptation Model, and Watson’s Theory of Human Caring) to explain the
process of “spiritual healing in the aftermath of childhood maltreatment,” and Dobratz (2011) developed the
middle range theory “Psychological Adaptation in Death and Dying” based on aspects of the Roy Adaptation
Model. In another example, the middle range Theory of Self-Care of Chronic Illness (Riegel, Jaarsma, &
Strömberg, 2012) contained concepts and elements consistent with Orem’s Grand Theory of Self-Care.
Finally, Reimer and Moore’s (2010) middle range Theory of “Flight Nursing Expertise” includes elements
identified by Benner (2001).
Theory-Testing Research
Sometimes, a study is conducted for the purpose of testing a theory or assessing its explanatory value in a
specific situation.
Overview
In theory-testing research, theoretical statements are translated into questions and hypotheses. Theory testing
requires a deductive reasoning process that also follows several steps.
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First, the researcher chooses a theory of interest and selects a specific propositional statement from the
theory (rather than the entire theory) to be tested. Next, the researcher develops a hypothesis or hypotheses
that must have specific measurable variables that reflect the propositional statement. The researcher conducts
the study and interprets findings. The interpretation determines if the study supports or contradicts the
propositional statement and, thus, the theory. Finally, the researcher determines if there are any implications
for further use of the theory in nursing practice (LoBiondo-Wood & Haber, 2014; Norwood, 2010).
Examples of theory testing are fairly rare in nursing literature (Yarcheski et al., 2012). One reason for this
is the lack of clarity about what constitutes theory testing. Silva (1986) pointed out that serious misconception
exists among some researchers and theorists that if a conceptual model has been used as a theoretical
framework for research, then this constitutes theory testing. It does not, however, because theory testing
requires detailed examination of theoretical relationships and necessitates that the study be designed to accept
or refute these relationships.
Another reason there has been little theory-testing research relates to interpretation and evaluation of the
research. Acton, Irvin, and Hopkins (1991) developed criteria for evaluating theory-testing research (Box 20-
2) that will help those who are interested in conducting this type of study as well as those using the criteria. In
addition, Nursing Exemplar 2 gives an example of the evaluation of a theory-testing study using these criteria.
Box 20-2 Criteria for Evaluating Theory-Testing Research
The purpose of the study is to examine the empirical validity of the constructs, concepts, assumptions, or
relationship from the identified theory.
The theory is explicitly described and summarized.
The constructs and concepts to be examined are theoretically defined.
An overview of the previous studies that are based on the theoretic framework, or that clearly show the
derivation of the concepts being tested, must be included in the review of the literature.
The research questions or hypotheses are logically derived from the definitions, assumptions, and
propositions of the theory.
The research questions or hypotheses are specific enough to put the theory at risk for falsification.
The operational definitions are clearly derived from the theory.
The design is congruent with the level of theory described.
The instruments are theoretically valid and reliable.
The theory guides the sample selection.
The statistics used are the most robust possible.
Data analysis provides evidence for supporting, refuting, or modifying the theory.
The research report includes an interpretative analysis of the finding in relation to the theory being tested.
The significance of the theory for nursing is discussed in the report.
The researcher makes recommendations for further research on the basis of the findings.
Researchers should identify theory-testing studies in their abstracts, publication titles, and library retrieval
key words.
NURSING EXEMPLAR 2: THEORY-TESTING
RESEARCH
Mefford, L. C., & Alligood, M. R. (2011). Testing a theory of health promotion of preterm infants based on Levine’s
conservation model of nursing. The Journal of Theory Construction & Testing, 15(2), 41–47.
The following is a review of an excellent example of theory-testing research. This study
tested the Theory of Health Promotion for Preterm Infants based on Levine’s
Conservation Model of Nursing. Here, the research is evaluated using the criteria
suggested in Box 20-2.
Purpose: “The purpose of this study was to perform an exploratory test of the middle
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range Theory of Health Promotion for Preterm Infants based on Levine’s Conservation
Model of nursing” (Mefford & Alligood, 2011, p. 41).
Explicit Summary of Theory: The theoretical framework, including goals of nursing care
and subjects of nursing care (preterm infants and family), are discussed.
Definitions: Seven theoretical concepts (termed “latent variables”) (physiologic
immaturity at birth, structural immaturity at birth, neurologic immaturity at birth,
family system characteristics at birth, etc.) are defined.
Previous Studies: The theoretical framework section described the process involved in
development of the middle range theory and provided detail on both Levine’s model
and related information as well as a description of application and previous testing.
Hypotheses: Hypotheses were not specified. However, a path diagram model was
provided that explained anticipated relationships among the latent variables in the
theory to be used for statistical testing.
Operational Definitions: Operational definitions are clearly described as “measurement
variables” for each of the theoretical concepts (latent variables).
Study Design: The design was a descriptive correlational ex post facto study using data
collected from existing databases of a level III neonatal intensive care unit (NICU) and
an associated intermediate care nursery.
Instruments: A number of measures were used for the study. Data were collected on such
variables as “surfactant therapy,” birth weight, Apgar scores, maternal age, prenatal
care, and consistency of nursing caregivers. They also created a measure of “heath
status” that assessed such indictors as postconceptual age at discharge, weight at
discharge, and “morbidity score” (bronchopulmonary dysplasia, intraventricular
hemorrhage, nosocomial infect, etc.).
Sample: The convenience sample included 235 infants with a gestational age at birth of
less than 37 weeks who were treated in the study NICU.
Statistics: Measures of univariate and multivariate normality were submitted to LISREL
program for structural equation modeling.
Data Analysis: The structural equation modeling carried out indicated that the “overall
good fit of the model to the data . . . [had] a Goodness of Fit Index of 0.905” (Mefford
& Alligood, 2011, p. 46). Each of the relationships originally posited were discussed,
and most of the relationships presented in the original model were supported.
Research Report: The findings indicated that the middle range theory was supported as
“the model fit and path directions and strengths were congruent with relational
propositions of the theory” (Mefford & Alligood, 2011, pp. 46–47).
Significance of Theory for Nursing: The authors concluded that the findings validate the
theoretical assertion that nursing care supports adaptive efforts of the infant and family
and facilitates attainment of health. Furthermore, the researchers noted that consistency
of nursing caregivers is very important to promoting health for preterm infants.
Recommendations: The study provided evidence that the Theory of Health Promotion for
Preterm Infants holds promise as a theoretical framework to guide neonatal nursing
practice and improve health outcomes of these tiny patients.
Nursing Studies
Some studies testing theories were found in recent nursing literature. Not surprisingly, most of those studies
identified tested grand or middle range nursing theories or theories derived from grand nursing theories.
Research testing grand nursing theories included a study conducted by Gigliotti (2004). In this work,
elements of Neuman’s Systems Model were tested by examining maternal–student role stress. This study was
designed to examine the moderating capabilities of the psychological and sociocultural variables in the
flexible line of defense. In the study, 135 women were given questionnaires to measure role stress, maternal
and student role involvement, and social support. It was concluded that the effect of student role involvement
on maternal–student role stress is contingent upon low network support. Also, the effect of maternal role
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involvement on maternal–student role stress is significantly enhanced for women age 37 years and older.
Another example of research that tested theories or models derived from grand or middle range nursing
theories was a work by Foli, South, and Lim (2014) which collected data on adoptive mothers’
unrealistic/unmet expectations and experiences following adoption and to determined association with
depression. Their findings were used to support and slightly refine Foli’s (2010) middle range Theory of
Depression in adoptive parents. Another example (Fawcett et al., 2011) tested multiple relationships within
the Roy Adaptation Model examining women’s perception of cesarean birth.
Theory as the Conceptual Framework or Context of a Study
The most common way of incorporating a theory into the research process is by using the theory to drive the
entire study (McEwen, 2014). In these cases, the problem being investigated is fitted into an existing
theoretical framework, which guides the study and enriches the value of its findings.
Overview
The process of using a theory as a conceptual framework also involves several steps. Typically, during the
process of conducting the literature review, the researcher identifies an existing framework that can be
meaningfully applied to the study or develops a conceptual framework that is unique to the study (Norwood,
2010). When a framework is used as the context, it is integrated into the study in a number of ways (Box 20-
3). Nursing Exemplar 3 presents an evaluation of a published research study illustrating how a nursing theory
is used as a conceptual framework.
Box 20-3 Use of a Theory as a Conceptual Framework in a Nursing Study
The framework’s concepts are used as variables in the study.
The conceptual definitions are drawn from the framework.
The data collection instrument is congruent with the framework.
Findings are interpreted in light of explanations provided by the framework.
The researcher identifies whether the study’s findings support or challenge the framework.
Implications for nursing practice are based on the explanatory power of the framework.
Recommendations for further research address the concepts and relationships in the framework.
Source: Norwood (2010).
NURSING EXEMPLAR 3: THEORY AS A
CONCEPTUAL FRAMEWORK
Jackson, H., Yates, B. C., Blanchard, S., Zimmerman, L. M., Hudson, D., & Pozehl, B. (2016). Behavior-specific
influences for physical activity among African American women. Western Journal of Nursing Research, 38(8), 992–
1011.
The following is a good example of using a nursing theory (Pender’s Health Promotion
Model [HPM]) as the conceptual framework for a research study. The criteria suggested in
Box 20-3 were used to evaluate this work.
Research Problems Consistent With the Framework: The purpose of this study was to
“describe physical activity (PA) behaviors and physical functioning of prehypertensive
and Stage I hypertensive African American Women (AAW) and to examine the
relationship between PA behavior, physical functioning, personal factors, and
behavior-specific influences” (Jackson, et al., 2016, p. 992). The HPM was cited as the
framework for the study, and the major concepts are consistent with those of the HPM.
Conceptual Definitions Derived From the Framework: Concepts studied were
prehypertension, perceived barriers to PA, and interpersonal (social) support for PA.
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The major concepts were defined and explained within the context of the HPM.
Instruments Congruent With the Framework: The research instruments were described in
detail. They included a demographic questionnaire, “personal factors” (defined as
systolic and diastolic blood pressure, body mass index, and waist circumference),
physical functioning (a timed 400-m walk test). Concepts from the HPM included
physical activity behaviors and social support. These were measured by the
International Physical Activity Questionnaire, the Exercise Barriers Scale, and the
Social Support for Exercise Scale.
Findings Interpreted Based on the Framework: The findings for PA and social support for
PA were interpreted based on explanations of the HPM. Notably, moderate levels of
barriers to exercise (e.g., lack of time, fatigue) were identified. Also, it was determined
that social support from family and friends for PA was minimal.
Relationship of Findings to Framework:The researchers described the findings in relation
to the HPM. They determined that behavior-specific influences demonstrating positive
physical activity behaviors and physical functioning were fewer barriers to PA and
more family and friend support.
Implications for Nursing: It was concluded that nursing interventions for prehypertensive
African American women “should focus on removing barriers and improving social
support for PA” (Jackson et al., 2016, p. 1007) in order to improve their levels of
physical activity among and improve their overall health.
Recommendations for Future Research: The researchers noted that further inquiry should
be conducted with a larger sample.
If the conceptual framework used by the researcher is an existing framework, the process can be termed
theory fitting. In theory fitting, the researcher formulates a research purpose or research question and then
proceeds to the literature to search for a theory to guide the study. The theory that best fits the research study
is then selected. There are potential problems with this practice, however. The concepts or relationships from
the original theory may be incorrectly applied, the work may appear forced, or the study may fail to lead to
meaningful conclusions. To be effective, theory fitting requires an extensive search of the literature and an
understanding of theoretical progress in nursing and other fields (Moody, 1990).
Nursing Studies
A number of current studies using both nursing and non-nursing theories as the research framework were
identified. For example, a group led by Wong (Wong, Ip, Choi, & Lam, 2015) conducted a correlational study
of 531 secondary school girls to examine their self-care behaviors in coping with dysmenorrhea using Orem’s
Self-Care Deficit Nursing Theory as the framework. In other examples, Virginia Henderson’s Needs Theory
was the framework to develop a study to assess the effectiveness of a “delirium prevention bundle” in
decreasing the incidence of delirium in an intensive care unit (Smith & Grami, 2017), and Hart, Hardin,
Townsend, and Mahrle-Henson (2013) used American Association of Colleges of Nursing (AACN) Synergy
Model as the framework for their correlational study which explored the satisfaction of patient’s families and
nurses with visitation guidelines in the ICU. Lastly, a qualitative study that examined factors that influence
health behaviors among active duty Air Force personnel was conducted by Hatzfeld, Nelson, Waters, and
Jennings (2016) who interpreted the findings based on Pender’s Health Promotion Model.
Non-nursing theories are frequently used as conceptual frameworks, and numerous examples are found
throughout the nursing literature. For example, Richards and colleagues (2016) used the Theory of Reasoned
Action (Theory of Planned Behavior) as their conceptual framework in a study of the factors involved in
women’s intentions to undergo contralateral prophylactic mastectomy, although they are considered to be
“low risk” for developing breast cancer. Chen, Wang, and Hung (2015) used Bandura’s Social Cognitive
Theory as the framework for their study to identify personal and environmental factors that help predict health
promotion and self-care behaviors among people with prediabetes, and Vanden Bosch, Robbins, and
Anderson (2015) studied the correlates of physical activity in middle-aged women with and without diabetes
using a framework that combined elements of both Social Cognitive Theory and the Theory of Planned
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Behavior. Finally, Tonlaar and Ayoola (2014) combined a nursing theory (Pender’s Health Promotion Model)
and a non-nursing theory (Bandura’s Social Cognitive Theory) as the conceptual framework for their
descriptive study on pregnancy intention and use of contraceptive methods among low-income women.
Nursing and Non-Nursing Theories in Nursing Research
As explained in previous chapters, there has been significant debate in the discipline of nursing regarding the
source of the theories used in nursing research. Some scholars have emphasized the importance of using only
nursing theories for research to ensure that what results is, indeed, nursing research. But it has also been
shown that nurses depend on and use knowledge drawn from various sources in developing nursing research
and that this practice does not negate the importance of the findings to nurses.
Rationale for Using Nursing Theories in Nursing Research
Some nursing theorists and nursing researchers believe that it is essential to use only nursing theories and
models in nursing research. They assert that only nursing models truly deal with the scope and direction of
nursing interventions; therefore, they provide a sound conceptual framework for nursing research.
Additionally, their use as frameworks for research is one way of ensuring that the study will be relevant to the
discipline (Fawcett & DeSanto-Madeya, 2013).
Proponents argue that conceptual models of nursing and nursing theories can be used to guide all forms of
nursing research. They believe that nursing theories help nurse researchers identify the phenomena of central
interest to the discipline and assist in designing studies that reflect nursing’s distinctive perspective of people
and their environment in matters of health. Fawcett (2000), in particular, questioned whether using a theory
from another discipline resulted in nursing research, even if a nurse conducted the research. To address her
concerns about using theories and concepts from other disciplines, she challenged researchers to base studies
in the context of conceptual models of nursing and nursing theories.
One common criticism regarding the use of nursing models to direct research is a practice used by the
editors of many nursing journals. It has been reported that if a nursing theory is used as a conceptual
framework, the authors are often asked (by the journal’s editors) to rewrite an article to delete the notation of
the nursing theory component. Roberts (1999) concluded that it appears that “editors and reviewers of clinical
specialty journals are anxious to protect the reader from nursing theory . . . to make the article more readable”
(p. 300).
Concerns Over Reliance on Nursing Models to Direct Nursing Research
In response to repeated calls to focus research only on nursing theories and models, Brink (2000) wrote that
many manuscripts that include a nursing theory or conceptual model treat the model or theory as an
appendage. She pointed out that, in many cases, reporting of the conceptual framework consists of a single-
paragraph description of the model, which often has nothing to do with the rest of the manuscript. She
explained that the theory does not direct the literature review, the models, or the problem under study and
never relates to the conclusions, and the author is asked to delete the paragraph. Brink argued that borrowed
theories or practice theories can readily be used to describe and explain phenomena that affect nursing and
concluded that to limit nurses to using only nursing theories in nursing research is shortsighted.
Tripp-Reimer (1984) described the difference between theories of nursing and theories for nursing. She
believed that grand theories are theories of nursing and describe the nature and scope of the discipline to assist
nurses in their general approach to care. On the other hand, theories for nursing identify what nurses should
do to achieve the best client care. She noted that too often, superimposing a grand theory as a conceptual
framework is confusing, and theories or concepts that are being studied do not underlie the nursing models,
even though they may be congruent with them. Although the theories are congruent with the nursing models,
they do not underlie the models; thus, the relationship appears forced.
Tripp-Reimer (1984) wrote that research should develop and test theories for nursing practice. Research
should focus on testing which interventions work best with certain types of clients in specific clinical
situations. This is being accomplished with the increasing interest in the development and testing of middle
range nursing theories (see Chapters 10 and 11) and practice/situation-specific theories (see Chapter 12).
426
Other Issues in Nursing Theory and Nursing Research
To enhance understanding of the use of theory in nursing research, other issues should be addressed. Two
significant issues are:
1. Recognizing the importance of adequately describing the theory in the research report
2. Examining how theory fits into the discipline’s research agenda
The Research Report
To clearly illustrate the impact of the theoretical framework in developing the research study and to show the
context within which the findings should be interpreted, discussion of the theoretical framework should be
incorporated into several sections of the research report (Norwood, 2000). First, the framework should be
introduced and briefly described in the problem statement.
Second, the framework is usually described in detail under its own heading at the end of the literature
review. In this section, the description of the theory or concepts should be drawn from primary sources. The
concepts should be clearly defined, and proposed relationships need to be described. A model or diagram that
depicts both the framework and how it is being translated or applied to the present study may be added.
Additionally, if the study is using an existing framework, the section should describe previous research
application of the framework.
Third, how the framework is operationalized should be delineated in the methodology section. This will
explain how the framework influences or is reflected in the study’s design, data collection strategies, and data
analysis methods. If an instrument has been developed for the study, the specific items that are used as
indicators of the concepts in the framework need to be identified (Norwood, 2000).
Fourth, the framework needs to be referred to in the discussion section of the research report. The findings
should be discussed in terms of how they illustrate, support, challenge, or contradict the framework.
Finally, suggestions for changing nursing practice or conducting further research that are consistent with
the framework’s concepts and propositions should be offered in the report’s conclusion (Norwood, 2000).
Box 20-4 presents an outline for inclusion of the theoretical framework in the research report.
Box 20-4 Guidelines for Writing About a Research Study’s Theoretical Framework
In the Study’s Problem Statement
Introduce the framework.
Briefly explain why it is a good fit for the research problem area.
At the End of the Literature Review
Thoroughly describe the framework and explain its application to the present study.
Describe how the framework has been used in studies about similar problems.
In the Study’s Methodology Section
Explain how the framework is being operationalized in the study’s design.
Explain how data collection methods (such as questionnaire items) reflect the concepts in the framework.
In the Study’s Discussion Section
Describe how study findings are consistent (or inconsistent) with the framework.
Offer suggestions for practice and further research that are congruent with the framework’s concepts and
propositions.
Source: Norwood (2000).
Nursing’s Research Agenda
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There is a need for nurses to increase research that addresses significant clinical problems and adds to the
knowledge base of the discipline. To accomplish this, research themes must be significant to the discipline’s
theory and practice, and research must build on previous knowledge to lead to knowledge accumulation.
Recommendations for future nursing research are to move beyond descriptive studies to explanatory and
predictive studies, to promote study replication, and to conduct meta-analyses in areas where experimental
studies have been conducted. Finally, it is important that nurses explicate the theoretical perspective of the
research design in the research report to demonstrate how the study fits into the current body of knowledge.
The National Institute of Nursing Research (NINR) began as a center within the National Institutes of
Health in 1986 and became an institute in 1993. The NINR supports clinical and basic research to establish a
scientific basis of the care of individuals across the lifespan. This includes caring for individuals during illness
and recovery, reduction of risks for disease and disability, promotion of healthy lifestyles, promotion of
quality of life in those with chronic illness, and care for individuals at the end of life. Research priorities of the
NINR (2011) are:
Enhance health promotion and disease prevention.
Improve quality of life by managing symptoms of acute and chronic illness.
Improve palliative and end-of-life care.
Enhance innovation in science and practice.
Develop the next generation of nurse scientists.
See Link to Practice 20-1 for more information.
Link to Practice 20-1
The NINR (see www.ninr.nih.gov) provides significant funding for nursing research. Graduate students
and potential nurse researchers should review the research priorities set by the NINR to understand its
major areas for funding priorities. The NINR has indicated that it will invest in basic clinical and
translation research to:
1. Enhance health promotion and disease prevention.
Develop innovative behavior interventions to promote health and prevent illness in diverse
populations.
Study the behavior of systems that promote the development of personalized interventions.
Translate scientific advances to effect positive health behavioral change.
2. Improve quality of life by managing symptoms of acute and chronic illness.
Improve knowledge of biologic and genomic mechanisms associated with symptoms and symptom
clusters.
Study the multiple factors that influence management of symptoms.
Develop strategies to assist individuals and their caregivers in managing chronic illness.
3. Improve palliative and end-of-life care.
Study complex issues and choices in palliative and end-of-life care.
Develop and test biobehavioral interventions that provide palliative care.
Determine the impact of providers trained in palliative and end-of-life care on health care
outcomes.
4. Enhance innovation in science and practice.
Develop new technologies and informatics-based solutions to promote health.
Use genetic and genomic technologies to advance knowledge.
5. Develop the next generation of nurse scientists.
Support ongoing development of investigators at all stages of their research careers.
Facilitate more rapid advancement from student to scientist.
Expand research knowledge through established infrastructure (NINR, 2011).
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http://www.ninr.nih.gov
To build the body of nursing knowledge, nurses must consider these issues from a theoretical perspective
and must avoid looking at them in isolation.
In a well-supported essay, Hinshaw (2000) identified “areas of evolving nursing science” (p. 119) that
should be targeted for directed nursing research (Box 20-5). These areas should receive priority attention in
nursing theory and nursing research in the 21st century. Additionally, according to Hinshaw, research
programs should focus on intervention research to provide a stronger, more predictable base for nursing
practice.
Box 20-5 Areas of Evolving Nursing Science
Critical health needs of communities and vulnerable populations
Practice strategies and outcomes
Family health and transitions
Health promotion/risk reduction
Biobehavioral manifestations of health and illness
Women’s health
Health and illness of older adults
Environments for optimizing client outcomes
Genetics research
End-of-life research
Evidence-based practice
Hinshaw (2000) also called for interdisciplinary collaboration and multidisciplinary research partners. She
wrote that this will more effectively address complex problems and provide a global perspective for care.
However, it is important to recognize that interdisciplinary and multidisciplinary research will necessitate
familiarity with theories, concepts, and principles of other disciplines.
In addition to the research priorities listed in Box 20-5, nursing knowledge must be developed that will
direct nursing practice, nursing administration and management, and nursing education. Table 20-2 gives
suggestions for further research in these three areas that will be beneficial for the development of the
discipline.
Table 20-2 Examples of Research Priorities in Nursing Practice, Nursing
Administration/Management, and Nursing Education
Nursing Practice
Nursing Administration and
Management Nursing Education
Client needs related to health and
illness (e.g., health
promotion/illness prevention,
symptom management, enhancing
quality of life)
Development and evaluation of
new patient care delivery models
Use of instructional technology
(e.g., new approaches to
laboratory and simulated learning)
Providing and testing nursing care
interventions and measuring
outcomes of care
Provision and maintenance of
healthful work/practice
environments
Development, implementation,
and evaluation of new pedagogies
Evidence-based nursing practice
(multiple areas)
Development of provider and
patient safety guidelines
Development, implementation,
and evaluation of flexible
curriculum designs
Identification, prevention, and
management of common health
problems/threats in specific
Implementation and evaluation of
use of technology to complement
patient care
Development of new models for
teacher preparation and faculty
development
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community-based settings (e.g.,
worksites, homes, schools)
Reducing health disparities (e.g.,
delivery of culturally competent
care, enhancing access to and
utilization of health care)
Evaluation of outcomes of care
related to cost effectiveness and
quality
Methods for teaching evidence-
based practices
Enhancing nursing care provision
related to specific health problems
or issues (by specialty area,
setting, or other category) (e.g.,
pain management, reducing
incidence of low–birth-weight
infants, improving immunization
compliance, prevention of
nosocomial infection, reduction
of HIV infection, prevention of
lower back strain)
Program planning,
implementation, and evaluation
Evaluation of processes for
grading, testing, and evaluation of
students, faculty, and curricula
Examination of appropriate
application of genetics
information and knowledge in
nursing practice
Strategies to improve nurse
retention and satisfaction
Strategies to enhance community-
based learning and service
strategies
Sources: Websites of American Association of Colleges of Nursing; American Organization of Nurse Executives; International Council of
Nurses; and National League for Nursing; American Association of Operating Room Nurses.
Summary
The relationship between research and theory is undeniable, and it is important to recognize the impact of this
relationship on the development of nursing knowledge. This chapter has provided details on the interface of
theory and research and given examples of when, where, and how theory and research interface.
In the discipline of nursing, research may be theory generating or theory testing. Or, as in the opening case
scenario, a theory may be used as the conceptual framework that drives the study. The source of the theory for
a research study may be unique to nursing (such as using Benner’s Novice to Expert Model by the student in
the case scenario) or borrowed from another discipline, but the theoretical base should be explicit and
appropriate.
As an evolving science, nurses should avoid research in isolation. It is imperative that nursing research
respond to important questions and issues from nursing practice, administration and management, and
education. This will provide a sound base of knowledge, which will further strengthen the discipline.
Key Points
The purpose of research is to build knowledge through generation and/or testing of theory.
Nursing research is the “scientific process that validates and refines existing knowledge and generates new
knowledge that directly and indirectly influences nursing practice” (Gray et al., 2017).
One of the essential steps of the research process is the selection of a theoretical or conceptual model that
serves as a research framework.
Several types of theory and corresponding research are commonly found in nursing. Among them are (1)
descriptive theory and descriptive research, (2) explanatory theory and correlational research, and (3)
predictive theory and experimental research.
Theory is typically used in nursing research in one of three ways: (1) as an outcome or product of research
(the research generates theory), (2) the research is undertaken to test a theory, and (3) theory is used as a
framework or context for the research.
Both nursing and non-nursing theories are useful in directing nursing research.
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Research priorities for nursing should include theoretical bases or foundations.
Learning Activities
1. Following the example of Peter, the nurse in the opening case study, outline a research study
using a theory, a framework, or a research study that tests a theory. Determine how the theory
will guide the study including definition and measurement of key terms or concepts,
identification of potential relationships, and how the research will contribute to the body of
nursing knowledge. Discuss the potential research with classmates.
2. Find a research article from a recent journal that purports to test a theory. Use the guidelines
from Box 20-2 to evaluate the research study (see the example in Nursing Exemplar 2).
3. Find a research article from a recent nursing journal that uses a grand or middle range theory
as a conceptual framework. Use the guidelines from Box 20-3 to evaluate how well the
conceptual framework is used to guide the research project (see the example in Nursing
Exemplar 3).
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21
Application of Theory in Nursing Administration and
Management
Melinda Granger Oberleitner
Greta Martin is a family nurse practitioner who has been employed for several years as part of a
multiphysician practice. Most of her practice has been focused on managing the care of adults with chronic
illnesses, such as heart failure, arthritis, and diabetes.
Although she enjoys her work very much, Greta has always been interested in exploring one of the
entrepreneurial opportunities that a career in nursing has to offer. Recently, she has focused on combining her
interests in computers and technology with her expertise as an advanced practice nurse (APN). Along with
several investors, she is in the process of creating an Internet-based disease management company. As
envisioned, the company will focus on the needs of seniors and will engage APNs and other registered nurses
(RNs) to provide clinical services and to serve as case managers for plan members diagnosed with chronic
illnesses.
As she began the planning process for the project, Greta found that she had much to learn in regard to
applying management and administration principles. In particular, she needed to learn more about
organizational design. As the company is established, she must examine issues such as chain of command,
control, authority, and responsibility. The group must determine how the company will be structured and who
will be responsible for day-to-day operations.
The group is also looking at case management models to select or modify one that is appropriate for use
with its anticipated clientele and the method of delivery. Finally, Greta realized that she should learn about her
leadership style and develop her leadership abilities to direct the new company. Recognizing her deficiencies
in administration and management, Greta sought information from a number of sources to learn about
administration theories and how to apply them in her new enterprise.
Nursing practice, including advanced nursing practice, occurs within a larger context that is shaped by
traditional and prevailing theories, models, and frameworks of administration and management. Even if only
one nurse is employed by an organization, that nurse’s practice is influenced by models and principles of
leadership, management, and administration used by the leaders of the organization. To be most effective, all
nurses should be able to recognize and adapt to the specific characteristics that define the organization in
which she or he practices.
This chapter expands on concepts and principles presented in Chapter 17. It explores application of
administration and management theories, models, and frameworks in nursing and health care. These concepts
include organizational design; shared governance; transformational leadership; patient care delivery models;
case management; disease/chronic illness management; quality management (QM)/performance improvement
processes, tools, and techniques; and evidence-based practice (EBP).
Organizational Design
The structure of an organization provides a formal framework in which management processes occur. This
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formal framework historically serves many purposes, including provision of a chain of administrative
command or authority that should be evident to all employees, a formal system of communication between
management and staff, and a method to accomplish the work of the organization effectively and efficiently.
The right structure enables the organization to reach its organizational goals.
Six elements of structure that were formulated by management theorists in the 1900s still provide a guide
to the design of organizations in the 21st century. These six elements are listed in Box 21-1, and each is
discussed briefly in the following sections (Robbins & Judge, 2014).
Box 21-1 Elements of Organizational Structure
1. Work specialization
2. Chain of command
3. Span of control
4. Authority and responsibility
5. Centralization versus decentralization
6. Departmentalization
Work Specialization
Work specialization is having each step of the work process performed by a different individual rather than
the whole process being done by one person. Proponents of work specialization argue that it makes the most
efficient use of worker skills, attributes, and characteristics. Medication administration can be used to
illustrate the concept of work specialization. Physicians determine the need for a medication order and decide
on the composition of that order; hospital pharmacists then review the order and fill the prescription as
directed by the physician. The nurse on the unit administers the medication ordered by the physician and
prepared by the pharmacist. In the traditional hospital structure, pharmacists work in an isolated group to
prepare all medications to be delivered by nurses to patients in the facility.
The usual configuration of APNs is an excellent representation of work specialization. For example, a
certified registered nurse anesthetist (CRNA) would not be considered interchangeable with a certified nurse
midwife (CNM) because of the obvious degree of work specialization in the two roles. Both the CRNA and
the CNM are educationally prepared as experts in a specific specialty area and are not considered generalists.
In recent years, recognition that work specialization can contribute to boredom, low productivity, and poor
quality has led to a reexamination of the concept. In many cases, this has resulted in assigning employees a
variety of activities to accomplish and encouraging employees to work in teams. In some hospitals, a clinical
pharmacist is part of a team of health care workers assigned to accomplish the work of the unit and resides,
along with the traditional nursing staff, on the clinical unit. Some unit-based clinical pharmacists engage in
tasks, such as medication administration, which was once considered the exclusive domain of nursing.
Chain of Command
Fayol (1949), Weber (1970), and Taylor (1911) (see Chapter 17) advocated that an employee should be
administratively responsible to, or report to, only one supervisor. This arrangement is termed the chain of
command. Chain of command refers to formal lines of communication and authority and can usually be
determined by looking at an organizational chart. However, as organizations have become increasingly
complex, individuals in organizations may find themselves administratively responsible to more than one
individual (Mancini, 2015).
Although the nurse working on the 7 pm to 7 am shift in the intensive care unit (ICU) is ultimately
administratively responsible to the ICU director, there is usually a different chain of command on the night
shift; this may include the night charge nurse and the night house supervisor.
Similarly, APNs in today’s health care organizations may be administratively responsible to a variety of
individuals, some of whom may not be nurses, such as product or service line managers. Some APNs may
also assume managerial roles, as in the case of a CRNA who is administratively in charge of a group of nurse
anesthetists.
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Span of Control
The third element of management, span of control, can also be determined from the organizational chart. Span
of control refers to the number of employees directed by a manager (Mancini, 2015). The classical
management theorists recommended narrow spans of control for workers performing complex jobs. There is
no consensus regarding the optimal number of employees one manager should have in his or her span of
control—suggested ranges are from 3 to 50 employees. Several contingencies play a role in the variability of
the range of numbers of employees in span of control. These contingencies include the quality and experience
of the manager, the abilities and maturity of the employees, the complexity of the task, and, in some cases, the
geographic location of the work setting. Research results indicate a significant level of improvement in nurse
engagement when the manager is responsible for 50 or fewer direct reports (Cathcart et al., 2004). Wider
spans of control in health care organizations have been shown to produce negative effects on effective
leadership styles and are detrimental to staff and patient satisfaction (Meyer et al., 2011).
Recent decrease in reimbursement levels for health care services has resulted in restructuring and
downsizing in health care institutions. In some organizations, this has led to the elimination or decrease in
nurse manager positions and increased span of control for retained managers (Wong et al., 2015). The
expanded nurse manager role in acute care facilities includes significant financial, operational, and human
resources responsibilities for professional, multidisciplinary, and unlicensed employees in one or more service
lines.
Research on effects of increasing spans of control for nurse managers include serious negative
consequences on nurse turnover rates, staff empowerment, and time for professional development of staff,
which in turn can have deleterious impacts on patient care and patient satisfaction. For example, Havaei,
Dahinten, and MacPhee (2015) examined the influence of perceived organizational support, which was
defined as employees’ perceptions of how much they are valued by the organization, span of control, and
leadership rank on the organizational commitment of nurse leaders who were considered to be novices. They
determined that organizational support is linked to nurse satisfaction and loyalty to the organization; the
higher the perceived support from the organization by the nurse, especially in times of downsizing or
restructuring, the higher the satisfaction with and loyalty to the work institution by the nurse. In addition,
organizational support also positively influenced organizational commitment.
Factors which should be considered when contemplating altering managerial span of control on nursing
units include skill mix and expertise of the unit staff, duties of first-level managers (i.e., charge nurses) when
the middle-level manager is not present, potential savings in salary expenses, and impact on nurse turnover
and on nurse and patient satisfaction (Havaei et al., 2015; Jones, McLaughlin, Gebbens, & Terhorst, 2015).
Link to Practice 21-1 presents how one health care organization developed a tool to measure aspects of span
of control and its effects.
Link to Practice 21-1
Measuring Scope and Span of Control
Nurse administrators affiliated with the University of Pittsburgh Medical Center, an integrated health
system composed of 22 hospitals, developed a measurement tool to determine the varying scope and span
of control of nurse managers in their system. Implementation of the tool has enabled collection of
quantifiable data in five areas central to the nurse manager role: head count, department workload, hours of
operation, number of cost centers, and controllable expenses exclusive of salaries. Outcomes associated
with implementation included a significant decrease in nurse manager separation rates and transfer of
nurse managers out of leadership roles by the end of the first year of implementation, recognition that the
nurse manager role should be compensated comparably to others on the leadership pay structure in the
organization, and the recognition that “scope creep” occurs as additional responsibilities are added to the
nurse manager roles.
Jones, D., McLaughlin, M., Gebbens, C., & Terhorst, L. (2015). Utilizing a scope and span of control tool to measure workload and
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determine supporting resources for nurse managers. The Journal of Nursing Administration, 45(5), 243–249.
Authority and Responsibility
Line authority and staff authority are two distinctions that describe formal relationships in an organization.
When looking at an organizational chart, line authority refers to chain of command, superior–subordinate, and
leader–follower relationships. For example, the chief nursing officer (CNO) delegates authority to the unit
manager, who then delegates to a subordinate, the charge nurse. The command relationship is a direct “line”
between supervisor and subordinate.
In larger organizations, managers can be designated as top-level, middle-level, or first-level managers.
Top-level managers include the organization’s chief executive officer (CEO) and the highest nursing
administrator. Middle-level managers, as the name implies, coordinate management activities between the top
management level and first-level managers. Middle-level managers are usually involved in long-range
planning and in policy decisions that affect one unit or multiple units. This manager is usually responsible for
day-to-day activities of the units. Titles in nursing that represent middle-level managers include nurse
managers, unit managers, unit directors, and unit supervisors. First-level managers are assigned to one unit
and are concerned with that specific unit’s work. First-level managers, such as charge nurses, team leaders,
and primary care nurses, are crucial to the success of the unit’s work. APNs are most often administratively
responsible to either top-level or middle-level managers. APNs who assume administrative responsibilities in
the organization may be top-level or middle-level managers.
In some organizations, APNs are in staff positions as opposed to line positions. Staff authority supports
the work of the line manager without having any line authority or responsibility. Employees in staff positions
support, assist, and advise those in line authority positions. In a staff position, the APN is not responsible for
the hiring, firing, directing, or disciplining of other employees. This lack of authority could be a disadvantage
to the APN in accomplishing the tasks of the role because the APN often must work through others to
accomplish goals. Even when the APN is in a staff position, the APN is responsible to a line manager, who is
either a top-level or middle-level manager.
Centralization Versus Decentralization
Centralization and decentralization are degrees of how decision making is dispersed or diffused throughout
the organization. In organizations with centralized decision making, decisions are made by one individual or a
small group of individuals at the top of the organizational structure. Decentralization refers to decision making
that occurs at the lowest levels feasible. Most of today’s organizations are really neither totally centralized nor
decentralized but are a combination of the two. With the advent of performance improvement initiatives over
the past 30 to 40 years, the trend in American organizations has been toward decentralization in an effort to
involve employees directly responsible for the work product in the decision-making process. In nursing,
organizational designs, such as shared governance, have gained popularity as a method to empower and
engage staff in the decision-making process.
Departmentalization
The primary purpose of departmentalization is to subdivide the work of the organization so that specialization
of the work can be accomplished. Departmentalization emphasizes specialization of skills. Hospitals have
historically implemented departmentalization with traditional departments, such as central supply, pastoral
care, and patient care departments, among others. A typical manufacturing plant, although different from a
hospital, is probably organized in much the same way as the hospital. For example, both probably have
marketing, accounting, and human resources departments. Grouping activities in this manner is known as
functional departmentalization.
Other types of departmentalization include product, customer, geographic, and process
departmentalization. Today, hospitals and other organizations use cross-disciplinary teams to accomplish the
organization’s performance initiatives that transcend traditional departmental boundaries to better focus on
customer needs (Robbins & Judge, 2014).
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Shared Governance
Shared governance is “a structural model through which nurses can express and manage their own practice
with a higher level of professional autonomy” (Porter-O’Grady, 2003, p. 251). Nursing shared governance, an
organizational structure and process, was introduced in the late 1970s as an alternative to traditional or
industrial bureaucratic organizational design (Laschinger & Finegan, 2005). In this design, professional nurses
use self-directed work teams at the unit level to make professional practice decisions and to accomplish the
work of the unit.
Porter-O’Grady, Hawkins, and Parker (1997) described the major components of shared governance as the
creation of partnerships, equity, accountability, and ownership. Much of the effort directed at restructuring the
nursing organization to implement shared governance was done to empower nurses to join with each other
and with other health care decision makers to better confront issues affecting the practice of professional
nursing. In the shared governance model, staffs, not managers, are empowered to make patient care decisions
at the staff level (Mancini, 2015).
Implementation of shared governance is usually accompanied by the simultaneous implementation of
participation and decentralization. Participation and decentralization are not substitutes for shared governance
and should not be used synonymously with the term shared governance. Participative models call for
employees to be involved in the decisions that involve them. However, management still determines the
breadth and depth of employee participation. Decentralization allows employees at lower levels of the
hierarchical structure to have greater involvement in decision making and to have some authority to
implement the decisions, but management usually retains the real authority and power in terms of which
decisions are to be implemented. In short, both participation and decentralization rely on management
discretion to determine the amount of employee involvement in decision making, whereas shared governance
does not (Marquis & Huston, 2012).
Nursing shared governance models have always focused on nurses controlling their professional practice.
To be able to control practice, nurses must have control over resources that impact professional practice and
they must also have influence over themselves as a professional group (Bieber & Joachim, 2016; Mancini,
2015).
Porter-O’Grady (2012) advanced the idea that in order for true interprofessional team-based models of
accountability to thrive in health services organizations, five principles govern the practice and relationships
of the teams and are needed to sustain shared governance:
Professions are driven by practice and practitioners—the locus of control for decision making in terms
of what constitutes professional practice, quality, competence, and knowledge generation must be
retained by the practitioner. The farther away the decision making is from the knowledge worker (the
professional), the lower the decision quality and the higher the cost of the decision.
Structure is key—there must be direct alignment between organizational structure and intended
behaviors and outcomes. Organizational structures that are ineffective in producing the most effective
outcomes for knowledge workers such as RNs include traditional bureaucratic structures such as
vertical, hierarchical structures in which management has ultimate control of decision and policy
making.
Accountability is central to professional practice—true accountability by professionals can only thrive
in environments in which the organizational structure is such that accountability is within the control of
the practitioner at the point of practice.
Control of accountability must be purposefully designed into the shared governance structure—shared
governance facilitates distributive decision making. In a true shared governance model, practitioners
retain control over professional practice—not management.
Leadership by management is crucial to the effectiveness of shared governance—the competencies of
managers and leaders in shared organization are different than in traditional organizations. These
competencies include distributive decision making, effective servant leadership, and assisting practice
peers to create work environments in which knowledge workers can practice to the fullest extent
(Porter-O’Grady, 2012).
Three general models of shared governance are:
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1. Councilor model—the most common model; utilizes a coordinating council to integrate decisions made
by staff and managers in subcommittees that report to the coordinating council
2. Administrative model—the organizational chart is split to resemble two tracks—a management track
and a clinical track; membership in both tracks includes managers and staff
3. Congressional model—uses a democratic process to empower nurses to vote on issues
Structure of the models is not important; what is important is control over practice that leads to improved
patient, nurse, and organizational outcomes (Anthony, 2004; Bieber & Joachim, 2016).
Research-based studies have attempted to evaluate the outcomes of shared governance from the
perspectives of the organization, the nurse, and the patient. From an organizational perspective, in general,
research supports the finding of an improved financial posture for the organization after implementation of
shared governance. The improved finances stem from either cost savings or cost reductions. Reported
examples of cost savings and reductions range from a decrease in overall meeting time for staff to
multimillion dollar reductions in the use of temporary or agency nurses once shared governance has been fully
implemented. Research studies indicate implementation of shared governance has resulted in improving the
work environment of nurses, which leads to increased nurse satisfaction and ultimately to improved nurse
retention (Joseph & Bogue, 2016).
In one recent example, Kutney-Lee and team (2016) examined the relationships between shared
governance, specifically nurse engagement, and impact on nurse and patient outcomes in 425 nonfederal acute
care hospitals in the United States. They determined that hospitals which provide nurses with the ability to be
the most actively involved in institutional decision making are more likely to be institutions in which nurses
cultivate better patient experiences resulting in superior levels of care and increased patient and nurse
satisfaction levels. Indeed, increased nurse engagement in institutional decision making is critical in an era
focused on value-based purchasing and cost containment. It also has strong impact on the health care
institution’s financial picture in terms of significant losses, financial and other, associated with nurse turnover.
Detractors of the shared governance model point to the expense of introducing and maintaining the model,
the longer time it takes to arrive at decisions using the model, and the fact that not all nurses want to have a
role in decision making or want accountability for decisions.
Transformational Leadership in Nursing and in Health Care
Historically, nursing and health care organizations were built on old paradigm beliefs of hierarchical
structures with an emphasis on rationality and logical decision making. The old paradigm is evolving to a new
paradigm that values mutuality, affiliation, cooperation, networking, and an emphasis on human relations. In
nursing, the shift has led to decentralization, participative management and decision making, and shared
governance.
In transformational leadership, the leader and the follower have the same purpose. Barker (1994) proposed
that it is easier to study the results of transformational leadership than the process. Transformational
leadership is moral and philosophical leadership rather than technical leadership. Bennis and Nanus (1985)
conceptualized four strategies for transformational leadership: (1) creating a vision, (2) building a social
architecture that provides the framework for generating commitment to the vision and for establishing an
organizational identity, (3) developing and sustaining organizational trust, and (4) attending to the self-esteem
of others in the organization. Cottingham (1988) proposed six strategies for a transformational leader (Box
21-2).
Box 21-2 Strategies for a Transformational Leader
Know the people you work with: Find out about their interests outside of the work environment; be visible
and accessible.
Help people to learn and develop: Expose them to new ideas and methods; encourage attendance at
seminars to help team members learn as much as possible about their roles.
Provide frequent feedback about performance: Give feedback quickly rather than waiting for a formal
evaluation meeting. Feedback should be specific enough to enable the person to correct deficiencies;
criticism should be positive rather than negative.
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Award responsibility and status to coworkers: Give them the opportunity to participate in work projects
that will allow for growth and increased responsibility. Recognize the potential in others and give them the
opportunity to realize that potential.
Reward coworkers for a job well done: Monetary rewards should be as high as possible within the
framework of the organization.
Make information available to all involved: Involve coworkers in decision making and problem solving
and support their efforts.
Porter-O’Grady (1992) suggested that transformational nursing leaders should focus on relationships and
develop personal skills such as paradigm assessment, process ambiguity, staff decision making, and shared
governance. Transformational leadership is not leading and controlling; rather, it is coordinating, integrating,
and facilitating. Transformational leaders should strive to build coalitions and networks among disciplines and
departments by bringing diverse groups together toward a shared vision or goal while at the same time
managing the complexity of the organization.
One essential element of the Magnet recognition model is evidence of transformational leadership in the
organization. Clavelle, Drenkard, Tullai-McGuinness, and Fitzpatrick (2012) explored leadership practices of
CNOs in Magnet facilities. The results of this study revealed increased education and experience of the CNO
was positively correlated with transformational leadership characteristics. Older CNOs and those with
doctoral degrees scored significantly higher in the transformational leadership practices of inspiring a shared
vision and challenging the process. Key practices identified by the study were enabling others to act and
modeling the way for others.
In a recently published work, Fischer (2016) analyzed the concept of transformational leadership and
provided defining attributes specific to the nursing context. She identified a set of competencies associated
with it. These competencies are emotional intelligence, communication, collaboration, coaching, and
mentoring. Application of competencies provides a foundation for developing transformational leaders for
practice and in academic environments.
Patient Care Delivery Models
Nursing care in the acute care setting is delivered most often utilizing a group practice model. The group
practice model provides the structure and context for the delivery of care. Practice models range from those
that are based on patient assignments (such as team nursing), accountability systems (primary nursing), and
managed care (case management) to models that are designed to incorporate professional practice concepts of
autonomy, decision making, participation, and professional values (shared governance model) (Anthony,
2004; Marquis & Huston, 2012).
Assignment systems for nursing staff or patient care delivery models change in response to changing
needs. For example, in the 1920s, the case method and private duty nursing models of total patient care were
the systems most often implemented. By the 1950s, functional nursing was introduced as a response to a
shortage of nurses. Team or modular nursing was also introduced in the 1950s to capitalize on the expertise of
professional nurses and to use nonprofessional team members in the provision of nursing care. Primary
nursing, a shift back to care of individual patients by professional nurses, was commonly used in the 1960s
and 1970s. The method that has most recently appeared in the literature is patient-focused care (PFC).
Each of the delivery methods has inherent advantages and disadvantages. These patient care delivery
methods are used primarily in hospitals, but they can be adapted for use in other settings. Factors to consider
prior to implementation of a particular method or system include type and acuity of patients, complexity of
the tasks to be performed, availability or supply of RNs, skill and expertise of the staff, and the economic
resources of the organization.
Total Patient Care (Functional Nursing)
Total patient care, the oldest delivery method, was accomplished by nurses in the home and hospital settings.
Most of the patients were assigned to nurses as cases; one nurse attended to all of the patient’s needs during
the course of the nurse’s shift. The major disadvantage of this method is cost, particularly in times of nursing
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shortages.
Evolving as a result of the nursing shortage that occurred during World War II, the functional method of
providing patient care was derived from the principles of scientific management, that is, emphasis on
efficiency, division of labor, and rigid controls (Marriner-Tomey, 2009). In this method, the patient’s physical
needs are attended to primarily by unlicensed workers (i.e., nursing aides), with RNs responsible primarily for
managerial functions. The focus of this method was on the completion of certain tasks, such as administering
medication or performing treatments, rather than on meeting all of the needs of the patient by one nurse, as
was accomplished in total patient care methods (Sportsman, 2015).
Although patient care appears to be delivered efficiently and there would appear to be little confusion
regarding responsibilities for tasks and assignments with this method, functional nursing has several
disadvantages. These disadvantages include the need for greater coordination of care, fragmentation of care,
the majority of care being provided by nonprofessional and unlicensed workers, de-emphasis on the
psychological needs of the patient, and the repetitive nature of the work. In times of nursing shortages, health
care administrators often return to a hybrid of functional nursing, including the use of unlicensed health care
workers or unlicensed assistive personnel (UAP) (Marquis & Huston, 2012; Sportsman, 2015).
Team Nursing
Team nursing was developed after World War II in an effort to alleviate the fragmented care associated with
functional care. In the team nursing approach, a professional or technical nurse is the team leader of a group
of other health care workers that may include other professional and technical nurses and unlicensed
personnel such as nursing assistants. The team is responsible for the provision of care to a group of patients on
a nursing unit.
The team leader is the coordinator of the group and is responsible for assigning team members to specific
patient assignments. The team leader may or may not have a patient assignment. The team leader is
responsible for knowing about the conditions and needs of all of the patients assigned to the team and for
communicating with physicians. Duties that cannot be performed by other team members because of lack of
skill, expertise, or licensure are performed by the team leader. Team members report to the team leader, who
in turn reports to the unit manager.
Advantages of team nursing are the democratic nature of the method, the focus on the entire patient rather
than on specific tasks to be accomplished, the autonomy provided to the team to accomplish the work, and
increased satisfaction with the method by workers and patients. Disadvantages of team nursing include the
high degree of coordination and planning required and the dependence on the unique skills of the team leader
to make the concept work efficiently and effectively. Team nursing has rarely been implemented in its purest
form. Instead, a combination of team and functional nursing has most frequently been implemented (Marquis
& Huston, 2012).
Primary Nursing
Primary nursing was initiated in the late 1960s and early 1970s in response to professional nurses who decried
the lack of personal contact with patients and who were unhappy with the provision of fragmented care.
Primary nursing uses some of the concepts on which total patient care was based (i.e., during work hours, the
primary nurse, an RN, would be responsible for planning care and providing total patient care to a group of
patients). When the primary nurse was not on duty, an associate nurse (another RN) would provide care to the
patients based on a care plan developed by the primary nurse. However, the primary nurse retained
responsibility for the assigned patient load 24 hours a day while the patient was hospitalized (Sportsman,
2015).
Job satisfaction is high in primary nursing because of the high degree of autonomy and responsibility
afforded to the primary nurse. Continuity of care is greatly facilitated by the primary nursing model.
Disadvantages to primary nursing include the number of RNs required to implement primary nursing and the
high degree of coordination and professional nursing expertise required for the role. Primary nurses who are
inadequately trained or incompetent to implement the role may be incapable of fulfilling the primary nurse
role.
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Patient-Focused Care/Patient-Centered Care
The PFC model was developed in an effort to decrease the cost of providing health care while improving the
quality of the service and was focused on the inpatient care experience (Myers, 1998). The principles of PFC
are derived from total QM/continuous quality improvement (QI) in that PFC brings patient care needs as close
as possible to the bedside. A goal of PFC is to decrease the number of health care workers needed while
simultaneously increasing the time nurses would have to spend with patients. Theoretically, the cost of care
should decrease while quality of care increases.
Mang (1995) described principles of implementation of PFC. These principles are summarized in Box 21-
3 and are discussed briefly in the following text. Patient redeployment involves placing patients with similar
needs and diagnoses in the same geographic location. The optimal number of patients with similar needs and
diagnoses on a unit should be between 50 and 100 to create an economy of scale and to ensure predictable
census and workload. Decentralization of support services refers to relocation of ancillary services (i.e.,
pharmacy, radiology, admissions, and laboratory) closer to the patient to allow for more efficient use of
personnel.
Box 21-3 Principles of Patient-Focused Care
Patient redeployment
Support services decentralization
Worker cross-training
Creation of multidisciplinary teams
Patient involvement
Task simplification
Creation of multiskilled workers, or cross-trained workers, is accomplished by combining appropriate
types of tasks. For example, the multiskilled worker would be responsible for housekeeping, food service, and
other unskilled tasks for a group of patients. The goal of creating the multiskilled worker is to decrease the
number of workers the typical patient comes in contact with by up to 75% (Clouten & Weber, 1994).
Now a key indicator of high-quality care as defined by the Institute of Medicine (IOM), patient-focused,
patient-centered care evolved into a model in which patients and families are active participants in decision
making about care. Four concepts are associated with contemporary patient- and family-centered care models:
dignity and respect, information sharing, participation, and collaboration (Johnson et al., 2008). Indeed, in this
model, patients must be well informed and included in all decision making related to the plan of care. In
addition, task simplification would be applied to every aspect of the patient’s care to allow for greater
efficiency and time savings, which results in earlier discharge for the patient.
The goals of PFC are to (1) transform the health care organization into a customer-focused organization;
(2) improve continuity of care for patients; (3) improve professional relationships among doctors, nurses, and
other caregivers; (4) minimize the movement of patients throughout hospitals; (5) increase the proportion of
direct care activities as compared to other activities in the organization; (6) reconfigure the clinical
environment to truly meet the needs of the patients; and (7) empower direct caregivers to plan and implement
work in ways that are most responsive to the needs of patients (Zarubi, Reiley, & McCarter, 2008). The
results of studies evaluating the PFC model indicate that patient and staff satisfaction improve after
implementation of PFC, as does physician satisfaction in relationship with nursing staff. In terms of savings,
some institutions reported a decrease in time of the admission process, a decrease in inventory, and an
improvement in costs. Quality indicators, such as direct patient care time, patient satisfaction, continuity of
care, and nosocomial infection rates, revealed positive trends after implementation of PFC.
Some health care organizations have extended the patient- and family-centered care model by engaging
former patients and family members in an advisory capacity to assist the organization with patient satisfaction,
quality, and safety concerns (Cunningham & Walton, 2016; Warren, 2012). These advisors relate their
experiences from past care encounters in the organization or facility with the goal of improving the care
experiences of other patients and families in the future. Patient and family advisors have assisted health care
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facilities with making changes to policies, the physical environment, and aspects of clinical care delivery as
well as with staff education and development.
There is considerable interest in patient- and family-centered care models as a result of provisions of the
Patient Protection and Affordable Care Act (ACA). These models focus on patient satisfaction and which
have the potential to significantly impact reimbursement for care provided in health care organizations. For
example, The Hospital Consumer Assessment of Healthcare Providers and Systems (HCAHPS) initiative
provides a mechanism for health care facilities to benchmark patient satisfaction trends in their facilities with
expected national outcomes; outcomes are tied to financial incentives for health care institutions (Cropley,
2012). Implementation of patient- and family-centered care models may lead to improved patient/family
experiences, which results in increased satisfaction scores and financial incentives for the institution providing
the care.
Also included in provisions of the 2010 ACA, the Patient-Centered Outcomes Research Institute (PCORI)
was established to fund research efforts focused on comparing patient-centered clinical effectiveness research.
A central tenet of PCORI is that including the patient perspective in health research is valuable and should
result in the acceleration of the integration of research findings into clinical practice to the ultimate benefit of
patients (Frank, Basch, & Selby, 2014).
Use of Patient Care Delivery Models Today
Rarely do pure forms of any of the patient care delivery methods described earlier exist in practice today.
Typically, components of several of the methods, or a combination of the methods, are used to accomplish
patient care. Delivery methods usually differ between inpatient and outpatient areas and from unit to unit,
depending on the nature of the patient care unit and the skill mix of the licensed and unlicensed staff assigned
to the unit.
The Nursing Work Index-Revised (Aiken & Patrician, 2000) has been used to measure attributes of the
work environment of professional nurses that support professional clinical practice. These attributes include
organizational support for nursing practice, specifically, adequacy of resources to support the practice of
professional nursing, including adequate RN staffing, autonomy for nurses, nurse control of nursing practice,
and collegial nurse–physician relationships. When these attributes are present to a sufficient degree, nurse job
satisfaction is higher and burnout rates and physical disability rates are lower. Improved patient-related
outcomes such as decreased adverse events, lower mortality, and higher levels of patient satisfaction with care
are noted.
Aiken, Clarke, Sloane, Sochalski, and Silber (2002) were some of the earliest researchers to explicate the
evidence linking nurse staffing to patient outcomes. In a study based on an analysis of outcomes of many
thousands of patients in 168 Pennsylvania hospitals over a 20-month period, risk of death following common
surgical procedures increased by 7% for each patient added to the nurse’s workload over a nurse-to-patient
ratio of 1:4. The result is that nurses employed by hospitals which enforce large patient loads are significantly
less likely to save the life of a patient who develops a serious complication. In addition, increased needlestick
injuries for nurses, increased patient and family complaints, falls with injuries, medication errors, and
hospital-acquired infections are more likely to occur when the nurse-to-patient ratio is higher (Aiken, Clarke,
& Sloane, 2002; Cho, Ketefian, Barkauskas, & Smith, 2003).
Higher patient-to-nurse ratios are also associated with increased emotional exhaustion, turnover intention,
and job dissatisfaction (Gabriel, Erickson, Moran, Diefendorff, & Bromley, 2013). Recently, Cimiotti, Aiken,
Sloane, and Wu (2012) documented a significant association between patient-to-nurse ratio and incidence of
urinary tract and surgical site infections. When using a statistical model that controlled for patient severity and
nurse and hospital characteristics, only RN burnout was significantly associated with urinary tract and surgical
site infections. These findings become even more significant when examined in light of provisions associated
with the Patient Protection and Accountable Care Act, which included loss of reimbursement to health care
organizations for facility-acquired conditions such as urinary tract and surgical site infections (Andel,
Davidow, Hollander, & Moreno, 2012).
In 1999, California became the first state in the United States to pass legislation to enforce minimum nurse
staffing levels in hospitals to improve the quality of care for patients. Spetz (2008) conducted a study to
examine whether nurses who work in hospitals in California were more satisfied with staffing levels and other
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job attributes since minimum staffing levels were enacted. The results indicated that nurse satisfaction did
increase between 2004 and 2006.
Other studies failed to substantiate a relationship between increased nurse staffing levels and improved
patient outcomes (Burnes Bolton et al., 2007; Donaldson et al., 2005; Hickey, Gauvreau, Jenkins, Fawcett, &
Hayman, 2011). However, a study conducted by Aiken and colleagues (2010) concluded that mandatory
staffing levels in California were associated with lower patient mortality and with improved nurse retention.
Furthermore, Tellez and Seago (2013) explored the effect of California’s minimum staffing legislation on
changes to the California RN workforce, particularly the direct care nurse in the acute care setting, and
concluded there was improvement in nurse satisfaction.
In a final example, Aiken and colleagues (2011) attempted to determine the conditions under which the
impact of three variables—nurse–patient staffing ratios, nurse educational level, and work environment—are
associated with patient outcomes, such as inpatient mortality rate and failure-to-rescue rates.
The results of this study revealed that lowering the patient-to-nurse ratio by one patient per nurse in
hospitals with good work environments significantly improved patient outcomes, slightly improved outcomes
in hospitals with average practice environments, but had no effect in hospitals with poor environments.
Increasing by 10% the numbers of nurses with the bachelor of science in nursing (BSN) degree led to a 4%
decrease in patient death, which confirms previous findings by Aiken, Clarke, Cheung, Sloane, and Silber
(2003).
According to the American Nurses Association (2015), as of December 2015, 14 states (California,
Connecticut, Illinois, Maryland, Minnesota, Nevada, New Jersey, New York, Ohio, Oregon, Rhode Island,
Texas, Vermont, and Washington) have enacted legislation specific to nurse staffing levels. Attempts to enact
legislation at the federal level to require staffing plans based on unit needs and RN-to-patient staffing ratios
have been unsuccessful to date.
American Nurses Credentialing Center Magnet Recognition Program
The Magnet Recognition Program originated as a result of a 1983 landmark policy study (McClure, Poulin,
Sovie, & Wandelt, 1983) conducted by the American Academy of Nursing to identify characteristics common
to hospitals with environments of nurse recruitment and retention. At that time, during a national nursing
shortage, 41 hospitals became the focus of intensive research efforts. The characteristics identified were
referred to as the “Forces of Magnetism” (Wolf, Triolo, & Ponte, 2008).
The Magnet Recognition Program was developed by the American Nurses Credentialing Center (ANCC)
in the early 1990s to recognize health care organizations that provide exemplary nursing care and that uphold
the traditions within nursing of professional nursing practice. The program also serves as a method or means
to disseminate successful best practices and strategies in nursing among institutions. Magnet hospitals have
incorporated proven solutions to address nurse recruitment and retention and to foster nursing leadership
(Clavelle, Porter O’Grady, & Drenkard, 2013).
After undergoing some research-based modifications to the program in 2005 (Triolo, Scherer, & Floyd,
2006; Wolf et al., 2008), the model for Magnet was adopted in 2008. The new model consolidated the 14
Forces of Magnetism into five components which lead to empirically derived, quality outcomes. Overarching
the five components is the concept of global issues in nursing and health care. The five components are
presented in Box 21-4 (ANCC, 2008).
Box 21-4 Components of the Magnet Model
Transformational leadership
Structural empowerment
Exemplary professional nursing practice
New knowledge, innovations, and improvements
Empirical quality results
The Magnet Recognition Program is based on quality indicators and standards of nursing practice as
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originally defined in the American Nurses Association’s (2004) Scope and Standards for Nurse
Administrators. The Magnet designation process includes the appraisal of both qualitative and quantitative
factors in nursing. As of mid 2017, a total of 469 health care organizations in the United States, as well as 3
organizations in Australia, 1 in Canada, 1 in Lebanon, and 2 in Saudi Arabia, have achieved Magnet
designation (ANCC, 2017).
Considerable research has been done on the effect of the Magnet designation. Indeed, when compared to
non-Magnet hospitals, Magnet hospitals have:
Better patient outcomes and lower mortality rates (McHugh et al., 2013)
Reduced incidence of hospital-acquired pressure ulcers (Ma & Park, 2015)
Lower central line-associated bloodstream infection rates (Barnes, Rearden, & McHugh, 2016)
Lower nurse turnover rates (Park, Gass, & Boyle, 2016)
Better overall working environment (Clavelle et al., 2013)
More involvement in decision making by staff nurses (Houston et al., 2012)
Lastly, Stimpfel, Sloane, McHugh, and Aiken (2016) examined the relationship between nursing
excellence, with Magnet recognition as an indicator of excellence, and patients’ experiences as reported in the
HCAHPS. The results of this study indicated that patients admitted to Magnet hospitals rated their overall
experiences higher, had more favorable perceptions of their communications with nurse caregivers, and were
more likely to recommend the hospital to others. These findings are important because patient experience
ratings are integral and significant in determining financial incentives and reimbursements to health care
facilities under value-based purchasing initiatives endorsed by the Centers for Medicare & Medicaid Services
(CMS) and support a business case for Magnet recognition (Jayawardhana, Welton, & Lindrooth, 2014).
Case Management
The Case Management Society of America (CMSA) defines case management as “a collaborative process that
assesses, plans, implements, coordinates, monitors, and evaluates options and services to meet an individual’s
health needs through communication and available resources to promote quality cost-effective outcomes”
(Yamamoto & Lucey, 2005). Case management is a role developed in the late 1980s and early 1990s in
response to the prospective payment system and diagnosis-related groups (DRGs). An expansion of the total
patient care system, case management originated in outpatient settings. For example, community and public
health nurses carry a caseload of patients for which they plan, coordinate, and evaluate care. Rarely do these
nurses implement the care personally; however, they retain responsibility for patient outcomes.
As a result of the proliferation of managed care in hospitals, case management was also adopted in
inpatient facilities, which is sometimes referred to as “within the walls” case management (Yamamoto &
Lucey, 2005). Most inpatient case management systems are based on one of two models: the New England
Medical Center Model, which focuses primarily on managing patient care to control resources, or the St.
Mary’s (or Carondelet) Model, in which the role of the case manager is to control or lower costs associated
with patient stays while simultaneously reducing the length of stay and producing optimal patient outcomes
(Sportsman, 2015).
The minimal recommended educational requirement for nurse case manager roles is the baccalaureate
degree in nursing. However, although not all case managers may need to perform case management duties at
the advanced level, many organizations prefer advanced educational preparation and specialization for nurses
in the role of case manager. Advantages of the APN as opposed to the BSN in the case management role
include recognition of the APN as expert practitioner, change agent, researcher, manager, teacher, and
consultant.
Although case management implementation varies from institution to institution and location to location,
one variation is to assign a case manager to a group of high-risk patients within a specific population. For
example, one hospital, health care organization, or insurance company may have case managers in pediatrics,
neuroscience, oncology, cardiovascular, orthopedics, and other specialty areas. The case manager does not
coordinate the care of all the patients in a specialty. Instead, coordination of care by a case manager occurs
only for those patients who have been designated as “high risk” because of age, comorbidities, and other
factors that would place that patient at risk for greater consumption of resources or prolonged length of stay.
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Ideally, the case manager coordinates the care of the patient from preadmission to the time of discharge
and perhaps beyond discharge. This coordination of care requires interdisciplinary collaboration and
cooperation. The case manager’s role in this model transcends geographic or unit boundaries. The
neuroscience case manager, for example, may first meet the patient in the neurosurgery clinic or at the
neurosurgeon’s office and would play a role in coordinating preadmission testing. Following surgery, the case
manager would track the progress of the patient from the ICU, to an intermediate care unit, to the neurology
floor, and then to a rehabilitation unit if required. The case manager would then be involved in establishing
postdischarge home care if necessary (Sportsman, 2015).
Case managers are employed not only by hospitals but also by health maintenance organizations (HMOs),
other managed care organizations (MCOs), insurance companies, and disease management companies. Case
managers serve as the liaison between patients and families, health plans, care providers, and purchasers to
determine the extent of coverage and probable costs and to coordinate treatment at a lower cost and outside of
inpatient care if possible.
As an example of the integral role that case managers play in coordinating care outside of inpatient
facilities, a joint venture between Banner Health and Blue Cross Blue Shield of Arizona Advantage provides
at least one home visit by a case manager for members who qualify for case management services. Patients
who qualify for the visits are typically no longer eligible for home health and are recovering at home from
major conditions or chronic illnesses such as stroke, heart attack, heart failure, and/or chronic obstructive
pulmonary disease (COPD). The program also targets individuals who were admitted following fractures and
related health problems resulting from a fall. The home visit is focused on conducting a home assessment to
decrease the client’s risk for subsequent falls. The primary goal of the home visit initiative is to reduce
readmission rates into acute care facilities. Since the program was established, readmission rates for all age
groups have dropped by 13% (AHC Media, 2013). Although RNs constitute the largest professional group in
case management, the role is becoming increasingly multidisciplinary, with social workers, respiratory
therapists, physical therapists, and other health care professionals joining organizations as case managers.
However, many recognize the unique capabilities of the RN in optimizing the role of case manager.
Disease/Chronic Illness Management
The onset and eventual progression of many chronic illnesses is considered by many to be preventable.
Disease management has been defined in the literature as a patient care approach that emphasizes
comprehensive, coordinated care along a disease continuum and across health care delivery systems (Ellrodt
et al., 1997). Disease management is the redirection of patient care services from inpatient to outpatient
settings and is viewed as a proactive rather than a reactive approach to providing health care services. In
essence, disease management programs use medical, prescription drug, and other health-related data to
identify individuals with chronic illnesses who are at high risk for experiencing serious health problems and to
provide early intervention to avoid or minimize those problems (Marquis & Huston, 2012).
People diagnosed with chronic illnesses (e.g., asthma, diabetes mellitus, congestive heart failure [CHF],
AIDS, lower back pain, and certain forms of cancer) are potential candidates for disease management
interventions. Kongstvedt (2013) offered a set of criteria by which to evaluate what types of chronic illnesses
are appropriate for disease management (Box 21-5).
Box 21-5 Criteria for Evaluating Need for Disease Management Services
A high percentage of complications associated with the disease are preventable.
The effect of a disease management program would be evident within 1–3 years after implementation.
The conditions that are manifested can be managed in a nonsurgical, outpatient setting.
There is a high rate of noncompliance with treatment protocols; however, the noncompliance is amenable
to change.
Practice guidelines are available (or there is potential to develop such guidelines) that outline optimal
treatments of the disease.
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The potential of disease management to reduce health care costs associated with common chronic illnesses
seems significant. With the aging of the large “baby boomer” cohort of the population, a precipitous rise in
the incidence of chronic illnesses, such as diabetes and CHF, seems to be a foregone conclusion. At current
rates, the economic burden related to the treatment of just five of the most costly and preventable chronic
conditions (heart disease, cancer, COPD/asthma, diabetes, and hypertension) in the United States is staggering
at over $347 billion dollars or about 30% of total health care spending in 2010 (American Public Health
Association, 2017).
Disease Management Models
Historically, disease management programs were developed by pharmacy benefits management (PBM)
organizations, which were mainly owned by pharmaceutical companies that had a financial stake in
management of diseases. The theory was that if disease management programs were successful, the drug
manufacturing company sponsoring the program would sell more drugs to the individual. As interest in
disease management has grown, PBMs, as disease management program sponsors, represent only a small
segment of the business. Other more recent sponsors and advocates of disease management programs include
managed care companies, individual state Medicaid agencies, provider organizations, and independent
vendors. Independent disease management vendors are the most rapidly growing segment in the disease
management arena because of the potential for profitability. Many of the independent vendors are web-based
providers of disease management services.
Managed care and MCOs evolved in an attempt to control costs associated with traditional fee-for-service
insurance reimbursement practices. MCOs are held clinically and financially responsible for health outcomes
of their enrolled members on a capitated fee basis. Many MCOs have implemented disease management and
wellness programs that utilize a case management approach to improve clinical outcomes. The method of
disease management implementation in Medicaid and other state programs varies by state and is becoming
more widely used, with states reporting disease management programs to cover asthma, diabetes, CHF, and
other chronic illnesses.
Clinical outcomes have been tracked using disease management indicators since the inception of the
program. Examples of disease management indicators related to patients with CHF, for example, include
tracking the percentage of patients with appropriate use of drugs, such as angiotensin-converting enzyme
(ACE) inhibitors and beta-blockers, inappropriate use of calcium channel blockers and nonsteroidal anti-
inflammatory drugs (NSAIDs), hospital admission rates, use of emergency departments, and regular primary
care or cardiology visits as well as other indicators.
Among the most notable outcomes of this disease management program are increases in the percentages
of patients with improved glycated hemoglobin (HbA1c) levels and improved low-density lipoprotein (LDL)
levels and the increased use of aspirin in the diabetic population. Clinical improvements were also observed in
the CHF population, in patients with asthma, and in patients with HIV. Cancer-related screening practices also
improved including increased use of mammography, Papanicolaou (PAP), and prostate-specific antigen (PSA)
testing (Horswell et al., 2008).
Increasingly, APNs such as nurse practitioners (NPs) are assuming greater roles and responsibilities in
disease management programs in recognition of the equal or superior quality outcomes of NP care at costs
which are often lower than physician-provided care for similar services. A recently conducted analysis of
Medicare claims data from 2012 sought to determine whether primary care type 2 diabetes management for a
subset of Medicare beneficiaries differed in outcomes by provider type—physician or NP. The analysis
revealed patients in the NP-only group had significantly improved outcomes in terms of health care service
utilization and in most clinical outcomes at lower costs when compared to care received by patients from
primary care physicians (Lutfiyya et al., 2017).
Population Health Accountable Care Organizations and Medical Home Models of Care
Newer initiatives in health care include the formation of accountable care organizations (ACOs) and patient-
centered medical homes (PCMHs) models of care coordination. Population health, which is viewed as an
extension of public health, arose as part of the Institute for Healthcare Improvement’s strategy to transform
the American health care system (Fox & Grogan, 2017). This strategy, referred to as Triple Aim, is focused on
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improving care to individuals and improving the health of populations while reducing health care costs.
Identifying and directing resources to combat the three major known causes of most chronic illnesses—poor
nutrition, lack of physical exercise, and substance abuse—is the major focus of Triple Aim.
Triple Aim became a priority of the CMS during the Obama administration. Organizations seeking
designations as ACOs from CMS were required to integrate the three aims into their programs. Other
population health initiatives were incorporated into aspects of the ACA. For example, the ACA mandated tax-
exempt hospitals to perform a community health needs assessment at least every 3 years. The assessments
serve as a basis for the development of strategies which focus on the health care needs of lower income,
medically underserved, or minority populations. Monetary penalties and loss of tax-exempt status can result if
hospitals fail to comply with the regulations. As a result, there has been expansive growth of ACOs and other
similar organizations fostering implementation of Triple Aim initiatives in many areas of the country (Fox &
Grogan, 2017).
According to the CMS (2017), “ACOs are groups of doctors, hospitals, and other health care providers,
who come together voluntarily to give coordinated high quality care to the Medicare patients they serve”
(para. 1). The goal of ACOs is well-coordinated care for defined population groups which is accomplished
across care settings and which facilitates partnerships between providers, payers, and patients/families. At the
federal level, financial incentives have been established through the Medicare Shared Savings Program to
reward ACOs which are able to meet quality performance standards and metrics while simultaneously
decreasing costs of care provision.
The first ACO in the United States was formed in New Hampshire in 2012 by NPs in collaboration with
Anthem Blue Cross/Blue Shield. In this ACO, patients are managed in NP-owned and NP-operated clinics. In
a recent analysis, patients managed by the NPs met or exceeded all quality standards, including sustaining
some of the lowest hospitalization rates in the state while achieving costs savings compared with physician-
managed care (Wright, 2017).
Some challenges associated with implementation of ACOs include enhancing the collaboration,
communication, and teamwork skills of physicians and other providers. Although many medical, nursing, and
other health sciences curricula now include content, such as the situation, background, assessment,
recommendation (SBAR) communication technique, older physicians and nurses may not have been exposed
to these techniques and skills and will require professional development in these areas (Press, Michelow, &
MacPhail, 2012).
The goals of PCMHs include improving health care by promoting care coordination while reducing costs
associated with care. PCMHs emphasize preventive care and primary care and were first introduced in the
care of pediatric patients in the 1960s. The PCMH approach is focused on increased coordination of care,
which results in enhanced patient outcomes, as opposed to the more common volume-based models of care in
which providers are reimbursed based on the numbers of patients seen and the numbers of procedures for
which they are able to bill. PCMHs seem to hold promise in providing effective chronic disease management
at lower costs (DeVries et al., 2012).
The growing need to manage chronic illnesses is creating an unprecedented opportunity for nurses,
particularly APNs, who by virtue of their educational credentials and clinical expertise, are uniquely
positioned to become leaders in disease management. Roles for APNs include coordination of care for persons
with chronic illnesses in for-profit and not-for-profit health care organizations in which APNs provide an
array of direct services to plan members. APNs use published practice guidelines to manage and coordinate
care of individuals with chronic illnesses across health care settings.
Quality Management
In 2001, the IOM released the publication, To Err Is Human. The release of this document, which asserted
that medical errors were responsible for between 44,000 and 98,000 deaths annually in the United States,
spurred demands for greater accountability and quality in the U.S. health care system (Kohn, Corrigan, &
Donaldson, 2000). Since that time, many QI or QM initiatives have been undertaken in health care systems
and organizations that directly impact the discipline of nursing.
Although there is some variation in the emphasis placed on specific aspects of QM between organizations,
seven key principles or elements are viewed as integral components of all QM programs. These elements
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include focus on the customer, process improvement, variance analysis, leadership, employee involvement,
scientific method, and benchmarking (Baker & Gelmon, 1996).
In the QM environment, quality is defined in terms of what is acceptable to the customer; that is, the
customer determines expectations of quality. Comprehensive knowledge of the customer’s needs and
expectations is integral to providing the best in quality customer service. There are two types of customers:
customers who are external to the organization and customers who are internal. In health care, for example,
external customers are patients, families, physicians not employed by the organization, payers, and
communities. Internal customers are staff members employed by the organization to provide a service to
external customers. For example, the staff on a nursing unit is a customer of pharmacy services. The nursing
staff relies on the pharmacy staff to provide accurate medications in a timely fashion to the nursing unit to
enable the external customer, the patient, to receive medications appropriately and on time (Folse, 2015;
Marquis & Huston, 2012).
Process improvement involves scrupulously examining work processes involved in achieving a work
product. For example, in a hospital setting, the process of transferring a patient from an orthopedic unit to a
rehabilitation unit may have 20 or more steps and may involve five or six different departments. The more
steps (and people) involved, the greater the likelihood that the transfer will be delayed or that an error will be
made during the transfer, which leads to increased costs. Process improvement dictates that every aspect of
patient transfer must be examined to determine whether each step in the process is really needed to
accomplish the transfer. Members of each department or unit involved in the transfer are included on a
process improvement team to examine the process for redundancies and lapses in service and to streamline the
process.
Monitoring and analysis of variation in processes is crucial, particularly in health care organizations.
There are two types of variation: common cause variation, which occurs no matter how well a system
operates, and special cause variation. Special cause variation is variation that occurs outside of what is to be
expected and can be caused by employee error and equipment or systems failure. The scientific method used
to distinguish between common cause and special cause variation is statistical control (Varkey, Reller, &
Resar, 2007).
Leadership in a QM environment has two components: comprehensive knowledge and an understanding
of concepts and techniques of QI and personal involvement. Leaders must be familiar with the terminology,
the concepts, and the statistical techniques used in QM. Essential roles and responsibilities of leaders in QM
include being personally committed to the philosophy, providing resources that include training others in the
philosophy, reviewing progress on a regular basis, giving recognition, and managing resistance while
empowering others.
To initiate and sustain a successful, meaningful QI program, all members of the organization should have
education and training related to QM. Employees should come away from the training with a clear
understanding of their individual roles and responsibilities related to QI. A broad range of employees should
be encouraged to participate on QI teams to design and improve work processes. Organizations that have been
successful in implementing QM have empowered employees at all levels to search for better ways to redesign
work processes to achieve customer satisfaction.
True QI activities are based on scientific and statistical methods rather than on trial-and-error approaches
to problem identification and problem solving. The scientific method is a precise, systematic, orderly,
planned, and organized method of problem solving that can be replicated and understood by employees of the
organization. Several problem-solving methods can be used by health care organizations, including the most
commonly used approach for rapid improvement in health care, the plan-do-stay-act (PDSA) cycle (Varkey et
al., 2007). Other QI methods utilized in contemporary health care organizations are Six Sigma and lean
strategies. Problem analysis tools (also called statistical process control tools) used in the problem-solving
process include flow charts, cause-and-effect diagrams, and run charts.
Benchmarking, a process originally implemented by the Xerox Corporation in 1979 (Camp & Tweet,
1994), is the identification, adaptation, and dissemination of best practices among competitors and
noncompetitors that lead to their superior performance. In other words, quality can be improved in an
organization by analyzing and then copying the methods of leaders in a field such as health care. Effective
benchmarking involves identifying specific key indicators of a process (i.e., length of endotracheal intubation
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in postoperative patients), comparing this process with other organizations, determining the best process, and
then using knowledge of the best process internally to design new processes or improve existing ones (Baker
& Gelmon, 1996).
As described previously, there has been intense effort among government (CMS) and other payers in
elevating quality outcomes in the American health care sector, including, but not limited to, application of
financial incentives and penalties. Since passage of the ACA, there has been a decided shift in balancing the
value (cost) of health care in addition to measuring quality of care in an effort to rein in ever-escalating
national health care costs (Shiver & Cantiello, 2016). Many governmental, public, and private groups are
working to make health care rankings and information available to consumers. For example, using the
websites HealthCare.gov and Medicare.gov, Medicare enrollees and other consumers can search for and
compare the quality of physicians, hospitals, nursing homes, home health agencies, and dialysis facilities.
Comparisons of hospitals include patient satisfaction survey results, timely and effective care results,
readmission, complications and death rates, and number of Medicare patients by diagnosis type treated in the
facility. From these sites, a prospective patient can determine areas of the hospital’s performance that need
improvement and can compare the hospital’s performance in some categories with state and national results
(benchmarking data).
As a result of these Internet-based rating mechanisms, health care consumers are becoming increasingly
savvy about checking quality “report cards” of health care facilities and providers. Institutions that are
implementing best practices and continually striving to improve performance while decreasing costs will be
the biggest winners in the competitive health care environment of the future. Link to Practice 21-2 presents
how one health care facility used a QI to ensure greater safety.
Link to Practice 21-2
Quality Improvement to Promote Safety
Occurrence of a major adverse event in a patient care setting often serves as the impetus for change in
terms of quality improvement. After a patient safety issue was identified at a children’s hospital related to
the use of “smart pumps” in the administration of intravenous medications, a performance improvement
team was assembled to increase use of medication safety software by nurses. The quality improvement
team utilized the Deming Cycle performance improvement method to increase adherence and compliance
with intravenous medication delivery software. Strategies implemented by the team to improve compliance
included improved communication with nurses who were direct caregivers, staff education related to safety
software specifics, acquisition of additional technology, and implementation of the medication safety
champion role. Adherence monitoring was also incorporated. Following implementation of the
performance improvement strategies, nurse adherence improved dramatically from 28% at baseline to
greater than 85%, an adherence rate that exceeded nationally accepted benchmark adherence rates.
Gavriloff, C. (2012). A performance improvement plan to increase nurse adherence to use of medication safety software. Journal of
Pediatric Nursing, 27(4), 375–382.
Evidence-Based Practice
Health care consumers expect quality care, and most health care practitioners want to provide quality care.
Pressure for cost containment compels providers to demonstrate that interventions produce cost-effective
outcomes that do not sacrifice the quality of health care. Furthermore, selected interventions must be not only
effective but also justified and congruent with acceptable standards.
EBP is a problem-solving approach that enables clinicians to provide the highest quality of care to patients
and their families by integrating the following approaches:
Critical appraisal and critique of the most recent and relevant research (evidence)
Considering the clinician’s own clinical expertise
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Considering preferences and values of the patient (Melnyk & Fineout-Overholt, 2015)
For EBP to take root and flourish in an organization, there must be institutional support and commitment
from administrators. This support stems from the mission, goals, and culture of the organization. Without this
support, necessary resources and infrastructure components, such as access to databases, dedicated personnel,
and computer support, which are integral to a successful EBP program, may not be allocated or made fully
available and accessible (Melnyk & Fineout-Overholt, 2015).
APNs must make clinical decisions on the best evidence available. They must also select interventions that
are linked to cost-effective outcomes. This integrated approach allows the APN to use critical thinking skills
to determine whether scientific evidence and clinical practice guidelines are relevant and consistent with the
applicable health care situation and with the patient’s values, preferences, and life context.
In one example, an inpatient asthma education QI program at Children’s Hospital in Boston utilizes
evidence-based guidelines and a team approach of an inpatient asthma nurse practitioner (IANP), other APNs,
and unit-based RNs to provide patient and family education using individualized asthma action plans. The
education is based on 2007 National Heart, Lung, and Blood Institute/National Asthma Education and
Prevention Program guidelines, which recommend that care providers teach and reinforce asthma self-
management techniques during every care encounter. Acute care encounters are especially valuable as parents
and other caregivers are likely to want to participate in activities that prevent further emergency room visits
and inpatient stays (McCarty & Rogers, 2012).
Chapter 12 contains additional information about EBP. See also Link to Practice 21-3 for a novel
approach to encouraging EBP.
Link to Practice 21-3
Promoting Evidence-Based Practice
Nursing administrators in a hospital district in Houston hosted a Sacred Cow Contest as a strategy to
promote a culture that values clinical inquiry and to stimulate nurse interest in EBP. As part of the contest,
nurses were encouraged to challenge the routines inherent in clinical practice, such as changing bed linens
daily, performing “routine” vital signs, and the necessity for all nurses to listen to shift report on all
patients on a given unit. Nurses were asked to consciously think of activities and procedures they
performed daily and to question why the activity or procedure was necessary. When a practice was
questionable, the nurses were asked to consider if it may be a sacred cow and were asked to submit entries
challenging the practice. Sample entry categories for the contest were cash cow, mad cow, holy cow, and
put the cow out to pasture, among others. More than 100 Sacred Cow Contest entries were received from
inpatient and outpatient settings and from individual nurses as well as teams of nurses. After winning
entries were named, a message communicating contest follow-up actions was sent to the nursing staff.
Nurses were asked to adopt a sacred cow and were offered support and resources to establish EBP
workgroups on the nursing units to address the sacred cow issue identified.
Mick, J. (2011). Promoting clinical inquiry and evidence-based practice: The sacred cow contest. The Journal of Nursing Administration,
41(6), 280–284.
Summary
This chapter has provided examples of the application of specific theories, models, and frameworks in nursing
administration and management. The models, which were described along with related historical and
contemporary applications, should provide the APN with a foundation for navigating the complex, ever-
changing environment of health care organizations today and in the future.
Health care organizations of the future hold great promise for APNs, such as Greta from the opening case
study, who are willing to assume entrepreneurial and intrapreneurial roles in providing cost-effective quality
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health care. A more detailed understanding of some of these models will be necessary in certain circumstances
(e.g., as in the case study), but it is hoped that this chapter has provided a basis for further investigation for
those who need more detailed information.
Key Points
Organizational structure and design are key elements in determining efficiency and effectiveness of work
processes and quality of outcomes in health care organizations.
Shared governance is imperative to nurses controlling professional practice.
Transformational leaders bring a competitive advantage to an organization and play an important role in
cultivating healthy professional work environments.
Nursing care in the acute care setting is most often delivered using a group practice model. Attributes of the
work environment such as nurse staffing ratios and nurse educational level have significant and direct
impact on patient outcomes such as infection, failure-to-rescue, and mortality rates.
Implementation of concepts associated with patient- and family-centered care models, including dignity and
respect, information sharing, participation, and collaboration, lead to improved patient and staff
satisfaction.
Case management, disease management, and population health initiatives play crucial roles in acute care
facilities and in other models of coordinated and integrated health care models such as HMOs, MCOs,
ACOs, and PCMHs.
QI and EBP are concepts that are inextricably linked in today’s highest performing health care organizations.
Learning Activities
1. Interview a middle-level manager in a hospital to determine recent changes in span of control.
Has the span of control for the manager decreased or increased in the past 2 to 3 years? What
impact has the manager noticed related to decreased or increased span of control? What is the
manager’s preference in terms of numbers of employees in his or her span of administrative
control?
2. Have health care organizations in your area participated in mergers and acquisitions in recent
years as part of newly configured integrated systems? If so, what APN roles, if any, have been
created as a result?
3. What are the roles of APNs employed by health care organizations in QI activities in your
community? Are APNs the leaders of QI teams? What significant contributions have occurred
as a result of APN involvement on QI teams?
4. Talk with APNs who are employed in hospitals in your area. Determine the following:
a. Are the APNs unit-based? If so, what is the method of patient care delivery on the unit,
that is, primary nursing, team nursing, PFC? What are the advantages and disadvantages
to the APN role related to each of the different delivery methods?
b. Do the APNs have staff or line authority? What are the advantages and disadvantages to
the role of each type of authority?
c. Administratively, do the APNs report to a senior or middle-level manager?
d. Do any of the APNs work in a shared governance environment?
5. What roles do nurses, especially APNs, play in integrated health systems such as HMOs,
MCOs, ACOs, and PCMHs in your area? Are these nurses in case management roles? Do
they work independently or are they part of an interdisciplinary team of case managers?
6. What EBP activities have APNs in your area spearheaded? Have health care consumers
benefited?
R E F E R E N C E S
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22
Application of Theory in Nursing Education
Melanie McEwen and Evelyn M. Wills
Linda Washington is a supervisor on a surgical floor of a large teaching hospital. Her responsibilities require
her to work closely with the faculty from two area nursing schools and help place students with preceptors.
Because of her enjoyment in working with students and faculty, Linda decided that she would like to become
a nursing educator and enrolled in a master’s degree program. This semester, she is taking a course titled
“Curriculum Development and Evaluation,” and she is learning a great deal about how nursing programs are
structured and the underlying rationale. The course requires a project in which a small group of students
designs a nursing program that will meet the changing needs of the health care system and the emerging
profile of nursing students in the 21st century. Initially, this project seemed daunting for Linda and her
colleagues, and they were unsure where to begin.
During one class period, Linda’s professor explained how the curriculum of a nursing program is derived
from the faculty’s philosophy of nursing and nursing education. She explained that a conceptual framework is
then developed from the philosophy, and it is from this framework that the curriculum is built. The students
also learned that in most nursing programs, the conceptual framework is an eclectic blend of concepts and
processes, although some programs use grand nursing theories as their basis.
In a brainstorming session, Linda and her group agreed on a philosophy of nursing education, describing
what they saw as the interplay of the metaparadigm concepts and concepts and processes of teaching and
learning. But there was considerable discussion and significant differences among group members about what
other concepts or theories should be used as the basis for the curriculum framework. In addition, there was
disagreement on what would be the best teaching strategies to meet the needs of older nursing students and
students from diverse backgrounds. Some members of the group favored a structured, traditional type of
program in which the faculty member was responsible for directing learning experiences, whereas other group
members preferred to focus on less rigid instructional techniques and incorporate more web-based options and
simulation.
The discussions were enlightening, and finally, Linda’s group compromised. They would use “caring” as a
central concept and draw heavily from Jean Watson’s (1996) work to structure the curriculum. They would
also incorporate adult learning principles and technologically based instructional strategies into their program.
With these parameters in place, the group began to describe courses, write objectives, outline course
sequencing, discern outcome measures, identify teaching strategies, and set up evaluation methods.
The health care delivery system has changed dramatically during the past 15 years. Nursing practice has also
changed, requiring it to adapt to transitioning from institution-based, acute care to more community-based
care with an enhanced focus on caring for older adults and individuals with chronic conditions as well as
understanding the importance of cultural differences. Nursing education, too, must adapt to changes and
anticipated trends in health care and education. Furthermore, nursing leaders and nursing organizations who
believe that “it is the responsibility of nursing education, in collaboration with practice settings, to shape
practice, not merely respond to changes in the practice environment” (American Association of Colleges of
Nursing [AACN], 1999, p. 60).
The literature is awash with buzzwords for nursing education. Problem-based learning, lifelong learning,
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informatics, evidence-based education, quality/performance improvement, competency-based curricula,
culturally relevant care, service learning, interpersonal communication, and excellence are only a few.
Furthermore, new trends for curricula reflect increased emphasis on evidence-based practice, population
diversity, patient outcomes, health promotion, genetics, and informatics (Mueller, 2016; Pressler & Kenner,
2015; Speziale & Jacobson, 2005). Other evolving emphases in nursing education include a greater focus on
economics of health care, increasing use of simulation, along with more attention to interprofessional
educational collaborations and distance education (Institute of Medicine [IOM], 2011; Keating, 2015a;
O’Neil, 2015).
In general terms, theoretical principles, concepts, and models are used in two major ways in nursing
education. First, they are used to determine the content and organization and structure of a program’s
curriculum. Second, they are used to determine the instructional processes and strategies used by faculty to
teach students. Both of these contributions of theory to nursing education are discussed in this chapter.
Theoretical Issues in Nursing Curricula
Curriculum refers to the content and processes by which learners gain knowledge and understanding; develop
skills; and alter attitudes, appreciation, and values under the auspices of a given school or program. The
curriculum of a school of nursing typically includes philosophy and mission statements; an organizational or
conceptual framework; lists of outcomes, competencies, and objectives for the program; individual courses,
course outlines and syllabi; educational activities; and evaluation methods (Sullivan, 2016). Furthermore,
most nursing curricula specify essential nursing content and means of application in clinical practice (Keating,
2015b). Specific components of the curriculum of a given program of study are summarized in Box 22-1.
Box 22-1 Components of a Curriculum
A defined philosophy or mission statement
An organizing framework
Anticipated outcomes, competencies, and/or objectives to be achieved
Selected content with specific sequencing of the content
Educational activities and experiences to facilitate learning
Means of evaluation
Source: Sullivan (2016).
Several issues that relate to the incorporation of theoretical principles and frameworks into nursing
curricula are reviewed in this section. These include basic curriculum design, the impact of regulating
organizations on nursing curricula, components of curricular conceptual/organizational frameworks, and the
processes involved in designing and organizing nursing curricula. The section concludes with a short
discussion of current issues in nursing curriculum development.
Curriculum Design in Nursing Education
A curriculum is a “formal plan of study that provides the philosophical underpinnings, goals, and guidelines
for the delivery of a specific educational program” (Keating, 2015a, p. 1). The curriculum provides faculty
with a means of conceptualizing and organizing the knowledge, skills, values, and beliefs critical to the
delivery of a coherent program of study that facilitates the achievement of the desired outcomes (Ruchala,
2015; Sullivan, 2016).
The curricula of most nursing programs are based on the Tyler Curriculum Development Model, which
was published in 1949. Bevis (1989a, 1989b) stated that the incorporation of the Tyler model within nursing
curricula began in the 1950s and continued throughout the 1960s and 1970s. According to Bevis (1989b),
introduction of Tyler’s concepts in the 1950s, along with her first book on curriculum development (Bevis,
1973) and Mager’s (1962) publication of Preparing Instructional Objectives, led to the development of Tyler-
type curricula throughout nursing education. Eventually, the Tyler model became the primary model used in
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developing nursing curricula for all levels of nursing education—diploma, associate degree, and
baccalaureate.
The Tyler model begins with identification of the educational purposes or objectives for the program. It
then differentiates what learning experiences should be selected to attain the objectives. The third issue
addressed by the Tyler model is how to organize learning experiences for effective instruction. Finally, the
model focuses on evaluation of behaviors to determine if objectives have been met (Bevis, 1989b). The Tyler
model values effectiveness, efficiency, and predictability, and it emphasizes individualism and competition. It
assumes that knowledge consists of facts, generalizations, principles, and theories and that events or
phenomena can be explained by cause-and-effect relationships that can be deductively examined.
Nursing Curricula and Regulating Bodies
The impact of the Tyler model on nursing curricula and nursing education cannot be overstated; it has directly
influenced not only the state boards of nursing but also the accreditation process. State boards of nursing set
rules and requirements regarding nursing educational programs and curricula; these boards eventually based
criteria for licensure of nursing programs on the Tyler model (Bevis, 1987; Rentschler & Spegman, 1996).
According to Bevis (1989b), the Tyler-based curriculum development process has been translated into
essential curricular components, and without evidence of these components, state boards will not grant
program approval. The rules and regulations set by state boards of nursing typically specify content areas that
must be covered, minimum hours that must be spent by all students in clinical settings, and competencies or
skills that all students must possess at the completion of the nursing program (Boland & Finke, 2012).
Similar to the impact on state board criteria, the Tyler model has heavily influenced the framework for
accreditation by the National League for Nursing (NLN). Through the accreditation process, the NLN has had
a great impact on the development, implementation, and evaluation of undergraduate nursing curricula
(Boland & Finke, 2012). The first NLN accreditation visits were in 1939, and soon NLN accreditation
requirements became the standard for nursing education (Bevis, 1989a; Ervin, 2015). Beginning in 1972, the
NLN criteria for bachelor’s (bachelor of science in nursing [BSN]) programs included a criterion requiring
that the curriculum be based on a conceptual framework that was consistent with the stated philosophy,
purposes, and objectives of the program (Kelley, 1975; NLN, 1972; Wu, 1979). Likewise, in the 1970s,
accreditation requirements for associate degree in nursing (ADN) programs required that the “conceptual
framework of the program of learning is clearly stated and implemented” (NLN, 1977, p. 14).
Meleis (2012) observed that the recognition of the potential of nursing theories to be used as guidelines for
the conceptual frameworks of nursing curricula and programs in the 1960s and 1970s coincided with the
development of most of the nursing theories. Indeed, nursing education promoted theory development in the
search for a coherent presentation of nursing to guide and structure curricula.
Over the ensuing years, accreditation criteria changed somewhat. During this time, “the requirements for a
conceptual framework were a major source of confusion and concern among nurse educators” (Tanner, 1989,
p. 8). Because of this confusion, guidelines were changed, and since the mid-1980s, they have been more
flexible. Most recently, the Accreditation Commission for Education in Nursing’s (ACEN) accreditation
standards, for example, state that the curriculum must “incorporate established professional standards,
guidelines and competencies . . . clearly articulate student learning outcomes and program outcomes
consistent with contemporary practice” (ACEN, 2017, p. 4). Thus, although not explicitly requiring a defined
conceptual framework, some type of specific organizational strategy must be used to structure the program.
Since the mid-1990s, the AACN’s Commission on Collegiate Nursing Education (CCNE) has also been
accrediting baccalaureate and master’s nursing programs. In its accreditation standards, like the ACEN, the
CCNE does not specify an organizing framework per se. Rather, the need for a curricular framework is
implied as Standard III states that the “curriculum is . . . logically structured to achieve expected individual
and aggregate student outcomes” (CCNE, 2013, Standard III-C). See Link to Practice 22-1.
Link to Practice 22-1
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Application of Theoretical Information for Nursing Educators
Linda, the nurse from the opening case study, was surprised at the organizational structure of nursing
education as she studied the elements of teaching and of curriculum. She perused the baccalaureate
essentials of the CCNE (AACN, 2008) to learn more about requirements for BSN education. As the
nursing program she was attending was preparing for accreditation, she asked to be allowed to attend
faculty meetings to gain more insight into the process. The chair of the committee welcomed Linda to the
accreditation preparation meetings, and her attendance formed an informative learning experience
regarding curriculum design and instructional strategies.
Access the CCNE website at http://www.aacn.nche.edu/education-resources/essential-series to learn
more.
Conceptual/Organizational Frameworks for Nursing Curricula
A well-developed and articulated theoretical or organizational framework gives a nursing program the
perspective that shapes the content and the methods that guide students’ learning; eventually, the content and
methods presented will have an impact on nursing practice (Iwasiw & Goldenberg, 2015; Keating, 2015a). A
theoretical basis provides the foundation that helps nursing students define their professional philosophies and
values. It identifies and describes essential concepts and significant problems and suggests approaches to
structure and methods that the student may use in continuing to develop their knowledge. Additionally, the
theoretical framework or model for the nursing program can influence the means by which material is
presented and the methods by which learning is evaluated. Barnum (1998) wrote that theoretical principles
drawn from a number of sources directly affect a curriculum whether faculty members recognize it or not.
Indeed, a nursing curriculum conveys a theory (or theories) of nursing by virtue of the content selected.
As mentioned previously, the conceptual or organizational framework of a nursing program should be an
outgrowth of the philosophy of the faculty, which typically reflects the faculty’s philosophical beliefs about
the metaparadigm concepts (Keating, 2015b; Sullivan, 2016). The interrelationship of these concepts is the
basic organizational framework of the curriculum, and as the concepts are further defined within the
framework, the curriculum becomes established. Additional concepts and theories selected to comprise the
conceptual framework are likewise taken from the philosophy (Sullivan, 2016).
According to Bevis (1989a), a curriculum conceptual framework is an “interrelated system of premises
that provides guidelines or ground rules for making all curricular decisions—objectives, content,
implementation, and evaluation” (p. 26). The conceptual framework may be referred to as the curriculum
framework, the framework for curriculum development, the conceptual system, the curriculum theory, a
theory of education, or the theoretical framework, but regardless of the name, it is the conceptualization and
articulation of concepts, facts, propositions, postulates, theories, and variables relevant to the specific nursing
program.
Purposes of the Conceptual Framework
The conceptual or organizational framework for a curriculum serves several purposes. First, it allows faculty
to determine what knowledge is important to nursing (i.e., the concepts, principles, skills, and theories to be
covered) and how that knowledge should be defined, categorized, and linked with other knowledge. It also
helps explain how these ideas or concepts apply to nursing practice. Second, the conceptual framework
facilitates the sequencing and prioritizing of knowledge in a way that is logical and internally consistent.
Thus, organizing frameworks provide faculty with a blueprint for construction of a cohesive curriculum to
give students the essential learning experiences which will allow them to achieve the desired educational
outcomes (Sullivan, 2016).
Designing a Curriculum Conceptual Framework
Sullivan (2016) stated that there are two approaches to determining or developing an organizational
framework for a nursing curriculum. Faculty members may choose a single, specific nursing theory or model
on which to build the framework, or they may choose a more eclectic approach, selecting concepts from
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http://www.aacn.nche.edu/education-resources/essential-series
multiple theories or models. She explained that use of a single theory to develop the conceptual framework
helps by providing a single image with a defined vocabulary that is shared by both the learner and the teacher.
Newman (2008) agreed and wrote that using nursing models as the framework for baccalaureate nursing
education would assist with identification of the essential knowledge of the discipline and strengthen the
purposefulness of nursing knowledge in education and practice. When a single theory is used as the
framework, the faculty will adopt and perhaps adapt the theory and use its definitions and relationships to
structure and organize content.
Several articles in the nursing literature describe the use of nursing theories as the basis for the curriculum
framework of nursing programs. In one example, Berbiglia (2011) provided a detailed explanation of how
Orem’s Self-Care Deficit Theory (SCDT) can be used as the conceptual framework in BSN programs. Also
focusing on Orem’s SCDT, Secrest (2008) described the process of tool development in an Orem-based
curriculum and the role of faculty in bringing a curriculum revision to fruition. Beckman, Boxley-Harges, and
Kaskel (2012) discussed the processes used by faculty at their nursing program as their program transitioned
from an associated degree program to a BSN program using the Neuman Systems Model as the curricular
framework.
To avoid being constrained by a single nursing theory or model, most faculty choose an eclectic approach
that combines many theories and concepts in framework development (Keating, 2015b; Sullivan, 2016).
Often, two or three organizing themes are used to build a curriculum grid. These themes can be variables,
such as life phases, body systems, and the nursing process.
If the eclectic approach is taken, a combination of many theories, concepts, or processes is used, and
borrowed concepts must be specifically defined for the program. Relationships between and among the
concepts must also be explained. On the other hand, an advantage to an eclectic approach is the ability to
incorporate concepts and definitions that best fit the faculty’s beliefs and values (Sullivan, 2016).
Several years ago, McEwen and Brown (2002) completed a large-scale, nationwide study that examined
the curricular frameworks of BSN, ADN, and diploma nursing programs. The findings illustrated trends at
that time in structuring the conceptual frameworks of nursing curricula. In general, the nursing process was
the most commonly used component of conceptual frameworks for nursing curricula, being used by 55% of
all programs. Simple-to-complex organization (37% of all programs), a biopsychosocial model (36% of all
programs), and nursing theorists (33% of all programs) were the other most frequently reported components.
Of those identifying a nursing theory as part of the conceptual framework, the most commonly reported
nursing theorists were Orem, Roy, Watson, Neuman, and Benner. The most commonly used non-nursing
theories reported were systems theory, Maslow’s and Erickson’s theories, and adaptation.
Components of the Curricular Conceptual Framework
The two major areas to be addressed during development of a curriculum framework are as follows: (1) What
concepts will be covered? (2) What will be the structure, ordering, or sequencing for introducing the concepts
and delineating the relationships between and among them?
Curriculum Concepts. Once a conceptual framework for a nursing program is agreed on, the task is to
identify the major elements or concepts that will appear and reappear as “threads” at each level of the
curriculum and thus provide a basis for the organization and sequencing of content. Most undergraduate
nursing conceptual frameworks minimally describe the concepts of health, person, environment, and nursing.
Other concepts, such as caring, self-care, growth and development, nursing process, and adaptation, may be
added to expand or clarify the framework. Each of the central concepts should be defined, and the linkages
between and among the concepts should be explained to unify or interrelate the details.
The conceptual framework may then use additional constructs or devices to help structure or organize the
material. It may use developmental stage, acute/chronic concepts, health/illness continuum, settings, or the
nursing process as the chief organizer. In addition, “process threads” or themes are usually present throughout
the curriculum. These might include the nursing process, problem solving, interpersonal relationships,
communication, research, change, and teaching. Each of these constructs or devices should also be defined
and explained.
Curriculum Structure or Sequencing. The curriculum is designed to provide a sequence of learning
experiences that will enable students to achieve desired educational outcomes. Content may be structured or
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organized based on such variables as location (e.g., hospital, clinics, community), developmental stage (e.g.,
infant, child, adolescent, adult, older adult), or physiologic systems (e.g., musculoskeletal, gastrointestinal,
cardiovascular, reproductive). Factors to be considered in sequencing the curriculum include consideration of
the relationships among the concepts and the sequences in which the content should be ordered so that the
organization supports the selected relationships. The conceptual properties (attributes) of the concepts to be
learned, and the sequence in which the content is ordered, should be logically consistent. Table 22-1 gives
examples of how sequencing can be used to organize courses based on several parameters (i.e., metaparadigm
concepts, attributes of the person, subconcepts, activities, and complexity).
Table 22-1 Methods for Sequencing Used in Nursing Curricula
Basis of Sequencing Beginning Level Intermediate Levels Final Level
Sequencing based on
metaparadigm
concepts
Introduction to the
concepts and
discussion that there
are interrelationships
Focus on relationship between
person(s) and nursing; move
toward focus on interrelationships
of person(s), nursing, and health
Focus on
interrelationship of all
concepts (persons,
nursing, health,
environment)
Sequencing based on
the attributes of
person(s)
Concept of
personhood
established
(individual, family,
community)
Focus on individual; move to
focus on family and groups
Focus on community
Sequencing based on
relationships of
concepts
Person (individual,
family, community)
identified; nursing
focused on
restoration,
maintenance, or
promotion; health on
a continuum;
environment is
controlled.
Focus on relationship of
individual and the nursing goal of
health restoration; environment is
controlled. Move to focus on
nursing of family and/or groups
and the goal of health
maintenance; environment is less
controlled.
Focus on relationship
of community and the
nursing goal of health
promotion;
environment is open
and less confined.
Sequencing based on
activities
Student is an
observer.
Student is an observer-participant. Student is a
participant-
practitioner.
Sequencing based on
complexity
Examines health care
environments with
few variables
Examines health care
environments with many
variables
Examines health care
environments with
complex variables
Source: Scales (1985).
In most programs, sequencing moves from concepts that are relatively simple to concepts that are more
complex or from wellness to progressively serious illnesses (Keating, 2015b). It has been noted that both of
these organizational strategies can be problematic because the self-evident needs of the ill client(s) may be
easier for the novice nurse to recognize and understand than the more subtle health needs of the well client(s)
(Scales, 1985).
Patterns of Curricular Conceptual Frameworks
There are two common patterns of curriculum organization in nursing programs. Probably the more common
one is that of blocking course content. When courses are blocked, content is generally structured around a
particular clinical specialty area, client population, or body systems. In this organizational scheme, content
can be organized according to specific practice settings (e.g., medical-surgical nursing, mental health nursing,
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critical care nursing), developmental stages (birth, infancy, childhood, adulthood, older adult), or body
systems (e.g., respiratory system, circulatory system, digestive system). This approach produces a curriculum
that is highly structured (Sullivan, 2016).
Sullivan (2016) explained that blocking has some advantages because it facilitates course assignments and
complements faculty expertise. Also, in a blocked course design, it is easy to trace placement of content
within the curriculum. However, there are some concerns. Blocking of content often causes the content to
become isolated from previous or following courses. This may impede the student’s ability to integrate
knowledge and to transfer concepts, information, and expertise across courses. Another concern is that each
area is self-contained and based on a different set of premises because every major block of study is derived
from a different theoretical base. For example, Barnum (1998) explained that fundamentals of nursing focuses
on skills, medical-surgical nursing focuses on body systems, obstetrics is a life event–based specialty,
psychiatric nursing is based on client behavior, and public health nursing is based on principles of
epidemiology.
The second curriculum pattern is that of integrating or threading course content. Integrating course
content is a more conceptual approach to curriculum design. In the integrated curriculum, faculty members
identify concepts considered core to nursing practice and then integrate or thread these concepts throughout
the curriculum. A nursing theory, for example, may be used to define core concepts across the program.
Concepts that are frequently integrated include life span development, nutrition, and pharmacology (Sullivan,
2016).
Current Issues in Curriculum Development
There have been several recent shifts in nursing curricula. First, increasingly, community-based and
population-focused components are being added to basic curricula. This has been encouraged by changes in
the health care delivery system that has moved much of patient care out of the acute care hospital. With that
shift, there has been a growing tension between curricula that focus on technology and pathophysiology and
those that focus on a more humanistic, holistic concept of nursing. Other recent changes in nursing education
involve less focus being given to skills and tasks, with a corresponding increased focus on the integration of
content and problem-solving strategies and concept-based curricula (Cannon & Boswell, 2012; Duncan &
Schulz, 2015; Hardin & Richardson, 2012).
Nursing educators recognize that the content, concepts, principles, and theories taught in nursing programs
should be regularly updated. For example, there has been attention given to strengthening nursing curricula,
particularly in the areas of spiritual care (Burkhart & Schmidt, 2012; Taylor, Testerman, & Hart, 2014), safety
and quality (Bednash, Cronenwett, & Dolansky, 2013; Monsivais & Robinson, 2016; Pauly-O’Neill, Cooper,
& Prion, 2016; Ross & Bruderle, 2016), genetics (Fater, 2014; Giarelli & Reiff, 2012; Jenkins & Calzone,
2014), gerontology (Gray-Miceli et al., 2014; Skiba, 2012), informatics (Choi & De Martinis, 2013; Weiner,
Trangenstein, Gordon, & McNew, 2016), and end-of-life care/palliative care (AACN, 2016; Josephsen &
Martz, 2014). A number of areas in which enhanced content in nursing programs should be addressed to meet
current and future health care needs have been identified in the nursing literature (Lewis, 2012; Stokowski,
2011). Box 22-2 summarizes these.
Box 22-2 Concepts and Content Areas to Enhance in Nursing Education
Geriatrics/gerontology
Patient-centered care
Evidence-based practice
Cultural diversity and health disparities
Spiritual care
Technology (informatics, electronic medical records, telehealth)
Globalization of health problems (threat of spread of diseases)
Alternative or complementary therapies
Genetics and genomics
Palliative care/end-of-life care
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Population health
Health care reform and reimbursement
Health policy and regulation issues
Safety/quality
Leadership
Ethics
Theoretical Issues in Nursing Instruction
To accommodate changing student profiles and address the needs of students from different generations (e.g.,
baby boomers, generation X, millennial), students from a variety of cultural backgrounds, students with
family responsibilities, and students from remote or rural areas, nursing educators have observed that changes
or modifications in methods of instruction are warranted. To this end, new teaching strategies, based on sound
educational theories and research, should be developed and promoted.
What is taught in nursing programs can be divided into three categories: (1) cognitive content, (2)
psychomotor tasks, and (3) application of content and skills in nursing practice. Cognitive content refers to all
of the information the nurse learns as background for functioning (e.g., anatomy, physiology, pathology,
psychology, medical procedures, nursing techniques). Psychomotor tasks are the acts or skills nurses perform
according to a given rationale by applying accepted techniques (e.g., administering medications, changing
dressings, inserting intravenous lines). Application of cognitive knowledge and skills involves recognizing
and interpreting phenomena in the clinical setting and adapting care based on the interpretation.
Teaching strategies are different for each of the three areas. Cognitive content is easily transmitted through
a variety of means: lectures, discussions, programmed learning, or reading assignments. Acquisition of
cognitive content can be achieved in the absence of skilled teaching if another source of information (i.e., a
textbook) is available. Psychomotor skills require demonstration, return demonstration with corrective
feedback, and skill development through practice. Learning to apply cognitive knowledge and psychomotor
skills in practice is the most complex learning task and takes time as learning accumulates from multiple
clinical experiences in varied settings. Increasingly, simulation is being utilized to develop and refine
psychomotor skills.
The following sections examine two major issues in nursing instruction. These are incorporation of
multiple theory-based strategies in teaching and the use of technology in nursing education. Use of multiple
teaching strategies is important to enable nursing students to attain cognitive content and psychomotor skills
and, most importantly, enable them to apply these in clinical settings. Technologic instruction is included
because it is becoming increasingly important in nursing education, and the use of distance education methods
has become commonplace in nursing education, particularly in graduate programs (Russell, 2015).
Theory-Based Teaching Strategies
To best meet the learning needs of students at the beginning of the 21st century, nursing educators are
encouraged to move beyond reliance on traditional techniques of lecture and reading assignments to
incorporate other teaching strategies that are based on sound theoretical principles. Some theoretically based
strategies suggested by Barnum (1998) are dialectic learning, problem-based learning, operational instruction,
and logistic teaching. Each of these strategies is presented in this section, along with examples from the
nursing literature showing how they have been applied in education.
Dialectic Learning
Traditional dialectic teaching leads students to develop and expand their own thoughts on a given subject,
primarily through the use of well-constructed questions. Questioning can lead to demonstration of
inconsistencies in, or contradictions to, the student’s position. In dialogue, the student moves from a narrow
conception of the subject matter to a broader and more comprehensive understanding that encompasses more
events and more complexities. Dialogue often results in self-revelation because the student is required to think
through issues while considering answers to complex questions (Barnum, 1998).
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Application to Nursing. Dialectic teaching is used frequently in nursing education. For example, it is
commonly used in clinical situations and postclinical conferences. Dialectic teaching has shown to be
effective in updated examples of clinical postconferences as described by Schams and Kuennen (2012) and
Yehle and Royal (2010). In other examples of dialectic strategies, Brown and Schmidt (2016) explained how
a service-learning project used dialogue to develop critical thinking in postconferences, and Kowalski and
Horner (2015) reported on the effectiveness of discussions when using a “flipped classroom” approach rather
than a lecture format.
Problem-Based Learning Strategies
Problem-based learning (PBL) involves the use of predefined clinical situations and case studies to enhance or
stimulate students to acquire specific skills, knowledge, and abilities (Phillips, 2016). Simulated clients may
be used, or the student might be given a real problem in an actual clinical case; the objective of PBL is to
determine how to manage the person’s care.
PBL allows the instructor to manipulate multiple variables to add increasingly complex issues or
circumstances that must be considered in problem resolution. For beginner students, the teacher may identify
the problems but let the students seek solutions. Or the teacher may use the case as a problem-seeking
exercise, teaching students how to find the important facts among the array of available data (Barnum, 1998).
In addition, PBL encourages self-direction, interpersonal communication, and use of information
technology. Typically, small groups of students work together in self-directed teams; the case studies
challenge them to improve their critical thinking capabilities, learn self-evaluation strategies, and promote
communication among peers (Bentley, 2004; Phillips, 2016). Although it is an effective learning strategy,
PBL can be time-intensive to implement because it requires faculty to develop realistic scenarios that usually
focus on problems encountered by a single individual and/or family in a changeable clinical situation
(Bentley, 2004).
Application to Nursing. PBL techniques are commonly used in nursing education. For example, Hodges and
Massey (2015) explored the effects of PBL on an interprofessional course looking at the interdependence of
nurses and pharmacists. They determined that the PBL activities allowed the students the “opportunity to
explore professional interdependence while mastering fact-based content” (Hodges & Massey, 2015, p. 205).
In another example, Atherton (2015) used PBL activities in teaching mental health nursing students,
concluding that PBL should be considered as an alternative to the usual didactic teaching processes. Finally,
Martyn, Terwijn, Kek, and Huijser (2014) found that PBL-based learning activities enhanced beginning
nursing student’s readiness for critical thinking.
Operational Teaching Strategies
Operational teaching strategies focus on presenting various perspectives regarding an agent or issue. A
symposium that uses speakers with different perspectives on the same subject matter or a debate is an
example. Other operational strategies focus on providing different or atypical activities for the learner. Using
educational games or viewing nonmedical videos for illustration is considered to be operational teaching
activities (Barnum, 1998).
Application to Nursing. Many nursing faculty use operational teaching techniques to make learning more
interesting and enjoyable and to provide a different perspective on a particular topic (Herrman, 2011; Robb,
2012). Use of games to enhance students’ decision making, critical thinking, and teamwork was described by
Stanley and Latimer (2011). In other examples, Thomas and Schuessler (2016) used games and humor along
with case studies to improve nursing student outcomes in a pharmacology course. Similarly, a group led by
Day-Black, Merrill, Konzelman, Williams, and Hart (2015) used “serious games” as one strategy for teaching
students in an online community health nursing course. Use of movies, films, and television as a method to
engage nursing students was described by several nursing educators (McAllister, 2015; Oh, De Gagné, &
Kang, 2013; Wilson, Blake, Taylor, & Hannings, 2013).
Logistic Teaching Strategies
Logistic teaching strategies are based on the concept of mastery of sequential learning. Logistic teaching
techniques generally divide the material to be learned into learning sequences, where acquisition of one
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section of the material is a necessary prerequisite to acquisition of another component. Logistic strategies
teach the student clearly defined components and provide for reinforcement and testing of each component as
the program progresses. As sections of the material are added and related to each other, knowledge
accumulates (Barnum, 1998).
Formative testing is a logistic teaching strategy because a course is conceived as consisting of separate and
definite units and tests are constructed to measure attainment of each unit. Other strategies include use of self-
instructional modules and portfolios; these are typically logistic in nature because they follow a pattern of
assembling information that is built on previously explained material (Phillips, 2016).
Application to Nursing. Logistic or sequential teaching is common in nursing curricula and has been
effective because courses are sequenced and must be passed, and objectives or outcomes met, before students
can progress to the next course or level. Examples from recent nursing literature include a work by Wassef,
Riza, Maciag, Worden, and Delaney (2012), which described a mechanism in which graduate students were
required to maintain and periodically submit electronic portfolios to document academic progress. Also
describing how portfolios can be used effectively as summative assessment for nursing student progression
were Hill (2012) and Smith and McDonald (2013). Use of modules to promote learning was described in
several situations. Examples include using a modular format to teach ethics to undergraduate BSN students
(Hsu & Hsieh, 2011), graduate students about complementary and alternative therapies (Swanson et al.,
2012), and disaster management for public health nurses (Chiu, Polivka, & Stanley, 2012).
Use of Technology in Nursing Education
The use of technology-based distance learning methods, such as the Internet and interactive
videoconferencing, has become widespread in nursing programs. In addition, computer-assisted instruction,
which has been available since the early 1990s, is becoming more sophisticated and much more widely used
in nursing education.
Three main types of technology-based educational methods are available to nursing educators. Interactive
distance learning includes the use of two-way video and audio broadcasts carried over telephone lines.
Internet courses with interactive video classrooms now are broadcast from colleges and universities to which
students in widely dispersed geographic locations can participate. This technology, called synchronous
delivery, requires that teacher and student be available to each other simultaneously (Friesth, 2016). Another
interactive distance learning technique uses virtual classrooms that are available to students who have Internet
carriers. These interactive virtual classrooms are available at all hours via a server. Finally, computer-based
virtual reality simulations allow students under the guidance of the nursing educator to rehearse psychomotor
interventions in realistic nursing situations prior to placing the patient into the learning situation as what
happens in a practicum (Cannon & Boswell, 2012).
Familiarity with both synchronous (immediate or real-time access) and asynchronous (delayed access)
technology makes it possible to use multiple teaching strategies. Virtual classrooms may combine both
synchronous and asynchronous technology. Synchronous technology (e.g., videoconferencing, chat rooms,
and real-time online classrooms) allows students to have personal contact with the instructor with immediate
feedback, similar to face-to-face instruction, although the depth of the discussion may suffer. Asynchronous
technology permits students to fit learning into their busy lifestyles. Asynchronous methods allow students to
answer in greater depth because they have time to consider an answer.
Synchronous methods, such as videoconferencing, offer slightly more traditional pedagogy than strict
reliance on Internet delivery, as the instructor is seen and heard and, through multiple media, can present a
broad and diverse lecture format. Depending on the depth and difficulty of the materials, students may
respond less frequently in the video classroom than on a chat facility in the virtual classroom. Use of both
synchronous and asynchronous methods supports adult learning more effectively than any single method
alone.
Virtual reality simulation is an innovation in clinical skills education and often employs use of high-
fidelity human patient simulators. Some of these computerized mannequins produce motion and sounds that
allow realistic situations as students practice assessing, planning, and carrying out interventions. The faculty
preprogram the simulator with clinical situations to allow students to practice skills in a patient-safe
environment (Cannon & Boswell, 2012; Jeffries, Swoboda, & Akintade, 2016).
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High-fidelity patient simulation is the closest thing to virtual reality currently being widely used in nursing
education. High-fidelity simulation typically consists of a mannequin and the apparatus within, which is
programmed and accessed using a laptop, desktop, or handheld computer. Several current models simulate
patients of all ages providing students with opportunities to assess heart, lung, and bowel sounds and initiate
interventions to deal with multiple situations and patient responses (Bussard, 2016; Jeffries, 2012; Jeffries et
al., 2016).
Issues in Technology-Based Teaching
Several issues should be considered when applying technologic innovations in nursing instruction. Instructors
who use distance education by electronic modalities should be familiar with the technology at the user level
and must carefully design courses for students involved in self-paced, independent study. Furthermore, faculty
using electronic educational methods should be familiar with principles of adult learning (Knowles, 1980)
when constructing the curricula and the course work for electronic delivery.
Institutional issues include the provision of the technology, software, and facilities for its use (Thompson,
2016). Faculty responsibilities include design or modification of the curriculum and the course content to
reflect technology-based delivery. Other faculty concerns are the type of media to be used, faculty–student
interaction, technology management, student evaluation, and faculty and course evaluation (Cannon &
Boswell, 2012; Horsley & Wambach, 2015; Jeffries, 2012; Lubbers & Rossman, 2017; Woda, Gruenke, Alt-
Gehrman, & Hansen, 2016).
Debriefing is considered to be an essential part of the clinical simulation learning process. During
debriefing, students and educators can review what went on in the simulation, and the educator can correct
any missed information or give positive feedback to the students (Padden-Denmead, Scaffidi, Kerley, &
Farside, 2016; Page-Cutrara & Turk, 2017).
Numerous platforms are available to educators that permit multiple methods of interface between the
teacher and student. These programs allow students to gain access to the course materials on their own
schedule and to have real-time experiences with the instructor, such as is found in a chat facility or on a
synchronous and telephone-based format such as Skype. Some also allow testing and provide security
parameters to authorize only the teacher and student to have access to the student’s records. E-mails, blogs,
Twitter feeds, wikis, and social media formats permit messages between instructor and students and among
students or groups of students through password-protected means. It is incumbent to mention that any
information that should not be distributed to the public should not be shared through these media.
To take advantage of electronic teaching methods, the instructor must become proficient in multiple
methods of conveying content and should be prepared to apply appropriate learning theories. Technology-
based education embraces adult educational principles. Indeed, the content is presented in useful form, the
immediacy of the student’s need for knowledge is supported, and the student’s ability to rely on previous
knowledge base to provide a foundation for his or her questioning are all present in the typical interactive
web-based classroom. The use of multiple ways of presenting the material in a course conducted using
interactive technology-based education/learning creates the stimulus for learning and expands the educator’s
abilities in conveying course content.
Although the rewards of teaching by electronic methods are many, there are also issues of which faculty
who are teaching online courses should be made aware. For example, distance methods such as web-based
teaching may require more time than in-class, face-to-face strategies (Andersen & Avery, 2008; McAfooes,
2016). The necessary time to spend on this activity is becoming more recognized but has still not been
adequately addressed by educational administrators. Preparation time expands including the time necessary to
learn new electronic teaching methods. Indeed, the time that instructors invest in teaching online courses can
be overwhelming to both novices and experienced educators.
The advantage of web-based instruction is that communication can be carried on all hours of the day, 7
days weekly, by web-based classroom, virtual chat, discussion boards, e-mail, fax, and telephone (McAfooes,
2016). Although the educator becomes a facilitator of adult education and the strategies are organized to take
advantage of the self-directed, independent nature of the learners, the educator soon learns it is important to
manage time to avoid becoming overwhelmed (Friesth, 2016; McAfooes, 2016). Educators who are
contemplating using web-based teaching–learning strategies should consult with seasoned faculty mentors.
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They should be encouraged to take advantage of their experience with the methods of delivery for electronic
education, peruse the literature about the issues of time and recognition, and negotiate from a position of
knowledge to obtain the required time and promise of recognition.
Application to Nursing. Although technology-based instruction in nursing is relatively new, an increasing
number of examples have appeared in the literature describing how technology is being used in nursing
education and discussing successes and lessons learned. Because simulation has become widely used, the
literature is full of examples describing how it can be used in many aspects of nursing education. For
example, Burbach, Barnason, and Thompson (2015) used a “Think Aloud” strategy with baccalaureate
nursing students to capture their clinical reasoning as they took part in a clinical simulation. Their findings
suggested that simulation was an excellent way to assess students’ clinical reasoning as they performed skills
in a simulated clinical environment. In another example, Strickland and March (2015) used an experimental
design to quantify the impact of simulation on didactic learning and high stakes examination outcomes. They
found that examination scores of the students who had participated in the simulation were higher than of those
who had not.
In a third example, Dame and Hoebeke (2016) developed an end-of-life-care simulation in which they
measured pre- and post-simulation attitudes toward care of the dying of sophomore nursing students. They
found that student attitudes toward caring for dying patients improved after the simulation. Bussard (2016), in
a qualitative descriptive study, found that videotaped high-fidelity simulations assisted students in self-
reflection on their practice. Video-recorded simulations benefitted the students in their developing clinical
judgment.
Finally, McPherson and MacDonald (2017) blended simulation-based learning with interpretive pedagogy
in a leadership course and found that students moved from merely knowing theories to more effectively
applying leadership principles in action.
Through these research studies and many others, it is evident that many iterations and combinations of
integrated, participatory simulated experiences are effective teaching strategies in nursing. As these
educational experiences are developed, however, faculty must ensure that they use appropriate learning
theories and recognized and evidence-based teaching strategies.
Summary
This chapter has presented two major areas relevant to the use of theoretic principles and models in nursing
education: curriculum design and instruction. In the opening case study, Linda and her classmates learned that
it is necessary to have a sound, identified theoretical base to serve as the framework for a nursing program.
They also recognized that it is important to select multiple teaching strategies to deliver the material in a
manner that will best support student learning.
Likewise, it is essential that all nurse educators be aware of how theoretical principles are used in
education. They should be able to articulate the conceptual framework of their program and recognize how the
framework shapes the program. Nursing educators should also use multiple strategies and techniques for
instruction to enable students to develop their knowledge base and to develop critical thinking abilities and
problem-solving skills.
Finally, nursing educators should recognize that technology will play an increasingly important role in
nursing education and be prepared to incorporate tested distance education methods and virtual reality
simulation into instruction.
Whether the focus is continuing education of practicing nurses or fundamental education of students of the
discipline at any level, modern teaching and learning methods make educational efforts more available to a
wide variety of individuals with a variety of educational and learning needs, at times when the students are
most available, in widely distributed areas of the country. It is therefore imperative that nursing educators
understand relevant principles and theories to address these needs.
Key Points
Curricula are created by faculty to fulfill their ideals of nursing education and to provide the community with
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effective, safe, well-educated nurses.
Curricula are best organized around a guiding principle, be it a nursing theory or a collection of nursing and
shared theories; the outcome is to provide the students with intellectual and clinical development as
professional nurses.
Nursing programs are evaluated and accredited by several bodies, including the state boards of nursing, the
AACN’s CCNE, and the ACEN.
Teaching methods should be theory- and evidence-based to enhance learning.
Innovations such as critical thinking, PBL, and simulation are part of many nursing curricula.
Learning environments have evolved. Today, they include fully face-to-face, in-class learning; hybrid
models in which some content is presented via web-based methods; and totally web-based courses in which
all of the content is presented online.
Learning Activities
1. Following the example of Linda, the nurse from the opening case study, work with other
students to outline the curriculum for an undergraduate, prelicensure nursing program or a
program to prepare advanced practice nurses. Start with development of a curricular
framework and identification of the key concepts and content for the curriculum.
2. Select one of the courses in a nursing program and modify it to be delivered using some type
of distance learning (e.g., Internet delivery, such as podcasting, or other innovative online
methods). How will presentation of the material be accomplished? How will students interact
with each other and with the instructor? What activities will be added? What activities will be
deleted?
3. Search recent nursing literature for research on technology-based nursing education. Do these
techniques appear to be as effective as traditional class work in ensuring that students achieve
the goals or competencies of the nursing program? What are the strengths and weaknesses of
the research you have found?
4. Discuss the use of patient simulators in clinical nursing staff education. Consider the cost and
upkeep of the equipment for simulators and faculty training and education and the need for
technical support of the equipment.
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23
Future Issues in Nursing Theory
Melanie McEwen
Rebecca Jackson will graduate from a master’s program in nursing in only a few weeks. She has learned a
great deal about nursing practice, research, administration and management, and education from the various
courses she has taken, and she is enthusiastic about the career opportunities she is considering. When she
started the program, she was confident that she wanted to become a nurse administrator, but midway through
her studies, she decided to focus on research. She ultimately wants to get a doctorate and become an educator
and researcher.
Currently, Rebecca is working as a clinical supervisor at the public health department in a major
metropolitan area. In the 10 years Rebecca has been with the health department, she has witnessed tremendous
growth in the diversity of the population served. There are immigrant families from several Spanish-speaking
countries as well as from the Southeast Asian countries of Cambodia, Laos, Vietnam, and Philippines.
Recently, there has been an influx of refugees from Iraq, Syria, Bosnia, and Eastern Africa. Rebecca is
intrigued by these groups’ divergent perceptions of health and ways to promote health. Furthermore, she is
concerned with communication issues and how to motivate health promotional practices. She has determined
that this is particularly important in working with children and in teaching parents ways to improve their
health.
In her position, Rebecca has had several opportunities to be involved in funded research. At present, she is
working with a sociologist, an anthropologist, a clinical psychologist, and an epidemiologist to write a grant
for a research project that will examine and compare health beliefs, health practices, and health promotional
behaviors among various cultural groups in the city. The study will have multiple levels and phases and will
incorporate both quantitative and qualitative data collection techniques and analysis.
Rebecca helped develop the conceptual framework for the study, which combines aspects of the Health
Belief Model and Leininger’s Culture Care Diversity Theory (McFarland & Wehbe-Alamah, 2015). The
framework identifies cultural beliefs, practices, and values and incorporates them with knowledge of health
threats and perceptions of illness severity, seriousness, and value for taking action. The researchers expect that
the information provided by the study will allow the health department to develop a series of health programs
that are sensitive to the needs, beliefs, and practices of the many cultural groups in the department’s
catchment area.
During the last two decades, a number of shifts occurred in the demographic patterns of the United States.
This has been coupled with major changes in the health care delivery system and changes in the causes of
illness, disability, and death. The Patient Protection and Affordable Care Act of 2010 (ACA) has contributed
to the growing emphasis on health care financing, community-based care, health promotion, and access to
care. Additionally, further legislative efforts to “repeal and replace” or radically “overhaul” the ACA are
under consideration. Significant cost reductions, restructuring of health care services, and growth in integrated
health care systems using managed care strategies are anticipated. Concurrently, the increased severity of
illness among persons in inpatient facilities and the increased incidence of chronic illnesses, particularly in the
growing number of older adults, have taxed the health care system. Box 23-1 describes current and future
health care challenges that the discipline of nursing and nursing science must recognize, understand, and
471
address (Institute of Medicine [IOM], 2011, 2016).
Box 23-1 The Future of Nursing—Health Care Challenges
In The Future of Nursing, the Institute of Medicine (IOM, 2011) identified five major “health care
challenges” facing the U.S. health care system in the 21st century. These are:
Chronic conditions (e.g., diabetes, hypertension, arthritis, cardiovascular disease, and mental health
conditions): Prevalence of these conditions is expected to increase and to be exacerbated by growing rates
of obesity.
Aging population: The proportion of the U.S. population aged 65 years and older is expected to grow from
12.7% in 2008 to 19.3% in 2030. This will dramatically affect the demand for health care services.
Diverse population: Minority groups are projected to increase from about a third of the U.S. population to
54% by 2042. Diversity involves various ethnic and racial groups, language, immigrant status,
socioeconomic status, and other cultural features.
Health disparities: Inequities in the burden of disease, injury, or death experienced by socially
disadvantaged groups. Health disparities are not only partially caused by deleterious socioenvironmental
conditions and behavior risk factors but may also be influenced by bias that results in unequal, inferior
treatment.
Limited English proficiency: Related to the increasingly diverse population is the problem of limited
English proficiency. To be effective, health information must be accessible, understandable, and culturally
relevant. Limited English proficiency and varying cultural and health practices contribute to the complex
challenges that health care providers must address.
In the face of system-wide changes associated with implementation and revision of the ACA and other
initiatives, major problems remain and must be addressed. For example, the health care system is not designed
to provide convenient care to all who need it. The system is organized according to physicians’ specialties and
schedules, not according to the needs of their patients. Hospitals are used inappropriately, with access to care,
supplemental insurance, and home care services still unevenly distributed.
There is also a growing need for health care providers, including nurses, who can meet the challenges of
the changing system and evolving health and illness patterns. Nurses of the future must be capable of ensuring
access to care and promoting high-quality outcomes. The American Association of Colleges of Nursing
(AACN, 2008) has described the skills and practice capabilities currently expected for nurses (Box 23-2). In
short, essential competencies include critical thinking and clinical judgment skills, ability to work in a variety
of health care settings and with patients who have complex health problems, effective organizational and
teamwork skills, understanding of evidence-based care, recognition of the influence of culture on health and
ability to care for individuals from diverse backgrounds and across the life span, and a commitment to
personal accountability and professional development.
Box 23-2 Competencies and Skills Needed by Generalist Nurses
Practice from a holistic, caring framework.
Practice from an evidence base.
Promote safe, quality patient care.
Use clinical/critical reasoning to address simple to complex situations.
Assume accountability for one’s own and delegated nursing care.
Practice in a variety of health care settings.
Care for patients across the health–illness continuum.
Care for patients across the life span.
Care for diverse populations.
Engage in care of self in order to care for others.
Engage in continuous professional development.
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Source: AACN (2008).
The IOM’s (2011) publication on The Future of Nursing has been viewed as a challenge and strategy to
(1) make quality health care accessible to the diverse populations of the United States, (2) intentionally
promote wellness and disease prevention, (3) improve health outcomes, and (4) provide compassionate care
across the life span. The IOM describes a future health system in which:
Primary care and prevention are central drivers.
Interprofessional collaboration and coordination are the norm.
Payment for services rewards value rather than volume.
Quality care is affordable for individuals and society.
To plan for the future health care system, the discipline of nursing should give increasing attention to
related theories, concepts, and models. Among these are primary health care (as opposed to “illness care”),
health promotion, health protection, motivation, health as a resource for everyday life, health economics,
patient safety, and quality of life. Frameworks for practice will embrace community-based and community-
focused care, changing identification of the client (population/aggregate/group vs. individual),
interprofessional collaboration, noninstitutional care settings, innovation, technology transformation, and
multiple levels of decision-making authority (Bodenheimer & Grumbach, 2016; IOM, 2016; Porter-O’Grady
& Malloch, 2015).
This chapter describes the current state and some of the anticipated changes that will affect the discipline
of nursing during the next decade and examines how these changes will influence theory and knowledge
development. Topics covered include future issues in nursing science and future issues in theory development.
This is followed by an exploration of future theoretical issues related to nursing practice, research,
administration and management, and education.
Future Issues in Nursing Science
Nursing science is concerned with answering questions of interest to the profession and adding to its body of
knowledge. Knowledge development is accomplished through the study of concepts, relationships, and
theories relevant to the discipline and generally occurs within the broad domain of one of the major
worldviews of the discipline.
As discussed in Chapter 1, a paradigm is a pattern, model, or global concept accepted by most people in
an intellectual community; it is a set of systematic beliefs or a worldview. Paradigms provide scientists with a
general orientation to phenomena, a way of organizing perceptions, criteria for selecting problems, guidelines
for investigations and methods, and limitations on possible solutions. The paradigm, or worldview, provides a
guiding framework for resolving problems, conducting research, and deriving theories and laws in the
discipline.
Nursing science has two predominant paradigms, broadly classified as empiricist and constructivist, which
hold fundamentally opposing views of knowledge development and reality. Chapter 1 described the ongoing
debate within the scientific nursing community about the appropriateness of the two philosophies and
methodologies for directing and conducting research as well as identifying questions of relevance to the
discipline.
Most in the profession today find the philosophical debate inconclusive, frustrating, and not particularly
germane to promoting nursing. Many scholars believe that nursing should emphasize the benefits of inquiry
per se, rather than the supremacy of one paradigm over the other, because neither method is more scientific
than the other, and the process of inquiry is the same despite the methods used to acquire knowledge (Chinn
& Kramer, 2015; Melnyk & Fineout-Overholt, 2015; Polit & Beck, 2017; Risjord, 2010).
In the 21st century, nursing science should work to eliminate obstacles to nursing research and promote
acceptance of multiple methods of inquiry and use of research findings—or “translation”—in practice (White,
Dudley-Brown, & Terhaar, 2016). Because the problems of nursing are so diverse and complex, use of
differing viewpoints and paradigms is needed to help answer questions and provide solutions to questions of
interest. Because multiple perspectives encourage appreciation of the uniqueness of individuals, use of various
perspectives will encourage identification of answers to important problems. Also, applying different
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viewpoints provides new insights that can help nurses formulate new ideas for study.
Combining or triangulating methods can maximize the strengths and minimize the weaknesses of each
method and should be encouraged. Integration of qualitative and quantitative methods has been suggested as
one way to advance nursing science because research traditions from both paradigms are complementary,
although the approaches are different. Qualitative methods can describe phenomena of interest in nursing and
generate theories that propose relationships between identified concepts. Quantitative methods can test the
relationships of qualitatively developed theories and suggest whether the theory should be accepted or revised
(Bekhet & Zauszniewski, 2012; Polit & Beck, 2017). Indeed, Chinn and Kramer (2015) observed that
blending and using a variety of research processes and techniques in knowledge development indicates
growing maturity in nursing scholarship. Nurses should be encouraged to be pragmatic regarding research
methodology and use the right method for the task.
Future Issues in Nursing Theory
According to the AACN (2006, 2011), nurses in advanced practice should be prepared to critique, evaluate,
and use theory. Nurses should be able to integrate and apply a wide range of theories from nursing and other
sciences into a comprehensive and holistic approach to care. Thus, in addition to nursing theories, nurses
prepared at the graduate level should be exposed to relevant theories from a wide range of fields, including
natural sciences, social sciences, biologic sciences, and organizational and management concepts. Basic
theoretical knowledge and skills proposed by the AACN are listed in Box 23-3.
Box 23-3 Theoretical Knowledge and Skills for Doctor of Nursing Practice
The doctor of nursing practice (DNP) program prepares the graduate to:
1. Integrate nursing science with knowledge from ethics and the biophysical, psychosocial, analytical, and
organizational sciences as the basis for the highest level of nursing practice.
2. Use science-based theories and concepts to:
a. Determine the nature and significance of health and health care delivery.
b. Describe actions and advanced strategies to enhance, alleviate, and ameliorate health and health care
and deliver phenomena as appropriate.
3. Evaluate outcomes. Develop and evaluate new practice approaches based on nursing theories and
theories from other disciplines.
Source: AACN (2006, p. 9).
As explained in Chapter 2, the discipline of nursing is currently in the “integrated knowledge stage” of
theory development. In this stage, there is an increasing emphasis on conducting research that will produce
knowledge to support practice. Additionally, in this stage, there has been a shift in focus to application of
“evidence” from across all health-related sciences (translational research). It is anticipated that the importance
of middle range and situation-specific/practice theories will continue to be emphasized, and there will be less
attention given to grand theories and conceptual frameworks. See Chapters 10, 11, 12, and 19 for detailed
discussions of middle range, situation-specific theories, and evidence-based practice (EBP) guidelines.
Implications for Theory Development
The discipline of nursing has recognized several new trends for theory development. These include
development of middle range theories, situation-specific (practice) theories, and EBP protocols/procedures as
the latest steps in knowledge development.
There has been broad acceptance of the need to develop middle range theories to support nursing practice
(Chinn & Kramer, 2015; Meleis, 2012; Peterson & Bredow, 2017; Roy, 2014; Smith & Liehr, 2014). This call
for development of middle range theory is consistent with a desire to focus increased attention on substantive
knowledge development. In the future, as additional middle range theories are developed, there will be a
growing need to consider their analysis and evaluation (whether formal or informal). Indeed, nurses should
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direct considerable effort toward developing, testing, evaluating, and refining middle range theories to
develop the discipline’s substantive knowledge base.
In recent years, there has been enhanced attention to the application of theory in practice and the
relationship of theory, practice, and research. Development of situation-specific (practice) theories and EBP
models has consequently become increasingly emphasized (Chinn & Kramer, 2015; Dahnke & Dreher, 2016;
Im, 2014; Meleis, 2012). Furthermore, many nurse researchers use theories from other disciplines in their
studies, and as a result, more emphasis and discussion should be given to “borrowed” or “shared” theory,
along with recognition that this practice does not negate the findings or make them less valuable to nursing.
It is important that nurses understand the interrelationship between theory, research, and practice and
recognize the importance of this reciprocal relationship to the continuing development of nursing as a
profession. In a practice discipline such as nursing, theory and practice are inseparable, and development and
application of theory affiliated with research-based practice have been seen as fundamental to the
development of professionalism and autonomous practice. Despite repeated calls to merge theory, practice,
and research, there remains a confusing and fragmented mix. Progress has been made, however, because there
has been increased emphasis on the interchange and interaction among research, clinical practice, and theory
development. This trend should continue.
Theoretical Perspectives on Future Issues in Nursing Practice, Research,
Administration and Management, and Education
With accessibility, cost containment, and provision of quality care driving health care reform, the discipline of
nursing must anticipate how these forces will affect nursing within the changing health care system. With
implementation of the ACA and pending major revisions to it, along with other health system changes in the
near future, nurses are expected to assume a central role in helping to achieve cost-effective, quality health
services (IOM, 2016). How these changes and related theoretical implications will affect nursing practice,
nursing research, nursing administration and management, and nursing education are examined separately.
Future Issues and Nursing Practice
A transformation is occurring in nursing practice. This has been driven by socioeconomic factors as well as by
developments in health care delivery. Many nursing leaders have identified relevant factors. Among these are
changing demographics and increasing racial and ethnic diversity and related health disparities, the explosion
of technology and information systems, globalization of the world’s economy, more educated consumers,
increasing acceptance and use of alternative therapies, explosion of genomic information, a shift to
population-based care, potential shortage of nurses, proliferation of medical errors, increasing complexity of
care, and concerns over end-of-life issues (Huston, 2017; IOM, 2011, 2016; Porter-O’Grady & Malloch,
2016; Stokowski, 2011).
Increasingly, nurses are finding employment in home health and other ambulatory settings in which they
provide care for well or chronically ill clients. These trends will most likely continue throughout the near
future, and in response, nursing interventions will focus more on comprehensive assessment and care
planning, case management, and client teaching to achieve the goals of health promotion, health maintenance,
and disease prevention. Furthermore, in the future, nurses will routinely use diagnosis and intervention
databases, as well as expert systems, to assist with decision making.
Nurses, particularly advanced practice nurses (APNs), need to be prepared to function in some type of
community-based health care system. They must be able to collaborate and cooperate within a
multidisciplinary team and to demonstrate critical thinking and decision-making capabilities. They will be
asked to resolve conflicts and effect health care at both the individual and aggregate level. Nurses must also
have at least a basic knowledge of several disciplines, including public health, biostatics, and behavioral
sciences. In addition, they must possess management and administrative skills. Specific nursing practice
competencies needed for today’s health care system are shown in Table 23-1.
Table 23-1 Nursing Practice Competencies for Today’s Health Care System
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Competency Examples of Activities
Health promotion—activities to enable clients
to improve health, maximize health potential,
and enhance well-being
Teach prevention and health promotion activities.
Educate patients about lifestyle and its effect on health.
Use community resources to enhance care.
Advocate for policy change to promote health.
Supervision—ability to coordinate the
implementation of the plan of nursing care by
ancillary or subordinate members of the
health care team
Supervise ancillary nursing staff.
Delegate and monitor work tasks of ancillary staff.
Assume responsibility for personnel under direct
supervision.
Interpersonal communication—use
relationship skills to work effectively on an
interdisciplinary team
Organize daily routine in an efficient manner.
Function as a participating member of the health care team.
Function effectively in problem-solving situations.
Apply effective communication skills.
Collaborate with other members of the health care team.
Direct care—appropriately use psychomotor
and/or technical skills in delivering patient
care
Administer medications.
Perform activities of daily living (ADL) for assigned
patients.
Perform major care tasks (e.g., catheterization, Levine tube
insertion).
Computer technology—ability to use
electronic and technologic equipment to
access, retrieve, and store information that
assists in the delivery of effective care
Demonstrate computer literacy.
Access and retrieve electronic data necessary for patient
care.
Use information technology to facilitate communication,
manage data, and solve patient care problems.
Caseload management—ability to coordinate
care of a number of clients
Organize care for a group of 2–10 patients (depending on
the nurse’s experience and responsibilities, patient needs,
and patient acuity)—involves direct care, time
management, and resource management.
Source: Utley-Smith (2004).
Theoretical Implications for Nursing Practice
Based on current and anticipated changes, a number of models, concepts, and theories need to be developed
and applied in nursing practice and then studied and refined. New models should be based on community-
based practice, population focus, case management, and interprofessional and interagency collaboration.
Concepts and theories should be developed that focus on cultural competence, resource management, health
promotion, risk reduction, motivation, management of chronic diseases, normal aging, maternal–child
welfare, and social epidemics, among others.
The concept of EBP has grown dramatically and will help fill the gap among research, theory, and practice
(Chinn & Kramer, 2015; Jensen, 2015; McEwen, 2014; Walker & Avant, 2011). This focus on EBP should
assist in the integration of research findings into clinical practice. As discussed in Chapter 12, EBP is
relatively new in nursing because many nursing practices are based on experience, tradition, intuition,
common sense, and untested theories. Although the encouragement to move to EBP is growing,
implementation has been stalled somewhat. This is attributed to the delay in implementation of nursing
research findings in practice. More effort will be needed to identify and define “best practices” and to
communicate them to both providers and consumers of health care. As the conceptualization of EBP becomes
more established within nursing, however, the relationship between EBP and theory must become more
explicit. Nursing theorists and scholars should focus attention on melding middle range theory and EBP and
turn attention to recognizing the association between EBP and situation-specific or prescriptive theories.
Future Issues and Nursing Research
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The new century challenges nursing research with many critical imperatives for improving health care. Health
and illness challenges of the 21st century will necessitate reshaping health research as well as health care
delivery. Likewise, the changes in the nation’s population, its health needs and expectations, and changes in
the health care financing will have a dramatic impact on the direction of nursing research. Changes in
technology and hospital systems, changes in staffing patterns, and scientific emphasis in areas such as
genetics must also be addressed in nursing research. Furthermore, greater emphasis must be placed on
reporting nursing research activities and findings to other researchers, clinicians, the media, and the public
(National Institute of Nursing Research [NINR], 2016).
During the last three decades, there has been a significant increase in the amount and quality of nursing
research. In the last 10 years, research priorities focused on topics such as end-of-life/palliative care, chronic
illness experiences (e.g., managing symptoms, avoiding complications of disease and disability, supporting
family caregivers, and promoting health behaviors), quality of life, and quality of care. Additional areas of
interest related to these themes as well as additional ones have been identified by the NINR (2016) for more
focused study in the future (Table 23-2).
Table 23-2 Future Areas for Nursing Research Emphasis
Themes Examples Targeted for Future Study
Symptom science:
Promoting personalized
health strategies
Develop, test, and disseminate novel symptom management interventions,
including nonpharmacologic interventions to improve health outcomes and
quality of life.
Determine common biobehavioral, mechanistic pathways that change symptom
trajectory from acute to chronic.
Determine key interceding points in symptom management that can alter the
trajectory of chronic conditions.
Demonstrate how biomarkers can be used to understand symptom expression and
variability, develop personalized symptom management and prevention
strategies, and better manage physical and psychological symptoms in persons
with chronic conditions.
Wellness: Promoting
health and preventing
disease
Integrate scientific advances in precision medicine, mobile health, and “omics”
science to develop interventions to promote health and wellness.
Determine the complex relationships between physical activity, nutrition, and
environment.
Prevention, development, and trajectory of communicable and noncommunicable
illnesses and acute trauma
Develop nurse-led collaborative initiatives focused on innovative and sustainable
strategies to prevent chronic conditions across the lifespan and in
underrepresented minority populations.
Determine and improve the personal and social pathways that can be translated
into health promotion and illness prevention.
Employ research approaches to determine the most feasible and effective
biobehavioral interventions to reduce or eliminate health disparities.
Self-management:
Improving quality of
life for individuals with
chronic illness
Identify basic mechanisms that influence successful self-management that
impacts adherence to treatment or that impacts interventions.
Examine effects of interventions integrating environmental factors, caregivers,
and health care professionals to promote functional health and well-being.
Incorporate personalized decision making, health, disability, and social factors in
interventions to maintain health and quality of life.
Develop innovative technologies, devices, and biobehavioral interventions to
promote health and improve access to health care in those with chronic
conditions.
Apply data science to validate existing self-management measures to predict
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intervention outcomes.
End-of-life and
palliative care: The
science of compassion
Develop strategies to optimize integrated and coordinated care transitions,
interventions, and treatments to improve patient-centered outcomes of hospice
and palliative care across diverse care settings, populations, and cultural contexts.
Determine the theoretical and causal mechanisms that underlie complex issues
and choices in end-of-life and palliative care.
Develop effective ways to screen, assess, monitor, and treat the needs of
individuals at the end of life.
Develop, test, and implement personalized, culturally congruent, and evidence-
based palliative and hospice interventions.
Discover the unique palliative characteristics of advanced symptoms with the
goal of developing personalized and targeted interventions to alleviate or manage
symptoms.
Promoting innovation:
Technology to improve
health
Identify essential components of successful, evidence-based, innovative
interventions that are easily tailored to diverse populations across health care
settings.
Support interprofessional research and develop infrastructures by building
partnerships with technical developers to design and test new technologies in
various settings.
Develop technologies to maximize the use of innovative methodologies that
capture community and cultural context to promote positive health behaviors and
management of chronic conditions.
Explore a wide range of technologic formats that can be used to improve health
interventions and support clinical decisions to improve health.
The 21st century nurse
scientists: Innovative
strategies for research
careers
Identify novel and modifiable biologic and behavioral contributors to the
psychology of symptom risk, severity, duration, and response to treatment.
Improve the understanding of key biologic, environmental, cultural, and other
measures to influence wellness.
Develop innovative research methods and technologies to address chronic illness
trajectory, particularly among those with disparate health outcomes.
Identify and develop interventions to assist individuals, families, and health care
professionals in managing symptoms of limiting conditions and planning for end-
of-life decisions.
Source: NINR (2016).
Theoretical Implications for Nursing Research
With the identification and promotion of these nursing research priorities, a number of concepts and theories
should be studied and further developed over the next decade. These include such phenomena as transitions,
quality of life, motivation, changing lifestyle habits, health promotion, symptom management, palliative care,
economics of care, caregiver support, disparity, vulnerability, gender differences, informatics, telehealth,
genetics, decision making and self-determination, and family interactions.
To improve health care and ultimately promote nursing science, nurses should continue developing and
testing middle range and practice theories. They should test conceptual relationships and combine the study of
concepts and relationships from various theories. Use of techniques such as meta-analysis and triangulation to
synthesize findings will become increasingly important.
Future Issues and Nursing Leadership and Administration
A number of issues and developments will dramatically affect nursing leadership and administration in the
future (Box 23-4). Concerns about health care costs affect nursing by determining how work is organized and
treatment planned and influencing clients’ perception of, and participation in, care. Calls for significant
change in health care financing will dramatically change reimbursement mechanisms. With implementation
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and potential revision of the ACA, there have been increased regulations related to costs, care coordination,
and managed care, and states will continue to define, measure, and assess quality and serve as contractors for
corporate entities while enforcing accountability of health care providers, insurance companies, and health
care organizations.
Box 23-4 Issues Affecting Nursing Administration and Management in the Future
Cost of health care
Challenge of managed care
Impact of health policy and regulation
Interdisciplinary education for collaborative practice
Nursing shortage
Opportunities for lifelong learning and workforce development
Significant advances in nursing science and research
Source: Roy (2000).
Focus on cost containment and attention to preventive care will lead to greater levels of interprofessional
and collaborative practice. Addressing problems related to the anticipated nursing shortage and the essential
need to promote integration of care through systems thinking and collaboration among health teams and
changes in practice models to promote autonomy, empowerment, and professional development are
particularly important issues facing nursing administrators (Ellis & Hartley, 2012; Huston, 2017; Porter-
O’Grady & Malloch, 2016).
In nursing administration, collaboration and care coordination will be increasingly important with
enhanced efforts to contain the costs associated with managing complex client needs, particularly within the
context of implementation and revision of the ACA. As a result, there should be some degree of
interdisciplinary competence in all health professions. This will necessitate corresponding changes in
leadership and management priorities that promote unity and collaboration. Competencies needed by future
nurse managers include leadership skills, financial/budgeting knowledge, business acumen, communication
skills, technology understanding, and human resource and labor relations skills as well as collaboration and
team building skills.
Nursing administrators must be able to identify institutional strengths and weaknesses and to assess
human resources and environmental issues. Nursing administrators should also focus on maximizing human
potential and accountability and work to encourage growth and development of employees. There is a need to
use proven motivational techniques to encourage both staff and clients. The challenge is to integrate services
in an efficient and effective way to improve care outcomes while managing costs and meeting satisfaction
needs.
Theoretical Implications for Nursing Administration and Management
For the future, models of care delivery must be developed that will achieve desired client outcomes and
contribute to staff satisfaction, retention, and productivity. Furthermore, these models must contribute to the
financial integrity of the organization for which they are developed because there is a need to make the system
efficient and cost-effective while ensuring quality care. Data management and processing of information are
essential in every area, and administrators must be able to quantify changes in client acuity and to provide
exact information about clients.
Models of care should provide greater integration of health services, more intense management of
services, an increase in outcome-oriented management, and an increase in ambulatory and community-based
health care. There will also be an increased emphasis on bioinformatics and communication skills, and health
care financing will continue to be of paramount importance. Concepts to be developed and examined in
nursing administration and management include cost, value, competency, utilization, quality measurement,
productivity, innovation, integration, civility, safety, and outcomes (Porter-O’Grady & Malloch, 2016;
Rutherford, 2008). Quinless and Elliot (2000) recommended that nursing students and administrators learn to
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apply basic economic theories and concepts and be aware of the costs involved in providing complex health
care for the growing population. They also suggested that nurses understand how to balance care and cost and
design cost-effective health care delivery. Finally, all nurses should constantly consider the ethical
considerations that underlie health services.
Future Issues and Nursing Education
In the past, nursing education supported passive learning using structured, professional instruction and
supervised practice. Nursing students have been socialized using mechanistic, rigid standards, where faculty
demands that they meet the minimum standards of objective-based learning. To survive in the highly
complex, challenging, and rapidly changing health care system, however, it will be increasingly important for
nurses to use and apply creative and critical thinking skills. Nursing leaders have recognized that significant
changes are needed in nursing education to promote these skills. Furthermore, issues such as the shortage of
nursing faculty, coupled with a serious shortage of nurses educated to teach nursing, the growing acceptance
of virtual education and simulation, the increase in nontraditional students, the explosion of accelerated
programs, and the widespread acceptance of the doctor of nursing practice (DNP) degree have challenged
previous nursing education models and traditions (Billings & Halstead, 2016; Dahnke & Dreher, 2016; IOM,
2011, 2016; Stokowski, 2011).
In recent years, nurse educators have been called to review old assumptions and methods for educating
nurses. Because nurses must be able to think critically and independently, content and learning experiences
must be revamped to produce graduates with the competencies needed for current and future practice. A
nationwide study for nursing education programs (Speziale & Jacobson, 2005) identified several content areas
that will need enhanced emphasis now and in the future. These include diversity, informatics, and EBP.
Furthermore, nursing educators expect to place greater emphasis in use of distance education, case studies,
active learning strategies, concept mapping, computer-assisted instruction, and virtual reality simulations in
nursing programs in the future. Other teaching strategies or modalities that will be used increasingly in the
future include web-based courses, including massive open online courses (MOOCs), problem-based learning,
simulation, concept-based curricula, mentoring, and videoconferencing.
To support these changes, nursing educators need to teach thinking skills as well as content. They should
use active learning strategies to foster student responsibility for learning. They may restructure clinical
experiences and modify content to place less emphasis on hospital experiences and narrow medical specialty
areas to de-emphasize illness care and emphasize wellness care. In addition, nursing students must learn to
evaluate the effectiveness of nursing interventions.
Suggestions for curricular changes in future nursing education include increased emphasis on the process
and procedure of learning (Benner, Sutphen, Leonard, & Day, 2010; Iwasiw & Goldenberg, 2015; Keating,
2015). Among the recommendations are these: Integrate teaching and learning in classroom and clinical
settings more effectively, shift to competency-based curricula, focus on “knowledge management,” and
promote interprofessional education. Other suggestions to broaden understanding include encouraging the use
of group work to promote communication and social skills and increasing use of projects that require months
to complete to enhance understanding of the complexity of the real world as well as providing greater
diversity in clinical experiences. The Link to Practice 23-1 presents recommendations of the IOM of changes
in nursing education to meet current and future health care needs.
Link to Practice 23-1
Recommendations From the Institute of Medicine
Transforming Nursing Education
Nursing education needs to provide understanding of, and experience in, care management, quality
improvement methods, systems change management, and reconceptualized roles of nurses in a reformed
health care system.
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Nursing education should serve as a platform for continued lifelong learning and include opportunities
for seamless transition to higher degree programs.
Accrediting, licensing, and certifying organizations need to mandate demonstrated mastery of core skills
and competencies to complement the completion of degree programs and written board examinations.
The nursing student body must become more diverse in response to underrepresentation of racial and
ethnic minority groups and men in the nursing workforce.
Nurses should be educated with physicians and other health professionals as students and throughout
their careers.
Transforming Nursing Practice
Among the recommendations from the IOM with regard to practice are the following. Nurses can:
Improve access to primary care—APNs can be utilized to build the primary care workforce as access to
coverage, service settings, and services increase under the ACA.
Improve quality of care—Nurses are crucial in preventing medication errors, reducing infection, and
facilitating transition from hospital to home.
Create new opportunities for nurses in new and expanded capacities. Suggestions include:
Accountable care organizations—a group of primary care providers, a hospital, and perhaps some
specialists who share the risk and rewards of providing care at a fixed reimbursement rate
Medical/health homes—a specific type of primary care practice that coordinates and provides
comprehensive care; promotes a relationship between patient and provider; and measures, monitors, and
improves quality of care
Community health centers—clinics that provide high-value, quality primary and preventive care in poor
and underserved areas
Nurse-managed health centers—clinics run by nurses and including other professionals such as
physicians, social workers, health educators, and outreach workers as part of a collaborative team.
Services include primary care, family planning, mental/behavior care, and health promotion.
Information technology—develop technology to aid providers to plan, deliver, document, and review
clinical care
Source: IOM (2011)
Theoretical Implications for Nursing Education
Rather than teach traditional specialties (e.g., maternity nursing, pediatrics, psychiatric nursing), nursing
educational programs in the future should stress essential concepts, theories, and models. These should
include issues such as aging and care of older adults, aspects of pharmacology, human growth and
development, vulnerable populations, genetics, complementary and alternative therapies, environmental
health issues, health policy, palliative care, and culture. Models should incorporate high-tech care, EBP,
quality, and patient safety. Pathophysiology of chronic illnesses, health promotion, disease prevention, self-
care, community health care, decision making, change processes, and management and leadership models
should also be part of nursing curricula (AACN, 2008; Benner et al., 2010; IOM, 2011, 2016; Stokowski,
2011).
Curricula should shift from being primarily content-driven and controlled by the faculty to being outcome-
driven and focused on the needs of the learner, the profession, and the public. A diversity of theoretical and
practice experiences should be encouraged, and experiences should include involvement in discharge
planning, caring for clients in outpatient and ambulatory care settings, assisting families in well-baby clinic
visits, and assisting individuals in gaining access to community resources. Furthermore, interprofessional
learning and collaborative practice experiences are essential.
Content for nursing education in the future should include leadership development, critical thinking and
problem-solving skills, EBP, clinical competency in a variety of settings, collaboration and communication,
outcomes focus, cultural competence, and appreciation of research directed toward practice and educational
evaluation. Other concepts to be stressed in nursing education programs are safety, teaching and learning,
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health promotion, illness prevention, lifelong learning, and professional development.
Experiential knowledge and active participation in learning can lead to the development of a knowledge
base and a better ability to think critically and independently. Contemporary educational systems must
provide opportunities for students to practice and use critical and creative processes within their basic nursing
education. Programs should emphasize group and resource management, organizational and leadership skills,
clinical management and coordination, technologic capabilities, and professional judgment.
Summary
Increasingly, nurses will be coordinators of teams of care, where they will manage multiskilled workers and
share accountability for clinical and financial outcomes. They will need to become adept at care coordination,
delegation, interprofessional collaboration, standards setting, and outcomes monitoring across the continuum
of care. For the future, it is important that the discipline continue to develop the broad knowledge base of
nursing and work to understand the integration of theory, research, and practice. Additionally, the discipline
should recognize how this reciprocal arrangement affects nursing practice, administration and management,
and education.
Rebecca, the nurse in the opening case study, recognized some of the changes described in this chapter
(e.g., increasing cultural diversity, the need to focus on health promotion, communication challenges) and
wanted to address them in her practice and research. She also understood that to respond to these changes, she
had much to learn about issues in nursing practice, research, administration and management, and education,
particularly related to theory and development of nursing science.
Nurses are committed to a holistic view of the person, and as the health profession with the largest number
of providers, nursing has the potential to have the greatest impact on health and health care delivery. But to
prepare for the future, nurses must more clearly identify and communicate what they do. Ongoing
development, application, analysis, and evaluation of concepts, principles, theories, and models are vital to
this process; nurses must be encouraged to continue these activities to develop the discipline.
Key Points
As the health care delivery system changes and evolves in response to changes in demographics, health care
needs, and health care financing, the discipline of nursing must respond.
The IOM’s landmark report, The Future of Nursing, provides guidelines and recommendations for nursing to
meet the health needs of individuals, families, groups, and populations in the future.
In the future, nursing theory will increasingly focus on development, application, and testing of middle range
theories, situation-specific theories, and EBP protocols as the latest steps in knowledge development.
Nursing practice will be dramatically influenced by changes in the health system subsequent to full
implementation of the ACA as well as other system changes. Practice models will increasingly be
community-based and population-focused. Interprofessional collaboration will be encouraged. Attention
will be on concepts/needs including health promotion, resource management, informatics, and case
management.
Nursing research will focus more on “mixed methods” or combining or triangulating research methods that
will more completely and accurately address the complex issues and clients found in contemporary health
care. Themes for enhanced research and related theory development include interventions for health
promotion, symptom management, end-of-life issues, effective use of technology, and development of
future nursing scientists.
Nursing leadership and administration will need to address such pressing issues as quality and safety, cost
management, collaboration, and the need to effectively integrate care. Cultivation of communication skills,
leadership skills, technology acumen, and knowledge of human resources and economics are vital.
Nursing education for the future will incorporate changes in modes of delivery including increasing use of
simulation and better, more focused integration of clinical and classroom learning. Competency-based
curricula, lifelong learning, and seamless academic progression will all be stressed.
In the future, nurses must more clearly identify and communicate what they do through development,
application, analysis, and evaluation of concepts, principles, theories, and models.
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Learning Activities
1. Like Rebecca, the nurse from the opening case study, seek out opportunities to partner with
other health care professionals to develop research projects, interventions to improve practice,
or joint educational opportunities. Consider what can be done to promote collaboration and
overcome barriers to interprofessional care delivery?
2. Talk to a nurse administrator, a nurse educator, a nurse researcher, and an APN (nurse
practitioner or clinical nurse specialist) about future issues in nursing and health care delivery.
What changes do they anticipate in the next few years? How should currently practicing
nurses prepare for future changes?
3. Select a nursing journal that deals primarily with education, research, or administration (e.g.,
Journal of Nursing Education, Nursing Research, Journal of Nursing Administration) and
review issues from the past 3 years to analyze trends. What are the “hot topics”? Can any
predictions be made for future issues?
4. Select a nursing journal that primarily discusses scholarly issues or topics related to nursing
science (e.g., Advances in Nursing Science, Journal of Nursing Scholarship) and review
issues from the past 3 years to analyze trends. What are the “hot topics”? Can any predictions
be made for future issues?
5. Select a nursing specialty journal (e.g., MCN: The American Journal of Maternal Child
Nursing, Pediatric Nursing, Journal of Community Health Nursing) that is primarily
concerned with practice and review issues from the past 3 years to analyze trends. What are
the “hot topics”? Can any predictions be made for future issues.
R E F E R E N C E S
American Association of Colleges of Nursing. (2006). The essentials of doctoral education for advanced nursing practice. Washington, DC:
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G L O S S A R Y
Adaptation The ability of the body to incorporate different ways of working as a result of changes in bodily
makeup, chemistry, or the environment.
Agent In epidemiology, refers to those factors, such as biologic organisms, chemical agents, or physical
factors, whose presence or absence can result in disease in the host.
Andragogy Description of Knowless theory of adult learning. Knowles believed that the most important
thing in helping adults to learn is to create a climate of physical comfort, mutual trust and respect, openness,
and acceptance of differences.
Antecedent That which necessarily goes before; a cause that must precede an effect. For example, the
presence of food on the table is antecedent to dinner.
Assumptions Beliefs about phenomena one must accept as true to accept a theory about the phenomenon as
true; they cannot be empirically testable.
Autonomy Bioethical principle that focuses on respect for persons; that is, the rights of individuals to make
informed choices about their health care. It is based on the conviction that the patient or subject is the ultimate
authority on what is best for his or her well-being, and health care professionals should always provide all of
the relevant information to the person about his or her health, illness, and treatment options in order to
empower him or her to make an informed decision.
Becks Postpartum Depression Theory Proposes interventions to alert nurses to the incidence and impact of
postpartum depression. The model stresses the importance of identifying new mothers who might be suffering
from postpartum depression and suggested interventions.
Behavioral learning theories Referred to as the StimulusResponse (SR) Models of Learning. Some of the
major behaviorist theorists include Thorndike (connectionism), Pavlov (classical conditioning), Skinner
(operant conditioning), Watson (behaviorism), and Hull (reinforcement).
Behavioral System Model Dorothy Johnsons human needsbased model.
Belmont Report Developed following the infamous Tuskegee airmen experiments. The Belmont Report
outlined three basic ethical principlesrespect for persons, beneficence, and justice (nonmaleficence was added
later)to serve as an analytical framework to guide the resolution of ethical problems arising from research
involving human subjects.
Beneficence Bioethical principle that refers to doing what is in the patients best interest and involves
balancing benefits and burdens.
Benners Model of Skill Acquisition in Nursing Patricia Benners theoretical model, which outlines and
explains five stages of skill acquisition in nursing: novice, advanced beginner, competent, proficient, and
expert.
Bioethical principles Set of ethical principles to be used to make decisions in situations involving health
and health care delivery. A system of bioethical principles has been proposed consisting of four main
ideologies: autonomy, beneficence, nonmaleficence, and justice.
Bioethics The systematic study of how to provide the best possible care in the health care delivery system by
evaluating the impact of biologic and technologic advances on humans and what is permissible.
Change In a system, a state of flux which can elicit feeling of uncertainty, anxiety, and upheaval.
Chaos Theory is the study of unstable, aperiodic behavior in deterministic (nonrandom) nonlinear
dynamical systems; dynamical refers to the time-varying behavior of a system and aperiodic is the non-
repetitive but continuous behavior that results from the effects of any small disturbance.
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Cognitive-behavioral theory (Beck) Behavior theory based on the observation that biased cognitions are
faulty; these thoughts are labeled cognitive distortions.
Cognitive development theories (interaction theories) Assume that behavior, mental processes, and the
environment are interrelated. Cognitive development theories are concerned with the progressive development
and changes in thinking, reasoning, and perception of individual learners. A major assumption of cognitive
theories is that learning is experiential and occurs as a sequential process, over time. Major cognitive
development theorists include Piaget, Gagne, and Bandura.
Cognitive distortions Habitual errors in thinking that are formed in the conscious mind. These distorted
cognitions create a false basis for beliefs, particularly regarding the self; influence ones basic attitude about
the self; and may lead to inaccurate conclusions about the self.
Cognitive-field (Gestalt) theories View that considers learning to be closely related to perception. In
Gestalt theory, learning is seen in terms of reorganization of the learners perceptual or psychological worldhis
or her field. The field includes a simultaneous and mutual interaction among all the forces or stimuli affecting
the person. Experience is the interaction of a person and his or her perceived environment, whereas behavior
is the result of the interplay of these forces. Consequently, perception and experiences of reality are uniquely
individual, based on a persons total life experiences. Learning is the process of discovering and understanding
the relationships among people, things, and ideas in the field.
Cognitive learning theories Group of theories that explains that learning relies on the assimilation of facts
and information that can be tested by having the person repeat the facts, steps, reasons, and information back
to the teacher and act on the knowledge gathered.
Cognitive restructuring The process of changing cognitive distortions.
Comfort Theory Katherine Kolcabas theory, which explains that patients experience needs for comfort in
stressful health care situations. These needs are identified by the nurse, who then seeks to implement
interventions to meet them.
Complex Adaptive Systems (CAS) A collection of individual agents (or components within the system)
with freedom of behaviors that may not be predictable.
Complexity Science Application of principles of physics and mathematics to explain the relationship among
variables that allow for variation and emergent behaviors that are not fully predictable. Complexity Science
focuses on finding the underlying order in the apparent disorder of natural and social systems and
understanding how change occurs in nonlinear, dynamical systems over time.
Concept A word or term that refers to phenomena that occur in nature or thought; formulated in words that
enable people to communicate meaning about reality in the world.
Concept analysis Explores the meaning of concepts to promote understanding.
Concept development The rigorous process of bringing clarity to the definition of concepts used in science.
Conceptual framework A set of interrelated concepts that symbolically represents and conveys a mental
image of a phenomenon.
Conceptual model A set of interrelated concepts that symbolically represents and conveys a mental image
of a phenomenon.
Conflict theories Centered on the observation that in human societies, elements of inequality,
power/authority, domination/subjugation, interests, and conflict are common. These elements result in
conflicts that may potentially change the society.
Consequence The result or outcome of a situation or action.
Conservation Model Myra Levines model, which focuses on the interactions of nurse and client and
considers multiple factorial interactions to produce predictable results using probability as the reality.
Construct A complex concept composed of more than one concept and typically built or constructed to fit a
purpose.
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Critical Social Theory Uses societal awareness to expose social inequalities that keep people from reaching
their full potential. Proponents of critical social theory maintain that social exchanges will stimulate the
evolution to a more just society.
Cultural bias Interpreting and judging phenomena in relation to ones own culture (e.g., racism, sexism,
classism, and ageism).
Culture Care Diversity and Universality Theory Madeline Leiningers theory, which recognizes and
demonstrates to nurses the importance of considering the impact of culture on health and healing. Major
concepts of the model are culture, culture care, and culture care differences (diversities) and similarities
(universals) pertaining to transcultural human care.
Curriculum The content and processes by which learners gain knowledge and understanding; develop
skills; and alter attitudes, appreciation, and values under the auspices of a given school or program.
Curriculum conceptual framework An interrelated system of premises that provides guidelines or ground
rules for making all curricular decisionsobjectives, content, implementation, and evaluation.
Declaration of Helsinki A set of rules and requirements for research involving human subjects built on the
Nuremberg Code. It includes the need to obtain assent from those not able to consent themselves. It
established the standard for submitting research protocols to an independent review board for approval of the
research prior to initiation and addresses issues such as the requirement to publish negative benefits and to
report sources of funding and declaring potential conflicts of interest.
Deontology Refers to a system of duty-based laws, with duty implying absolute, nonnegotiable
requirements. Immanuel Kant was the main early source for deontology, and he explained that rational beings
are obligated to act first and foremost from a sense of dutyirrespective of the consequences.
Descriptive theories Theories that describe, observe, and name concepts, properties, and dimensions but
dont generally explain the interrelationships among the concepts or propositions.
Discipline Distinctions between bodies of knowledge found in academic settings; a branch of education
instruction or a department of learning or knowledge.
Disease causation A force or factor that contributes to a condition that disturbs the normal functioning of an
organism; failure of an organism to respond to or adapt to its environment, leading to a disease state.
Driving forces In Planned Change Theory, driving forces encourage or facilitate movement to a new
direction, goal, or outcome.
Dynamical In Chaos Theory, it refers to the time-varying behavior of a system.
Dynamical system In Complexity Science, a system whose state evolves over time according to a rule and
initial conditions.
Emotional intelligence (EI) Refers to the ability to manage ones self and ones relationships effectively. EI
includes understanding ones own feelings, sensitivity, and empathy for others and the regulation of emotions.
Empiricism Philosophical school of thought that values observation, perception by senses, and experience
as sources of knowledge. Empiricism is founded on the belief that what is experienced is what exists; these
experiences must be verified through scientific methodology.
Empowerment The transfer or delegation of responsibility and authority from managers to employees; the
sharing of power, vision, mission, knowledge, expertise, decision making, and resources necessary for
employees to reach organizational goals.
Environment In grand nursing theory, the external elements that affect the person; internal and external
conditions that influence the organism; significant others with whom the person interacts; and an open system
with boundaries that permit the exchange of matter, energy, and information with human beings.
Environment/environmental factors In the epidemiologic triangle, refers to events, physical elements or
properties, biologic entities (e.g., animals, plants), or social/economic considerations that may influence
whether an individual will develop a disease.
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Epidemiologic Triangle Classic epidemiologic model frequently used to illustrate the interrelationships
among the host, agent, and environment with regard to disease causation. A change in any of the three
components can result in the disease process.
Epistemology Study of knowledge or ways of knowing; how people come to have knowledge.
Ethics A branch of philosophy that involves the systematic study of how one should best live his or her life
and treat others; the formal study of morality from a wide range of perspectives.
Evidence The facts that lead to the belief in the truth about a situation.
Evidence-based nursing The integration of nursing theory with the best available research evidence as well
as the expertise of the nurses, the available resources including professional expertise along with patient-
family preferences, and quality improvement findings.
Evidence-based practice An approach to problem solving that conscientiously uses the current best
evidence in the care of patients. Evidence-based practice involves identifying a clinical problem, searching the
literature, critically evaluating the research evidence, and determining appropriate interventions.
Exchange theories Theories based on utilitarianism, which supports the notation that maximization of each
individuals satisfaction automatically leads to maximum satisfaction of the wants of all. In exchange theories,
individuals are motivated to maximize material benefits from exchanges with others.
Exemplar An item that is exactly what a concept or idea is about; a true example of the concept.
Exhaustion Final stage of the stress response in Selyes work in which the body has exhausted all its
resources and a diseased state can occur.
Explanatory theories Theories that relate concepts to one another and describe and specify associations or
interrelations between and among concepts.
Feminist theories Based on the observation that gender differences and subordination have traditionally
been viewed as both natural and inevitable. A core assumption in feminist theories is that women are
oppressed and that gender is socially constructed and tends to justify the subordination and exploitation of
women.
Fight-or-flight response First stage of stress response in Selyes work; alarm reaction that mobilizes the
bodys defense forces, putting the body in a state of disequilibrium.
Gate Control Theory (GCT) Theory that posits that a gating mechanism occurs in the spinal cord. Pain
impulses are transmitted from the periphery of the body by nerve fibers, and the impulses travel to the dorsal
horns of the spinal cord, specifically to the area of the cord called the substantia gelatinosa. The cells of the
substantia gelatinosa can inhibit or facilitate pain impulses, and if the activity of the transmission cells is
inhibited, the gate is closed and impulses are less likely to be conducted to the brain. The GCT suggests that if
pain medication is administered before the onset of pain (i.e., before the gate is opened), it will help keep the
gate closed longer and fewer pain impulses will be allowed to pass through.
General Adaptation Syndrome (GAS) Selyes work that explains the physiologic responses to stress in
three stages: fight-or-flight syndrome, resistance, and exhaustion.
General Systems Theory (GST) A grand theory that explains that systems are composed of both structural
and functional components that interact within a boundary that filters the type and rate of exchange with the
environment. Input, throughput, output, and feedback are common to systems. One basic tenet of GST is that
systems are composed of subsystems, each with its own function systems. Also, systems contain energy and
matter and may be open or closed.
Germ Theory Early theory of disease infection proposed by Louis Pasteur. Pasteur theorized that a specific
organism (i.e., a germ) was capable of causing an infectious disease.
Grand theories Theories that are composed of relatively abstract concepts that are not operationally defined
and attempt to explain or describe very comprehensive aspects of human experience and response; may
incorporate numerous other theories.
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Great Man Theory A trait theory that asserts that leaders possess certain characteristics (i.e., physical or
personality traits and talents) that nonleaders do not.
Health In grand nursing theory, the ability to function independently; successful adaptation to lifes stressors;
achievement of ones full life potential; and unity of mind, body, and soul.
Health as Expanding Consciousness Margaret Newmans nursing theory, which posits that persons are
identified by pattern and organization and are consciousness rather than merely having consciousness. Health
is a pattern of the individual.
Health Belief Model A widely used social psychology theory that explains health behavior in terms of
several constructs: perceived susceptibility of the health problem, perceived severity, perceived benefits,
perceived barriers, self-efficacy, and cues to action.
Health literacy Describes how well an individual can read, interpret, and comprehend health information for
maintaining an optimal level of wellness.
Health Promotion Model Nola Penders framework for integrating nursing and behavioral science
perspectives on factors that influence health behaviors. The model may be used as a guide to explore the
biopsychosocial processes that motivate individuals to engage in behaviors directed toward health.
Homeodynamics The idea that health is achieved through continuous interaction of human and
environmental energy systems.
Host/host factors In the epidemiologic triangle, refers to factors (e.g., age, gender, race/ethnicity, marital
status, economic status, state of immunity, lifestyle factors) that may influence whether an individual develops
a disease.
Humanbecoming Paradigm Rosemary Parses theory, which states that humanbecoming is a separate
paradigm of nursing in which nurses guide patients in choosing the possibilities in changing health process
through intersubjective processes.
Human Caring Science Jean Watsons theory of nursing that incorporates spiritual dimensions of nursing
with the ideals of the unitary process theories but reflects the interactive processes of nursing.
Human needs theory Maslows description of the hierarchy of dynamic processes that are critical for human
development and growth. There are six incremental stages: physiologic needs, safety needs, love and
belonging needs, self-esteem needs, self-actualizing needs, and self-transcendent needs. The goal of Maslows
theory is to attain the sixth level or stage: self-transcendent needs. Motivation is the key to Maslows theory
because individuals are seen as striving for self-actualization.
Human science The study of human life by valuing the lived experience of persons and seeking to
understand life in its matrix of patterns of meaning and values. Knowledge is created to provide understanding
and interpretation of phenomena.
Immune system Refers to a complex, coordinated group of systems that produces physiologic responses to
injury or infection. The purpose of the immune system is to neutralize, eliminate, or destroy microorganisms
that invade the body. Extensive interactions affect the manufacture of products that alter the structure and
function of cells.
Immunity State or process of being immune to a disease state; involves specific recognition of what is
designated as an antigen, memory for particular antigens, and responsiveness on reexposure.
Implied theory Refers to those theories used by practicing nurses during routine client care without
conscious consideration.
Informed consent Concept is derived from the principle of autonomy. To obtain informed consent, patients
and potential research subjects should receive information on the risks and benefits of treatment or research.
This information needs to include not only the risks and benefits of the potential treatments, interventions, or
trials but also all available reasonable alternatives. Additionally, to give consent, the person needs to be able
to comprehend the information, the information should be presented in a format and with language that the
receiver can understand, and the choice needs to be voluntaryfree of coercion or undue influence.
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Intention Main determinant in the Theory of Reasoned Action/Theory of Planned Behavior; the cognitive
representation of the individuals readiness to perform a behavior and is determined by attitude, subjective
norms, and perceived behavioral control.
Interpersonal theory Sullivans developmental theory based on the premise that an individual cannot exist
apart from his or her relationships with other people. Development is dependent on interpersonal situations
which continue throughout the persons life. The sequence of interpersonal events to which a person is exposed
from infancy to adulthood and ways in which these situations occur contribute to the individuals development.
Intersystem Model Barbara Artinians model explaining the interactions between patient and nurse systems.
These become more complex when the interaction is between and among community systems and health care
systems.
Justice Bioethical principle that focuses on fairness in both treatment and research. Justice obligates health
care professionals to provide necessary treatment for all members of society.
Knowledge The awareness or perception of reality acquired through insight, learning, or investigation. In a
discipline, knowledge is what is collectively seen to be a reasonably accurate understanding of the world
perceived by members of the discipline.
Learning A relatively permanent change in behavior that results from experience. Learning occurs as
individuals interact with their environment, incorporating new information into what they already know.
Learning styles The many ways a person may learn including preferences for learning formats. Some people
learn best by reading, some by being told, others by being shown; many learners need a motor component to
the learning, and others prefer computer learning methods.
Maternal Role Attainment/Becoming a Mother Ramona Mercers work on identification of the factors that
influence the development and evolution of relationships between key maternal and infant variables that
determine maternal role attainment.
Metatheory A theory about theory; focuses on broad issues such as the processes of generating knowledge
and theory development.
Methodology The means of acquiring knowledge.
Middle range theories Theories that are substantively specific and encompass a limited number of concepts
and a limited aspect of the real world.
Model A graphic or symbolic representation of phenomena or reality. Models objectify and present certain
perspectives or points of view about nature or function or both.
Modeling and Role-Modeling (MRM) Theory A deductive theory developed by Erickson, Tomlin, and
Swain that focuses on the interpersonal interactions between nurse and client.
Morality An accepted set of cultural beliefs about what is right and wrong, involving personal values,
character, or conduct of individuals or groups.
MotivationHygiene Theory (Herzbergs Two-FactorTheory) Explains differences between factors that are
true motivators for individuals (i.e., recognition for a job well done, opportunities for promotion or
advancement, challenging and rewarding work) and hygiene or maintenance factors (e.g., salary, quality of
supervision, interpersonal relationships with coworkers, and good working conditions).
Natural History of Disease Model A model that explains the progression of a disease process in an
individual over time using two stages: prepathogenesis and pathogenesis. The model also describes the three
levels of preventionprimary prevention, secondary prevention, and tertiary prevention.
Neuman Systems Model Betty Neumans systems-based approach focused on human needs and relief from
stress in the nursing care of vulnerable patients.
Nonlinear dynamics Application of mathematics (nonlinear algebra) to examine patterns of a system over
time.
Nonmaleficence Bioethical principle that relates to the Hippocratic principle of first, do no harm. Health
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care professionals have an obligation to avoid causing bodily harm and death to patients and to minimize pain
and suffering.
Nuremberg Code Developed in the years following World War II to describe the basic principles of ethical
human experimentation. The Nuremberg Code was widely praised and rapidly accepted as the guideline for
research using human subjects.
Nursing In grand nursing theory, a science, an art, and a practice discipline that involves caring. Goals of
nursing include caring for the well, caring for the sick, assisting with self-care activities, helping individuals
attain their human potential, and discovering and using natures laws of health. The purposes of nursing care
include placing the client in the best condition for nature to restore health, promoting the adaptation of the
individual, facilitating the development of an interaction between the nurse and the client in which jointly set
goals are met, and promoting harmony between the individual and the environment.
Nursing metaparadigm A worldview or global perspective of the discipline. Nursings metaparadigm is
generally thought to consist of the concepts of person, environment, health, and nursing.
Nursing philosophy The belief system of the profession; provides perspective for nursing practice,
scholarship, and research.
Nursing research A scientific process that validates and refines existing knowledge and generates new
knowledge that directly and indirectly influences nursing practice. Nursing research is concerned with the
study of individuals in interaction with their environments and with discovering interventions that promote
optimal functioning and wellness across the life span.
Nursing science The substantive, discipline-specific knowledge that focuses on the human-universe-health
process articulated in nursing frameworks and theories. The system of relationships of human responses in
health and illness addressing biologic, behavioral, social, and cultural domains.
Nursing: What it is and what it is not Florence Nightingales organized definition of professional nursing.
Nightingales work served as the basis for modern nursing by focusing on the needs of vulnerable patients for
nursing care.
Ontology The study of being; what is or what exists; nature of reality.
Operant Conditioning B. F. Skinners term for the manipulation of selected reinforcers. According to
Skinner, an individual performs a behavior (discharges an operant) and receives a consequence (reinforcer) as
a result of performing the behavior. The consequence is either positive or negative, and the consequence will
most likely determine whether the behavior will be repeated.
Operational definition The actual measurement of a concept, term, or phenomenon for a research study.
Paradigm A worldview or overall way of looking at a discipline and its science. It is an organizing
framework that contains concepts, theories, assumptions, beliefs, values, and principles that form the way a
discipline interprets the subject matter with which it is concerned. Paradigm shift occurs when the traditional
theories no longer describe the world as newer information has been learned.
Parsimony That which is as constrained as possible so that only those elements that are needed are included.
PathGoal Theory An expectancy theory in which situational factors (i.e., nature and scope of the task, the
employees perceptions and expectations, and the role of the leader) are examined. The leader is responsible
for helping the employee determine and clarify the path the worker is to take to reach the goal and to provide
motivation and reward. The leaders also must identify and remove obstacles from the path of the worker to
enable him or her to successfully attain the goal.
Pathogenesis Second stage of the Natural History of Disease Model. After exposure or interaction, the stage
moves from early pathogenesis to the disease course to resolutioneither death, disability, or recovery.
Patient-Centered Approaches to Nursing Abdellahs grand theory based on the human needs of patients
and focused on education and practice of nursing care of the patients with illness at home or hospital.
Person In grand nursing theory, a being composed of physical, intellectual, biochemical, and psychosocial
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needs; a human energy field; a holistic being in the world; an open system; an integrated whole; an adaptive
system; and a being who is greater than the sum of his parts.
Phenomenology The study of phenomena; emphasizes the appearance of things as opposed to the things
themselves. In phenomenology, understanding is the goal of science, and it recognizes the connection between
ones experience, values, and perspectives.
Phenomenon That which may be sensed or not but which exists in the real world.
Philosophy A study of problems that are ultimate, abstract, and general. These problems are concerned with
the nature of existence, knowledge, morality, reason, and human purpose. A statement of beliefs and values
about human beings and the world.
Planned change theory Lewins theory describing change process that occurs by design (rather than
spontaneously or by chance). There are two forces involved in change: driving forces and restraining forces.
Change is a move from the status quo that results in a disruption in the balance of forces or disequilibrium
between opposing forces and often leads to feelings of uneasiness, uncertainty, and loss of control. In planned
change, driving forces should be identified and accentuated, and restraining forces should be identified and
minimized to achieve the desired outcome or change. Effective change is the return to equilibrium as a result
of balancing opposing forces. Three phases must occur if planned change is to be successful: unfreezing the
status quo, moving to a new state, and refreezing the change to make it permanent.
Positivism A term often equated with empiricism. Positivism supports mechanistic, reductionist principles
where the complex can best be understood in terms of its basic components.
Postmodern theory A philosophical reaction to the underlying assumptions and universalizing tendency of
the doctrine of positivism and scientific objectivity characterized by modernity.
Power The influence wielded by an individual or group of individuals to change behaviors and attitudes and
to sway decisions; implies a dependency relationship.
Practice (or applied) science A science that uses the knowledge of basic science for a practical end.
Research is largely clinical and action-oriented.
Practice-based evidence Evidence from large practice databases that include findings not only from
research studies but also from benchmarking data, clinical expertise, data from cost-effectiveness and quality
improvement studies, infection control, medical records, and national standards of care as well as patient and
family preferences.
Predictive theories Theories that describe precise relationships between concepts; are able to describe future
outcomes consistently and include statement of causal or consequential relatedness.
Prepathogenesis First stage of the Natural History of Disease Model occurring prior to interaction of the
disease agent and human host when the individual is susceptible.
Prescriptive theories Theories that prescribe activities necessary to reach defined goals. In nursing,
prescriptive theories address nursing therapeutics and predicate the consequence of interventions.
Problem-based learning (PBL) The use of predefined clinical situations and case studies to enhance or
stimulate students to acquire specific skills, knowledge, and abilities. PBL allows the instructor to manipulate
multiple variables to add increasingly complex issues or circumstances that must be considered in problem
resolution.
Profession A learned vocation or occupation that has a status of superiority and precedence within a division
of work.
Psychic energy Term used by Freud to explain how the human as an energy system is composed of instincts,
whereby instincts are the sole energy source for human behavior.
Psychoanalytic Theory Theory developed by Freud in which behavior is the product of an interaction
among the three major systems of the personality: the id, ego, and superego.
Psychodynamic theories Theories that attempt to explain the multidimensional nature of behavior and
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understand how an individuals personality and behavior interface; also provide a systematic way of
identifying and understanding behavior.
Psychosocial Developmental Theory Eriksons theory, which describes eight stages of a persons life that are
formed by social influences that interact with the physical/psychological, maturing organism. The first four
stages occur in infancy and childhood, the fifth stage occurs in adolescence, and the last three stages occur
during the adult years. Erikson believed that each stage of development builds on the next, thus contributing
to the formation of the total person.
Quality improvement (QI) The commitment and approach used to scrupulously examine and continuously
improve every process in every part of an organization. The ultimate intent of QI is meeting and exceeding
customer expectations.
Randomized, controlled clinical trials Research studies in which an intervention is tested against another
intervention. The interventions are randomly assigned to the subjects who are in the study to form at the
minimum two groups: a research group and a control group. The data are collected and statistically analyzed
to indicate the results of the research.
Rational Emotive Theory Elliss theory, which describes the interconnectedness between thoughts, feelings,
and actions. The underlying premise is that an individual has the cognitive ability to think, decide, analyze,
and do and that the individual thinks either rationally or irrationally. The repetition of irrational thoughts
reinforces dysfunctional beliefs, which, in turn, produce dysfunctional behaviors. These dysfunctional beliefs
lead to self-defeating behaviors. Ellis posited that if behaviors are learned, they can be unlearned.
Research The systematic inquiry that uses disciplined methods to answer questions or solve problems.
Research is conducted to describe, explain, or predict variables, and in a practice discipline such as nursing,
research is assumed to contribute to the improvement of care.
Resistance The second stage of the stress response in Selyes work; the bodys physiologic responses to
regain homeostasis.
Restraining forces In the planned change theory, restraining forces block or impede progress toward a goal.
Role theory A theory that contends that normative expectations and requirements, such as culturally defined
behavioral rules, are attached to positions (status) in social organizations (e.g., family, corporation, society).
Roles can be assumed to carry rights and privileges as well as duties and obligations.
Roy Adaptation Model (RAM) Callista Roys model, which focuses on assisting the client to adapt to and
overcome the stresses of illness and environmental factors.
Science A way of explaining observed phenomena as well as a system of gathering, verifying, and
systemizing information about reality (i.e., it is both a process and a product).
Science of Unitary and Irreducible Human Beings Martha Rogerss theory synthesized from theories of
the sciences to incorporate the proposition that the human is an open system embedded in larger open
systems; living systems are pattern and organization; and man is sentient, capable of awareness, feeling, and
choosing.
Self-actualization In humanistic theories (e.g., Maslow), refers to the process of developing human potential
and talents.
Self-Care Deficit Nursing Theory (SCDNT) Dorothea Orems work, consisting of three nested theories: the
theories of self-care, self-care deficit, and nursing systems. This needs-based theory seeks to provide for as
many contingencies as possible in the care of the patient, ill or well.
Self-transcendence In Reeds theory, a characteristic of developmental maturity in which there is an
expansion of self-boundaries and orientation toward broadened life perspectives and purposes.
Shared (or borrowed) theory Theories that arise or are derived from other disciplines but are applied in
nursing situations.
Simultaneity Conceptualization in which humans and environment including the universe are in constant
493
interaction all at the same time.
Simultaneity paradigm Parses depiction of a group of theories based on the science of unitary and
irreducible human beings and meaning that the paradoxes of living go on all at once, continuously. The
human is a system embedded in the universal energy system and enters into all that is taking place, in some
way, at all times.
Situation-specific theories (practice theories) Theories that are specific, narrow in scope, contain few
concepts, and are easily defined. They tend to be prescriptive.
Social-Ecological Models (SEMs) Contemporary applications of the bio-psycho-social perspective to
examine the patient/family experience of health or illness within the social ecological context. The SEMs have
been used in various forms for several decades to examine the complex interplay among individuals, social
groups, and other entities which influence health-related behaviors.
Stress, coping, and adaptation theory Lazarus and Folkmans explanation of the psychological responses
that occur as a person copes with stressful situations. Successful coping results in adaptation, which is the
capacity of a person to survive and flourish.
Symbolic interactionism A sociologic paradigm that synthesizes the concepts of self, mind, and society. In
this viewpoint, humans adapt to and survive in their environment by sharing common symbols, both verbal
and nonverbal. Within symbolic interactions, humans can imagine themselves in social roles and internalize
the attitudes, values, and norms of a social group.
Synergy Model A model that describes nurses contributions, activities, and outcomes with regard to caring
for critically ill patients. The model identifies eight patient needs or characteristics and eight competencies of
nurses in critical care situations. When patient characteristics and nurse competencies match and synergize,
outcomes for the patient are optimal.
Teaching The intentional act of communicating information; may be defined as the facilitation of learning.
The Future of Nursing A publication from the Institute of Medicine (IOM), which has been viewed as a
challenge and strategy to (1) make quality health care accessible to the diverse populations of the United
States, (2) intentionally promote wellness and disease prevention, (3) improve health outcomes, and (4)
provide compassionate care across the life span.
Theoretical framework A set of interrelated concepts that symbolically represents and conveys a mental
image of a phenomenon.
Theory A systematic explanation of an event in which constructs and concepts are identified and
relationships are proposed and predications made; a set of interpretive assumptions, principles, or propositions
that help explain or guide action.
Theory-based nursing practice Application of various models, theories, and principles from nursing
science and the biologic, behavioral, medical, and sociocultural disciplines to clinical nursing practice.
Theory evaluation (or theory analysis) The process of systematically examining a theory and ascertaining
how well the theory serves its purpose; results in a decision or action about the use of the theory.
Theory of Chronic Sorrow A theory that initially described grief observed in the parents of children with
mental deficiencies; expanded to include individuals who experience a variety of loss situations and to their
family caregivers.
Theory of Goal Attainment and Transactional Process Imogene Kings nursing framework, which focuses
on the transactions between nurse and client to attain the goals of the nursepatient relationship.
Theory of Reasoned Action/Theory of Planned Behavior A theory that explains the relationship among
beliefs, attitudes, intentions, and behavior. According to the theory, the most important determinant of a
persons behavior(s) is intention.
Theory of Self-Transcendence Pamela Reeds explanation of the expansion of self-boundaries and
orientation toward broadened life perspectives and purpose in which the individual moves beyond the
494
immediate or constricted view of self and the world. The theory can be used by nurses to develop
interventions to attend to spiritual and psychosocial expressions of self-transcendence in clients who are
confronted with end-of-life issues.
Theory of Unpleasant Symptoms A theory that seeks to improve understanding of the symptom experience
in various contexts and to provide information useful for designing effective means to prevent, ameliorate, or
manage unpleasant symptoms and their negative effects.
Theorypractice gap The notion that there is a gap between theory and practice; a common perception
among nurses because nurses in clinical practice rarely use the language of nursing theory, nursing diagnosis,
or the nursing process.
Totality paradigm The paradigm in which the person and the world are known by the sum of their parts and
the workings thereof.
Transactional leader A leader who is viewed as the traditional manager; one who is concerned with day-to-
day operations.
Transformational leader A leader who is a long-term visionary able to inspire and empower others with his
or her vision.
Transitions Theory Afaf Meleiss theory, which describes the interactions between nurses and patients,
explaining how nurses are concerned with the experiences of people as they undergo transitions, whenever
health and well-being are the desired outcome. The goal of nursing is to address the potential problems that
individuals encounter during transitional experiences and develop preventative and therapeutic interventions
to support the patient during these occasions.
Transtheoretical Model (TTM) and Stages of Change A theory that describes how behavior change
unfolds through a series of stages; each stage involves different change processes. At its core, the TTM focus
on the six Stages of Change which are not necessarily linear; rather, change is seen as fluid or dynamic and
occurs through the unfolding of the processes over a period of time.
Uncertainty in Illness Theory Merle Mishels theory describing how individuals process illness-related
stimuli and structure meaning for those events. Adaptation is the desirable end state achieved after coping
with the uncertainty. Nurses may develop interventions to influence the persons cognitive process to address
the uncertainty, which should produce positive coping and adaptation.
Unitary Concept in which all things are part of a universal energy system and in constant and changing
interaction.
Utilitarianism Philosophical perspective that is exemplified by choosing actions that maximize the pleasure
and happiness and minimize the pain and suffering the choices may cause. Utilitarianism supports the greatest
good for the greatest number of people.
Variable A phenomenon that has properties that can differ or change based on circumstances; anything that
varies.
Virtue Ethics (or Virtue Theory) Term used to describe Aristotles views on ethics, focusing on character
traits one needs in order to have good judgment, or a habit of character that predisposes one to do what is
right.
Web of Causation (Chain of Causation) A disease model used to explain chronic diseases or disability not
attributable to one or two factors or causative agents; rather, they result from the interaction of multiple
factors.
Worldview The philosophical frame of reference used by a social or cultural group to describe that groups
outlook on and beliefs about reality.
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496
A U T H O R I N D E X
Note: Page numbers followed by b indicate material in boxes; those followed by f indicate material in figures,
and those followed by t indicate material in tables.
A
Abbaszadeh, A.
Uncertainty in Illness Theory, 238
Abdellah, F.
assumptions, concepts, and relationships, 139–141, 140b
background, 139
human needs theory, 119, 124t
nursing theory, 31, 35t, 119, 139–142
parsimony of theory, 142
patient-centered approach, 139–142
philosophical underpinnings of theory, 139
publications, 141, 141b
testability of theory, 142
usefulness of theory, 141
value in extending nursing science, 142
Aber, C.
Roy Adaptation Model, 177b
Abner, C.
research on cesarean birth, 464
Abraham, M.
patient-focused care, 485
Abraham, P. J.
model of skill acquisition in nursing, 226
Abraham, S.
human needs theory, 313
interpersonal theory, 309
Achatz, M. I. W.
genomics in cancer care, 346
Acton, G. J.
Modeling and Role-Modeling, 168
theory-testing research, 462
Adam, E.
nursing theory, 36t, 119
Adams, A.
Health Belief Model, 324
just-in-time training, 449t
Synergy Model, 235b
Adams, J.
ethics vs. morality, 358
Adams, J. S.
Equity Theory, 390
Adamsen, L.
theory–practice gap, 439
497
Adamson, E.
Neuman Systems Model, 155b
Adeola, R.
distracted driving program, 447
Ade-Oshifogun, J. B.
prescriptive theory, 77
Adler, M.
Neuman Systems Model, 155b
Adu-Gyamfi, S.
Nightingale’s theory, 135
Agazio, J.
stress theories, 317
Agreda, J. J.
model of skin ulcer development, 244t
Web of Causation, 337
Aguayo, R.
Deming and quality improvement, 401b
Ahlstrom, G.
Theory of Chronic Sorrow, 108, 111
Aiken, L. H.
Magnet Recognition Program, 489
nurse staffing and patient outcomes, 487, 488
Nursing Work Index-Revised, 486–487
Ainsworth, B. E.
experimental study of “sign chi do” exercises, 459
Aita, M.
Iowa Model of Evidence-Based Practice, 264b
Ajzen, I.
Theory of Reasoned Action/Planned Action, 217, 319–321, 326t
Akerlind, I.
Maternal Role Attainment/Becoming a Mother, 247
Akhavan, S.
Maternal Role Attainment/Becoming a Mother, 247
Akhond, M.
Orem’s theory, 146b
Akintade, B.
homeostasis in heart failure, 341
simulation in nursing education, 513
Akita, Y.
social networks, 279
Akyil, R. Ç
COPD intervention, 447
Roy Adaptation Model, 177b
Akyuz, A.
cancer theories, 349
Alami, A.
Orem’s theory, 146b
Alavimajd, H.
Theory of Chronic Sorrow, 245
Uncertainty in Illness Theory, 238
Aldrich, K.
Henderson’s theory, 138
498
Alexander, J. C.
cultural diversity and cultural bias, 282
Allen, M. P.
Henderson, 137
Alligood, M. R.
grand theory categorization, 118–119
King’s System Framework, 172
middle range theory, 208
Newman and Newman theory, 194
Nightingale, 134
nursing theory, 24, 25, 27t–28t
nursing theory development, 33t
Rogerian theory, 193b
theory evaluation, 96, 106, 126
Theory of the Art of Nursing, 191
theory-testing research, 463–464
Watson, 178
Alt, M. F.
learning theories, 428
Alt-Gehrman, P.
technology in nursing education, 513
Altpeter, T.
Human Caring Science, 181
Ambuel, B.
Theory of Comfort, 240
Ames, S. W.
General Adaptation Syndrome, 315, 316
Ananian, L.
Health as Expanding Consciousness, 197b
Andel, C.
nurse staffing and patient outcomes, 487
quality improvement, 398–400
Andersen, K. M.
technology in nursing education, 514
Andersen, R. D.
Theory of Comfort, 240
Anderson, C.
Theory of Goal Attainment, 172
Anderson, D.
Transtheoretical Model, 325
Anderson, E. S.
Theory of Comfort, 240
Anderson, K.
physical activity in women, 466
Anderson, K. J.
Health Promotion Model, 231b
Andrews, H. A.
metaparadigm, 43t
Anthony, M. K.
patient care delivery models, 483
shared governance, 481
Antinuk, K.
499
feminist theory, 292
Antonovsky, A.
Artinian Intersystem Model, 160
Arcari, P. M.
Health as Expanding Consciousness, 196
Archbold, P. G.
Role Theory, 285
Aristotle
Virtue Ethics, 358–360
Armentrout, D.
model of skill acquisition in nursing, 226
Armstrong-Muth, J.
interpersonal theory, 309
Arnold, J.
model of skill acquisition in nursing, 226
Arslan-Özkan, I.
Watson’s Human Caring Science, 183b
Artinian, B.
assumptions, concepts, and relationships, 161–164, 163b, 163t
background, 160
interaction theory, 124t
Intersystem Model, 160–165, 162f
models, 82
nursing theory, 37t, 131, 160–165
parsimony of theory, 165
philosophical underpinnings of theory, 160–161, 161t, 162f
testability of theory, 164
usefulness of theory, 164
value in extending nursing science, 165
Ashford, S.
followership theory, 387
Askey-Jones, S.
cognitive-behavioral therapies, 311
Asplund, K.
Transitions Theory, 233
Aston, M.
feminist theory, 292
Atherton, H.
problem-based learning, 511
Atkinson, J. W.
Achievement–Motivation Theory, 389
Atkinson, R. C.
memory, 426
Attewell, A.
Nightingale, 132, 133, 136
Attree, M.
general systems theory, 276
Aungsuroch, Y.
human needs theory, 313
Austin, M. W.
ethics, 356
Austria, M.
500
model of skill acquisition in nursing, 227
Ausubel, D. P.
assimilation, 426
Auvil-Novak, S. E.
prescriptive theory, 40
Avant, K.
associational statements, 80
concept analysis, 58, 58t, 60t, 67, 68t
concept derivation, 59, 59b
concept development, 55, 58–59, 67, 68t
concept synthesis, 58–59
evidence-based practice, 257, 258, 259f, 260, 526
grand theories, 74, 126
metatheory, 34, 74
middle range theory, 74
postmodernism, 11
practice-based evidence, 258
practice theories, 74
relationship among levels of theory, 75, 75f
statement analysis, 87, 87b
theory analysis, 95, 96, 97t, 99, 100t, 105t, 106, 124
theory concepts, 79
theory development, 73, 216
theory development process, 86
theory–practice gap, 439
theory synthesis, 87–88, 88b
value in extending nursing science, 127
Avery, M. D.
technology in nursing education, 514
Avolio, B. J.
authentic leadership, 386
transformational leadership, 385
Aydin, C. E.
nurse staffing and patient outcomes, 487
Ayoola, A. B.
pregnancy intention and contraception, 466
B
Baca-Zinn, M.
conflict theory, 289
feminist theory, 290
Bachmann, A. O.
grand theories, 117
Neuman Systems Model, 155b
Bacon, F.
empiricism, 7, 8
philosophy, overview, 7
Bahar, Z.
Piaget’s Cognitive Development Theory, 418
Bail, J.
cancer theories, 349
Bailey, C. A.
501
infection prevention, 334
Bailey, D. E., Jr.
Uncertainty in Illness Theory, 235, 238
Bailey, L. D.
psychosocial developmental theory, 307
Bailey, P. H.
comparison of concept development models, 67
concept development, 51
Bairan, A.
cultural care diversity and universality theory, 228
Baird, M. B.
well-being in refugee women experiencing cultural transition, 443t
Baizan, E. M.
definition of emotional intelligence, 53t
Baker, G. R.
benchmarking, 495
quality management, 494
Ball, E.
Artinian Intersystem Model, 164
Ballantyne, M.
interpersonal theory, 309
Bally, J.
Social-Ecological Model, 279
Banasik, J. L.
cancer theories, 348
genetics, 344
immune system, 343
Bandera, E. V.
cancer theories, 349
Bandman, B.
nursing ethics, 361
Bandman, E.
nursing ethics, 361
Bandura, A.
application of theory to research, 459, 466
middle range theories derived from work, 215, 217
Self-Efficacy Theory, 215, 426, 447
Social Learning Theory, 217, 419–420, 459, 466
Banfield, B.
Complex Adaptive Systems, 296
Orem, 142, 145
Bankhead, S.
Iowa Model of Evidence-Based Practice, 264b
Banks, G. C.
authentic leadership, 386
Baptiste-Roberts, K.
Maternal Role Attainment/Becoming a Mother, 247
Barberis, N.
Uncertainty in Illness Theory, 238
Barkauskas, V. H.
nurse staffing and patient outcomes, 487
Barker, A. M.
502
transformational leadership, 482
Barker, P.
Chaos Theory, 296
tidal model, 225t
Barkhimer, J.
evolutionary concept analysis, 69–70
Barkimer, J.
descriptive theory, 39
Barley, E.
social psychology theories, 325
Barnard, K.
nursing theory, 119
Barnason, S.
technology in nursing education, 514
Barnes, E.
Gagne’s learning theory, 419
Barnes, H.
concept analysis, 60t
Magnet Recognition Program, 489
Barnoy, S.
genetic counseling, 346
Barnum, B. S.
descriptive theories, 75–76, 457
implied theory, 442
logistic teaching, 512
nursing education/curriculum, 505, 508
operational teaching, 511
problem-based learning, 511
teaching strategies, 510
theory evaluation, 97t, 99, 99b, 105t, 106
Barone, C. P.
Gate Control Theory, 350
Barone, S. H.
Roy Adaptation Model, 176, 177
Barrett, E. A. M.
Power as Knowing Participation in Change, 191–192
Rogerian theory, 191–192
Barrientos, R.
Uncertainty in Illness Theory, 238
Barron, J. J.
patient-centered medical homes, 493
Barry, C. D.
Rogerian theory, 193b
Barry, J. M.
evidence-based practice, 254
Bartlett, R.
interpersonal theory, 309
Barton, C.
social activism, 275
Barton, S.
postmodernism, 10
Basch, E.
503
Patient-Centered Outcomes Research Institute, 486
Başkale, H.
Piaget’s Cognitive Development Theory, 418
Bass, B. M.
transformational leadership, 385
Bassendowski, S.
Nightingale’s theory, 135
Bastable, S. B.
definition of learning, 410
health literacy, 410
learning theories, 428
Batchinsky, A. I.
Complex Adaptive Systems, 296
Bauer, J. S.
Neuman Systems Model, 155b
Bauermeister, J.
stress theories, 317
Bauman, S. L.
Humanbecoming Paradigm, 203b
Baumhover, N. C.
death imminence awareness, 212, 457
descriptive theories and research, 76, 457
Baun, M. M.
psychoimmunology, 344
Bautista, C.
pain management, 350
Baxley, S.
Artinian Intersystem Model, 164
Bayliss, P.
Critical Social Theory, 290
Bayoumi, M.
human needs theory, 313
Bazini-Barakat, N.
Public Health Nursing Practice Model, 217, 225t
Beaton, J. L.
research methodology, 18
Beauchamp, T. L.
autonomy, 365, 366
beneficence, 367, 368
bioethics, 365–370
ethical decision-making, 371
ethics vs. morality, 357
informed consent, 366
justice, 369, 370
nonmaleficence, 365, 368
paternalism, 368b
Virtue Ethics, 358, 359
Beaudet, L.
Transitions Theory, 233
Beausoleil, S.
Complex Adaptive Systems, 296
Becho, J.
504
Web of Causation, 337
Beck, A. T.
cognitive theory, 310, 326t
Beck, C. T.
evidence-based practice, 254
future issues in research, 522
Postpartum Depression Theory, 243, 245–246
research defined, 454
research methodology, 18
research process, 455b
Beck, D. M.
Nightingale, 132, 133
Becker, M. H.
Health Belief Model, 217, 320f
Beckman, S. J.
nursing curriculum, 506
Beckstrand, R. L.
Postpartum Depression Theory, 246
Bednarz, J. L.
symbolic interactionism, 281
Bednash, G. P.
nursing curriculum, 509
Beeber, L.
Complexity Science, 296
Beekman, K.
concept analysis, 60t
Bekel, G.
Orem, 142
Bekhet, A.
methodological triangulation, 522
Beland, I. L.
patient-centered approach, 139–142, 149b
Bell, S. E.
social justice, 44
Benedict, S.
justice, 370
Benkert, R.
social justice, 44
Benner, P.
application of model in research, 452, 461
application of theory in nursing education, 506
Dreyfus model, 216
middle range theory, 208, 224
model of skill acquisition in nursing, 224–227, 248, 452
nursing curriculum, 530
nursing theory, 37t, 119, 224–227
theory-to-practice-to-theory approach, 83–84
Bennett, M.
Theory of Reasoned Action/Planned Behavior, 325
Bennis, W.
charismatic leadership, 386
transformational leadership, 482
505
Benoit, R.
risk factors for pressure ulcers, 212
Benson, H.
Relaxation Response, 215
Benson, S.
Johnson model, 149
Bentley, G. W.
problem-based learning, 511
Berbiglia, V. A.
nursing curriculum, 506
Orem, 142, 145
Beresford, S. A. A.
stress theories, 317
Berger, P. L.
Social Constructionism, 280
Bergquist, S.
parish nursing model, 225t
Berk, L. E.
Piaget’s Cognitive Development Theory, 418
Berkeley, G.
empiricism, 361
Berkowitz, Z.
disease prevention, 338
Bermingham, N.
Transtheoretical Model, 325
Bernard, C.
homeostasis, 340
Bernardo, A.
Nightingale’s theory, 136
Bernhofer, E.
concept of rest, 66
Berry, D. M.
ARCC Model, 264b
Self-Transcendence Theory, 242
Watson’s Human Caring Science, 183b
Berson, Y.
transformational leadership, 385
Besse, J.
disease management, 492
Betker, C.
practice-to-theory approach, 85
Bevan, J. L.
Critical Social Theory, 290
ethical decision-making, 373
Bevis, E. O.
nursing curriculum, 503, 504, 505
Bhandari, P.
Health Promotion Model, 231b
Bhat, A. M.
cultural care diversity and universality theory, 228b
Biasio, H. A.
nursing as discipline, 3
506
philosophy, overview, 7
Bieber, P.
shared governance, 480, 481
Bigge, M. L.
learning theory, 412
Biggs, A.
Orem, 145
Biley, F. C.
Roy Adaptation Model, 177b
theory based on Roy model, 441–442
Billings, D. M.
future issues in nursing education, 530
Bisgaard, S.
quality improvement, 403
Bishop, S.
model of skill acquisition in nursing, 226
Bitanga, M. E.
model of skill acquisition in nursing, 227
Bjerregaard, L.
theory–practice gap, 439
Bjorklund, P.
psychosocial developmental theory, 306
Black, J. M.
Germ Theory, 333
immune system, 343
Black, J. S.
behavioral theories of leadership, 379
Contingency Theory of Leadership, 383
Blackburn, S.
nursing theory, 27t–28t
philosophy, overview, 7
Blais, R.
Role Theory, 285
Blake, B. J.
operational teaching, 512
Blanchard, K.
servant leadership, 387
Situational Leadership Theory, 384
sources of power, 391
Blanchard, S.
Health Promotion Model, 229–230
physical activity among African American women, 465–466
Blattner, W. A.
cancer theories, 348, 349t
Blau, P.
social exchange theory, 286
Blegen, M. A.
middle range theory, 208, 210
nursing theory–nursing research connection, 453
Blevins, C.
Theory of Successful Aging, 446–447
Blyler, D.
507
Uncertainty in Illness Theory, 238
Bockhold, C. R.
ethical decision-making, 371
Bockwoldt, D.
Roy Adaptation Model, 177b
Bodenheimer, T.
future issues in nursing, 521
Bogaerts, A.
concept analysis, 60t
Bogue, R.
Theory of Goal Attainment, 171–172
Bogue, R. L.
shared governance, 481
Bokhour, B.
Transitions Theory, 233
Boland, D. L.
nursing education/curriculum, 504
Bolino, M. C.
Leader–Member Exchange Theory, 380–381
Bolton, L. B.
nurse staffing and patient outcomes, 487
Bommer, W. H.
Path–Goal Theory, 383
Bond, M. L.
Artinian Intersystem Model, 164
Bonifas, R. P.
African Americans’ spiritual needs, 456t
Bonin, J.
Roy Adaptation Model, 176
Bonner, A.
predictive theory, 77
Bono, J. E.
transformational leadership, 385
Booth, A.
cognitive-behavioral therapies, 311
Borimnejad, L.
Theory of Chronic Sorrow, 245
Borkowski, N.
change, 395
power and power strategy, 391
transformational leadership, 385
Bostridge, M.
Nightingale, 133, 136
Boswell, C.
nursing curriculum, 509
technology in nursing education, 512, 513
Boucher, J.
ARCC Model, 264b
Boudiab, L. D.
Theory of Comfort, 240
Bournes, D. A.
Parse and Humanbecoming Paradigm, 198
508
Boustani, M. A.
Complexity Science, 296
Bowers, B. J.
Theory of Genetic Vulnerability, 213–214
Bowes, S.
Theory of Chronic Sorrow, 108, 111, 245
Bowland, S.
Self-Transcendence Theory, 242
Boxley-Harges, S. L.
nursing curriculum, 506
Boyatzis, R.
emotional intelligence, 378–379
Boykin, A.
caring as central construct, 45
Human Caring Science, 181
nursing theory, 37t, 119
Boyle, D. K.
Magnet Recognition Program, 489
Boylston, M. T.
interpersonal theory, 309
Braden, C. J.
self-help model, 236t
Brame, C.
general systems theory, 277
Bramlett, M. H.
Rogerian theory, 192
Braungart, M. M.
classical conditioning, 413
cognitive learning theory, 415, 417
definition of learning, 410
humanistic learning theory, 421
information-processing models, 421–422
Braungart, R. G.
classical conditioning, 413
cognitive learning theory, 415, 417
definition of learning, 410
humanistic learning theory, 421
information-processing models, 421–422
Bredow, T. S.
middle range theory, 523
Bredown, T. S.
theory evaluation, 106
Breidbart, S.
patient-centered medical homes, 493
Brennaman, L.
Theory of Crisis Emergencies, 443t
Brenner, A.
stress theories, 317
Brenya, E.
Nightingale’s theory, 135
Brett, S. A.
Synergy Model, 235b
509
Brewer, B. B.
Complex Adaptive Systems, 296
Brink, P. J.
reliance on nursing models in research, 467
Brockopp, D.
Human Caring Science, 181
Bromley, G. E.
staffing and work environment, 487
Bronfenbrenner, U.
Social-Ecological Model, 278
Brookfield, S. D.
transformational learning, 426
Brosch, L. R.
Health Belief Model, 324
Brous, E.
interpersonal theory, 309
Brown, C.
ARCC Model, 264b
Brown, C. G.
Health Belief Model, 324
Iowa Model of Evidence-Based Practice, 264b
Brown, D. S.
nurse staffing and patient outcomes, 487
Brown, E.
nursing theory development, 30
Brown, J. M.
dialectic learning, 511
evidence-based practice, 32, 255, 256, 444t
theory–practice gap, 438
Brown, J. W.
Newman and Newman theory, 194, 197
Brown, S. C.
nursing curriculum, 506
theory-based nursing practice, 437
Brozaitiene, J.
Social Readjustment Rating Scale, 342
Brozan, N.
ethics in Nazi Germany, 363
Bruccoliere, T.
learning approaches, 429
Bruderle, E.
nursing curriculum, 509
Brunell, M.
Stetler Model of Evidence-Based Practice, 267
Brunetto, Y.
social exchange theory, 288
Brunssen, S.
Maternal Role Attainment/Becoming a Mother, 247
Bryer, J.
Health Promotion Model, 231b
Social Readjustment Rating Scale, 342
Brykczynski, K. A.
510
Benner, 216
Buchanan, K.
Health Belief Model, 324
Buchbinder, S. B.
quality improvement, 400, 402
Bucknall, T.
ARCC Model, 263
Buckner, B. S.
Roy Adaptation Model, 177b
Buckner, E. B.
infection prevention, 334
Roy Adaptation Model, 176, 177b
Buckwalter, K. C.
Role Theory, 284–285
Budreau, G.
Iowa Model of Evidence-Based Practice, 261, 263–264, 269t
Buelow, J. M.
concept analysis, 62t
research-based concepts, 54
Buldukoğlu, K.
Watson’s Human Caring Science, 183b
Bulechek, G. M.
intermittent urinary catheterization, 445, 445t
Nursing Intervention Classification system, 445
patient contracting, 446, 446t
prescriptive theory, 77–78
Bunevicius, R.
Social Readjustment Rating Scale, 342
Burbach, B.
technology in nursing education, 514
Burchinal, M. R.
Maternal Role Attainment/Becoming a Mother, 247
Burge, S.
Web of Causation, 337
Burgermeister, D.
Complex Adaptive Systems, 296
Burke, L.
evidence-based practice, 256
Burke, M. L.
Theory of Chronic Sorrow, 108, 109, 111, 212, 243–245
Burkhart, L.
nursing curriculum, 509
Spiritual Care in Nursing Practice Theory, 225t
Theory of Spiritual Care in Nursing Practice, 212
Burnes Bolton, L.
nurse staffing and patient outcomes, 487
Burns, J. M.
leadership, 385
Burns, K.
Health Promotion Model, 230
Burton, C. W.
feminist theory, 292
511
Bussard, M. E.
simulation in nursing education, 513, 515
Butcher, H. K.
intermittent urinary catheterization, 445, 445t
Nursing Intervention Classification system, 445
patient contracting, 446, 446t
Power as Knowing Participation in Change, 191
prescriptive theory, 77–78
Butler, A.
evidence-based practice, 254
Butler, C.
moral distress, 369
Butler, M. K.
disease management, 492
Butts, J. B.
beneficence, 367
casuistry, 359
Deontology, 361, 362
ethical decision-making, 371
grand theories, 117
justice, 369
paternalism, 367
rule of double effect, 368
Utilitarianism, 362
Virtue Ethics, 358, 359
Byars, L.
Achievement–Motivation Theory, 389
Byrnes, J. P.
information-processing models, 421, 422
C
Caceres, B. A.
Theory of Goal Attainment, 171
Caldwell, C.
stress theories, 317
Callister, L. C.
Postpartum Depression Theory, 246
Calvillo, E.
perceived view of science, 10
Calzone, K. A.
genomics in nursing practice, 345
nursing curriculum, 509
Camak, D. J.
genetics in nursing, 346
Camp, R. C.
benchmarking, 495
Campbell, K.
Watson’s Human Caring Science, 183b
Canam, C.
caring as central construct, 45
metaparadigm, 41–42
Candela, L.
512
behavioral learning theory, 413
categorization of learning theory, 412
cognitive learning theory, 415
definition of teaching, 411
humanistic learning theory, 420–421
information-processing models, 421
Cannella, B.
Piaget’s Cognitive Development Theory, 418
Cannon, S.
nursing curriculum, 509
technology in nursing education, 512, 513
Canon, W.
homeostasis, 340
Cantiello, J.
quality management, 495
Caplan, E.
Theory X and Theory Y, 381
Caputi, L.
model of skill acquisition in nursing, 227
Caramanica, L.
Stetler Model of Evidence-Based Practice, 267
Caratao-Mojica, R.
Rogerian theory, 189, 193b
Carbonu, D. M.
Chaos Theory, 296
Carini, R. M.
Self-Transcendence Theory, 242
Carlin, N.
ethical decision-making, 371
Carlson, B. A.
Critical Social Theory, 290
Carlson, E.
cultural competence, 282
Carmona, C. M.
cancer theories, 349
Carney, D. R.
power pose, 392
Carpenter, D. R.
epistemology, 13
nursing as human science, 17
nursing theory, 25, 72
perceived view of science, 10
research methodology, 18
science, overview, 6
Carpenter, J.
relaxation and immune function, 344
Carper, B. A.
nursing epistemology, 13–14, 15t, 20–21
Carr, J. M.
explanatory theory, 76
research-to-theory approach, 85
Theory of Family Vigilance, 212, 213, 244t
513
Carroll, K.
Synergy Model, 235b
Synergy Model application, 448
Carruth, A.
social exchange theory, 288
Carson, K. D.
power bases, 391
Carson, P. P.
power bases, 391
Carsten, M. K.
followership theory, 387
Carter, R.
cognitive-behavioral therapies, 311
Carter, S.
nursing epistemology, 20–21
Cartwright, S.
transformational leadership, 386
Casarez, R. L. P.
beneficence, 368
Caserta, M.
concept development, 58
research-based concepts, 54
Cashman, J.
Leader–Member Exchange Theory, 380
Cason, C.
Artinian Intersystem Model, 164
Cassidy, C.
feminist theory, 292
Castro, S. L.
Path–Goal Theory, 384
Cates, L. A.
model of skill acquisition in nursing, 226
Cathcart, D.
span of control, 477
Catlin, A.
Watson’s Human Caring Science, 183b
Catterall, K.
Adult Learning Theory, 425
Cavenee, W. K.
genetic basis of cancer, 347
Cazzell, M.
adolescent vulnerability to risk behaviors, 213
Cerasoli, C. P.
Motivation–Hygiene (Two-Factor) Theory, 382
Cerra, F.
disease management, 492
Cesario, S.
theory development, 73
Cha, S. E.
transformational leadership, 385
Chacko, J. M.
Theory of Goal Attainment, 172
514
Champion, V. L.
Health Belief Model, 319
Chan, A.
student-centered teaching, 421
Chan, K.
student-centered teaching, 421
Chan, S.
social networks, 280
Chando, S.
Magnet Recognition Program, 489
Chang, H.-K.
Orem’s theory, 146b
Chang, S. J.
grand theories, 117
practice theories, 440, 441
Rogerian theory, 193b
Chapa, D. W.
homeostasis in heart failure, 341
Chapman, J.
Theory of Reasoned Action/Planned Behavior, 325
Chappell, C.
ethical decision-making, 371
Charns, M.
Stetler Model of Evidence-Based Practice, 267
Chase, S. K.
sustaining health in faith community, 212
Chassin, M.
quality improvement, 398, 400t
Chatterjee, S. B.
definition of health literacy, 53t
Chee, J.
concept development, 58
Cheek, D. J.
disease prevention, 338
Chemers, M.
Contingency Theory of Leadership, 382, 383
Chen, M. F.
Bandura’s Social Learning Theory, 420
Chen, R.-R.
Orem’s theory, 146b
Chen, S.
Health as Expanding Consciousness, 197
Chen, Z. X.
Leader–Member Exchange Theory, 380
Cheon, J.
ethical decision-making, 373
Cherkis, F.
Health Promotion Model, 231b
Chesla, C.
model of skill acquisition in nursing, 226
Cheung, S.
student-centered teaching, 421
515
Cheung, S. P.
nurse staffing and patient outcomes, 488
Childress, J. F.
autonomy, 365, 366
beneficence, 367, 368
bioethics, 365–370
ethical decision-making, 371
ethics vs. morality, 357
informed consent, 366
justice, 369, 370
nonmaleficence, 365, 368
paternalism, 368b
Virtue Ethics, 358, 359
Chinn, P. L.
application of theory in practice, 437, 438t
assumptions, 81
concept development, 51, 87
evidence-based practice, 257, 258, 259, 260, 524, 525
knowledge development, 522
metatheory, 34
middle range theory, 38, 208, 523
nursing epistemology, 15–16, 15t
nursing theory, 25, 26, 27t–28t
nursing theory development, 26, 29, 31, 32, 33t, 35t–37t
postmodernism, 11
practice-based evidence, 258
practice theories, 440, 444t, 522
theory and research, 452–453, 454
theory components, 79
theory concepts, 79
theory construction, 87
theory description and critique, 96, 97t, 100–101, 101t, 105t, 106
theory development, 73, 452–453, 523, 524
theory development process, 86, 87
theory-generating research, 460
theory purpose, 79
theory structure and linkages, 81
theory testing in research, 88
theory validation and application in practice, 88
translational research, 32
Chiu, M.
logistic teaching, 512
Cho, M.
disease management, 490
Cho, S. H.
nurse staffing and patient outcomes, 487
Choe, K.
moral distress, 369
Choi, J.
nursing curriculum, 509
Choi, K. C.
Orem’s theory, 146b
516
self-care in dysmenorrhea, 466
Choi-Kwon, S.
Health Promotion Model, 229, 231b
Chong, K.
Iowa Model of Evidence-Based Practice, 264b
Chou, F. H.
Self-Transcendence Theory, 242
Choy, K.
ARCC Model, 263
Christen, M.
Synergy Model, 235b
Christensen, D.
Health Change Trajectory Model, 238
Christensen, S.
cultural diversity, 283
Christopher, K. A.
descriptive theories, 76
Chun, H. K.
infection prevention, 334
Chung, K. C.
evidence-based practice, 254
Chung, L.
student-centered teaching, 421
Church, J.
Watson’s Human Caring Science, 183b
Ciliska, D.
evidence-based practice, 255, 256, 258
Cimiotti, J. P.
nurse staffing and patient outcomes, 487
Claman, K.
Complex Adaptive Systems, 296
Clancy, T. R.
Complex Adaptive Systems, 296
Clapper, T. C.
Adult Learning Theory, 425
Clark, C.
concept of multiculturalism, 65
Clark, E. G.
natural history of disease, 337–339
Clark, K.
moral distress, 369
Clarke, P. N.
Roy Adaptation Model, 176, 177
Clarke, S. P.
nurse staffing and patient outcomes, 487, 488
Role Theory, 285
Clary-Muronda, V.
Social-Ecological Model, 278, 279
Clavelle, J. T.
Magnet Recognition Program, 488, 489
transformational leadership, 483
Cleaves, J.
517
model of skill acquisition in nursing, 227
Clemmens, D.
Postpartum Depression Theory, 246
Cleveland, L. M.
lead exposure screening and strategies, 447
Clouten, K.
patient-focused care, 485
Cloutier, J. D.
comparison of concept development models, 67
concept development, 51
Cobb, K. A.
lead exposure screening and strategies, 447
Cobb, R. K.
predictive theory, 39
Cochrane, A.
evidence-based practice, 254
Cochrane, D.
psychoanalytic theory, 305
Cody, W. K.
evidence-based practice, 118, 131, 132
middle range theory, 208, 209
nursing as human science, 17
paradigm shift, 120
parsimony of theory, 127
theory-based nursing practice, 437
Coggin, C.
Artinian Intersystem Model, 164
Cohen, J. B.
Nightingale, 254
Coke, L.
cultural care diversity and universality theory, 228
Roy Adaptation Model, 177b
Coleman, C.
Six Sigma, 404
Coleman, J.
Rational Choice Theory, 287
Collins, P.
Social-Ecological Model, 278
Colvin, S.
Johns Hopkins Nursing Evidence-Based Practice Model, 266, 267
Comer, L.
Health Promotion Model, 231b
Common, J. C.
ethics in nursing, 363
Condon, B. B.
Humanbecoming Paradigm, 200
Cone, P. H.
Artinian Intersystem Model, 164, 165
Conger, J. A.
charismatic leadership, 386
Connelly, J.
Self-Transcendence Theory, 242
518
Conner, N. E.
concept analysis, 62t
Connors, R.
stress theories, 317
Conway, A.
Health Promotion Model, 231b
Conway, J.
patient-focused care, 485
Cook, D. J.
disease management, 490
Cooley, S. S.
Watson’s Human Caring Science, 183b
Cooper, E.
nursing curriculum, 509
Cope, V. C.
generational differences, 285
Copnell, B.
evidence-based practice, 254
Corbin, J. M.
Chronic Illness Trajectory Framework, 236t, 238
Corcoran-Perry, S. A.
caring as central construct, 45
nursing as discipline, 3
Cormier, E. M.
cancer theories, 349
Corrigan, J. M.
quality management, 493
Corte, C.
Theory of Reasoned Action/Planned Behavior, 325
Costanzo, C.
Health Belief Model, 324
Costigan, S. A.
social psychology theories, 318, 325
Cottingham, C.
transformational leadership, 482
Cottrell, L.
concept analysis, 62t
research-based concepts, 54
Coulson, D.
Bandura’s Social Learning Theory, 420
Coulter, M.
Path–Goal Theory, 384
transactional and transformational leadership, 385
Covell, C. L.
Theory of Nursing Intellectual Capital, 216, 216f, 217
Coward, D. D.
Self-Transcendence Theory, 242
Cowles, K. V.
sources of concepts, 54t
Cox, C.
motivation in health behavior, 236t
Coyle, A. L.
519
infection prevention, 334
Coyle, J. S.
model of skill acquisition in nursing, 227
Coyle, N.
ethical decision-making, 373
Crandell, J.
Uncertainty in Illness Theory, 238
Crede, M.
transformational leadership, 385–386
Crigger, N.
professional identity formation, 359
Crisp, J.
psychoanalytic theory, 305
Critchley, S.
Artinian Intersystem Model, 164
Croft, R. J.
ethical decision-making, 372
Cromwell, J. L.
Nightingale, 133, 135, 136
Cronenwett, L.
nursing curriculum, 509
Crooks, N.
concept analysis, 62t
explanatory theory, 39
Cropley, S.
patient-focused care, 486
Crosby, P. B.
quality improvement, 401
Crowley, D. M., 3
metaparadigm, 42
nursing as discipline, 4
Crowther, S.
Lean Thinking, 403
Cuddihy, M.
span of control, 478
Cuddy, A. J. C.
power pose, 392
Culleiton, A. L.
model of skill acquisition in nursing, 227
Cull-Willby, B. L.
empiricism, 8
Cunningham, R.
patient-focused care, 486
Curley, M. A. Q.
Synergy Model, 233, 234, 235b
Synergy Model for Patient Care, 95
Curran, M. K.
Adult Learning Theory, 425
Curry, D. M.
Gate Control Theory, 351
Curtis, A. B.
cultural care diversity and universality theory, 228
520
Cusack, G.
genomics in nursing practice, 345
Cutcliff, J. R.
concept development, 51
Cypress, B. S.
Uncertainty in Illness Theory, 238
D
Daft, R. L.
conflict mode model, 397
empowerment, 392
quality improvement, 402
Theory X and Theory Y, 381
D’Agata, A. L.
Complex Adaptive Systems, 296
Dahinten, V. S.
caring as central construct, 45
metaparadigm, 41–42
span of control, 478
Dahm, P.
evidence-based practice, 254
Dahnke, M. D.
empiricism, 8
future issues in nursing education, 530
moral distress, 369
perceived view of science, 9
philosophy, overview, 7
science, overview, 7
theory development, 524
Dahrendorf, R.
conflict theory, 289
Dale, A. E.
theory application in practice, 435
Dale, R.
genetics in nursing, 345, 346
Dalton, J.
Kotter’s Eight-Step Plan for Implementing Change, 394
Nightingale’s theory, 136
Dame, L.
technology in nursing education, 515
D’Amour, D.
Role Theory, 285
Damus, K.
Johnson model, 149
Danford, C. A.
social justice, 44
Dang, D.
Johns Hopkins Nursing Evidence-Based Practice Model, 267
D’Angelo, D.
explanatory theory, 76
Danuser, B.
grand theories, 117
521
Neuman Systems Model, 155b
Dardis, M. R.
Health Belief Model, 324
Darnell, L. K.
cultural care diversity and universality theory, 229, 449t
Daubenmire, M. J.
King’s conceptual framework, 171
Davenport, L. A.
ethnography, 283
David, D.
Kotter’s Eight-Step Plan for Implementing Change, 394
Davidow, S. L.
nurse staffing and patient outcomes, 487
quality improvement, 398–400
Davidson, J.
ARCC Model, 264b
Davidson, J. E.
Facilitated Sensemaking, 84, 212
theory-to-practice-to-theory approach, 84
Davis, A. L.
Theory X and Theory Y, 381
Davis, B. A.
model of skill acquisition in nursing, 226–227
Davis, B. L.
Power as Knowing Participation in Change, 191
Davis, J.
Health Belief Model, 324
Davis, J. E.
Nurse Practitioner Practice Model, 225t
Davis, K. F.
just-in-time training, 449t
Synergy Model, 235b
Dawson, C.
ARCC Model, 264b
Day, L.
nursing curriculum, 530
Day-Black, C.
operational teaching, 511–512
Dearholt, S.
Johns Hopkins Nursing Evidence-Based Practice Model, 261, 266, 266b, 267, 269t
DeChurch, L.
Path–Goal Theory, 384
Dee, V.
Johnson model, 149, 150
Deering, C. G.
Piaget’s Cognitive Development Theory, 418
Defloor, T.
general systems theory, 277
De Gagne, J. C.
operational teaching, 512
Watson’s Human Caring Science, 183b
DeGroot, J.
522
cultural care diversity and universality theory, 228b
DeGuzman, P. B.
Nightingale’s theory, 135
De Hoog, A.
leadership traits, 378
de Koning, H.
quality improvement, 403
Delaney, A.
logistic teaching, 512
Del Fabbro, L.
Critical Social Theory, 290
Del Valle, M. G.
Rogerian theory, 193b
De Marinis, M. G.
explanatory theory, 76
Demark-Wahnefried, W.
cancer theories, 349
De Martinis, J. E.
nursing curriculum, 509
Deming, W. E.
quality improvement, 397, 400–401, 401b
Den Hartog, D.
leadership traits, 378
Denke, L.
Artinian Intersystem Model, 164
Dennis, C. L.
Postpartum Depression Theory, 246
Denny, D. L.
beneficence, 368
Denzin, N. K.
Social Constructionism, 280
Derby-Davis, M. J.
Watson’s Human Caring Science, 183b
Derdiarian, A. K.
Johnson model, 149, 150
DeRue, S.
followership theory, 387
Déry, J.
Role Theory, 285
DeSanto-Madeya, S.
borrowed vs. unique theory, 40
grand theories, 37, 116–117, 123, 123t
metaparadigm, 41, 41b, 42, 44
middle range theory, 38, 208, 209, 211
Moving Beyond Dwelling in Suffering, 443t
Neuman Systems Model, 155b
paradigm categorization of theories, 122–123, 125
Rogerian theory, 193b
spiritual healing in child maltreatment, 461
theory analysis and evaluation, 96, 99–100, 106, 124, 126
theory and research, 454, 467
value in extending nursing science, 127
523
Descartes, R.
philosophy, overview, 7
rationalism, 361
Dever, M.
disease prevention, 338
DeVon, H. A.
Theory of Unpleasant Symptoms, 241
DeVries, A.
patient-centered medical homes, 493
Diaz, D.
ethical decision-making, 373
DiBartolo, M. C.
empiricism, 8
perceived view of science, 9, 10
philosophy, overview, 7
postpositivism, 9
DiCenso, A.
evidence-based practice, 255, 256, 258
Dickey, S. L.
cancer theories, 349
Dickoff, J.
definition of theory, 38
explanatory theories, 76
nursing theory, 25, 72, 132
nursing theory development, 30–31
predictive theories, 76
prescriptive theories, 77, 456
theory categorization, 75
types of theory, 38
Dickson, V. V.
practice theory on heart failure, 441
DiClemente, C. C.
Transtheoretical Model, 321–322
Didham, P.
postmodernism, 10
Diedrick, L.
ACE Star Model, 261
evidence-based practice, 267–268
Diefendorff, J. M.
staffing and work environment, 487
Dienger, J.
social exchange theory, 288
Dierkes, A.
shared governance, 481
Dilthey, W.
nursing as human science, 17
Dion, K.
concept analysis, 63t
Dmytryshyn, A. L.
interpersonal theory, 309
Dobbins, J. A.
learning styles, 427
524
Dobratz, M. C.
middle range theory, 461
Roy Adaptation Model, 176, 213
Theory of Adaptive Spirituality, 85–86, 176, 213, 456t
Theory of Psychological Adaptation, 213
theory-to-research-to-theory approach, 85–86
Dochterman, J. M.
intermittent urinary catheterization, 445, 445t
Nursing Intervention Classification system, 445
patient contracting, 446, 446t
prescriptive theory, 77–78
Doddridge, C.
Iowa Model of Evidence-Based Practice, 264b
Doering, J.
normalcy after childbirth, 441
Does, R. J. M. M.
quality improvement, 403
Dolansky, M. A.
nursing curriculum, 509
Donahue, M. P.
Harvey’s study of circulation, 333
nursing theory development, 29, 30, 33t
Donald, A.
evidence-based practice, 405
Donald, F.
Adult Learning Theory, 425
Donaldson, M. S.
quality management, 493
Donaldson, N.
nurse staffing and patient outcomes, 487
Donaldson, S. K.
metaparadigm, 42
nursing as discipline, 3, 4
Donebedian, A.
quality improvement, 398
Doody, O.
ethical decision-making, 373
Doornbos, M. M.
cultural care diversity and universality theory, 228b
King’s System Framework, 172
Doran, D.
span of control, 477
Dorrian, J.
Theory of Reasoned Action/Planned Behavior, 325
Dossa, A.
Transitions Theory, 233
Dossey, B. M.
Nightingale, 132, 133, 134, 136, 453
Rogers, 188
Doucet, T. J.
Humanbecoming Paradigm, 200
Dougherty, C. M.
525
study of implantable cardioverter defibrillator, 459
Doughty, C.
model of skill acquisition in nursing, 226
Douglas, C.
predictive theory, 77
Douglas, S. L.
stress theories, 317
Douglas and Dahnke
justice, 370
Dowd, T.
Theory of Comfort, 215
Downs, C.
stress and inflammation, 342–343
Doyle, C.
cancer theories, 349
Drafke, M.
Achievement–Motivation Theory, 389
leadership traits, 378
Draucker, C. B.
symbolic interactionism, 281
Dreher, H. M.
empiricism, 8
future issues in nursing education, 530
perceived view of science, 9
philosophy, overview, 7
science, overview, 7
theory development, 524
Drenkard, K.
Magnet Recognition Program, 488, 489
transformational leadership, 483
Dreyfus, H. L.
theory-based nursing practice, 437
Dreyfus, S. E.
Model of Skill Acquisition, 83–84, 216, 224
theory-based nursing practice, 437
Driscoll, J. W.
Postpartum Depression Theory, 246
Droes, N. S.
Theory of Chronic Sorrow, 108
Drummond, S.
Humanbecoming Paradigm, 200
D’Sousa, M. S.
Theory of Goal Attainment, 172
Dubin, R.
concepts, types of, 51, 52t
DuBrin, A. J.
decision-making process, 396, 397
emotional intelligence, 378–379
Fayol’s management principles, 388
leadership, 377, 378
Situational Leadership Theory, 384
Ducharme, F.
526
Roy Adaptation Model, 176
Transitions Theory, 233
Dudley-Brown, S.
comparison of theory evaluation methods, 104
future issues in research, 522
theory evaluation, 97t, 103–104, 105t, 106
Duffey, M.
theory analysis and evaluation, 96, 97t, 98, 98b
Duffield, C.
span of control, 477
Duke, G.
cancer theories, 349
evidence-based practice, 255, 256, 257
Dukes, S.
Health Belief Model, 324
Dumchin, M.
model of skill acquisition in nursing, 227
Dunbar, S. B.
postmodernism, 11
Duncan, C.
comparison of concept development models, 67
concept development, 51
Duncan, K.
nursing curriculum, 509
Dunn, D.
Complexity Science, 296
Dunn, K.
learning styles, 427
Uncertainty in Illness Theory, 238
Dunn, K. S.
Self-Transcendence Theory, 242
Theory of Adaptation to Chronic Pain, 215, 244t
Dunn, R.
learning styles, 427
Duquette, A.
Roy Adaptation Model, 176
Duran, B.
Participatory Action Research, 289–290
Durfor, S. L.
normalcy after childbirth, 441
Dworkin, S. L.
symbolic interactionism, 281
Dwyer, P.
Social-Ecological Model, 278
Dyess, S.
ethnography, 283
Dyess, S. M.
sustaining health in faith community, 212
E
Eakes, G.
Theory of Chronic Sorrow, 108, 109, 111, 212, 243–245
527
Echevarria, I.
Bandura’s Social Learning Theory, 420
Eckert, D.
Postpartum Depression Theory, 246
Eckhardt, A. L.
Theory of Unpleasant Symptoms, 241
Ecoff, L.
ARCC Model, 264b
Edwards, Q. I.
genomics in cancer care, 346
Edwards, S. B.
symbolic interactionism, 281
Eggert, J.
genetics of leukemia, 347
Ehlers, V.
human needs theory, 313
Ehlman, K.
psychosocial developmental theory, 307
Eichelberger, L. W.
nursing theory, 25
Eilam, G.
authentic leadership, 386
Einstein, A.
paradigm shift, 119
parsimony of theory, 127
Eisenstein, A. R.
Theory of Reasoned Action/Planned Behavior, 325
Eitzen, D. S.
conflict theory, 289
feminist theory, 290
Ekim, A.
Transitions Theory, 233
El Hussein, M.
descriptive theory, 39
research-to-theory approach, 85
Elias, B. L.
Johns Hopkins Nursing Evidence-Based Practice Model, 266, 267
Elliot, N. L.
administration and management, 529
Elliott, D.
Theory of Reasoned Action/Planned Behavior, 325
Elliott, J. E.
experimental research on cancer pain, 456t
Elliott-Miller, P.
span of control, 478
Ellis, A.
Rational Emotive Theory, 310–311, 326t
Ellis, J. R.
administration and management, 529
nursing as profession, 2
Ellis, R.
characteristics of significant theories, 97, 97t, 105t, 106, 124
528
Ellis, R. B.
concept analysis, 62t
research-based concepts, 54
Ellrodt, G.
disease management, 490
El-Masri, M.
infection prevention, 334
Elminowski, N. S.
cultural care diversity and universality theory, 229
cultural diversity, 283
Elsahoff, J.
nurse staffing and patient outcomes, 487
Elsayed, N. G.
perceived view of science, 10
Emerson, R.
social exchange theory, 279
Emerson, R. J.
allostasis, 340
fight or flight, 341
Engebretson, J.
beneficence, 368
Complex Adaptive Systems, 294, 295b, 296
Complexity Science, 293, 295b
cultural diversity and competence, 282
grand theories, 118
Rogerian theory, 193b
symbolic interactionism, 281
Engle, S.
correlational research on adolescent anger, 456t
Roy Adaptation Model, 177b
Englebright, J.
Henderson’s theory, 138
Engstrom, D. A.
Complex Adaptive Systems, 294–295, 295b
Ergüney, S.
COPD intervention, 447
Roy Adaptation Model, 177b
Erickson, H.
application of theory in nursing education, 506
assumptions, concepts, and relationships, 166–167, 167t
background, 165
caring as central construct, 45
interaction theory, 124t
interactive–integrative paradigm, 122
middle range theory, 208
Modeling and Role-Modeling, 160, 165–168
nursing theory, 37t, 119, 160, 165–168
parsimony of theory, 168
philosophical underpinnings of theory, 166
testability of theory, 168
usefulness of theory, 167, 168b
value in extending nursing science, 168
529
Erickson, M. E.
Modeling and Role-Modeling, 166, 167
Modeling and Role-Modeling theorists, 165
Erickson, R. J.
staffing and work environment, 487
Erikson, E. H.
psychosocial developmental theory, 303, 303t, 306–307, 326t, 449t
Eriksson, K.
nursing theory, 119
Ervin, S. M.
nursing education, 504
Espinosa, L.
interpersonal theory, 309
Espinoza, N.
stress theories, 317
Estus, K.
Iowa Model of Evidence-Based Practice, 264b
Eun-Ok, I.
grand theories, 117
Evans, E. C.
concept analysis, 60t
Evans, K. C.
philosophy, overview, 7
Everett, L. Q.
Iowa Model of Evidence-Based Practice, 261, 263–264, 269t
Evers, K. E.
Transtheoretical Model, 322–323, 322b, 324f
Ewen, H. H.
allostasis, 341
F
Faessler, J.
Iowa Model of Evidence-Based Practice, 264b
Fagerström, C.
concept analysis, 62t
Fahey, K. F.
experimental research on cancer pain, 456t
Fairbanks, E.
evidence-based practice, 263
Falco, C.
Theory of Chronic Sorrow, 109, 245, 448
Falk, R. J.
Transtheoretical Model, 325
Falk-Rafael, A.
practice-to-theory approach, 85
Fapohunda, A.
cultural care diversity and universality theory, 228b
Farmer, L.
bioethics, 365, 366
informed consent, 366
Farrell, D.
Theory of Unpleasant Symptoms, 241
530
Farrell, K.
definition of binge eating, 53t
Farrell, T. C.
Transtheoretical Model, 325
Farren, A. T.
cultural care diversity and universality theory, 228
Power as Knowing Participation in Change, 191–192
Farr-Wharton, R.
social exchange theory, 288
Farside, A. L.
technology in nursing education, 513
Fater, K. H.
nursing curriculum, 509
Faulkner, K. M.
practice theory on heart failure, 441
Fawcett, J.
background, 125
borrowed vs. unique theory, 40
California staffing law, 487
caring as central construct, 45
cesarean birth research, 464
concept development, 51
descriptive theories, 75–76
evidence-based practice, 255, 256, 257, 260
explanatory theories, 76
grand theories, 37, 116–117, 123, 123t
health-related behaviors of Korean Americans, 443t
King, 169
metaparadigm, 41, 41b, 42, 44
middle range theory, 38, 208, 209, 211
Moving Beyond Dwelling in Suffering, 443t
Neuman Systems Model, 131, 150–155, 152t, 153f, 155b, 317
nursing as discipline, 3
nursing epistemology, 14
nursing theory, 24, 25
paradigm categorization of theories, 120, 122–123, 123t, 125
predictive theories, 76
Rogerian theory, 191, 193b
Roy Adaptation Model, 177b
science and philosophy, 5
simultaneity paradigm, 121
spiritual healing in child maltreatment, 461
theory analysis and evaluation, 96, 97t, 99–100, 105t, 106, 124, 126
theory and research, 454, 467
theory application in practice, 436b
value in extending nursing science, 127
Faya-Ornia, G.
definition of emotional intelligence, 53t
Fayol, H.
chain of command, 477
classic management theory, 388, 388b
Fearon-Lynch, J. A.
531
predictive theory, 39
theory-to-practice-to-theory approach, 84
Feero, W. G.
genomics in nursing practice, 345
Feinstein, N. F.
ARCC Model, 263
Felten, B. S.
concept of resilience in aging, 65
Ferber, L.
Adult Learning Theory, 425
Ferguson-Paré, M.
span of control, 477
Fern, L.
explanatory theory, 76
Fernández-Sola, C.
cultural care diversity and universality theory, 228
Ferrans, C. E.
prescriptive theory, 78
Ferrante, J.
cultural diversity and cultural bias, 282
Ferrer, R.
Web of Causation, 337
Fiedler, F.
Contingency Theory of Leadership, 382–383, 383b
Field, C.
just-in-time training, 449t
Synergy Model, 235b
Fields, B.
principle-based concept analysis, 66
Fike, A.
Magnet Recognition Program, 489
Filter, M.
cultural care diversity and universality theory, 228b
Finegan, J.
shared governance, 480
Fineout-Overholt, E.
ARCC Model, 261, 263, 269t
evidence-based practice, 32, 254, 255, 256, 259, 260b, 267, 404, 444t, 495, 496
future issues in nursing, 522
Stetler Model of Evidence-Based Practice, 267
Finke, L. M.
nursing curriculum, 504
Finkelman, A.
evidence-based practice, 256, 259
nursing as profession, 2–3
Finnegan, L.
fertility preservation in cancer, 460–461
prescriptive theory, 78
Firestone, S.
radical feminism, 291
Fischer, S. A.
transformational leadership, 483
532
Fishbein, M.
Theory of Reasoned Action/Planned Behavior, 217, 319–321, 326t
Fisher, A.
theory–practice gap, 437
Fisher, E. M.
Chaos Theory, 296
Fisher, K.
definition of health-promoting lifestyle, 53t
Fisher, M. L.
learning theory, 412
Fitzgerald, K.
learning theories, 428
Fitzgerald, L.
Watson’s Human Caring Science, 183b
Fitzpatrick, J. J.
background, 125
evidence-based practice, 256, 257, 260
middle range theory, 208
nursing epistemology, 14
nursing theory, 36t
Rogerian theory, 191
Self-Transcendence Theory, 242
theory evaluation, 106
theory in research, 455
transformational leadership, 483
Flanagan, J.
Health as Expanding Consciousness, 196
Flanagan, K.
Complex Adaptive Systems, 296
Flaskerud, J. H.
theory-research-practice relationship, 82
Florczak, K. L.
Humanbecoming Paradigm, 203b
Floria-Santos, M.
genomics in cancer care, 346
Floyd, J. M.
Magnet Recognition Program, 488
Flynn, D.
Uncertainty in Illness Theory, 238
Flynn, H. A.
Postpartum Depression Theory, 246
Flynn, L.
fall prevention, 338
nurse staffing and patient outcomes, 487
Fogarty, K. J.
cultural care diversity and universality theory, 228
Fogg, L.
cultural care diversity and universality theory, 228
Foley, J. G.
cultural care diversity and universality theory, 228b
ethnography, 283
Foli, K.
533
concept analysis, 60t
depression in adoptive parents, 464
Folkman, S.
Stress Coping Adaptation Theory, 215, 316–317, 343
Folse, V. N.
quality management, 494
Folta, J. R.
pure vs. applied science, 302
Foote, A.
infection prevention, 334
Ford, H.
Lean Thinking, 403
Ford, M. T.
Motivation–Hygiene (Two-Factor) Theory, 382
Forde-Johnston, C.
fall prevention, 338
Ford-Gilboe, M.
descriptive research on abused women, 456t
Fornehed, M. L.
cultural care diversity and universality theory, 228
Fountain, R.
flipped classroom, 421
Fouquier, K. F.
Maternal Role Attainment/Becoming a Mother, 247
Fowler, M. D.
feminist theory, 292
Fowles, E. R.
Maternal Role Attainment/Becoming a Mother, 247
Fox, D. M.
population health, 492–493
Frank, J.
interpersonal theory, 309
Frank, L.
Patient-Centered Outcomes Research Institute, 486
Frederickson, K.
Roy Adaptation Model, 177
Frederiksen, K.
principle-based concept analysis, 67
Fredland, N.
Transitions Theory, 233
Freeman, L. C.
infection prevention, 334
Freire, P.
Critical Social Theory, 289
French, J.
concept of power, 391
Freud, S.
paradigm shift, 303
psychoanalytic theory, 302, 303–305, 303t, 326t
Frey, M. A.
King’s conceptual framework, 171
Fridman, M.
534
nurse staffing and patient outcomes, 487
Friedan, B.
liberal feminism, 291
Friedemann, M. L.
Role Theory, 284–285
Friedman, G. D.
Web of Causation, 336
Friedmann, E.
homeostasis in heart failure, 341
Friesner, S. T.
Gate Control Theory, 351
Friesth, B. M.
technology in nursing education, 514
Fritz, B. J.
disease prevention, 338
Frogner, B.
disease management, 492
Fruehwirth, S. E. S.
Johnson model, 149
Fukahori, H.
social networks, 279
Fulghum, J.
Health Belief Model, 324
Fuller, J. M.
Power as Knowing Participation in Change, 191
Fung, S. C.
logistic teaching, 512
G
Gable, R. K.
Postpartum Depression Theory, 246
Gabriel, A. S.
staffing and work environment, 487
Gagne, R. M.
Conditions of Learning, 417, 418–419, 419b
Gallagher, P.
practice-to-theory approach, 85
Gallo, A.-M.
ARCC Model, 264b
Gamber, A.
Transtheoretical Model, 325
Ganz, F. D.
General Adaptation Syndrome, 342
García, L. H.
Rogerian theory, 193b
García-Fernández, F. P.
model of skin ulcer development, 244t
Web of Causation, 337
Gardner, H.
multiple intelligences, 426
Gardner, W. L.
authentic leadership, 386
535
Garity, J.
evidence-based practice, 255
Garmon, S. C.
theory of perceived access to breast health care, 90–92
Garneau, A. B.
concept analysis, 62t
Garner, W. L.
authentic leadership, 386
Garon, E. B.
Uncertainty in Illness Theory, 238
Gass, S.
Magnet Recognition Program, 489
Gassaway, J.
practice-based evidence, 258
Gauvreau, K.
California staffing law, 487
Gavriloff, C.
quality improvement to promote safety, 496
Geary, C. R.
Transitions Theory, 233
Gebbens, C.
span of control, 478
Geden, E.
Orem’s theory, 143
Gelber, M. W.
anticipatory grief, 443t
Gelmon, S. B.
benchmarking, 495
quality management, 494
Gemmill, R.
Theory of Goal Attainment, 172
George, J. B.
evidence-based practice, 260
Health as Expanding Consciousness, 193, 197
theory evaluation, 106
Transitions Theory, 231, 232, 233
Georgopoulos, B.
Path–Goal Theory, 383
Gerardi, D.
systems theory, 277
Germack, H.
shared governance, 481
German, V. F.
lead exposure screening and strategies, 447
Germino, B. B.
Uncertainty in Illness Theory, 238
Gerrish, K.
Critical Social Theory, 290
Giammanco, M. D.
Uncertainty in Illness Theory, 238
Giarelli, E.
nursing curriculum, 509
536
Web of Causation, 337
Giblin, J. C.
psychosocial developmental theory, 307
Gibson, F.
explanatory theory, 76
Gift, A.
Theory of Unpleasant Symptoms, 212, 235, 240–241, 241f
Giggleman, M.
ARCC Model, 263
Gigliotti, E.
theory-testing research, 464
Gillem, T.
quality improvement, 401b
Gillum, D. R.
cultural care diversity and universality theory, 228
Gilman, A.
infection prevention, 334
Giske, T.
Artinian Intersystem Model, 164, 165
Gist, D.
Kotter’s Eight-Step Plan for Implementing Change, 394
Gitto, L.
Uncertainty in Illness Theory, 238
Giuliano, K. K.
nursing philosophy, 12
Stetler Model of Evidence-Based Practice, 267
Glanz, K.
social psychology theories, 324
Gleason-Wynn, P.
Artinian Intersystem Model, 164
Glendon, M. A.
Uncertainty in Illness Theory, 238
Glenn, A. D.
Theory of Chronic Sorrow, 108, 245
Glenn, L. A.
Complex Adaptive Systems, 296
Gobert, M.
general systems theory, 277
Godfrey, N.
professional identity formation, 359
Goldberg, L.
feminist theory, 292
Goldberger, A.
Complex Adaptive Systems, 294, 295b
Goldenberg, D.
nursing education, 504, 530
Goldman, B. D.
Maternal Role Attainment/Becoming a Mother, 247
Goldstein, L. A.
Modeling and Role-Modeling, 168b
Goleman, D.
emotional intelligence, 378–379
537
Gonzalez, K. M.
definition of learning, 410
Good, M.
acute pain management, 244t
Theory of Acute Pain Management, 217
Goran, S. F.
Synergy Model, 235b
Gordon, D. B.
concept of quality pain management, 66
Gordon, J.
nursing curriculum, 509
Theory of Chronic Sorrow, 108, 111
Gordon, S. C.
Rogerian theory, 193b
Gortner, S. R.
empiricism, 8
metaparadigm, 42
research methodology, 17
science, overview, 6, 7
Gosselin, K.
flipped classroom, 421
Grace, P. J.
bioethics, 357
casuistry, 359
justice, 369
Graen, G.
Leader–Member Exchange Theory, 380–381
Gralton, K. S.
Synergy Model, 235b
Gramet, P. R.
classical conditioning, 413
cognitive learning theory, 415, 417
definition of learning, 410
humanistic learning theory, 421
information-processing models, 421–422
Grami, P.
delirium prevention bundle, 466
Gramling, K. L.
Health as Expanding Consciousness, 196
Granero-Molina, J.
cultural care diversity and universality theory, 228
Grant, M. L.
Theory of Chronic Sorrow, 108, 111
Theory of Goal Attainment, 172
Graor, C. H.
Health Promotion Model, 230
Graven, L.
cancer theories, 349
Gray, E. R.
Theory X and Theory Y, 381
Gray, J.
Client Experience Model, 212
538
Gray, J. A. M.
evidence-based practice, 254
Gray, J. R.
Artinian Intersystem Model, 164
nursing research, 454, 455b
Gray-Miceli, D.
nursing curriculum, 509
Green, B.
Health Belief Model, 324
Green, E. D.
genomics in nursing practice, 345
Green, J. P.
Theory X and Theory Y, 381
Green, R.
Orem’s theory, 146b
Greenhalgh, T.
Complexity Science, 295b
Greenwald, B. J.
Health Promotion Model, 231b
weight loss theory, 441
Gregg, S. R.
Modeling and Role-Modeling, 168b
Gregory, J. W.
Theory of Chronic Sorrow, 108, 111, 245
Greiner, J.
ARCC Model, 264b
Greiner, S. M.
Critical Social Theory, 290
ethical decision-making, 373
Griffith, M. B.
principle-based concept analysis, 66
Griggs, S. A.
learning styles, 427
Grimsley, C.
Humanbecoming Paradigm, 200
Grogan, C. M.
population health, 492–493
Grooper, S.
ethnography, 283
Grossman, L. C.
genetics, 344
Grossman, S.
pain management, 350
Grossman, S.
cancer theories, 347
Grossman, S.
homeostasis, 340
Grove, S. K.
nursing research, 454, 455b
Grubbs, J.
Johnson, 148, 149t, 150
Gruenke, T.
539
technology in nursing education, 513
Grumbach, K.
future issues in nursing, 521
Grumme, V. S.
Rogerian theory, 193b
Guarnero, P.
symbolic interactionism, 281
Guido, G. W.
beneficence, 368
Guillet, N.
Critical Social Theory, 290
Guler, C. E.
authentic leadership, 386
Gunnarsdottir, S.
concept of quality pain management, 66
Gunther, M. E.
Rogers, 188
Guo, S. H.-M.
Orem’s theory, 146b
Gustafsson, B.
empiricism, 8
science and philosophy, 5
Guvenc, G.
cancer theories, 349
Guyatt, G.
evidence-based practice, 255, 256, 258
Guyton, A. C.
concepts of physiology, 54
H
Haag-Heitman, B.
model of skill acquisition in nursing, 227
Haas, B.
evidence-based practice, 255, 256, 257
Haber, J.
correlational research, 458
evidence-based practice, 31, 254, 255, 442, 444t
experimental research, 459
research framework, 456
research process, 455b
theory-testing research, 462
Habermas, J.
Critical Social Theory, 289
Hackett, R. D.
Leader–Member Exchange Theory, 380
Haddad, V. C. N.
Nightingale’s theory, 135
Haefner, D. P.
Health Belief Model, 320f
Haefner, J.
family systems theory, 277
Häggström, M.
540
Transitions Theory, 233
Hahm, B.
Rogerian theory, 193b
Haigh, C. A.
Chaos Theory, 294
Hain, D. J.
ethical decision-making, 373
Hainsworth, M. A.
Theory of Chronic Sorrow, 108, 109, 111, 212, 243–245
Halfer, D.
Complex Adaptive Systems, 296
Hall, C. S.
defense mechanisms, 304
Hall, H.
evidence-based practice, 254, 255
Hall, J. E.
concepts of physiology, 54
Hall, J. L.
research on cesarean birth, 464
Hall, J. M.
concept of resilience in aging, 65
principle-based concept analysis, 66
Hall, L. A.
Self-Transcendence Theory, 242
Hall, L. E.
nursing theory, 31, 35t, 119
Hall, M.
Health Belief Model, 324
Hall, V.
concept analysis, 63t
Hall, W.
caring as central construct, 45
metaparadigm, 41–42
Halloran, L.
genetics in nursing, 346
Halstead, J. A.
future issues in nursing education, 530
Hamilton, R. J.
Theory of Genetic Vulnerability, 213–214
Hammer, M. J.
explanatory theory, 76
Hamrin, V.
general systems theory, 277
Han, K.
Health Promotion Model, 229
Hanberg, A.
theory-based nursing practice, 437
theory–practice gap, 438
Hann, H. W.
health-related behaviors of Korean Americans, 443t
Hanna, D.
Roy Adaptation Model, 176, 177
541
Hannah, D.
Transitions Theory, 233
Hannan, M.
disease prevention, 338
Hannings, G.
operational teaching, 512
Hanrahan, K.
ARCC Model, 264b
Hansen, J.
technology in nursing education, 513
Hansen, L.
Role Theory, 285
Hanson, K. J.
cognitive-field (Gestalt) theory, 417
Hanson, P.
Complex Adaptive Systems, 296
Complexity Science, 296
Harder, I.
concept of network-focused nursing, 65
Hardin, P. K.
nursing education/curriculum, 509
Hardin, S. R.
critical care visitation, 466
Synergy Model, 233, 234, 235b, 448
theoretical statements, 79
theoretical vs. operational definitions, 52
theory and research, 453
theory components, 79
theory concepts, 79
theory structure and linkages, 81
variable vs. nonvariable concepts, 52
Hardy, J.
Theory of Reasoned Action/Planned Behavior, 325
Hardy, M.
concept development, 51
concepts, type of, 51
theoretically vs. operationally defined concepts, 53
theoretical statements, 80t
theory evaluation, 96, 97–98, 97t, 105t, 106, 124
variable vs. nonvariable concepts, 52
Harms, P. D.
transformational leadership, 385–386
Harp, R.
Contingency Theory of Leadership, 383
Harris, B.
interpersonal theory, 309
Harris, R.
Roy and Roy Adaptation Model, 173, 176–177
Harrison, L.
research methodology, 18
Hart, A.
critical care visitation, 466
542
Synergy Model, 234
Hart, D.
nursing curriculum, 509
Hart, J. D.
Humanbecoming Paradigm, 200
Hart, N.
operational teaching, 511–512
Hart, S.
service learning, 421
Hartigan, N.
cognitive-behavioral therapies, 311
Hartley, C. L.
nursing as profession, 2
Hartley, L.
administration and management, 529
Hartrick Doane, G.
theory–practice gap, 438
Harvath, T. A.
descriptive theory, 76
disease prevention, 338
principle-based concept analysis, 67
Harvey, M.
Bandura’s Social Learning Theory, 420
Harvey, W.
blood circulation, 333
Harward, D. H.
Transtheoretical Model, 325
Harwood, L.
model of skill acquisition in nursing, 226
Hastings-Tolsma, M.
Theory of Diversity of Human Field Pattern, 191, 213
theory-to-research-to-theory approach, 86
Hatfield, L. A.
Gate Control Theory, 351
shared governance, 481
Hatzfeld, J. J.
health behaviors in military personnel, 466
Health Promotion Model, 230
Haugan, G.
Self-Transcendence Theory, 242
Haussler, S.
research on cesarean birth, 464
Havaei, F.
span of control, 478
Havelock, R.
change theory, 392
Hawe, P.
Complexity Science, 295b
complexity science, 192
Hawkins, K.
Humanbecoming Paradigm, 203b
Hawkins, M.
543
shared governance, 480
Hawkins, N.
disease prevention, 338
Hawkins, S. F.
concept clarification, 66
Hawks, J. H.
Germ Theory, 333
immune system, 343
Hawley, J.
Transtheoretical Model, 325
Hawver, T. H.
emotional intelligence, 386
Hayden, S. J.
Roy Adaptation Model, 176
Hayes, B.
predictive theory, 77
Hayles, N. K.
Complexity Science, 292
Hayman, L.
California staffing law, 487
Haymes, S. E.
Uncertainty in Illness Theory, 238
Haynes, R. B.
evidence-based practice, 254, 256
Hayward, R. D.
predictive theory, 77
He, H.-G.
Transtheoretical Model, 325
Heater, B. S.
Theory of Chronic Sorrow, 111
Hebdon, M.
concept analysis, 60t
Hechter, M.
Rational Choice Theory, 287
Hecke, A.
general systems theory, 277
Heelan-Fancher, L.
Rogerian theory, 193b
Hegge, M.
Nightingale’s theory, 135
Heineken, J.
power concepts, 391
Heinitz, K.
charismatic leadership, 386
Hektor, L. M.
Rogers and Rogerian theory, 188, 191
Hellriegel, D.
leadership, 377, 379
Helman, S.
just-in-time training, 449t
Synergy Model, 235b
Helms, J. E.
544
Gate Control Theory, 350
Helson, H.
Adaptation Theory, 84, 173
Henderson, A.
caring as central construct, 45
metaparadigm, 41–42
Henderson, A. M.
information-processing models, 423
Henderson, J.
cognitive-behavioral therapies, 311
Henderson, V.
activities for client assistance, 137–138, 138b
assumptions, concepts, and relationships, 137–138, 138b
background, 136–137
human needs theory, 119, 124t, 466
metaparadigm, 137–138
nursing theory, 31, 35t, 119, 124, 136–139
parsimony of theory, 138–139
philosophical underpinnings of theory, 137
testability of theory, 138
theory as conceptual framework, 466
usefulness of theory, 138
value in extending nursing science, 139
Hendricks, J. M.
generational differences, 285
Henson, A.
cancer theories, 349
disease prevention, 338
Héon, M.
Iowa Model of Evidence-Based Practice, 264b
Hergenhahn, B. R.
behavioral learning theory, 413–414
cognitive learning theory, 415
Herman, J.
Cues to Participation in Prostate Screening, 217t
Herrman, J. W.
operational teaching, 511
Herrmann, E. K.
Henderson, 137
Hersey, P.
Situational Leadership Theory, 384
sources of power, 391
Hershberger, P. E.
fertility preservation in cancer, 460–461
Hervé, R.
causative agent in disease, 333
Herzberg, F.
Motivation–Hygiene (Two-Factor) Theory, 381–382, 388, 449t
Hessler, K. L.
information-processing models, 423
Hester, L. L.
Social-Ecological Model, 278
545
Hickey, J. V.
Complex Adaptive Systems, 294, 295b
Complexity Science, 293, 295b
grand theories, 118
Hickey, P. A.
California staffing law, 487
Synergy Model, 235b
Hickman, J. S.
concept development and research, 57
grand theories, 74
metatheory, 34, 74
nursing theory development, 35t–37t
received and perceived views of science, 7
research-practice relationship, 83
theory description, 96
theory evaluation, 96
theory-research-practice relationship, 82
Transitions Theory, 231, 232, 233
Hickman, R. L., Jr.
stress theories, 317
Hicks, M. M.
concept analysis, 62t
Hickson, S. V.
cultural care diversity and universality theory, 229, 449t
Higginbottom, G. M.
ethnography, 283
Higgins, P. A.
grand theories, 37, 74, 117
middle range theory, 38, 74, 209
practice theories, 38, 75
relationship among levels of theory, 75
scope of theory, 34
theory of music, mood, and movement, 212
Hill, K.
Human Caring Science, 181
Hill, T. L.
logistic teaching, 512
Hills, M.
Human Caring Science, 181
Hilton, P. A.
Nightingale, 26
nursing theory development, 26, 35t–37t
Hines, M. E.
Rogerian theory, 193b
Hinshaw, A. S.
areas of evolving nursing science, 469–471
Hirooka, K.
social networks, 279
Hirshfeld-Cytron, J.
fertility preservation in cancer, 460–461
Hirst, S.
descriptive theory, 39
546
research-to-theory approach, 85
Hitt, M. A.
behavioral theories of leadership, 379
Contingency Theory of Leadership, 383
Ho, H. M.
Self-Transcendence Theory, 242
Ho, S.-C.
Transtheoretical Model, 325
Hobdell, E. F.
Theory of Chronic Sorrow, 108, 111
Hodge, D. R.
African Americans’ spiritual needs, 456t
Hodges, H. F.
career persistence in acute care, 212
Complexity Science, 296
problem-based learning, 511
Hodges, P.
servant leadership, 387
Hoebeke, R.
autonomy, 366–367
technology in nursing education, 515
Hoenig, H.
Transitions Theory, 233
Hoerl, R. W.
quality improvement, 403
Hoffman, A. J.
cancer theories, 349
Hogan, N. S.
Spiritual Care in Nursing Practice Theory, 212, 225t
Hohenberger, H.
infection prevention, 334
Holaday, B.
Johnson, 147, 149
Holden, J. E.
Gate Control Theory, 351
Holden, L. M.
Complex Adaptive Systems, 294
Holditch-Davis, D.
Maternal Role Attainment/Becoming a Mother, 247
Holland, B. E.
Client Experience Model, 212
Hollander, M.
nurse staffing and patient outcomes, 487
quality improvement, 398–400
Hollenbeck, J. R.
behavioral theories of leadership, 379
Rational Decision-Making Model, 395
Holmes, D.
nonmaleficence, 369
postmodernism, 10
Holmes, T.
General Adaptation Syndrome, 342
547
Holstein,
ethnography, 283
Holton, E. F.
Adult Learning Theory, 423–424
cognitive-field (Gestalt) theory, 416
Holtz, C.
cultural care diversity and universality theory, 228
Holzemer, W. L.
nursing science, 12
research methodology, 16
science, overview, 7
Homans, G.
social exchange theory, 286
Homard, C. M.
model of skill acquisition in nursing, 226
Hood, L. J.
nursing as profession, 3
postmodernism, 10, 11
Hopkin, R. J.
genetic counseling, 346
Hopkins, B. A.
theory-testing research, 462
Horn, S. D.
practice-based evidence, 258
Horner, M. D.
flipped classroom, 511
Horsley, T. L.
technology in nursing education, 513
Horswell, R.
disease management, 492
Horton, K. L.
symbolic interactionism, 281
Horton, S. E.
Critical Social Theory, 290
Hossler, C. L.
Critical Social Theory, 290
House, R. J.
charismatic leadership, 386
Path–Goal Theory, 383–384
Houston, S.
Magnet Recognition Program, 489
Howie, L.
cognitive-field (Gestalt) theory, 417
Hsieh, S. I.
logistic teaching, 512
Hsin, Y. M.
Self-Transcendence Theory, 242
Hsu, L. L.
logistic teaching, 512
Hsu, M. C.
Theory of Unpleasant Symptoms, 241
Hudson, D.
548
Health Promotion Model, 229–230
physical activity among African American women, 465–466
Hudson, K., 256, 257
evidence-based practice, 255
Hughes, A. K.
ethical decision-making, 371
Hughes, I.
grand theories, 118
Hughes, J.
ethics in nursing, 363
Hughes, T.
immune function, 344
Huijser, H.
problem-based learning, 511
Hull, C. L.
reinforcement, 413t, 414
Hume, D.
empiricism, 8, 361
Hummel, J. R.
patient-centered medical homes, 493
Humphrey, R. H.
emotional intelligence, 386
Hung, S. L.
Bandura’s Social Learning Theory, 420
Hunnibell, L. S.
Self-Transcendence Theory, 242
Hunt, D.
disease management, 490
homeostasis in heart failure, 341
Hunter-Revell, S.
Social-Ecological Model, 278
Hupcey, J. E., 67
comparison of concept development models, 67
concept development, 50, 51, 55, 66–67, 68t
principle-based concept analysis, 66–67, 68t
Husted, G.
nursing theory, 119
Husted, J.
nursing theory, 119
Huston, C. J.
administration and management, 529
disease management, 491
evidence-based practice, 259
future issues in nursing, 524
patient care delivery models, 483, 484
practice-based evidence, 258
quality management, 494
shared governance, 480
Hutchinson, S.
Critical Social Theory, 290
Huth, M. M.
Theory of Acute Pain Management, 217
549
I
Im, E.-O.
Midlife Women’s Attitudes Toward Physical Activity, 443t
practice theories, 440, 441, 444t, 524
Transitions Theory, 231, 232, 232f
Ingersoll, G. L.
evidence-based practice, 255, 257
Inventor, B. R.
Critical Social Theory, 290
ethical decision-making, 373
Ip, W. Y.
Orem’s theory, 146b
self-care in dysmenorrhea, 466
Irvin, B. L.
Modeling and Role-Modeling, 168
theory-testing research, 462
Isac, C.
Theory of Goal Attainment, 172
Isaksson, A.
Theory of Chronic Sorrow, 108
Isaramalai, S.
Orem’s theory, 143
Isbir, G. G.
adaptation in pregnancy, 448
Ishigaki, H.
Orem’s theory, 146b
Ishimaru, M.
explanatory theory, 39
Ivanov, L. L.
ethical decision-making, 373
Iwasiw, C. L.
nursing education, 504, 530
Iyere, K.
disease prevention, 338
J
Jaarsma, T.
practice-to-theory approach, 85
Theory of Self-Care of Chronic Illness, 85, 213, 236t, 461
Jablonski, K.
cancer theories, 349
Jack, S. M.
interpersonal theory, 309
Jackson, H.
Health Promotion Model, 229–230
physical activity among African American women, 465–466
Jackson, S. E.
leadership, 377, 379
Jackson-Cook, C. K.
psychoimmunology, 344
Jacobs, B. B.
Nightingale, 135
550
Jacobson, L.
nursing education, 502, 530
Jacobson, S.
genetics of leukemia, 347
Jacox, A.
abstract vs. concrete concepts, 52
assumptions, 81
concept development, 86–87
concepts, types of, 51
empiricism, 8
postpositivism, 9
theoretical statements, 80t
theory development process, 86–87
Jago, A. G.
decision making, 395
leadership theories, 385
James, P.
definition of theory, 38
explanatory theories, 76
nursing theory, 25, 72, 132
nursing theory development, 30–31
predictive theories, 76
prescriptive theories, 77, 456
theory categorization, 75
types of theory, 38
Jang, S. J.
Rogerian theory, 193b
Jansen, D. A.
allostasis, 340
fight or flight response, 341
Jarosz, P. A.
Orem’s theory, 146b
Theory of Weight Management, 213
theory-to-research-to-theory approach, 85
Jarrell, A.
interpersonal theory, 309
Jayawardhana, J.
Magnet Recognition Program, 489
Jeffery, A. D.
Synergy Model, 235b
Jeffries, P. R.
simulation in nursing education, 513
Jenerette, C.
Uncertainty in Illness Theory, 238
Jenkins, C.
Critical Social Theory, 290
Jenkins, J.
genomics in nursing practice, 345
nursing curriculum, 509
Jenkins, K.
California staffing law, 487
Jennings, B. M.
551
evidence-based practice, 256, 257
health behaviors in military personnel, 466
Health Promotion Model, 230
Jensen, E.
evidence-based practice, 525
Jeska, S.
span of control, 477
Jesse, D. E.
Watson, 178
Jetha, Z. A.
Nightingale’s theory, 136
Joachim, H.
shared governance, 480, 481
Johansson, L.
Orem’s theory, 146b
Johnson, A.
distracted driving program, 447
logistic teaching, 512
Johnson, B.
patient-focused care, 485
Johnson, B. M.
Chaos Theory, 293
general systems theory, 276
theory–practice gap, 439
Johnson, D.
assumptions, concepts, and relationships, 147–148, 148t
background, 147
Behavioral System Model, 146–150
borrowed theories, 302
human needs theory, 124t
metaparadigm, 43t, 148
nursing theory, 35t, 119, 124, 146–150
outcome theory, 119
parsimony of theory, 150
philosophical underpinnings of theory, 147
Roy and, 150, 173
systems theory, 275
testability of theory, 149
totality paradigm, 121
usefulness of theory, 149
value in extending nursing science, 150
writings, 147, 147b
Johnson, J.
Theory of Comfort, 240
Johnson, K. E.
Critical Social Theory, 290
Johnson, M. J.
Medication Adherence Model, 217t
Johnson, N. L.
Web of Causation, 337
Johnson, P.
infection prevention, 334
552
Joly, E.
Transitions Theory, 233
transition to adulthood, 443t
Jones, C.
grand theories, 118
Johns Hopkins Nursing Evidence-Based Practice Model, 266, 267
Jones, D.
Newman and Newman theory, 194, 197
span of control, 478
Jones, N.
Path–Goal Theory, 383
Jones-Parker, H.
disease prevention, 338
Jónsdóttir, H.
nursing as discipline, 3
theory application in practice, 435
Jonsen, A. R.
ethical decision-making, 371, 372t
Jonsén, E.
psychosocial developmental theory, 307
Jose, R. M.
Gate Control Theory, 351
Joseph, H. A.
Theory of Chronic Sorrow, 108, 245
Joseph, L.
Theory of Goal Attainment, 172
Joseph, M. L.
shared governance, 481
Theory of Goal Attainment, 171–172
Josephsen, J.
nursing curriculum, 509
Joyce, B.
Transtheoretical Model, 325
Jubb-Shanley, M.
cognitive-field (Gestalt) theory, 417
Recovery Alliance Theory of Mental Health Nursing, 217t
Judd, D.
nursing as profession, 3
nursing theory development, 30
Judge, C. A.
interpersonal theory, 309
Judge, T. A.
Achievement–Motivation Theory, 389
departmentalization, 480
Equity Theory, 390
Kotter’s Eight-Step Plan for Implementing Change, 394
leadership traits, 378
organizational design, 476
transactional and transformational leadership, 385
Judkins-Cohn, T. M.
ethics and informed consent, 365
Jung, D. D.
553
charismatic leadership, 386
Jung, D. I.
transformational leadership, 385
Juran, J. M., 401b
quality improvement, 400–401, 403
Justin, J. E.
Path–Goal Theory, 384
Jylli, L.
Theory of Comfort, 240
K
Kagan, S. H.
Nightingale’s theory, 135
Kaiser, M.
disease management, 492
Kalisch, B. J.
Nightingale, 26
nursing theory development, 28–29, 30, 33t
Pasteur and Germ Theory, 333
Kalisch, P. A.
Nightingale, 26
nursing theory development, 28–29, 30, 33t
Pasteur and Germ Theory, 333
Kamai, S.
Iowa Model of Evidence-Based Practice, 264b
Kamau-Small, S.
Transtheoretical Model, 325
Kameoka, T.
King’s conceptual framework, 171
Kang, D. H.
psychoimmunology, 344
relaxation and immune function, 344
stress and inflammation, 342–343
Kang, J.
operational teaching, 512
Kang, Y.
moral distress, 369
predictive theory, 77
Kant, I.
Deontology, 360–361
Golden Rule, 360
philosophy, overview, 7
Kanungo, R. N.
charismatic leadership, 386
Kao, C. H.
social networks, 280
Kao, S.-F.
Orem’s theory, 146b
Kaplow, R.
disease prevention, 338
Karnas, J.
span of control, 477
554
Karunamuni, N.
social psychology theories, 318, 325
Kaskel, B. L.
nursing curriculum, 506
Kasl, S. V.
Health Belief Model, 320f
Kasper, C. E.
nursing theory, 25
Kasprzyk, D.
Theory of Reasoned Action/Planned Behavior, 319
Katerndahl, D.
Web of Causation, 337
Katz, A.
disease prevention, 338
Katz, N. H.
conflict management, 397
Kauffman, S.
Complexity Science, 292
Kaur, H.
Roy Adaptation Model, 177b
Kaur, R.
infection prevention, 334
Kay, A.
Theory X and Theory Y, 381
Kaylor, M. B.
Watson’s Human Caring Science, 183b
Kaylor, S. K.
information-processing models, 423
Kazer, M. W.
theory in research, 455
Uncertainty in Illness Theory, 238
Kearnely, M.
correlational research on adolescent anger, 456t
Roy Adaptation Model, 177b
Keating, S. B.
nursing education/curriculum, 502, 503, 504, 505, 506, 507, 530
Keatings, M.
span of control, 478
Keaton, M.
social activism, 275
Keeley, A. C.
career persistence in acute care, 212
Keene, A.
pain management, 350
Keeney, S.
concept analysis, 62t
Keeping-Burke, L.
Transtheoretical Model, 325
Keevil, C.
causative agent in disease, 334
Keiser, M.
cultural care diversity and universality theory, 228b
555
Keithley, J. K.
logistic teaching, 512
Kek, M. Y.
problem-based learning, 511
Kellehear, K. J.
theory–practice gap, 437, 438
Keller, C.
experimental study of “sign chi do” exercises, 459
Kelley, C. G.
stress theories, 317
Kelley, H. M.
social exchange theory, 286
Kelley, J.
nursing curriculum, 504
Kelly, C. W.
Commitment to Health Theory, 217t
Kelly, D. L.
psychoimmunology, 344
Kelly, K.
immune function, 344
Kelly, L. A.
Magnet Recognition Program, 489
Kelly, S.
shared governance, 481
Kelly, T.
cognitive-field (Gestalt) theory, 417
Kelly-Weeder, S.
definition of binge eating, 53t
Kelso, J. A. S.
Complex Adaptive Systems, 294–295, 295b
Kendall, L. C.
Theory of Chronic Sorrow, 108, 111
Kenner, C. A.
evidence-based practice, 256, 259
nursing as profession, 2–3
nursing education, 502
Kenney, J. W.
general systems theory, 276
theory application in practice, 435, 436b
theory-based nursing practice, 436–437
Kerley, R. M.
technology in nursing education, 513
Kerlinger, F. N.
concept development, 50
concept development and research, 57
Ketefian, S.
nurse staffing and patient outcomes, 487
Keyes, K.
learning theories, 428
Khan, B. A.
Complexity Science, 296
Kharde, S.
556
Theory of Goal Attainment, 172
Khosravan, S.
Orem’s theory, 146b
Khoueiry, G.
Six Sigma, 404
Kidd, P.
nursing epistemology, 15
nursing theory development, 26–28
research methodology, 18
Kielwasser-Withrow, K.
ethics and informed consent, 365
Kikuchi, T.
Orem’s theory, 146b
Kilmann, R. H.
change, 392
conflict mode model, 397
Kim, H.
Health Promotion Model, 231b
Kim, H. J.
Health Promotion Model, 231b
Kim, H. K.
Theory of Unpleasant Symptoms, 241
Kim, H. S.
concept development, 50, 51, 61–63, 63t, 67, 68t
metaparadigm, 41, 44
middle range theory, 208
practice theories, 441t
testability of theories, 126
Theory of Unpleasant Symptoms, 241
Kim, K. M.
infection prevention, 334
Kim, M. Y.
Health Promotion Model, 231b
Kim, S.
predictive theory, 77
Kim, S. C.
ARCC Model, 264b
Kim, S. H.
Theory of Unpleasant Symptoms, 241
Kincade, A.
Transtheoretical Model, 325
King, D.
Complex Adaptive Systems, 296
King, I. M.
assumptions, concepts, and relationships, 169–170, 170f, 171t
background, 169
interaction theory, 119, 124t
metaparadigm, 170, 171t
nursing theory, 35t, 119, 124, 159, 160, 168–172
parsimony of theory, 172
philosophical underpinnings of theory, 169
Systems Framework, 160, 168–172
557
testability of theory, 172
theory development, 168
Theory of Goal Attainment, 160, 168–172
transactional process, 168–172
usefulness of theory, 171–172
value in extending nursing science, 172
King, J.
parish nursing model, 225t
King, M. G.
Critical Social Theory, 290
Kinney, J.
allostasis, 341
Kinsey, C. B.
Maternal Role Attainment/Becoming a Mother, 247
Kipnis, D.
power and power strategy, 392
Kirk, M.
social psychology theories, 325
Kirkham, S. R.
caring as central construct, 45
metaparadigm, 41–42
Kirscht, J. P.
Health Belief Model, 320f
Kirton, C. A.
Power as Knowing Participation in Change, 191
Kirwan, M.
Henderson’s theory, 139
Kitchie, S.
learning theories, 428
Kiviniemi, M. T.
social psychology theories, 325
Kjerulff, K. H.
Maternal Role Attainment/Becoming a Mother, 247
Kleiber, C.
Iowa Model of Evidence-Based Practice, 261, 263–264, 269t
Kleinbeck, S. V. M.
Caregiving Effectiveness Model, 39, 244t
Klompas, M.
infection prevention, 334
Klotzbaugh, R.
Health Belief Model, 324
Knaack, L.
Humanbecoming Paradigm, 200
Knafl, K. A.
concept development, 51
Knapp, T. R.
assumptions, 81
borrowed vs. unique theory, 40
empiricism, 8, 9
metaparadigm, 41
metatheory, 34
methodology, 9, 13
558
nursing philosophy, 12
nursing theory, 27t–28t
postpositivism, 9
science, overview, 6
theory components, 79
theory development, 73
translational research, 32
Kneipp, S. M.
Complexity Science, 296
Kneisl, C. R.
General Adaptation Syndrome, 315, 316
Knier, S.
Adult Learning Theory, 425
Knowles, M.
Adult Learning Theory, 423–425, 513
application of theory in nursing education, 513
cognitive-field (Gestalt) theory, 416
role of teachers, 414
Knowles, S.
Theory of Reasoned Action/Planned Behavior, 325
Knox, A. B.
proficiency, 426
Koch, L. M.
anticipatory grief, 443t
Koch, T.
psychoanalytic theory, 305
Kochinda, C.
Caregiving Effectiveness Model, 39, 244t
Koehler, J.
Caregiving Effectiveness Model, 39, 244t
Koenig, H. G.
predictive theory, 77
Koh, C. K.
Health Promotion Model, 231b
Koh, W.
transformational leadership, 385
Koharchik, L.
model of skill acquisition in nursing, 227
Koharchik, L. S.
Health Belief Model, 324
Kohn, L. T.
quality management, 493
Kohr, L. M.
Synergy Model, 235b
Kolb, D. A.
cognitive development/interaction theories, 417
learning styles, 426
Kolcaba, K.
Theory of Comfort, 215, 223, 235, 238–240, 248
Kongstvedt, P. R.
disease management, 491
Konzelman, L.
559
operational teaching, 511–512
Koop, P. M.
symbolic interactionism, 281
Koopman, P.
leadership traits, 378
Kopelman, R. E.
Theory X and Theory Y, 381
Koponen, L.
model of skill acquisition in nursing, 226
Koren, M. E.
Modeling and Role-Modeling, 168b
spirituality of staff nurses, 449t
Kothare, S. V.
Theory of Chronic Sorrow, 108, 111
Kotter, J. P.
change, 392
Eight-Step Plan for Implementing Change, 393–394
power, 392
Kowalski, K.
flipped classroom, 511
Kralik, D.
psychoanalytic theory, 305
Kramer, M.
Complex Adaptive Systems, 296
Kramer, M. K.
application of theory in practice, 437, 438t
assumptions, 81
concept development, 51, 87
evidence-based practice, 257, 258, 259, 260, 524, 525
knowledge development, 522
metatheory, 34
middle range theory, 38, 208, 523
nursing epistemology, 15–16, 15t
nursing theory, 25, 26, 27t–28t
nursing theory development, 26, 29, 31, 32, 33t, 35t–37t
postmodernism, 11
practice-based evidence, 258
practice theories, 440, 444t, 522
theory and research, 452–453, 454
theory components, 79
theory concepts, 79
theory construction, 87
theory description and critique, 96, 97t, 100–101, 101t, 105t, 106
theory development, 73, 452–453, 523, 524
theory development process, 86, 87
theory-generating research, 460
theory purpose, 79
theory structure and linkages, 81
theory testing in research, 88
theory validation and application in practice, 88
translational research, 32
Kraut, R.
560
Virtue Ethics, 358
Kravits, K.
Theory of Goal Attainment, 172
Kridli, S. A.
definition of health-promoting lifestyle, 53t
Krinsky, R.
Theory of Comfort, 240
Kristiansen, L.
Transitions Theory, 233
Kshirsagar, A. V.
Transtheoretical Model, 325
Kudenchuk, P. J.
study of implantable cardioverter defibrillator, 459
Kuennen, J. K.
dialectic learning, 510
Kuhn, A.
intersystem and intrasystem model, 161
Kuhn, T. S.
metaparadigm, 41
paradigm shift, 119, 198
theory evaluation, 103
Kukanich, K. S.
infection prevention, 334
Kulbok, P. A.
Nightingale’s theory, 135
Kuliju, K.
concept analysis, 60t
Kurita, K.
Uncertainty in Illness Theory, 238
Kushi, L. H.
cancer theories, 349
Kutney-Lee, A.
shared governance, 481
Kvamme, A. M.
Health Belief Model, 324
Kwak, E. Y.
Rogerian theory, 193b
L
Lachman, V. D.
ethics in nursing, 357
Ladas, E. L.
immune function, 344
Lai, L.
Theory of Goal Attainment, 172
Lally, R. M.
social psychology theories, 325
Lalor, J. G.
concept analysis, 60t
Lam, L. T.
Theory of Reasoned Action/Planned Behavior, 325
Lam, L. W.
561
Orem’s theory, 146b
self-care in dysmenorrhea, 466
Lam, S. K.
transformational leadership, 385
Lamet, A. R.
Self-Transcendence Theory, 242
Lamke, D.
Watson’s Human Caring Science, 183b
Lana, A.
definition of emotional intelligence, 53t
Lancastle, D.
social psychology theories, 325
Lane, E.
Gate Control Theory, 351
Lane, K.
correlational research on adolescent anger, 456t
Roy Adaptation Model, 177b
Lapum, J.
Adult Learning Theory, 425
Larkey, L. K.
experimental study of “sign chi do” exercises, 459
Larsen, K.
theory–practice gap, 439
Laschinger, H.
shared governance, 480
span of control, 478
Lash, A. A.
Watson’s Human Caring Science, 183b
Lasiter, S.
Complexity Science, 296
concept analysis, 62t
research-based concepts, 54
Latham, T.
Gate Control Theory, 351
Latimer, K.
operational teaching, 511
Laughon, D.
Theory of Goal Attainment, 171–172
Lauver, D.
Theory of Care-Seeking Behavior, 217t, 236t
Law, K. S.
Leader–Member Exchange Theory, 380
Law, R.
Bridging Worlds theory, 441
Lawson, T. G.
Neuman Systems Model, 151
Lawson, V.
social psychology theories, 325
Lawyer, J. W.
conflict management, 397
Lazarus, R. S.
Stress Coping Adaptation Theory, 215, 316–317, 326t, 343
562
Lazenby, M.
Henderson’s theory, 139
Le, H. N.
Postpartum Depression Theory, 246
Leach, V.
social psychology theories, 325
Leahy, W.
information-processing models, 422, 423
Leavell, H. R.
natural history of disease, 337–339
Lee, D. W.
Rogerian theory, 193b
Lee, H.
health-related behaviors of Korean Americans, 443t
Theory of Unpleasant Symptoms, 241
Lee, J.
disease management, 490
Lee, P.
perceived view of science, 10
Lee, R. C.
cultural care diversity and universality theory, 228
Lee, S.
concept analysis, 60t
Lee, T. Y.
social networks, 280
Lee, Y.
concept analysis, 63t
Legido, A.
Theory of Chronic Sorrow, 108, 111
Leibniz, G. W.
rationalism, 361
Leininger, M.
application of theory in research, 519–520
caring as central construct, 45
cultural care diversity and universality theory, 227–229, 248, 449t, 519–520
metaparadigm, 43t
middle range theory, 208, 224
nursing theory, 36t, 119, 227–229
Leino-Kilpi, H.
concept analysis, 60t
Lenz, E. R.
comparison of concept development models, 67
concept development, 55
middle range theory, 209, 219
Self-Efficacy in Nursing Theory, 217t
self-efficacy theory, 236t
Theory of Unpleasant Symptoms, 212, 235, 240–241
Leonard, V.
nursing curriculum, 530
Leshabari, S.
Theory of Chronic Sorrow, 109
Leske, N. S.
563
descriptive research on end-of-life care, 457
Leslie, G.
moral distress, 369
Leveille, M.
Magnet Recognition Program, 489
Lévesque, L.
Roy Adaptation Model, 176
Levine, M. E.
borrowed vs. unique theory, 40
Conservation Model, 213, 214, 463–464
interaction theory, 124t
middle range theory derived from work, 213, 214, 214f, 463–464
nursing theory, 24, 25, 31, 35t, 119
outcome theory, 119
patient-centered approach, 139, 142
Lévi-Strauss, C.
social exchange theory, 286–287
Levitan, S. E.
patient-focused care, 485
Lewallen, L. P.
cultural care diversity and universality theory, 228b
Lewin, K.
adage on theory, 412
Gestalt theory, 416
leadership behavior, 379
Planned Change Theory, 392–393, 449t
Lewis, B.
Critical Social Theory, 290
Lewis, C.
Web of Causation, 337
Lewis, C. C.
Health Promotion Model, 231b
weight loss theory, 441
Lewis, C. P.
cancer theories, 349
disease prevention, 338
Lewis, D. Y.
nursing curriculum, 509
Lewis, S.
Human Caring Science, 181
Li, C.-H.
patient-centered medical homes, 493
Li, R.
information-processing model, 423
Liang, Y.
cancer theories, 349
Liaschenko, J.
theory–practice gap, 437
Liehr, P. R.
middle range theory, 210, 211, 212b, 219, 220, 224, 523
practice theories, 444t
theory evaluation, 106
564
Liewehr, D. J.
genomics in nursing practice, 345
Ligon, M.
psychosocial developmental theory, 307
Lim, E.
depression in adoptive parents, 464
Lin, C.
Health Belief Model, 324
Lin, H. C.
Bandura’s Social Learning Theory, 420
Lin, K. C.
social networks, 280
Lin, W. T.
Self-Transcendence Theory, 242
Lin. Y.-H.
Orem’s theory, 146b
Lincoln, Y. S.
Social Constructionism, 280
Lindauer, A.
descriptive theory, 76
disease prevention, 338
principle-based concept analysis, 67
Lindberg, C.
Complexity Science, 292
concept analysis, 62t
Lindberg, C. E.
Gate Control Theory, 351
Lindebaum, D.
transformational leadership, 386
Lindell, D.
Synergy Model, 234
Lindesmith, A.
Role Theory, 284
symbolic interactionism, 281b
Lindgren, C. L.
Self-Transcendence Theory, 242
Lindley, L. C.
cultural care diversity and universality theory, 228
Lindrooth, R. C.
Magnet Recognition Program, 489
Lindzey, G.
defense mechanisms, 304
Ling, J.
Self-Transcendence Theory, 242
Lintner, A.
infection prevention, 334
Lippitt, R.
change theory, 449t
leadership behavior, 379
Lipsitz, L. A.
homeostasis, 340
Lis, G. A.
565
Complex Adaptive Systems, 296
Lisanti, A.
just-in-time training, 449t
Lisanti, A. J.
Synergy Model, 235b
Liske, L.
Complexity Science, 296
Litchfield, M. C.
nursing as discipline, 3
theory application in practice, 435
Little, D. J.
Self-Transcendence Theory, 242
Litwack, K.
pain management, 350
Liu, K. P. Y.
information-processing model, 423
Liu, Y.
human needs theory, 313
Llanque, S.
concept development, 58
research-based concepts, 54
Loan, L. A.
evidence-based practice, 256, 257
LoBiondo-Wood, G.
correlational research, 458
evidence-based practice, 31, 254, 255, 442, 444t
experimental research, 459
research framework, 456
research process, 455b
theory-testing research, 462
Lobo, M. L.
concept development, 58
Locke, J.
empiricism, 8, 361
Loeb, J. M.
quality improvement, 398, 400t
Logan, J. R.
social networks, 279
Logan, W.
nursing theory, 37t, 119
Logsdon, M. C.
disease prevention, 338
Postpartum Depression Theory, 246
Long, J. M.
cultural care diversity and universality theory, 228
Long, K. A.
rural nursing model, 225t
Long, T.
cultural care diversity and universality theory, 229
cultural diversity, 283
Lopez, J. F.
Postpartum Depression Theory, 246
566
Lopez, M.
Artinian Intersystem Model, 164
definition of emotional intelligence, 53t
Lopez, R. P.
nursing philosophy, 12
López-Entrambasaguas, O. M.
cultural care diversity and universality theory, 228
Lor, M.
concept analysis, 62t
explanatory theory, 39
Lorenz, E. N.
Chaos Theory, 294
Complexity Science, 295b
Lorsch, J.
Theory X and Theory Y, 381
Lowe, K. B.
followership theory, 387
Lowes, L.
Theory of Chronic Sorrow, 108, 111, 245
Lowry, L. W.
theory application in practice, 435
theory-based nursing practice, 437
theory-research-practice relationship, 82
Lu, J. H.
genetics of addiction, 347
Lubans, D. R.
social psychology theories, 318, 325
Lubbers, J.
technology in nursing education, 513
Lubinska-Welch, I.
Health Promotion Model, 231b
Lucero, N. B.
Postpartum Depression Theory, 246
Lucey, C.
case management, 489
Luckmann, T.
Social Constructionism, 280
Lukose, A.
Human Caring Science, 181
Lundman, B.
psychosocial developmental theory, 307
Lundy, A.
bioethics, 365, 366
informed consent, 366
Lunstroth, R. B.
autonomy, 366
Luquire, R.
Magnet Recognition Program, 489
Lutfiyya, M. N.
disease management, 492
Lynch, S. H.
concept development, 58
567
Lynette, J.
Bandura’s Social Learning Theory, 420
Lynn, M. R.
Uncertainty in Illness Theory, 237
Lyon, D. E.
psychoimmunology, 344
Lyons, P.
moral distress, 369
M
Ma, C.
Magnet Recognition Program, 489
Ma, L.
Humanbecoming Paradigm, 203b
MacDonald, C.
simulation in nursing education, 515
MacDonald, D. A.
disease prevention, 338
MacDonald, D. J.
genomics in cancer care, 346
MacDonnell, J. A.
feminist theory, 292
Maciag, T.
logistic teaching, 512
Mackenzie, S. B.
Path–Goal Theory, 383
Mackey, A.
Nightingale’s theory, 135
MacLaren, C.
Rational Emotive Theory, 311
MacMahon, B.
Web of Causation, 335
MacMillan, H. L.
interpersonal theory, 309
MacNeil, J. M.
Health as Expanding Consciousness, 196–197
living with hepatitis C, 443t
MacPhail, L. H.
accountable care organizations, 493
MacPhee, M.
span of control, 478
Macpherson, S.
Critical Social Theory, 290
Madrid, M.
Rogerian theory, 192
Madsen, J. K.
theory–practice gap, 439
Maeve, M. K.
Postpartum Depression Theory, 245, 246
Mager, R. F.
nursing curriculum, 503
Magny-Normilus, C.
568
Kotter’s Eight-Step Plan for Implementing Change, 394
Maguire, P.
Complex Adaptive Systems, 296
shared governance, 481
Magwood, G.
Critical Social Theory, 290
Mahal, R.
Roy Adaptation Model, 177b
Mahar, L.
Contingency Theory of Leadership, 382
Mahat, G.
Piaget’s Cognitive Development Theory, 418
Mahon, N. E.
theory and research, 454
theory-testing research, 462
Mahoney, G.
Path–Goal Theory, 383
Mahoney, J.
cultural competence, 282
Mahrle-Henson, A.
critical care visitation, 466
Synergy Model, 234
Maiman, L. A.
Health Belief Model, 217, 320f
Makaroff, K. L. S.
nursing as discipline, 3
philosophy, overview, 7
Malinski, V. M.
Rogerian theory, 192
Malloch, K.
administration and management, 529
evidence-based practice, 444t
future issues in nursing, 521, 524, 529
Malone, E.
Theory X and Theory Y, 381
Mancini, M. E.
chain of command, 477
shared governance, 480
Mang, A. L.
patient-focused care, 485
Mann, F. G.
Theory of Reasoned Action/Planned Behavior, 325
Mann-Salinas, E. A.
Complex Adaptive Systems, 296
March, A. L.
technology in nursing education, 514
Marchuk, A.
Theory of Comfort, 240
Marcic, D.
conflict mode model, 397
empowerment, 392
quality improvement, 402
569
Theory X and Theory Y, 381
Marcus, S. M.
Postpartum Depression Theory, 246
Mare, J.
Theory of Chronic Sorrow, 108, 111
Mark, B.
grand theories, 118
Mark, B. A.
Chaos Theory, 293
Marquis, B. L.
disease management, 491
patient care delivery models, 483, 484
quality management, 494
shared governance, 480
Marriage, D.
cognitive-behavioral therapies, 311
Marriner-Tomey, A.
total patient care (functional nursing), 483–484
Marrs, J.
research-practice relationship, 83
theory application in practice, 435
theory-based nursing practice, 437
theory-research-practice relationship, 82
Marsh, J. R.
Postpartum Depression Theory, 245
Martin, A.
patient-centered approach, 139–142, 140b
Martin, K. S.
Omaha System, 212, 225t
Martínez-Pérez, G.
female genital mutilation, 449t
Martins, D. C.
Critical Social Theory, 289
Martinson,
nursing theory, 119
Martsolf, D.
symbolic interactionism, 281
Martyn, J.
problem-based learning, 511
Martz, K.
nursing curriculum, 509
Marx, K.
conflict theory, 288–289
Critical Social Theory, 289
social exchange theory, 287–288
Maslow, A.
human needs theory, 54, 132, 312–313, 326t, 381, 386, 389
Maslow, B.
application of theory in nursing education, 506
Mason, G.
general systems theory, 276
Mason, V. M.
570
moral distress, 369
Mason-Chadd, M.
Watson’s Human Caring Science, 183b
Massey, A. T.
problem-based learning, 511
Masters, K.
Nightingale, 134
theory application in practice, 436
theory evaluation, 106
Masters, M. L.
quality improvement, 401b
Masters, R. J.
quality improvement, 401b
Mastroianni, C.
explanatory theory, 76
Matarese, M.
explanatory theory, 76
Matheney, R. V.
patient-centered approach, 139–142, 140b
Matthews, A.
Henderson’s theory, 139
Matthews, G.
ARCC Model, 264b
Matthews, R.
Web of Causation, 337
Maturana, H.
patient/client concept, 161
Maxfield, D. G.
whole brain learning, 426
May, B. A.
King’s System Framework, 172
Mayer, K. M.
Critical Social Theory, 290
ethical decision-making, 373
McAfooes, J.
technology in nursing education, 514
McAllister, M.
operational teaching, 512
McAndrew, N. S.
descriptive research on end-of-life care, 457
McArdle, T.
relaxation and immune function, 344
McCallin, A. M.
Artinian Intersystem Model, 164
McCance, T.
nursing theory, 37t
McCann, T. V.
cognitive-behavioral therapies, 311
McCarter, B.
patient-focused care, 486
McCarthy, V. L.
Self-Transcendence Theory, 242
571
McCarty, K.
inpatient asthma education program, 496
McCauley, C. O.
concept analysis, 62t
McCauley, K. D.
authentic leadership, 386
McClelland, D. C.
Achievement–Motivation Theory, 389
power strategy, 392
McClelland, M.
Complex Adaptive Systems, 296
McCloskey, J.
power concepts, 391
McClune, A. J.
Health Promotion Model, 231b
McClure, M. L.
Magnet Recognition Program, 488
McComb, S.
concept analysis, 60t
McComish, S.
interpersonal theory, 309
McCormack, B.
nursing theory, 37t
McCowan, D. E.
Artinian Intersystem Model, 164
McCoy, T. P.
interpersonal theory, 309
McCullagh, M. C.
cultural care diversity and universality theory, 228b
ethnography, 283
McCulloch, P.
fall prevention, 338
McCullough, M.
cancer theories, 349
McCune, R.
Complex Adaptive Systems, 296
McCune, R. L.
disease prevention, 338
McDonald, K.
feminist theory, 292
logistic teaching, 512
McDonald, L.
Nightingale, 254
Nightingale’s theory, 135, 136
McDonough, S. C.
Postpartum Depression Theory, 246
McEwen, B. S.
Allostatic Load Theory, 343
McEwen, M.
epidemiologic triangle, 335
evidence-based practice, 525
nursing curriculum, 506
572
theory as conceptual framework in research, 459, 464
McFarland, M.
cultural care diversity and universality theory, 227, 228b, 519
McGibbon, E.
postmodernism, 10
McGrath, J. M.
Complex Adaptive Systems, 296
ethical decision-making, 371
McGregor, D.
Theory X and Theory Y, 381, 388
McGuire, S. L.
correlational research on adolescent anger, 456t
Roy Adaptation Model, 177b
McHugh, M. D.
Magnet Recognition Program, 489
McInnes, E.
Theory of Reasoned Action/Planned Behavior, 325
McIntosh, I.
interpersonal theory, 309
McKee, A.
emotional intelligence, 378–379
McKeever, R. P.
concept analysis, 63t
McKenna, H. P.
concept analysis, 62t
concept development, 51
descriptive research, 457
evidence-based practice, 257, 258
McLaughlin, M.
span of control, 478
McLauhlin, D. F.
concept analysis, 62t
McLeod-Sordjan, R.
facilitated communication, 442
Humanbecoming Paradigm, 200
McMahon, M. A.
descriptive theories, 76
McMeekin, D. E.
stress theories, 317
McMenamin, E. M.
pain management, 350
McMillin, T.
Watson’s Human Caring Science, 183b
McNabb, S.
disease management, 492
McNaughton, D. B.
definition of health literacy, 53t
McNew, R.
nursing curriculum, 509
McPherson, C.
simulation in nursing education, 515
Mead, G. H.
573
symbolic interactionism, 280–281
Meadows, R.
caring as central construct, 45
Meagher, A.
Critical Social Theory, 290
Medves, J.
Theory of Reasoned Action/Planned Behavior, 325
Mefford, L. C.
Theory of Health Promotion for Preterm Infants, 213, 214, 214f, 463–464
Meighan, M.
Maternal Role Attainment/Becoming a Mother, 216, 247
Meininger, J. C.
psychoimmunology, 344
Meleis, A. I.
abstract vs. concrete concepts, 52
comparison of theory evaluation methods, 104
concept analysis, 64
concept clarification, 64, 64b
concept development, 64–65, 65t, 67, 68t
concept exploration, 64
descriptive theory, 456, 457
epistemology, 13
grand theory categorization, 119, 120t, 123, 123t
metaparadigm, 44
middle range theory, 208, 209, 210, 224, 523
nursing curriculum, 504
nursing epistemology, 14–15
nursing theory, 119, 230–233
nursing theory development, 33t
postmodernism, 7, 10–11
practice theories, 440, 444t, 456
practice theory derived from work, 443t
prescriptive theories, 39, 77, 456
received and perceived views of science, 7
science, views of, 11t
situation-specific theories, 456
theory description, analysis, and critique, 96, 97t, 102–103, 105t, 106
theory development, 83–86, 523, 524
theory-practice relationship, 83
theory-research relationship, 83
Transitions Theory, 215–216, 230–233, 443t, 448
Melnyk, B. M.
ARCC Model, 261, 263, 269t
evidence-based practice, 32, 254, 255, 256, 259, 260b, 267, 404, 444t, 495, 496
future issues in nursing, 522
Stetler Model of Evidence-Based Practice, 267
Melvin, C. S.
Theory of Chronic Sorrow, 111
Melzack, R.
Gate Control Theory, 215, 331–332, 350
Mendel, G.
theory of genetics, 344
574
Meneses, K.
cancer theories, 349
Mensik, J.
King, 169
Mercer, R. T.
Maternal Role Attainment/Becoming a Mother, 216, 243, 246–247, 248, 285
Role Theory, 285
Meretoja, R.
model of skill acquisition in nursing, 226
Merrill, E. B.
operational teaching, 511–512
Merritt, S.
Human Caring Science, 181
Merritt-Gray, M.
descriptive research on abused women, 456t
Merryfeather, L.
Modeling and Role-Modeling, 168b
Messias, D. K. H.
Transitions Theory, 232f
Messmer, P. R.
King, 169, 172
King’s conceptual framework, 171
Mestdagh, E.
concept analysis, 60t
Metcalfe, S. E.
Health Promotion Model, 231b
Mete, S.
adaptation in pregnancy, 448
Meyer, R. M.
general systems theory, 277
span of control, 478
Meyerowitz, B. E.
Uncertainty in Illness Theory, 238
Meyers, G. M.
health literacy, 410
Meyers, S. T.
research on cesarean birth, 464
Mezirow, J.
transformational learning, 426
Miaskowski, C.
experimental research on cancer pain, 456t
Mica, I. L.
complexity science, 188
Michelow, M. D.
accountable care organizations, 493
Mick, J.
evidence-based practice, 497
Middleton, S.
Theory of Reasoned Action/Planned Behavior, 325
Mikkelsen, G.
principle-based concept analysis, 67
Miles, M. S.
575
Maternal Role Attainment/Becoming a Mother, 247
Mill, J. S.
Utilitarianism, 361
Millender, E.
cultural care diversity and universality theory, 228b
Miller, C. A.
Uncertainty in Illness Theory, 238
Miller, J. W.
disease prevention, 338
Miller, L. W.
parish nursing model, 225t
Miller, S. E.
span of control, 477
Miller, W. R.
concept analysis, 62t
research-based concepts, 54
Millet, K.
socialist feminism, 291
Milligan, R. A.
Theory of Unpleasant Symptoms, 212, 235, 240–241, 241f
Mills, C. Wright
sociological imagination, 275
Miner, A.
Gagne’s learning theory, 419
Minor, J.
Contingency Theory of Leadership, 383
Minter, M. L.
lead exposure screening and strategies, 447
Mion, L.
risk factors for pressure ulcers, 212
Miranda, J.
Adult Learning Theory, 425
Mishel, M. H.
Uncertainty in Illness Theory, 216, 235–238, 238
Missal, B.
cultural care diversity and universality theory, 228b
Missildine, K.
flipped classroom, 421
Mitcham, C.
comparison of concept development models, 67
concept development, 55
Mitchell, C.
Critical Social Theory, 290
Health as Expanding Consciousness, 197
Mitchell, D.
learning styles, 427
Mitchell, G.
theory to implement change, 449t
Mitchell, G. J.
evidence-based practice, 257
nursing as human science, 17
Mitchell, M. A.
576
autonomy, 367
Mitchell, P. H.
King, 169
Mixer, S. J.
cultural care diversity and universality theory, 228
Miyazaki, M.
explanatory theory, 39
Moddeman, G. R.
Gate Control Theory, 351
Modrcin, M. A.
correlational research on adolescent anger, 456t
Roy Adaptation Model, 177b
Moe, K.
cancer theories, 349
disease prevention, 338
Human Caring Science, 181
Mohammadpour, A.
Orem’s theory, 146b
Mojica, C. M.
cancer theories, 349
Mokoka, K.
human needs theory, 313
Molina, Y.
stress theories, 317
Moloney, M. F.
postmodernism, 11
Molzahn, A. E.
metaparadigm, 42
Monaghan, T.
theory–practice gap, 437
Monsen, K. A.
definition of health literacy, 53t
Monsivais, D. B.
nursing curriculum, 509
Montano, D. E.
Theory of Reasoned Action/Planned Behavior, 319
Monti, E. J.
perceived view of science, 9
research methodology, 18
Moody, L. E.
comparison of theory evaluation methods, 104
grand theories, 74
knowledge development, 454
nursing as practice science, 17
nursing theory development, 33t
science, views of, 11t
theory as conceptual framework, 465
theory evaluation, 96
theory-research-practice relationship, 82
Moody-Thomas, S.
disease management, 492
Moon, M.
577
Artinian Intersystem Model, 164
Moore, A.
Web of Causation, 337
Moore, L.
Synergy Model, 235b
Moore, S. M.
acute pain management, 244t
grand theories, 37, 117
middle range theory, 38, 209
practice theories, 38
scope of theory, 34
Theory of Acute Pain Management, 217
Theory of Flight Nurse Expertise, 461
Theory of the Peaceful End of Life, 217–218, 218f, 244t
Morales-Campos, D. Y.
cancer theories, 349
Moran, C. M.
staffing and work environment, 487
Moran, J.
interpersonal theory, 309
Moran, K.
disease prevention, 338
Moreno, D. A.
nurse staffing and patient outcomes, 487
quality improvement, 398–400
Moreno, J.
sociograms, 279
Morgan, L.
fall prevention, 338
Morgan, S. W.
psychosocial developmental theory, 307
Morin, D.
grand theories, 117
Neuman Systems Model, 155b
Morin, K. H.
Watson’s Human Caring Science, 183b
Morris, D. L.
Power as Knowing Participation in Change, 191
Morris, E. J.
cultural care diversity and universality theory, 228b
Morrison, E. F.
nursing epistemology, 15
nursing theory development, 26–28
research methodology, 18
Morse, J.
Theory of Suffering, 244t
Theory X and Theory Y, 381
Morse, J. M.
comparison of concept development models, 67
concept analysis, 65
concept clarification, 66
concept comparison, 66
578
concept delineation, 65
concept development, 55, 57, 65–66, 67, 68t
research methodology, 17
science and philosophy, 5
Morse, J. S.
learning styles, 427
Morsi, D.
Stetler Model of Evidence-Based Practice, 267
Moseley, M. J.
Synergy Model, 235b
Synergy Model application, 448
Moss, C.
psychoanalytic theory, 305
Mueller, C.
nursing education, 502
Muhlenkamp, A. F.
theory analysis and evaluation, 96, 97t, 98, 98b
Mulaudzi, F. M.
postmodernism, 10
Mulready-Shick, J. A.
Complex Adaptive Systems, 296
Murdaugh, C.
Health Promotion Model, 217t
Murdaugh, C. L.
Health Promotion Model, 94, 229
Murillo, I.
Theory of Comfort, 240
Murphy, G.
Nightingale’s theory, 136
Murphy, L.
Critical Social Theory, 290
Murphy, R. J.
disease prevention, 338
Murray, R. P.
Theory of Comfort, 240
Murrock, C. J.
Health Promotion Model, 230
theory of music, mood, and movement, 212
Musiello, T.
planned behavior in prophylactic mastectomy, 466
Musisi, S.
Theory of Chronic Sorrow, 109
Musker, K. M.
Health as Expanding Consciousness, 197
Myers, S.
patient-focused care, 485
Myny, D.
general systems theory, 277
N
Nanus, B.
transformational leadership, 482
579
Nash, S.
Complexity Science, 292
Neal, D.
Critical Social Theory, 290
Neal, L. J.
Theory of Home Health Nursing, 225t
Neff, D. M.
nurse staffing and patient outcomes, 487
Nelson, M. S.
health behaviors in military personnel, 466
Health Promotion Model, 230
Nenadovic, V.
Complexity Science, 296
Neuman, B.
application of model to nursing education, 506
application of model to research, 459, 461, 464
assumptions, concepts, and relationships, 151–153, 152t, 153f, 154b
background, 150–151
evidence-based practice, 256, 257, 260
human needs theory, 124t
Johnson model, 150
metaparadigm, 43t, 151
middle range theories derived from work, 213
nursing epistemology, 14
nursing theory, 35t–36t, 119, 131, 132, 150–155
parsimony of theory, 154
philosophical underpinnings of theory, 151
Systems Model, 131, 150–155, 213, 317, 459, 461, 464, 506
systems theory, 275
testability of theory, 154
usefulness of theory, 153, 155b
value in extending nursing science, 155
New, S.
fall prevention, 338
Newell, A.
problem-solving, 426
Newell-Stokes, V.
Stetler Model of Evidence-Based Practice, 267
Newham, R. A.
Virtue Ethics, 359–360
Newhouse, R. P.
Johns Hopkins Nursing Evidence-Based Practice Model, 261, 266
Newman, D. M.
nursing curriculum, 506
Newman, M. A.
assumptions, concepts, and relationships, 194–196, 195t, 203, 204t
background, 125, 193–194
caring as central construct, 45
Health as Expanding Consciousness, 188, 193–197, 203, 204t, 443t
metaparadigm, 43t, 193, 203, 204t
middle range theories derived from work, 213
middle range theory, 208
580
nursing as discipline, 3
nursing theory, 36t, 119, 124, 187, 188, 193–197, 203, 204t
paradigm categorization of theories, 121–122, 123, 123t
paradigm shift, 120
parsimony of theory, 197
philosophical underpinnings of theory, 194
practice theory derived from work, 443t
Rogers and Rogerian theory, 188, 191, 194
simultaneity paradigm, 121
simultaneous action paradigm, 125–126
testability of theory, 196–197
unitary process theory, 124t, 193–197, 203, 204t
usefulness of theory, 196, 197b
value in extending nursing science, 197
Newman, S. D.
Social-Ecological Model, 279
social exchange theory, 288
Ngai, F.
social networks, 280
Ngai, F. W.
Social Readjustment Rating Scale, 342
Ngamkham, S.
Gate Control Theory, 351
Ngu, S. F.
Social Readjustment Rating Scale, 342
Nguyen, M.
Adult Learning Theory, 425
Nicklin, J. M.
Motivation–Hygiene (Two-Factor) Theory, 382
Nicol, N.
genomics in nursing practice, 345
Nightingale, F.
application of theory to research, 453
assumptions, concepts, and relationships, 134–135
background, 133–134
data/epidemiologic methods of, 133, 254
feminism, 291–292
human needs theory, 124t
nursing theory, 26, 35t, 119, 124, 132–136
parsimony of theory, 136
particulate–deterministic paradigm, 122
philosophical underpinnings of theory, 134
quality improvement, 398
social activism, 275
testability of theory, 136
usefulness of theory, 135
value in extending nursing science, 136
Nikfarid, L.
Theory of Chronic Sorrow, 245
Nikolaidou, M.
Social Readjustment Rating Scale, 342
Nivens, A. S.
581
Cues to Participation in Prostate Screening, 217t
Nixon, L. L.
Declaration of Helsinki, 364
Deontology, 361
Utilitarianism, 362
Virtue Ethics, 359
Noonan, D. A.
Theory of Reasoned Action/Planned Behavior, 325
Noonan, M.
ethical decision-making, 373
Norbeck, J. S.
model for social support, 236t
Norberg, A.
psychosocial developmental theory, 307
Northcott, H. C.
symbolic interactionism, 281
Northrup, D. T.
nursing as discipline, 3
philosophy, overview, 7
Norwood, S. L.
descriptive theory, 456
explanatory theory, 458
research report, 468
theory as conceptual framework in research, 464, 465b
theory-generating research, 460
theory-testing research, 462
Noseff, J.
Maternal Role Attainment/Becoming a Mother, 247
Role Theory, 285
Noviana, U.
explanatory theory, 39
Nuss, H. J.
Social-Ecological Model, 278
Nyatanga, L.
philosophy of science in nursing, 12
O
Oaks, G.
Humanbecoming Paradigm, 200
Oberer, J.
learning styles, 427
O’Boyle, E. H.
emotional intelligence, 386
O’Brien-Pallas, L.
general systems theory, 277
span of control, 477
Ocakci, A. F.
Transitions Theory, 233
O’Connor, N.
Complexity Science, 296
Oden, T. L.
ethical decision-making, 373
582
Ogola, G. O.
Magnet Recognition Program, 489
Oh, E. G.
Theory of Unpleasant Symptoms, 241
Oh, J.
operational teaching, 512
Ohlendorf, J. M.
postpartum weight management, 458
Ohm, R.
Transtheoretical Model, 325
Ojeda, M. M.
information-processing models, 423
Okonta, N. R.
yoga and stress, 342
Okumus, H.
Watson’s Human Caring Science, 183b
Oldnall, A. S.
nursing as discipline, 5
Olsen, D. P.
autonomy, 367
Olsen, P. R.
concept of network-focused nursing, 65
Olson, K.
symbolic interactionism, 281
Olson, M. W.
behavioral learning theory, 413–414
cognitive learning theory, 415
Olson, S. E.
human needs theory, 313
Olwit, C.
Theory of Chronic Sorrow, 109
Olynyk, V. G.
nursing as discipline, 3
philosophy, overview, 7
O’Malley, J.
Henderson, 136
Omery, A.
nursing theory, 25
perceived view of science, 10
Omorogbe, A.
distracted driving program, 447
O’Neil, C.
nursing education, 502
Onieva-Zafra, M. D.
Rogerian theory, 193b
Oosthuizen, M.
human needs theory, 313
Opalinski, A.
ethnography, 283
Orem, D. E.
application of theory in nursing education, 506
application of theory to research, 456t, 461, 466
583
assumptions, concepts, and relationships, 143–145, 143f, 144t
background, 142
human needs theory, 119, 124t
metaparadigm, 43t, 144
middle range theories derived from work, 213, 215, 456t, 466
nursing theory, 35t, 119, 132, 142–146
parsimony of theory, 146
particulate–deterministic paradigm, 122
philosophical underpinnings of theory, 143
Self-Care Deficit Nursing Theory, 142–146, 213, 215, 456t, 461, 466, 506
testability of theory, 145
totality paradigm, 121
usefulness of theory, 145, 146b
value in extending nursing science, 146
Oritz, M.
Theory of Goal Attainment, 172
Orlando, I. J.
background, 125
client participation, 308–309
interaction theory, 119
middle range theory, 208
nursing theory, 31, 35t, 119, 308–309
particulate–deterministic paradigm, 122
Ormrod, J. E.
behavioral learning theory, 413–414
information-processing models, 421, 422
Piaget’s Cognitive Development Theory, 418
O’Rourke, R.
interpersonal theory, 309
O’Shaughnessy, M.
Orem’s theory, 146b
Osmond, M. W.
feminist theory, 291, 291b
Oswald, D.
postpartum weight management, 458
Othman, A. K.
social psychology theories, 325
Oudshoorn, A.
model of skill acquisition in nursing, 226
Outland, L.
homeostasis, 341
Ouyang, Y.
cancer theories, 349
Owen, M.
ethics and informed consent, 365
Owens, A. L.
model of skill acquisition in nursing, 227
Oxandale, B.
Transtheoretical Model, 325
Oyeleye, O.
Complexity Science, 296
Ozan, Y. D.
584
Watson’s Human Caring Science, 183b
Ozawa, M.
social networks, 279
Ozmon, H.
behavioral learning theory, 414
P
Paas, F.
information-processing models, 421, 423
Pace, K.
Caregiving Effectiveness Model, 39, 244t
Padden, O.
stress theories, 317
Padden-Denmead, M. L.
technology in nursing education, 513
Page, G. G.
nursing theory, 25
Page-Cutrara, K.
technology in nursing education, 513
Paixao, R.
ethical decision-making, 373
Paley, J.
postmodernism, 11
Palfreyman, S.
evidence-based practice, 256
Palmer, B.
Self-Transcendence Theory, 242
Palmer, M.
social networks, 279–280
Pancorbo-Hidalgo, P. L.
model of skin ulcer development, 244t
Web of Causation, 337
Panton, C.
concept analysis, 63t
Paola, F. A.
Declaration of Helsinki, 364
Deontology, 361
Utilitarianism, 362
Virtue Ethics, 359
Papamiditriou, C.
Modeling and Role-Modeling, 168b
spirituality of staff nurses, 449t
Parente, S.
disease management, 492
Park, C. G.
Theory of Reasoned Action/Planned Behavior, 325
Park, D. I.
Health Promotion Model, 229
Park, H. R.
infection prevention, 334
Park, N. J.
relaxation and immune function, 344
585
stress and inflammation, 342–343
Park, S. H.
Magnet Recognition Program, 489
Park, Y.
moral distress, 369
Park, Y. H.
Health Promotion Model, 231b
Parker, M.
shared governance, 480
Parker, M. E.
middle range theory, 208
theory application in practice, 435, 436, 436b
theory evaluation, 106
theory–practice gap, 437
Parse, R. R.
assumptions, concepts, and relationships, 198–200, 199b, 203, 204t
background, 125, 198
caring/becoming theory, 119
concept development, 51
definition of science, 5
Humanbecoming Paradigm, 121, 187–188, 198–203, 204t, 442
metaparadigm, 203, 204t
middle range theory, 208
nursing as discipline, 3, 5
nursing science, 12
nursing theory, 36t, 119, 124, 178, 187–188, 198–203, 203, 204t
paradigm categorization of theories, 120, 121, 121f, 123, 123t
parsimony of theory, 202
philosophical underpinnings of theory, 198
practice theory based on work, 442
research-based concepts, 54
research method, 200–202, 201t–202t, 203
Rogers and Rogerian theory, 188, 191, 192
simultaneity paradigm, 121, 121f, 187
simultaneous action paradigm, 125–126
sources of concepts, 54, 54t
testability of theory, 200–202
totality paradigm, 121, 121f
true presence concept, 199–200
unitary process theory, 124t, 198–203, 203, 204t
unitary–transformative paradigm, 122
usefulness of theory, 200, 203b
value in extending nursing science, 202–203
Watson’s Human Caring Science, 178
Parsons, M. A.
Health Promotion Model, 94, 217t, 229
Parsons, T.
Structure of Social Action, 143
Pasteur, L.
Germ Theory, 333
Patch, E.
Transtheoretical Model, 325
586
Pate, M. F. D.
Synergy Model, 234
Paterson, B.
interpersonal theory, 309
Paterson, J.
interaction theory, 119
nursing theory, 36t
Patrician, P. A.
concept analysis, 62t
Health Belief Model, 324
Nursing Work Index-Revised, 486–487
Patterson, J.
interactive–integrative paradigm, 122
Patterson, K.
servant leadership, 387
Paul, S. M.
experimental research on cancer pain, 456t
Pauly-O’Neill, S.
nursing curriculum, 509
Pavlov, I.
behavioral learning theory, 412
behaviorism, 413
classical conditioning, 413, 413t
conditioning, 309
Pearce, C.
explanatory theory, 76
Pearce, C. L.
Path–Goal Theory, 384
Pearson, T.
Health Promotion Model, 231b
Pechacek, J.
span of control, 477
Peden-McAlpine, C.
family systems theory, 277
Pelletier, I. J. See Orlando, I. J.
Pender, N. J.
Health Promotion Model, 94, 217t, 229–230, 230f, 248, 465–466, 466
middle range theory, 208, 224
nursing theory, 119, 229–230
theory as conceptual framework, 465–466
Penrod, J.
concept development, 50, 51, 66–67, 67, 68t
principle-based concept analysis, 66–67, 68t
Pepin, J.
concept analysis, 62t
empiricism, 8
Peplau, H.
background, 125
interaction theory, 119
Interpersonal Relations in Nursing, 308, 449t
levels of anxiety, 315–316, 316t
middle range theory, 208
587
nursing theory, 30, 35t, 119, 308
participant–observer, 308
particulate–deterministic paradigm, 122
Perl, G.
ethics in Nazi Germany, 363
Perrett, S. E.
Roy Adaptation Model, 177b
theory based on Roy model, 441–442
Perron, A.
nonmaleficence, 369
postmodernism, 10
Perry, D. F.
Postpartum Depression Theory, 246
Perry, M. A.
Social-Ecological Model, 278
Peters, R. M.
Orem’s theory, 146b
Theory of Weight Management, 213
theory-to-research-to-theory approach, 85
Peters, T.
leadership, 377
Petersen, C. L.
concept analysis, 62t
Peterson, S. J.
grand theories, 37, 74
middle range theory, 38, 74, 208, 209, 210, 211, 523
nursing theory, 25
practice theories, 38, 75
scope of theory, 34
theory development, 73
theory evaluation, 106
Peterson-Graziose, V.
Social Readjustment Rating Scale, 342
PetersonLund, R. R.
Humanbecoming Paradigm, 203b
Pfeiffer, J. B.
Artinian Intersystem Model, 164
Pfettscher, S. A.
feminist theory, 292
Nightingale, 135
Phillippi, J. C.
Theory of Prenatal Care Access, 217t
Web of Causation, 337
Phillips, A.
smoking cessation theories, 447
Phillips, J. M.
logistic teaching, 512
problem-based learning, 511
Phillips, J. R.
Rogers and Rogerian theory, 188, 192
Phillips, K.-A.
planned behavior in prophylactic mastectomy, 466
588
Phillips, K. D.
Roy and Roy Adaptation Model, 173, 176–177
Phillips, K. E.
definition of binge eating, 53t
Phillips, L. R.
elder mistreatment model, 216
Phillips, T. M.
Neuman Systems Model, 155b
Piaget, J.
Cognitive Development Theory, 417–418
Piano, M.
Theory of Unpleasant Symptoms, 241
Piccoli, R. F.
transactional and transformational leadership, 385
Pickering, C. E. Z.
elder mistreatment model, 216
Pickett, S.
Orem’s theory, 146b
Theory of Weight Management, 213
theory-to-research-to-theory approach, 85
Picot, S.
Caregiver Reward Scale, 288
Pieper, P.
Deontology vs. Utilitarianism, 362–363
Pierce, T. B.
Client Experience Model, 212
Pietsch, T.
Neuman Systems Model, 155b
Pilling, E.
Critical Social Theory, 290
Piredda, M.
explanatory theory, 76
Pitz, J.
Humanbecoming Paradigm, 200
Pizzo, J.
learning styles, 427
Platt, L. M.
psychoanalytic theory, 305
Plotnikoff, R. C.
social psychology theories, 318, 325
Plsek, P.
Complexity Science, 295b
Plummer, M.
metaparadigm, 42
Podsakoff, N. P.
Path–Goal Theory, 383
Podsakoff, P. M.
Path–Goal Theory, 383
Poe, S.
Johns Hopkins Nursing Evidence-Based Practice Model, 261, 266
Poitevent, L. B.
health literacy, 410
589
Pokorny, M. F.
grand theory categorization, 118–119
Polancich, S.
Johns Hopkins Nursing Evidence-Based Practice Model, 266, 267
Polascik, T. J.
Uncertainty in Illness Theory, 238
Polifroni, E. C.
logical positivism, 8
nursing as human science, 17
philosophy of science, 5
philosophy of science in nursing, 12
Polit, D. F.
evidence-based practice, 254
future issues in research, 522
research defined, 454
research process, 455b
Polivka, B. J.
logistic teaching, 512
Polk, L. V.
Theory of Resilience, 213, 236t
Pollack, J. M.
emotional intelligence, 386
Pollack, L. A.
disease prevention, 338
Polomano, R. C.
pain management, 350
Ponte, P. R.
Magnet Recognition Program, 488
Pope, C.
Social-Ecological Model, 279
Popkess-Vawter, S.
Caregiving Effectiveness Model, 39, 244t
Porr, C.
safeguarding the children, 457–458
Port, O.
quality improvement, 400
Porter, D.
planned behavior in prophylactic mastectomy, 466
Porter, L.
Uncertainty in Illness Theory, 238
Porter, L. W.
behavioral theories of leadership, 379
Contingency Theory of Leadership, 383
Porter-O’Grady, T.
administration and management, 529
evidence-based practice, 444t
future issues in nursing, 521, 524, 529
Magnet Recognition Program, 488, 489
shared governance, 480–481
transformational leadership, 482
Poss, J. E.
Model for Cross-Cultural Research, 217t
590
Theory of Reasoned Action/Planned Behavior, 319
Poster, E. C.
Johnson model, 149
Poulin, M. A.
Magnet Recognition Program, 488
Poulsen, J. K.
definition of health literacy, 53t
Powell, D. A.
infection prevention, 334
Powers, B. A.
assumptions, 81
borrowed vs. unique theory, 40
empiricism, 8, 9
metaparadigm, 41
metatheory, 34
methodology, 13
nursing philosophy, 12
nursing theory, 27t–28t
postpositivism, 9
science, overview, 6
theory components, 79
theory development, 73
translational research, 32
Pozehl, B.
Health Promotion Model, 229–230
physical activity among African American women, 465–466
Premji, S.
allostatic load, 341
Press, M. J.
accountable care organizations, 493
Pressler, J. L.
nursing education, 502
Price, F.
Critical Social Theory, 290
Prigogine, I.
Chaos Theory, 293–294
Prince, L.
Stetler Model of Evidence-Based Practice, 267
Prion, S.
nursing curriculum, 509
Prochaska, J. O.
Transtheoretical Model, 321–323, 322b, 324f, 326t
Prottas, D. J.
Theory X and Theory Y, 381
Province, A.
Health as Expanding Consciousness, 197
Prows, C. A.
genetic counseling, 346
Pryjmachuk, S.
research-practice relationship, 83
theory-research-practice relationship, 82
Pugh, L. C.
591
evidence-based practice, 255, 261, 266
Johns Hopkins Nursing Evidence-Based Practice Model, 261, 266
Theory of Unpleasant Symptoms, 212, 235, 240–241, 241f
Pugh, T. F.
Web of Causation, 335
Puja, B.
transformational leadership, 385
Pullen, C. H.
Health Promotion Model, 231b
Pullen, L.
correlational research on adolescent anger, 456t
Roy Adaptation Model, 177b
Pullis, B.
epidemiologic triangle, 335
Pweinrich, S. P.
Cues to Participation in Prostate Screening, 217t
Q
Quigley, P.
genome, genomics, and genetics, 344, 345, 346
Quinlan-Colwell, A.
ethical decision-making, 371–372
Quinless, F. W.
administration and management, 529
Quinn, L.
Roy Adaptation Model, 177b
Quinn-Griffin, M.
Self-Transcendence Theory, 242
R
Racine, L.
postmodernism, 10
Rae, M.
Watson’s Human Caring Science, 183b
Rafeh, N. A.
Six Sigma, 404
Rafii, F.
Theory of Comfort, 240
Rahe, E.
General Adaptation Syndrome, 342
Rahim, S.
Nightingale’s theory, 135
Rahmati, S. N.
Orem’s theory, 146b
Rakel, B. A.
Iowa Model of Evidence-Based Practice, 261, 263–264, 269t
Ralston, P. A.
cancer theories, 349
Raman, J.
Health Promotion Model, 231b
Ramsey, S.
Synergy Model, 234
592
Randell, B. P.
Johnson model, 149
Ranger, G.
cognitive-behavioral therapies, 311
Rankin, N.
planned behavior in prophylactic mastectomy, 466
Rankin, S. H.
psychomotor learning, 411
Rao, S. M.
experimental research on cancer pain, 456t
Rapoport, A.
Systems Theory, 173, 189
Rasheed, S. P.
interpersonal theory, 309
Rassouli, M.
Theory of Chronic Sorrow, 245
Uncertainty in Illness Theory, 238
Raven, B. H.
concept of power, 391
power and power strategy, 392
Rawls, J.
Deontology, 361
Ray, M. A.
Chaos Theory, 294
nursing theory, 119
Rogerian theory, 193b
Reagon, V. M.
Social-Ecological Model, 278
Reamey, A. S.
ethics in Nazi Germany, 363
Rearden, J.
Magnet Recognition Program, 489
Records, K.
Postpartum Depression Theory, 246
Redding, A.
Transtheoretical Model, 322–323, 322b, 324f
Redican, K. J.
Theory of Comfort, 240
Reed, F. M.
Watson’s Human Caring Science, 183b
Reed, P. G.
empiricism, 9
nursing philosophy, 12
postmodernism, 7, 10
postpositivism, 9
predictive theory, 77
psychosocial developmental theory, 307
Rogerian theory, 191, 192
Self-Transcendence Theory, 215, 235, 242, 248
Theory of Self-Transcendence, 191
Reiff, M.
nursing curriculum, 509
593
Reiley, P.
patient-focused care, 486
Reiling, D.
cultural care diversity and universality theory, 228
Reimer, A.
Synergy Model, 234
Reimer, A. P.
Theory of Flight Nurse Expertise, 461
Reis, P. J.
Rogerian theory, 193b
Reller, M. K.
quality improvement, 403
quality management, 494, 495
Renpenning, K. M.
descriptive theories, 38
nursing theory, 25, 26
Orem’s theory, 143, 145
Rentschler, D. D.
nursing curriculum, 503
Resar, R. K.
quality improvement, 403
quality management, 494, 495
Rew, L.
feminist theory, 292
Nightingale’s theory, 136
Transitions Theory, 233
Watson’s Human Caring Science, 183b
Reynolds, M. A.
Postpartum Depression Theory, 245
Reynolds, P. D.
theoretical statements, 79–80, 80t
theory development, 73
Rezaei, M.
Theory of Comfort, 240
Rheault, L.
span of control, 477
Rhodewalt, F.
Contingency Theory of Leadership, 383
Rhoten, B. A.
concept analysis, 60t
Ricard, N.
Roy Adaptation Model, 176
Rice, C. E.
Web of Causation, 337
Rice, M.
Postpartum Depression Theory, 246
stress and inflammation, 342–343
Rich, K. L.
beneficence, 367
casuistry, 359
Deontology, 361, 362
ethical decision-making, 371
594
justice, 369
paternalism, 367
rule of double effect, 368
Utilitarianism, 362
Virtue Ethics, 358, 359
Richards, I.
planned behavior in prophylactic mastectomy, 466
Richardson, K. J.
cultural diversity, 283
Richardson, S. J.
nursing education/curriculum, 509
Richardson, W. S.
evidence-based practice, 254, 256
Rickles, D.
Complexity Science, 295b
complexity science, 192
Riebling, N.
Six Sigma, 404
Riegel, B.
perceived view of science, 10
practice theory on heart failure, 441
practice-to-theory approach, 85
Theory of Self-Care of Chronic Illness, 85, 213, 236t, 461
Riggio, R. E.
followership theory, 387
Rillstone, P.
Self-Transcendence Theory, 242
Rimer, B. K.
social psychology theories, 324
Rising, M. L.
ethical decision-making, 372
Risjord, M.
borrowed vs. unique theory, 40
comparison of concept development models, 51, 67
empiricism, 8
future issues in nursing, 522
nursing as discipline, 3
nursing theory development, 32, 118
philosophy, overview, 7
positivism, 8, 9
postmodernism, 11
research methodology, 17, 18
science, overview, 7
theory application in practice, 435
theory-based nursing practice, 437
theory–practice gap, 437, 439
Ritchie, J.
Stetler Model of Evidence-Based Practice, 267
Rivard, M. T.
Critical Social Theory, 290
ethical decision-making, 373
Rivers, K.
595
ethnography, 283
Riza, L.
logistic teaching, 512
Robb, M. K.
model of skill acquisition in nursing, 227
operational teaching, 511
Robbins, C.
Transtheoretical Model, 325
Robbins, L. B.
physical activity in women, 466
Robbins, S. P.
Achievement–Motivation Theory, 389
departmentalization, 480
Equity Theory, 390
Kotter’s Eight-Step Plan for Implementing Change, 394
leadership traits, 378
organizational design, 476
Path–Goal Theory, 384
transactional and transformational leadership, 385
Roberts, J.
Transtheoretical Model, 325
Roberts, K. L.
nursing theory in nursing research, 467
Roberts, S.
theory-to-practice-to-theory approach, 84
Roberts, T. B.
humanistic learning theory, 420
reinforcement, 414
Robertson, C.
Uncertainty in Illness Theory, 238
Robertson, E.
fall prevention, 338
Robinson, K.
nursing curriculum, 509
Robinson, T.
concept of multiculturalism, 65
Roche, M.
interpersonal theory, 309
Rock, C. L.
cancer theories, 349
Rock, M. J.
autonomy, 366–367
Rodgers, B. L.
borrowed vs. unique theory, 40
concept analysis, 59–61, 60b, 60t, 62t, 67, 68t, 69–70
concept development, 51, 59–61, 67, 68t
nursing as discipline, 3
postmodernism, 10–11
research-based concepts, 54
sources of concepts, 54, 54t
Rodriguez, J. L.
disease prevention, 338
596
Roe, C. W.
power bases, 391
Roebuck, H.
disease prevention, 338
Rogatto, S. R.
genomics in cancer care, 346
Rogers, B.
occupational health nursing, 225t
Rogers, C. E.
experimental study of “sign chi do” exercises, 459
Rogers, C. R.
person-centered theory, 313–315, 326t, 386, 421
student-centered teaching, 421
Rogers, J.
inpatient asthma education program, 496
Rogers, M.
application of theory to research, 461
assumptions, concepts, and relationships, 189–191, 190b, 190t, 203, 204t
background, 125, 188
homeodynamics, 189, 190b
metaparadigm, 43t, 189, 190t, 203, 204t
middle range theories derived from work, 213, 215
nursing theory, 31, 35t, 119, 124, 188–192, 203, 204t
outcome theory, 119
parsimony of theory, 192
philosophical underpinnings of theory, 189
practice theory derived from work, 443t
Science of Unitary and Irreducible Human Beings, 86, 188–192, 203, 204t, 213, 215, 443t, 461
simultaneity paradigm, 121
simultaneous action paradigm, 125–126
systems theory, 275
testability of theory, 192
unitary process theory, 124t, 188–192, 203, 204t
unitary–transformative paradigm, 122
usefulness of theory, 191–192, 193b
value in extending nursing science, 192
Rogers, S.
Modeling and Role-Modeling, 168
Roldan-Merino, J.
Orem’s theory, 146b
Rolfe, G.
complexity science, 188
Roman, M. W.
Theory of Prenatal Care Access, 217t
Web of Causation, 337
Rooda, L. A.
Theory of Goal Attainment, 172
Rooke, L.
King’s conceptual framework, 171
Rooney, D.
immune function, 344
Roper, K.
597
ARCC Model, 264b
Roper, N.
nursing theory, 37t, 119
Rosciano, A.
information-processing models, 423
Rose, M.
Social-Ecological Model, 279
Rosenberg, S.
cancer theories, 349
Rosenberg, W. M.
evidence-based practice, 254, 256
Rosenburg, N.
concept development, 58
research-based concepts, 54
Rosenstock, I.
Health Belief Model, 217, 319, 320f, 326t
Ross, J. G.
nursing curriculum, 509
Ross, K.
cancer theories, 349
disease prevention, 338
Ross, R.
Neuman Systems Model, 155b
spiritual healing in child maltreatment, 461
Rossman, C.
technology in nursing education, 513
Rothbart, D.
science and philosophy, 5
Roussel, L. A.
evidence-based practice, 255
Rowold, J.
charismatic leadership, 386
Roy, B.
postmodernism, 10
Roy, C.
administration and management, 528b
application of theory in nursing education, 506
application of theory to research, 456t, 459, 461, 464
assumptions, concepts, and relationships, 173–176, 174t, 175f
background, 173
interaction theory, 124t
interactive–integrative paradigm, 122
Johnson model, 150, 173
metaparadigm, 43t
middle range theories, 38
middle range theories derived from work, 213–214, 456t, 461
nursing theory, 36t, 119, 124, 159, 160, 172–177
outcome theory, 119
parsimony of theory, 176
philosophical underpinnings of theory, 173
practice theory derived from work, 441–442, 443t
Roy Adaptation Model, 85–86, 160, 172–177, 213–214, 317, 441–442, 443t, 456t, 459, 461, 464
598
systems theory, 275
testability of theory, 176
Theory of Coping, 214
theory-to-practice-to-theory approach, 84
totality paradigm, 121
usefulness of theory, 176, 177b
value in extending nursing science, 176–177
Royal, P. A.
dialectic learning, 510
Rozmus, C.
ethical decision-making, 371
justice, 370
Ruchala, P. L.
nursing curriculum, 503
Rue, L. W.
Achievement–Motivation Theory, 389
Ruland, C. M.
Theory of the Peaceful End of Life, 217–218, 218f, 244t
Russell, B. H.
technology in nursing education, 509
Russell, M. J.
Virtue Ethics, 359
Russell, R. F.
servant leadership, 387
Rutherford, M. M.
administration and management, 529
Rutowski, P.
Postpartum Depression Theory, 245
Rutty, J. E.
nursing as profession, 2–3
nursing theory, 24
perceived view of science, 9
philosophy, overview, 7
positivism, 9
research methodology, 16
Ryan, C. J.
Theory of Unpleasant Symptoms, 241
Ryan, J. G.
Bandura’s Social Learning Theory, 420
Rycroft-Malone, J.
ARCC Model, 263
evidence-based practice, 255, 258, 267
Stetler Model of Evidence-Based Practice, 267
S
Sabatino, S. A.
disease prevention, 338
Sackett, D. L.
evidence-based practice, 254, 256
Sacks, J. L.
descriptive theory, 39
practice-to-theory approach, 85
599
Sadock, B.
projection, 311
Saijadi, M.
Uncertainty in Illness Theory, 238
Saita, T.
Orem’s theory, 146b
Sanburn, J.
technology, 196
Sanchez Birkhead, A. C.
Postpartum Depression Theory, 246
Sancho, D.
Uncertainty in Illness Theory, 238
Sandau, K. E.
ACE Star Model, 261
evidence-based practice, 267–268
Sandhu, M.
nurse staffing and patient outcomes, 487
Sands, D.
Nightingale’s theory, 136
Sanger, M.
social activism, 275
Sanon, M. A.
cultural care diversity and universality theory, 228b
ethnography, 283
Santoro, D.
Uncertainty in Illness Theory, 238
Santos, E. M. M.
genomics in cancer care, 346
Santos, T. C. F.
Nightingale’s theory, 135
Sanyu, I.
Theory of Chronic Sorrow, 109
Sato, A.
Orem’s theory, 146b
Savage, E.
Theory of Unpleasant Symptoms, 241
Savage, L.
concept development, 58
research-based concepts, 54
Saviet, M.
social networks, 279–280
Sawyer, L. M.
Transitions Theory, 232f
Scaffidi, R. M.
technology in nursing education, 513
Scales, F. S.
nursing curriculum, 507, 508t
Schaffer, M. A.
ACE Star Model, 261
evidence-based practice, 267–268
Schams, K. A.
dialectic learning, 510
600
Schaubroeck, J.
transformational leadership, 385
Scherer, E. M.
Magnet Recognition Program, 488
Schim, S. M.
social justice, 44
Schleifer, S. J.
Synergy Model, 235b
Synergy Model application, 448
Schmidt, N. A.
dialectic learning, 511
evidence-based practice, 32, 255, 256, 444t
Schmidt, W.
nursing curriculum, 509
Schmidt, W. H.
continuum of leader behavior, 380
Schobel, D.
Johnson model, 149
Schoenhofer, S.
nursing theory, 37t, 119
Schreiber, J.
Human Caring Science, 181
Schreier, A. M.
Theory of Chronic Sorrow, 108
Schreisheim, C. A.
Path–Goal Theory, 384
Schroeder, K.
concept analysis, 60t, 76
descriptive theories, 76
research-based concepts, 54
Schuessler, J. B.
operational teaching, 511
Schuler, P. A.
Nurse Practitioner Practice Model, 225t
Schultz, A.
Stetler Model of Evidence-Based Practice, 267
Schultz, P. R.
empiricism, 8
epistemology, 13
nursing epistemology, 14–15
research methodology, 17
science, overview, 6, 7
Schulz, P. S.
nursing curriculum, 509
Schumacher, K. L.
Transitions Theory, 231, 232, 232f, 233
Schwandt, T. A.
Social Constructionism, 280
Schwartz, K. S.
cultural care diversity and universality theory, 228
Schwartz, R. W.
transactional leadership, 385
601
Schwartz-Barcott, D.
concept development, 61–63, 63t, 67, 68t
sources of concepts, 54t
Scoloveno, M. A.
Piaget’s Cognitive Development Theory, 418
Scoloveno, R.
explanatory theory, 39
predictive theory, 77
resilience in adolescents, 458
Scope, A.
cognitive-behavioral therapies, 311
Scott, A. A.
lead exposure screening and strategies, 447
Scott, P. A.
Henderson’s theory, 139
Seago, J. A.
California staffing law, 487
nurse staffing and patient outcomes, 487
Seah, X. Y.
bulimia strategy, 447
Roy Adaptation Model, 177b
Seal, J.
psychosocial developmental theory, 307
Seal, N.
psychosocial developmental theory, 307
Secker, T.
causative agent in disease, 334
Secrest, J.
nursing curriculum, 506
Seifert, W.
ethical decision-making, 371
Selanders, L. C.
Nightingale, 132, 133, 134
Selby, J. V.
Patient-Centered Outcomes Research Institute, 486
Selye, H.
concept of stress, 54
General Adaptation Syndrome, 166, 315–316, 326t, 341–343
stages of stress, 315–316, 316t, 341, 342t
Semmelweis, I. P.
quality improvement, 398
Senesac, P. M.
Roy Adaptation Model, 176, 177
Senn, J. F.
interpersonal theory, 309, 449t
Senn-Reeves, J. N.
Critical Social Theory, 290
ethical decision-making, 373
Seo, S. H.
Rogerian theory, 193b
Seomun, G.
concept analysis, 63t
602
Servonsky, E. J.
Power as Knowing Participation in Change, 191
Sethares, K. A.
Health as Expanding Consciousness, 196
Sevil, U.
cultural care diversity and universality theory, 228b
Sexon, K.
disease prevention, 338
Seyedfatemi, N.
Theory of Comfort, 240
Shacklock, K.
social exchange theory, 288
Shamir, B.
authentic leadership, 386
Shanks, N. H.
quality improvement, 400, 402
Shanley, E.
cognitive-field (Gestalt) theory, 417
Recovery Alliance Theory of Mental Health Nursing, 217t
Shattell, M. M.
interpersonal theory, 309
Shaver, J. L.
prescriptive theory, 78
Shaw, J.
Critical Social Theory, 290
Shaw, P.
cognitive-behavioral therapies, 311
Shah, H. M.
evidence-based practice, 254
Shawler, C.
Gagne’s learning principles, 419
Shearer, N.
Health Empowerment Theory, 191
Sheehan, D. L.
Neuman Systems Model, 155b
spiritual healing in child maltreatment, 461
Shen, Z.
cultural diversity, 283
Sheng, X.
Postpartum Depression Theory, 246
Sherman, S.
family systems theory, 277
Shermis, S. S.
learning theory, 412
Sherriff, N.
concept analysis, 63t
Sherrod, M. M.
disease prevention, 338
Sherrod, N. M.
disease prevention, 338
Shetty, S.
Gate Control Theory, 351
603
Shewhart, W.
quality improvement, 400
Shi, L.
causative agent of HIV, 333
Shields, L.
justice, 370
Shiell, A.
Complexity Science, 295b
complexity science, 192
Shiffrin, R. M.
memory, 426
Shire, A.
nursing curriculum, 509
Shirey, M.
resilience, 395
Shirley, M. M.
grand theories, 74
middle range theories, 74
practice theories, 75
relationship among levels of theory, 75
Shiver, J.
quality management, 495
Shockey-Stephenson, P.
Self-Transcendence Theory, 242
Shore, J. C.
anticipatory grief, 443t
Shortridge-Baggett, L.
Self-Efficacy in Nursing Theory, 217t
Shortridge-Baggett, L. M.
self-efficacy theory, 236t
Shriberg, A.
social exchange theory, 288
Shuler, P.
perceived view of science, 10
Shuler, P. A.
Nurse Practitioner Practice Model, 225t
Shumer, S.
disease prevention, 338
Shuster, E.
ethics in Nazi Germany, 364
Shuttleworth, M.
testability of theories, 126
Siefert, M. L.
ARCC Model, 264b
Siegel, J. H.
Web of Causation, 337
Siegler, M.
ethical decision-making, 371, 372t
Sieloff, C. L.
King, 169, 172
King’s conceptual framework, 171
Silber, E.
604
cognitive-behavioral therapies, 311
Silber, J. H.
nurse staffing and patient outcomes, 487, 488
Silén, M.
Orem’s theory, 146b
Silich, S. J.
Six Sigma, 404
Silva, M. C.
characteristics of science, 6, 6b
nursing epistemology, 14
science and philosophy, 5
theory-testing research, 462
Sime, A. M.
caring as central construct, 45
nursing as discipline, 3
Simmel, G.
conflict theory, 288
Simmons, L.
patient-focused care, 485
Simmons, M.
general systems theory, 277
Simon, H. A.
decision making and rationality, 396
problem-solving, 426
Singer, P.
Utilitarianism, 362
Singh, D. A.
causative agent of HIV, 333
Sipsma, H.
fertility preservation in cancer, 460–461
Sisca, J. R.
nursing theory, 36t
Sit, J. W. H.
Transtheoretical Model, 325
Sitzman, K.
Human Caring Science, 181
nursing as profession, 3
nursing theory, 25
nursing theory development, 30
Sivberg, B.
concept analysis, 62t
Skene, C.
Critical Social Theory, 290
Skiba, D. J.
nursing curriculum, 509
Skinner, B. F.
behavioral learning theory, 412
operant conditioning, 309–310, 326t, 413–414, 413t
Skinner, C. S.
Health Belief Model, 319
Skirton, H.
genomics in nursing practice, 345
605
Slevin, O. D.
descriptive research, 457
evidence-based practice, 257, 258
Sloane, D. M.
Magnet Recognition Program, 489
nurse staffing and patient outcomes, 487, 488
Slocum, J. W.
leadership, 377, 379
Smaldone, A.
concept analysis, 60t, 76
descriptive theories, 76
research-based concepts, 54
Small, A.
Kotter’s Eight-Step Plan for Implementing Change, 394
Small, H.
Nightingale, 132, 133, 135, 136
Smith, R.
change, 392
Smith, B.
relaxation and immune function, 344
Smith, C. D.
delirium prevention bundle, 466
Smith, C. E.
Caregiving Effectiveness Model, 39, 244t
Smith, C. M.
logistic teaching, 512
Smith, C. S.
Theory of Chronic Sorrow, 109, 111
Smith, D. G.
nurse staffing and patient outcomes, 487
Smith, H. L.
Magnet Recognition Program, 489
nurse staffing and patient outcomes, 487
Smith, I.
interpersonal theory, 309
Smith, K.
Public Health Nursing Practice Model, 217, 225t
Smith, K. E.
conflict theory, 289
feminist theory, 290
Smith, L.
general systems theory, 277
Smith, M.
Complex Adaptive Systems, 294
King, 169
Smith, M. C.
Human Caring Science, 181
middle range theory, 208, 523
Rogerian theory, 193b
theory application in practice, 435, 436, 436b
theory evaluation, 106
theory–practice gap, 437
606
Smith, M. J.
middle range theory, 210, 211, 212b, 219, 220, 224
practice theories, 444t
theory evaluation, 106
Smith, P.
cultural diversity and cultural bias, 282
Smith, S. M.
Parse and Humanbecoming Paradigm, 198, 202
Snee, R. D.
quality improvement, 403
Snow, D.
genetics of addiction, 347
Sochalski, J.
nurse staffing and patient outcomes, 487
Sochan, A.
postmodernism, 10
Socrates
ethics, 356, 358
Sodomka, P.
patient-focused care, 485
Sofaer, S.
nursing curriculum, 509
Sommer, J.
Henderson’s theory, 139
Son, H.
homeostasis in heart failure, 341
Song, M. K.
self-care in diabetes mellitus, 443t
Songprakun, W.
cognitive-behavioral therapies, 311
Sorrell, C. D.
nursing epistemology, 14
Sorrell, J. M.
nursing epistemology, 14
Sosik, J. J.
charismatic leadership, 386
Sousa, V. D.
middle range theory of diabetes self-care, 215
South, S. C.
depression in adoptive parents, 464
Southard, K.
interpersonal theory, 309
Souza, D.
Kotter’s Eight-Step Plan for Implementing Change, 394
Sovie, M. D.
Magnet Recognition Program, 488
Sowell, R.
cultural care diversity and universality theory, 228
Sower, E.
anticipatory grief, 443t
Sparks, A. M.
generational differences, 285
607
Spegman, A. M.
nursing curriculum, 503
Spencer, G.
Health Belief Model, 324
Spetz, J.
minimum staffing requirements, 487
Speziale, H. J. S.
nursing education, 502, 530
Spike, J.
autonomy, 366
ethical decision-making, 371
Spinoza, B.
philosophy, overview, 7
rationalism, 361
Spitze, G.
social networks, 279
Sportsman, S.
case management, 489, 490
primary nursing, 485
total patient care (functional nursing), 484
Spruce, L.
Iowa Model of Evidence-Based Practice, 264b
Spurr, S.
Social-Ecological Model, 279
Sridhar, G.
patient-centered medical homes, 493
Sriyasak, A.
Maternal Role Attainment/Becoming a Mother, 247
Stacy, K. M.
Synergy Model, 234
Staffileno, B. A.
cultural care diversity and universality theory, 228
Roy Adaptation Model, 177b
Stallings, K. D.
psychomotor learning, 411
Staniute, M.
Social Readjustment Rating Scale, 342
Stanley, D.
operational teaching, 511
Stanley, J.
nursing curriculum, 509
Stanley, M. J.
Critical Social Theory, 290
Stanley, S. A. R.
logistic teaching, 512
Stanton, A. L.
Uncertainty in Illness Theory, 238
Stark, S.
abuse prevention, 338
Starkweather, A.
immune function, 344
Stec, M. W.
608
Health as Expanding Consciousness, 196
Steelman, V. J.
Iowa Model of Evidence-Based Practice, 261, 263–264, 269t
Steffey, C. M.
Self-Transcendence Theory, 242
Stehr, H. J.
Humanbecoming Paradigm, 200
Stein, J.
technology, 196
Steinberg, P.
psychoanalytic theory, 305
Stein-Parbury, J.
interpersonal theory, 309
Stengers, I.
Chaos Theory, 293–294
Stenvig, T. E.
cognitive-field (Gestalt) theory, 417
Stephenson, J.
cognitive-behavioral therapies, 311
Stetler, C. B.
Model of Evidence-Based Practice, 261, 267, 268t, 269t
Stevens, B. J. See Barnum, B. S.
Stevens, K. R.
ACE Star Model, 261–263, 262b, 262f, 269t
evidence-based practice, 257
King, 169
Stevens, P. E.
psychosocial developmental theory, 307
Stewart, B.
Role Theory, 285
Stewart, J. L.
Uncertainty in Illness Theory, 235, 237
Stewart, S.
ARCC Model, 264b
Stewart-Briley, C.
Social-Ecological Model, 278
Stichler, J.
ARCC Model, 264b
Stichler, J. F.
Adult Learning Theory, 425
Stimpfel, A. W.
Magnet Recognition Program, 489
Stocker-Schnieder, J.
Complex Adaptive Systems, 296
Stokowski, L. A.
future issues in nursing, 524, 530
nursing curriculum, 509, 530
Stolt, M.
concept analysis, 60t
Stone, A. G.
servant leadership, 387
Story, P. A.
609
emotional intelligence, 386
Story, R.
ethnography, 283
Stover, C. M.
predictive theory, 39
theory-to-practice-to-theory approach, 84
Stratton, R.
Theory of Comfort, 240
Straus, S. E.
evidence-based practice, 256
Strauss, A.
Chronic Illness Trajectory Framework, 236t, 238
Role Theory, 284
symbolic interactionism, 281b
Street, D. J.
cultural care diversity and universality theory, 228b
Streiner, D.
span of control, 477
Streubert, H. J.
epistemology, 13
nursing as human science, 17
nursing theory, 25, 72
perceived view of science, 10
research methodology, 18
science, overview, 6
Strickland, H. P.
technology in nursing education, 514
Strickland, J. T.
safeguarding the children, 457–458
Strömberg, A.
Theory of Self-Care of Chronic Illness, 85, 213, 236t, 461
Stuifbergen, A. K.
Midlife Women’s Attitudes Toward Physical Activity, 443t
Suhayda, R.
logistic teaching, 512
Suhonen, R.
concept analysis, 60t
Sullivan, D. T.
nursing curriculum, 502, 503b, 505, 506, 507, 508
Sullivan, H. S.
interpersonal theory, 303, 303t, 307–309, 326t
Sulochana, B.
Gate Control Theory, 351
Summers, L.
flipped classroom, 421
Sun, E.
Bandura’s Social Learning Theory, 420
Sundean, L. J.
ethical decision-making, 371
Suppe, F.
empiricism, 8
middle range theory, 208, 209
610
postpositivism, 9
Theory of Unpleasant Symptoms, 235, 241f
Sur, R. L.
evidence-based practice, 254
Sutcliffe, P.
cognitive-behavioral therapies, 311
Sutherland, S.
nursing research, 454, 455b
Sutphen, M.
nursing curriculum, 530
Swain, M. A. P.
assumptions, concepts, and relationships, 166–167, 167t
background, 165
interaction theory, 124t
interactive–integrative paradigm, 122
middle range theory, 208
Modeling and Role-Modeling, 160, 165–168
nursing theory, 119, 160, 165–168
parsimony of theory, 168
philosophical underpinnings of theory, 166
testability of theory, 168
usefulness of theory, 167, 168b
value in extending nursing science, 168
Swamy, M. K.
Theory of Goal Attainment, 172
Swanson, B.
logistic teaching, 512
Swanson, E. O.
ethics in nursing, 357
Swanson, K. M.
Theory of Caring, 236t
Swanson, R. A.
Adult Learning Theory, 423–424
cognitive-field (Gestalt) theory, 416
Swatton, A.
psychoanalytic theory, 305
Sweller, J.
Cognitive Load Theory, 422–423
information-processing models, 421–423
Swickard, S.
Synergy Model, 234
Swickard, W.
Synergy Model, 234
Swiger, P. A.
concept analysis, 62t
Swoboda, S. M.
simulation in nursing education, 513
Szabo, J.
nursing as discipline, 3
philosophy, overview, 7
T
611
Tadaura, H.
Orem’s theory, 146b
Talbot, A. L.
Theory of Reasoned Action/Planned Behavior, 325
Tannenbaum, R.
continuum of leader behavior, 380
Tanner, C. A.
model of skill acquisition in nursing, 226
nursing curriculum, 504
Tansky, C.
Gate Control Theory, 351
Tanyi, R. A.
Nightingale’s theory, 136
Tasçi-Duran, E.
cultural care diversity and universality theory, 228b
Tasón, M. C.
comparison of concept development models, 67
concept development, 55
Taylor, C. R.
Henderson’s theory, 138
Taylor, E. J.
nursing curriculum, 509
Taylor, F. W.
chain of command, 477
scientific management, 387–388, 388b
Taylor, G. A.
operational teaching, 512
Taylor, R. M.
explanatory theory, 76
Taylor, S. G.
descriptive theories, 38
nursing theory, 25, 26
Orem’s theory, 143, 145, 146
Tedder, M.
genetics of leukemia, 347
Teichman, J.
philosophy, definition, 7
Tejero, L. M. S.
Synergy Model, 234
Telford, K.
psychoanalytic theory, 305
Tellez, M.
California staffing law, 487
Teo, S.
social exchange theory, 288
Terhaar, M. F.
future issues in research, 522
Terhorst, L.
span of control, 478
Terwijn, R.
problem-based learning, 511
Tesson, S.
612
planned behavior in prophylactic mastectomy, 466
Testerman, N.
nursing curriculum, 509
Thacker, L.
psychoimmunology, 344
Tham, X. C.
bulimia strategy, 447
Roy Adaptation Model, 177b
Theeke, L.
Gagne’s learning theory, 419
Thibaut, J. W.
social exchange theory, 286
Thomas, K. W.
conflict mode model, 397
Thomas, M. L.
experimental research on cancer pain, 456t
Thomas, N. F.
Self-Transcendence Theory, 242
Thomas, T. L.
cancer prevention, 349
Thomas, V.
operational teaching, 511
Thomason, E.
Postpartum Depression Theory, 246
Thompson, B.
stress theories, 317
Thompson, B. W.
technology in nursing education, 513
Thompson, E. A.
study of implantable cardioverter defibrillator, 459
Thompson, L.
interpersonal theory, 308
Thompson, S. A.
technology in nursing education, 514
Thorndike, E. L.
behaviorism, 413
Stimulus–Response Model of Learning, 413, 413t
Thorne, B.
feminist theory, 291, 291b
Thorne, S.
caring as central construct, 45
metaparadigm, 41–42
Thorsteinsson, H. S.
ARCC Model, 264b
Thurman, W.
feminist theory, 292
Tierney, A. F.
nursing theory, 119
Tierney, A. J.
nursing theory, 25, 37t
Tighe, S. M.
concept analysis, 60t
613
Tilley, D. S.
descriptive theories, 76
Timm, J. E.
definition of health literacy, 53t
Timmermans, O.
concept analysis, 60t
Tingen, M. S.
perceived view of science, 9
research methodology, 18
Tinkle, M. B.
research methodology, 18
Tiro, J.
Health Belief Model, 319
Titler, M.
Iowa Model of Evidence-Based Practice, 261, 263–264, 269t
Tluczek, A.
concept analysis, 62t
explanatory theory, 39
To, T.
student-centered teaching, 421
Tod, A.
evidence-based practice, 256
Todaro-Franceschi, V.
competing paradigms, 128
Rogerian theory, 192
Todd, A. T.
Critical Social Theory, 290
Tomai, L.
disease management, 492
Tomasulo, R.
Postpartum Depression Theory, 246
Tomey, A. M.
change, 392
Tomlin, E. M.
assumptions, concepts, and relationships, 166–167, 167t
background, 165
interaction theory, 124t
interactive–integrative paradigm, 122
middle range theory, 208
Modeling and Role-Modeling, 160, 165–168
nursing theory, 119, 160, 165–168
parsimony of theory, 168
philosophical underpinnings of theory, 166
testability of theory, 168
usefulness of theory, 167, 168b
value in extending nursing science, 168
Tomlinson, P.
family systems theory, 277
Tonkin, E.
social psychology theories, 325
Tonlaar, Y. J.
pregnancy intention and contraception, 466
614
Torregosa, M. B.
Watson’s Human Caring Science, 183b
Tough, A.
self-directed learning, 426
Touhy, T. A.
Human Caring Science, 181
Tourangeau, A. E.
predictive theories, 77
Tourish, J.
social networks, 279–280
Townsend, A. P.
critical care visitation, 466
Synergy Model, 234
Trangenstein, P.
nursing curriculum, 509
Trangenstein, P. A.
Transitions Theory, 233
Travelbee, L. E.
interaction theory, 119
nursing theory, 35t, 119
Treolar, L.
Artinian Intersystem Model, 165
Trevino, E.
Artinian Intersystem Model, 164
Trinder, K.
Social-Ecological Model, 279
Trinier, R.
Complexity Science, 296
Triolo, P. K.
Magnet Recognition Program, 488
Tripp-Reimer, T.
middle range theory, 208, 210
nursing theory–nursing research connection, 453
reliance on nursing models in research, 467–468
Troutman, M. F.
Theory of Successful Aging, 446–447
Troutman-Jordan, M.
Theory of Successful Aging, 214, 236t
Troyan, P. J.
career persistence in acute care, 212
Tsai, P. F.
Theory of Caregiver Stress, 244t
Tschanz, C. L.
nursing as discipline, 3
philosophy, overview, 7
Tseng, Y. H.
Self-Transcendence Theory, 242
Tu, C. H.
Theory of Unpleasant Symptoms, 241
Tullai-McGuinness, S.
transformational leadership, 483
Tumblin, T.
615
transactional leadership, 385
Turenne, J. P.
Iowa Model of Evidence-Based Practice, 264b
Turetsky, R.
female genital mutilation, 449t
Turk, M. T.
cultural care diversity and universality theory, 228b
technology in nursing education, 513
Turner, J. H.
social exchange theory, 286, 287, 287b
symbolic interactionism, 281b
Turner-Henson, A.
Johnson model, 149
stress and inflammation, 342–343
Tweet, A. G.
benchmarking, 495
Twibell, K. R.
Modeling and Role-Modeling, 168b
Tyer-Viola, L.
nursing philosophy, 12
Tyler, D.
Transitions Theory, 233
Tyler, R.
Theory of Unpleasant Symptoms, 241
U
Ueda, E.
Orem’s theory, 146b
Uhl-Bien, M.
followership theory, 387
Leader–Member Exchange Theory, 380, 381
Ulbrich, S. L.
Theory of Exercise as Self-Care, 215
Underhill, M.
ARCC Model, 264b
Unson, C.
Uncertainty in Illness Theory, 238
Upshaw-Owens, M.
infection prevention, 334
Upton, D. J.
evidence-based practice, 256
Ursel, K. L.
Humanbecoming Paradigm, 200
Utley-Smith, Q.
nursing practice competencies, 525t
V
Vacek, J. E.
concept mapping, 421
Valek, R. M.
Health Promotion Model, 231b
weight loss theory, 441
616
Valencia, I.
Theory of Chronic Sorrow, 108, 111
Vanak, J. M.
Magnet Recognition Program, 489
Vance, D. E.
concept analysis, 62t
van Daalen-Smith, C.
feminist theory, 292
Vanden Bosch, M. L.
physical activity in women, 466
van den Heuvel, J.
quality improvement, 403
Vanderhoef, D.
general systems theory, 277
Vanderkerkhof, E. G.
Theory of Reasoned Action/Planned Behavior, 325
Vanderwee, K.
general systems theory, 277
van Dover, L.
Artinian Intersystem Model, 164
Van Goubergen, D. V.
general systems theory, 277
Van Hecke, A.
general systems theory, 277
van Merriënboer, J. J. G.
Cognitive Load Theory, 423
Vann, J. C.
Transtheoretical Model, 325
Van Riper, M.
genetic counseling, 346
Van Rompaey, B.
concept analysis, 60t
Varcoe, C.
descriptive research on abused women, 456t
theory–practice gap, 438
Varela, F.
patient/client concept, 161
Varkey, P.
quality improvement, 403
quality management, 494, 495
Varnell, G.
evidence-based practice, 255, 256, 257
Varney, J.
cultural care diversity and universality theory, 228
Vecchio, R. P.
Path–Goal Theory, 384
Venkatesaperumal, R.
Theory of Goal Attainment, 172
Verdú, J.
model of skin ulcer development, 244t
Web of Causation, 337
Verhulst, G.
617
sources of concepts, 54t
Verklan, T.
model of skill acquisition in nursing, 226
Veroff, J.
Achievement–Motivation Theory, 389
Verver, J. P. S.
quality improvement, 403
Vick, R.
general systems theory, 277
Vincent, C.
Theory of Reasoned Action/Planned Behavior, 325
Viswanath, K.
social psychology theories, 324
Vitale, S. A.
Theory of Chronic Sorrow, 109, 245, 448
Volker, D. L.
descriptive theory, 39
practice-to-theory approach, 85
Volling, B. L.
Postpartum Depression Theory, 246
von Bertalanffy, L.
Systems Theory, 143, 151, 169, 173, 189, 276
Vroom, V. H.
decision making, 395
Expectancy Theory, 389–390
leadership theories, 385
Path–Goal Theory, 383
Vuckovich, P. K.
Artinian Intersystem Model, 164
W
Wagner, C.
intermittent urinary catheterization, 445, 445t
Nursing Intervention Classification system, 445
patient contracting, 446, 446t
prescriptive theory, 77–78
Wagner, J.
metaparadigm, 41, 42
Wagner, J. A.
behavioral theories of leadership, 379
Rational Decision-Making Model, 395
Wagner, J. M.
moral distress, 369
Wagner, L.
Watson’s Human Caring Science, 183b
Wagner, M.
ARCC Model, 264b
Wahoush, O.
interpersonal theory, 309
Wald, L.
social activism, 275
Walke, E.
618
moral distress, 369
Walker, D. S.
social justice, 44
Walker, L.
Midlife Women’s Attitudes Toward Physical Activity, 443t
Walker, L. O.
associational statements, 80
concept analysis, 58, 58t, 60t, 67, 68t
concept derivation, 59, 59b
concept development, 55, 58–59, 67, 68t
concept synthesis, 58–59
evidence-based practice, 257, 258, 259f, 260, 526
grand theories, 74, 126
Maternal Role Attainment/Becoming a Mother, 246–247
metatheory, 34, 74
middle range theories, 74
postmodernism, 11
practice-based evidence, 258
practice theories, 74
relationship among levels of theory, 75, 75f
statement analysis, 87, 87b
theory analysis, 95, 96, 97t, 99, 100t, 105t, 106, 124
theory concepts, 79
theory development, 73, 216
theory development process, 86
theory–practice gap, 439
theory synthesis, 87–88, 88b
value in extending nursing science, 127
Walker, M. D.
homeostasis, 340–341
Walker, P. H.
evidence-based practice, 256, 257, 260
Walker, R.
Declaration of Helsinki, 364
Deontology, 361
Utilitarianism, 362
Virtue Ethics, 359
Walkers, P. H.
nursing epistemology, 14
Wall, P. D.
Gate Control Theory, 215, 331–332, 350
Wallace, R.
Relaxation Response, 215
Wallen, G. R.
genomics in nursing practice, 345
Wallerstein, N. B.
Participatory Action Research, 289–290
Waller-Wise, R.
Henderson’s theory, 138
Walling, A.
prescriptive theory, 40
Walsh, K. D.
619
psychoanalytic theory, 305
Walsh, S. M.
Self-Transcendence Theory, 242
Walton, M. K.
patient-focused care, 486
Wambach, K.
technology in nursing education, 513
Wamsley, R.
Watson’s Human Caring Science, 183b
Wandelt, M. A.
Magnet Recognition Program, 488
Wang, C.-E. H.
sources of concepts, 54t
Wang, C. L.
Orem’s theory, 146b
Wang, D.
Leader–Member Exchange Theory, 380
Wang, H.
Leader–Member Exchange Theory, 380
Wang, M. M.
social networks, 280
Wang, R. H.
Bandura’s Social Learning Theory, 420
Ward, J.
ethics and informed consent, 365
Ward, M.
Chaos Theory, 294
Wardell, D. W.
Rogerian theory, 193b
Warner, J.
Theory of Chronic Sorrow, 108, 111, 245
Warren, N.
patient-focused care, 486
Washington, R. R.
transactional and transformational leadership, 385
Wassef, M. E.
logistic teaching, 512
Waters, C. M.
health behaviors in military personnel, 466
Health Promotion Model, 230
Waters, M.
feminist theory, 290, 291
social exchange theory, 288t
Watman, R.
nursing curriculum, 509
Watson, D. S.
principle-based concept analysis, 67
Watson, J.
application of theory in nursing education, 502, 506
application of theory to research, 461
assumptions, concepts, and relationships, 178–181, 179b, 180t
background, 178
620
caring as central construct, 45
caring/becoming theory, 119
conditioning, 309
evidence-based practice, 256, 257, 260
Human Caring Science, 159, 160, 177–182, 207, 461, 502
interaction theory, 124t
interactive–integrative paradigm, 122
metaparadigm, 43t
middle range theories derived from work, 207
nursing epistemology, 14
nursing theory, 36t, 119, 124, 160, 177–182
parsimony of theory, 182
philosophical underpinnings of theory, 178
testability of theory, 182
usefulness of theory, 181, 183b
value in extending nursing science, 182
Weaver, K.
comparison of concept development models, 67
Weaver, M. T.
relaxation and immune function, 344
Webber, K. L.
Critical Social Theory, 290
Webber, P. B.
Chaos Theory, 293
general systems theory, 276
theory–practice gap, 439
Weber, M.
bureaucracy, 388
chain of command, 477
conflict theory, 288
Weber, R.
patient-focused care, 485
Wegner, S.
Transtheoretical Model, 325
Wehbe-Alamah, H. B.
cultural care diversity and universality theory, 227, 228b, 519
Weick, K. E.
theory-to-practice-to-theory approach, 84
Weingarten, S.
disease management, 490
Weiner, E.
nursing curriculum, 509
Weinert, C.
rural nursing model, 225t
Weinrich, M. C.
Cues to Participation in Prostate Screening, 217t
Weiss, M.
research on cesarean birth, 464
Roy Adaptation Model, 177b
Weiss, M. F.
postpartum weight management, 458
Welch, A. J.
621
Parse’s research strategy, 200–202, 201t–202t
unitary process theory, 203
Wells, C. F.
safeguarding the children, 457–458
Welsh, S.
ethical decision-making, 373
Welton, J. M.
Magnet Recognition Program, 489
Werner, J. S.
Nightingale’s theory, 136
West, K. S.
Artinian Intersystem Model, 164
Westfall, U. B.
Role Theory, 285
Wetz, R. V.
Six Sigma, 404
Weyl, H.
cancer theories, 349
disease prevention, 338
Whall, A. L.
middle range theories, 38
practice theories, 38, 456
scope of theory, 34
theory analysis and evaluation, 94, 97t, 102–103, 104t, 105t, 106
theory evaluation, 219
Whelan, J.
explanatory theory, 76
White, C. L.
Uncertainty in Illness Theory, 238
White, K. M.
ACE Star Model, 261
future issues in research, 522
Johns Hopkins Nursing Evidence-Based Practice Model, 261, 266
White, R.
genetic basis of cancer, 347
White, S.
Iowa Model of Evidence-Based Practice, 264b
Whitehead, P. B.
Theory of Comfort, 240
Whyte, J., IV
cancer theories, 349
Wicklund Gustin, L.
Watson’s Human Caring Science, 183b
Wiedenbach, E.
explanatory theories, 76
interaction theory, 119
nursing theory, 35t, 72, 119, 132
nursing theory development, 30–31
predictive theories, 76
prescriptive theories, 77
theory categorization, 75
Wiegand, D. L.
622
ethical decision-making, 373
Wilcockson, I.
ethical decision-making, 371
Wilkie, D. J.
Gate Control Theory, 351
prescriptive theory, 78
Theory of Reasoned Action/Planned Behavior, 325
Wilkinson, D.
interpersonal theory, 309
Williams, B.
general systems theory, 277
Williams, C. R.
bureaucracy, 388
scientific management, 387
Williams, L.
infection prevention, 334
Williams, T.
genetics in nursing, 345, 346
Williams, T. T.
operational teaching, 511–512
Williamson, L.
Social-Ecological Model, 279
Willis, D.
Neuman Systems Model, 155b
Willis, D. G.
Moving Beyond Dwelling in Suffering, 443t
Rogerian theory, 193b
spiritual healing in child maltreatment, 461
Willman, A.
concept analysis, 62t
Wills, E. M.
categories of theories, 121f
Wilson, A. F.
Relaxation Response, 215
Wilson, A. H.
operational teaching, 512
Wilson, B.
model of skill acquisition in nursing, 226
Wilson, D. R.
Humanbecoming Paradigm, 200
Wilson, J.
concept development, 57–58, 59, 61, 67
Wilson, L. D.
nursing curriculum, 509
Wilson, M.
concept of quality pain management, 66
Wineman, N. M.
Chaos Theory, 296
Winkelman, D.
Synergy Model, 234
Winland-Brown, J.
ethics in nursing, 357
623
Winslade, W. J.
ethical decision-making, 371, 372t
Winstead-Fry, P.
Rogerian theory, 192
Winter, D. G.
power strategy, 392
Winters, N.
ethics in nursing, 363
Woda, A. A.
technology in nursing education, 513
Wolf, G.
Magnet Recognition Program, 488
Wolfer, J.
research methodology, 18
Wolosin, R. J.
African Americans’ spiritual needs, 456t
Woltz, P.
homeostasis in heart failure, 341
Wong, C. A.
span of control, 478
Wong, C. L.
self-care in dysmenorrhea, 466
Wong, F. K. Y.
student-centered teaching, 421
Wongyatunyu, S.
Orem’s theory, 143
Wood, G. L.
research methodology, 18
Wood, R.
Web of Causation, 337
Woody, G.
model of skill acquisition in nursing, 226–227
Worden, C.
logistic teaching, 512
Workman, M. L.
immune system, 343
Wright, B. W.
King, 169
Wright, M. L.
psychoimmunology, 344
Wright, W.
accountable care organization, 493
Wrubel, J.
nursing theory, 37t
Wu, E. S.
Magnet Recognition Program, 489
nurse staffing and patient outcomes, 487
Wu, R. R.
nursing curriculum, 504
Wu, T. Y.
Health Belief Model, 324
Wu, Y. W.
624
social psychology theories, 325
Wuest, J.
descriptive research on abused women, 456t
Wysocki, J.
Contingency Theory of Leadership, 383
Y
Yackzan, S.
cancer theories, 349
disease prevention, 338
Yamamoto, L.
case management, 489
Yammine, L.
psychoimmunology, 344
Yang, J. H.
health-related behaviors of Korean Americans, 443t
Yap, A. J.
power pose, 392
Yarcheski, A.
theory and research, 454
theory-testing research, 462
Yarcheski, T.
theory and research, 454
theory-testing research, 462
Yates, B. C.
Health Promotion Model, 229–230
physical activity among African American women, 465–466
Yates, E.
homeodynamics, 340
Yates, J.
genomics in nursing practice, 345
Yehle, K. S.
dialectic learning, 510
Yenen, M. C.
cancer theories, 349
Yetton, P. W.
decision making, 395
Ynalvez, M. A.
Watson’s Human Caring Science, 183b
Younas, A.
Henderson’s theory, 139
Young, A.
descriptive theories, 38
nursing theory, 25, 26
Youngblut, J.
Caregiver Reward Scale, 288
Youngcharoen, P.
Theory of Reasoned Action/Planned Behavior, 325
Yunibhand, J.
human needs theory, 313
Z
625
Zahourek, R.
Rogerian theroy, 191, 193b
Theory of Intentionality, 191
Zandee, G. L.
cultural care diversity and universality theory, 228b
Zarubi, K. L.
patient-focused care, 486
Zauszniewski, J.
methodological triangulation, 522
Zauszniewski, J. A.
middle range theory of diabetes self-care, 215
Zborowsky, T.
Nightingale’s theory, 136
Zderad, L.
interaction theory, 119
interactive–integrative paradigm, 122
nursing theory, 36t
Zeigler, V. I.
descriptive theories, 76
Zeller, J. M.
logistic teaching, 512
Zeller, R.
Caregiver Reward Scale, 288
Zendehdel, K.
Uncertainty in Illness Theory, 238
Zenk, S. N.
prescriptive theory, 78
Zerwic, J. J.
Theory of Unpleasant Symptoms, 241
Zhou, X. T.
Path–Goal Theory, 384
Zhu, J.
Maternal Role Attainment/Becoming a Mother, 247
Zhu, L.-X.
Transtheoretical Model, 325
Zhu, W.
transformational leadership, 385
Zieber, M. P.
general systems theory, 277
Ziegler, S. M.
nursing theory, 25
Zimmerman, L. M.
Health Promotion Model, 229–230
physical activity among African American women, 465–466
Zimmerman, M.
stress theories, 317
Zismer, D.
disease management, 492
Zoëga, S.
concept of quality pain management, 66
Zoucha, R.
cultural care diversity and universality theory, 228b
626
Zucker, D. M.
concept analysis, 63t
Zugai, J.
interpersonal theory, 309
Zurakowski, T. L.
Nightingale, 133, 134
627
S U B J E C T I N D E X
Note: Page numbers followed by b indicate material in boxes; those followed by f indicate material in figures,
and those followed by t indicate material in tables.
A
AACN. See American Association of Colleges of Nursing; American Association of Critical-Care Nurses
Abortion, ethics of, 363
Abstract concepts, 50–52
Abstraction level, of relational statements, 80
Abstraction level, of theories, 34–38, 37f, 73–75, 75f
in categorization of grand theories, 118–119
in middle range theories, 211, 224
in theory evaluation, 97
ACA. See Patient Protection and Affordable Care Act
Academic Center for Evidence-Based Practice (ACE) Star Model, 261–263, 262b, 262f, 269t
Academic discipline. See Discipline(s)
Acceptance, of theory, 103
Accessibility, of theory, 101
Accommodation
in conflict handling, 397
in learning, 418
Accountability
in patient care delivery models, 483
in shared governance, 480–482
Accountable care organizations (ACOs), 492–493, 531
Accreditation, nursing curriculum and, 503–504
Accreditation Commission for Education in Nursing (ACEN), 504
Accuracy, of theory, 103, 105t, 106
ACEN. See Accreditation Commission for Education in Nursing
ACE Star Model, of evidence-based practice, 261–263, 262b, 262f, 269t
Achievement, need for, 389, 389t
Achievement–Motivation Theory, 389, 389t
Achievement-oriented leader, 384
Achievement system, 148
ACOs. See Accountable care organizations
Action Research, 289–290
Action stage, of change, 323, 323f
Active potential assessment model (APAM), 166
Activities for client assistance, 137–138, 138b
Actual caring moment occasion, 180t, 207
Actualizing tendency, 313
Acupuncture, prescriptive theory of, 40
Acute pain management, theories of, 211, 217, 244t
Adaptation
in Artinian Intersystem Model, 162
of borrowed or shared theories, 78. See also Borrowed theory
in Complex Adaptive Systems, 294–295
628
in Modeling and Role-Modeling, 166, 167t
in Roy Adaptation Model, 172–177, 174t. See also Roy Adaptation Model
in stress theories, 315–317, 341–342
in systems, 276
in Uncertainty in Illness Theory, 237
Adaptation to Chronic Pain, Theory of, 215, 244t
Adaptive equilibrium, 166
Adaptive modes, in Roy Adaptation Model, 175–176, 175f
Adaptive Spirituality, Theory of, 85–86, 176, 213, 456t
Administration and management. See also Management
application of theory in, 475–500
borrowed theory from, 78, 78t
future issues in, 526–529, 528b
Administrative model, of shared governance, 481
Adulthood, transition to, 443t
Adult Learning Theory, 412, 423–425, 426t
application to nursing, 425
application to nursing education, 513–514
assumptions of, 423–424, 424b
Adult Uncertainty in Illness Scale, 237
Adult Uncertainty in Illness Scale–Community Form, 237
Advanced practice nurses (APNs), 32
in accountability care organizations, 493
administrative or management role of, 376–377
authority and responsibility of, 479
case management by, 489
chain of command, 477
in community-based health care systems, 525
disease management role of, 492
in evidence-based practice, 405, 496
learning theory and, 412, 412b
management level of, 479
theoretical knowledge and skills of, 523, 523b
work specialization of, 477
Advances in Nursing Science, 453
Advancing Research and Clinical Practice Through Close Collaboration (ARCC) Model, 261, 263, 264b, 269t
Affective learning, 411
Affiliated-individuation, 167t
Affiliation, need for, 389, 389t
Affiliative subsystem, 148
Affordable Care Act. See Patient Protection and Affordable Care Act
“Against medical advice” (AMA), 367
Ageism, 282
Agency, concept of, 287–288, 288t
Agency for Healthcare Research and Quality, 255, 257
Agenda for Change (The Joint Commission), 398
Agents, in Complex Adaptive Systems, 294
Aggressive subsystem, 148
Aging, successful, theories of, 214, 236t, 446–447
Aging population, 520b
AIM. See Artinian Intersystem Model
Aim of instinct, 304
629
Alarm, as stage of stress, 315, 316t, 341, 342t
Allostasis, 340–341
Allostatic Load Theory, 343
Alzheimer disease, information processing in, 423
AMA. See American Medical Association
AMA (“against medical advice”), 367
American Academy of Nursing, 488
American Association of Colleges of Nursing (AACN)
on Chaos Theory and Complexity Science, 293b
Commission on Collegiate Nursing Education (CCNE), 504, 505
on competencies and skills needed by generalist nurses, 521, 521b
on concept application, 50b
doctor of nursing practice proposed, 32
on evidence-based practice, 255b
on genetics, 345b
on learning theories, 412b
on middle range theory, 224b
on scientific foundation of nursing, 5b
on theoretical knowledge and skills, 523, 523b
American Association of Critical-Care Nurses (AACN), Synergy Model of, 95, 233–234. See also Synergy
Model
American College of Surgeons, 398
American Medical Association (AMA), on nursing education, 28
American Nurses Association (ANA)
education initiatives of, 30
ethics, 356, 358
nurse staffing levels, 488
Scope and Standards for Nurse Administrators, 266, 488
American Nurses Credentialing Center (ANCC), Magnet Recognition Program, 259, 483, 488–489, 488b
ANA. See American Nurses Association
Analogical reasoning, 359
Analogizing, in concept development, 65, 65t
Anal stage of development, 303t, 304
Analytical phase, of concept development, 62, 63t
Analytic learners, 427
ANCC. See American Nurses Credentialing Center
Andragogy, 423–425, 424b, 426t, 513–514
Animal rights, 362
Antecedents, delineating, 65, 65t
Anthem Blue Cross/Blue Shield, accountability care organization of, 493
Anthropology, middle range nursing theories derived from, 215
Antibody-mediated immunity, 343
Anticipatory Grief, Theory of, 443t
Anxiety
in General Adaptation Syndrome, 315–316, 316t
in interpersonal theory, 307–308
Peplau’s levels of, 308, 315–316, 316t
in Psychoanalytic Theory, 304–305
AORN Journal, 453
APAM. See Active potential assessment model
Aperiodic behavior, 293
APNs. See Advanced practice nurses
630
Application of theory, in nursing administration and management, 475–500
authority and responsibility, 479
case management, 489–490
centralization vs. decentralization, 479
chain of command, 477
departmentalization, 479–480
disease/chronic illness management, 490–493
Magnet Recognition Program, 483, 488–489, 488b
organizational design, 476–480, 476b
patient care delivery models, 483–489
patient-focused care, 483, 485–486
primary nursing, 483, 484–485
quality management, 493–496
shared governance, 480–482
span of control, 477–478
team nursing, 483, 484
total patient care (functional nursing), 483–484
transformational leadership, 482–483, 482b
work specialization, 476–477
Application of theory, in nursing education, 501–518
curriculum, 502–509
teaching, 509–515
technology, 512–515
Application of theory, in nursing practice, 434–451
borrowed or shared theory, 78, 78t, 446–447
examples from nursing literature, 446–448
grand theories, 447–448, 449t
guidelines for, 437, 438t
health care delivery system and, 440
implied theory, 446–447
in intermittent urinary catheterization, 445, 445t
middle range theories, 248, 447–448, 449t
nursing education and, 439
Nursing Intervention Classification (NIC) system, 444–446
in patient contracting, 446, 446t
situation-specific (practice) theories in, 440–442
in taxonomy, 444–446
theorist–practitioner disparity and, 439
theory–practice gap in, 437–440
Application of theory, in nursing research, 452–474
borrowed or shared theory, 78, 78t, 446–447
concerns over reliance on nursing models in, 467–468
correlational, 456, 456t, 458
description of theory in research report, 468, 469b
descriptive, 456–458, 456t
experimental, 456, 456t, 458–459
historical overview of, 453–454
Nightingale and, 453
non-nursing theories, 466, 467–468
nursing theories, 467–468
purpose of theory in research, 455
rationale for using nursing theories in, 467
631
theory as conceptual framework, 455–456
theory fitting in, 464–465
theory-generating research, 84t, 85–86, 459–461
theory–research relationship, 454–456
theory-testing research, 459, 461–464
theory use in, 459–466
types of theories and corresponding research, 456–459, 456t
Application of theory, specific theories
Adult Learning Theory, 425, 513–514
autonomy, 366–367
behavioral and cognitive-behavioral theories, 311
behavioral learning theories, 415
beneficence, 367–368
Benner’s Model of Skill Acquisition, 226–227, 248
cancer theories, 349
Chaos Theory, 295–296
cognitive development/interaction theories, 418, 419, 420
cognitive-field (Gestalt) theories, 416–417
Complex Adaptive Systems, 295–296
Complexity Science, 295–296
Critical Social Theory, 290
cultural diversity and cultural bias, 283
Deontology, 362–363
ethical decision making, 371–373
feminist theory, 291–292
Gagne’s learning theory, 418–419
Gate Control Theory of pain, 350–351
General Systems Theory, 277
genetic principles and theories, 345–347
Germ Theory and principles of infection, 334
Health Belief Model, 324–325, 447, 519–520
Health Promotion Model, 229–230, 231b, 248, 465–466
Henderson’s human needs theory, 466
homeostasis, 340–341
Human Caring Science, 461, 502
immune system theories, 344
information-processing models, 423
interpersonal theory, 308–309, 449t
justice, 370
learning theories, 415, 419, 420, 425, 428–429, 459, 466, 513–514
Leininger’s cultural care diversity and universality theory, 228–229, 228b, 248, 449t, 519–520
Maslow’s human needs theory, 313
Maternal Role Attainment/Becoming a Mother, 247, 248
Modeling and Role-Modeling, 449t
natural history of disease, 338
Neuman Systems Model, 459, 461, 464, 506
nonmaleficence, 369
person-centered theory, 314–315
Piaget’s Cognitive Development Theory, 418
Planned Change Theory, 449t
Postpartum Depression Theory, 245–246
Psychoanalytic Theory, 305
632
Psychosocial Developmental Theory, 306–307, 449t
Role Theory, 284–285
Roy Adaptation Model, 447–448, 456t, 459, 461, 464
Science of Unitary and Irreducible Human Beings, 461
Self-Care Deficit Nursing Theory, 456t, 461, 466, 506
Self-Efficacy Theory, 447
Self-Transcendence Theory, 242, 248
Social-Ecological Models, 278–279
Social Exchange Theory, 288
Social Learning Theory, 420, 459, 466
social networks, 279–280
social psychology theories, 324–325
stress theories, 317, 342–343
symbolic interactionism, 281
Synergy Model, 234, 235b, 248, 448, 449t, 466
Theory of Chronic Sorrow, 108–109, 245, 248, 448
Theory of Comfort, 239–240, 248
Theory of Reasoned Action/Planned Behavior, 324–325, 466
Theory of Unpleasant Symptoms, 241, 248
Transitions Theory, 233, 448, 458
Transtheoretical Model, 325, 456t
Uncertainty in Illness Theory, 237–238
Utilitarianism, 362–363
Virtue Ethics, 359–360
Web of Causation, 337
Applied science, 6–7, 6t
nursing as, 7, 16–17, 302
pure science vs., 6, 302
Appraisal, in stress theory, 316–317
ARCC Model, of evidence-based practice, 261, 263, 264b, 269t
Aristotle’s ethics, 358–360
Arousal, in active potential assessment model, 166
Art, nursing as, 135, 144, 254, 256
Artinian Intersystem Model (AIM), 160–165
assumptions of, 161, 163t
background of theorist, 160
concepts of, 161–163, 163t
parsimony of, 165
philosophical underpinnings of, 160–161
relationships in, 162f, 163–164
testability of, 164
usefulness of, 164
value in extending nursing science, 165
Art of Nursing, Theory of, 191
Assertiveness, in conflict handling, 397
Assignment systems, 483
Assimilation, 418, 426
Associational statements, 80
Associative concepts, 51, 52t
Assumptions, 27t, 81, 100, 101t, 105t
Abdellah’s, 139–141
Adult Learning Theory, 423–424, 424b
633
Artinian Intersystem Model, 161, 163t
grand theory, 126
Health as Expanding Consciousness, 194
Henderson’s, 137
Humanbecoming Paradigm, 198–199, 199b
Human Caring Science, 178–179
Johnson’s, 147–148
Modeling and Role-Modeling, 166
Neuman Systems Model, 151–153, 154b
Nightingale’s, 134–135
Orem’s, 143–145
Rational Decision-Making Model, 395–396
Roy Adaptation Model, 173–174
Science of Unitary and Irreducible Human Beings, 189
social exchange theories, 286, 287b
symbolic interactionism, 280, 281b
Theory of Goal Attainment, 169
Asthma education, quality improvement in, 496
Asynchronous technology, 513
Attachment subsystem, 148
Attention, and learning, 427
Attitude, in Theory of Reasoned Action/Planned Behavior, 319–321
Attribution theory, 386
Auditory learning style, 426–427
Authentic leadership, 386
Authority
in conflict theories, 288
definition of, 391
organizational, 479
power vs., 390–391
Autism spectrum disorder, Web of Causation, 337
Autocratic leadership, 379–380
Automatic thinking scheme, 310
Autonomy, 361, 365–367
Avoidance, as conflict-handling mode, 397
Axiology, 7, 8t. See also Ethics
Axioms, 79, 80t
B
Bandura’s Social Learning Theory. See Social Learning Theory
Banner Health, case management venture of, 490
Basic or pure sciences, 6, 6t, 302
Basic structure, in Neuman Systems Model, 151, 152t, 153f
“Becoming normal” model, 85
Behavioral control, perceived, 320
Behavioral learning theories, 412–415
application to nursing, 415
characteristics of, 414b
comparison of, 413t
Behavioral objectives, 414
Behavioral sciences, 78, 78t, 301–330
behavioral and cognitive-behavioral theories in, 309–311
634
comparison of theories, 326t
humanistic theories in, 312–315
middle range nursing theories derived from, 215–217, 217t
psychodynamic theories in, 303–309
social psychology in, 318–325
stress theories in, 315–317
Behavioral subsystems, 147–148
Behavioral system, definition of, 149t
Behavioral System Model, 146–150
assumptions in, 147–148
background of theorist, 147
concepts in, 148, 149t
parsimony of, 150
philosophical underpinnings of, 147
relationships in, 148
testability of, 149–150
usefulness of, 149
Behavioral theories, 309–311, 326t
Behavioral theories of leadership, 379–381
Behaviorism, 413
Belmont Report, 365
Benchmarking, 494, 495
Beneficence, 364, 365, 367–368
nonmaleficence and, 369
paternalism and, 367, 368b
Benner Model of Skill Acquisition, 224–227
application in practice, 226–227, 248
context for use, 226
domains of nursing practice, 226
evidence of empirical testing, 226–227
nursing implications of, 226
purpose and concepts of, 226
Best practices guidelines (BPGs), 404–405, 526
Bias
cultural, 282–283, 283b
definition of, 282
Bifurcation, 293–294
Big Five personality framework, 378
Binge eating, theoretical vs. operational definition of, 53t
Bioethics, 357, 364–370
Belmont Report, 365
historical perspective on, 364–365
Nuremberg Code, 364–365, 364b
Tuskegee Study, 365
Biomedical sciences, 78, 78t, 331–355
cancer theories, 347–349
disease causation, 332–339
genetic principles and theories, 344–347
pain management, 350–351
physiology and physical functioning, 340–351
Blocking, in curriculum, 507–508
Blue Cross Blue Shield of Arizona, case management venture of, 490
635
Borrowed theory, 78, 78t. See also specific disciplines and theories
application in nursing practice, 78, 78t, 446–447
application in nursing research, 78, 78t, 453, 466, 467–468
combined with existing nursing theory, in middle-range theories, 214–215
definition of, 27t, 302
future issues on, 524
middle range theories derived from, 215–217, 216f, 217t
practice theories derived from, 441
vs. unique, 40, 302, 453, 467
Boston College School of Nursing, 173, 176
Boundaries, in Behavioral System Model, 149t
Boundary lines, in Neuman Systems Model, 152t
Bounded rationality, 396
Bovine spongiform encephalopathy (BSE), 334
BPGs. See Best practices guidelines
Break even analyses, 397
Breast health
concept development on postmastectomy grief, 49–50, 56–57
Perceived Access to Breast Health Care in African American Women Theory, 90–92
Power as Knowing Participation in Change, 191–192
Bridging Worlds Theory, 441
BSE. See Bovine spongiform encephalopathy (BSE)
Bureaucracy, theory of, 388
Butterfly effect, 293
C
California, nurse staffing levels in, 487–488
Cancer
development of, 347–348, 348f, 349t
lifestyle factors in, 348, 349t
“safeguarding the children” model in, 457–458
Cancer theories, 347–349
Carative factors, 159, 178, 179b, 181
Caregiver Burden Theory, 216–217
Caregiver Dependency, Phenomenon of, 216–217
Caregiver Rewards Scale, 288
Caregiver Stress, Theory of, 244t
Caregiving Effectiveness Model, 39, 244t
Care-Seeking Behavior, Theory of, 217t, 236t
Caring. See also Human Caring Science
as central construct in nursing, 44–45
Swanson’s theory of, 236t
terminology and role characterization, 44
Caring/becoming theorists, 119, 120t
Carondelet (St. Mary’s) Model, 489
CAS. See Complex Adaptive Systems
Case management, 483, 489–490
future issues in, 524
inpatient (“within the walls”), 489–490
New England Medical Center Model of, 489
as nursing competency, 525t
outpatient, 489, 490
636
St. Mary’s (Carondelet) Model of, 489
Case Management Society of America (CMSA), 489
Case method model, 483
Case studies, 76
Casuistry, 359
Categorical Imperative, 360
Causal relationships, 80–81, 211
Causative agent
in epidemiologic triangle, 334–335, 335f
in Germ Theory, 333–334
Cause-and-effect diagrams, 402, 495
CCNE. See Commission on Collegiate Nursing Education
CDC. See Centers for Disease Control and Prevention
Cell-mediated immunity, 343
Centers for Disease Control and Prevention (CDC), 333–334
Centers for Medicare & Medicaid Services (CMS), 398–400, 489, 492–493, 495
Centralization vs. decentralization, 479
Certified nurse midwife (CNW), 477
Certified registered nurse anesthetist (CRNA), 477
Chaining, in Gagne’s learning theory, 419b
Chain (web) of causation, 335–337, 336f
Chain of command, 477
Change, 392–395
driving forces for, 393
Kotter’s Eight-Step Plan for Implementing, 393–394
planned, theory of, 392–395, 449t
processes of, 323, 324b
restraining forces on, 393
stages of, 321–323, 322b, 323f
Chaos Theory, 216, 237, 275, 292–296
AACN on, 293b
application to nursing, 295–296
concepts from, 293–294
strange attractor in, 293, 294f
Character, in Virtue Ethics, 358–360
Charismatic leadership, 386–387
Charismatic power, 391
Chief nursing officers (CNOs), 479
Childbirth, normalcy after, 441
Chronic conditions, as health care challenge, 520b
Chronic Illness, Theory of Self-Care of, 85, 213, 236t, 461
Chronic illness management, 490–493
Chronic Illness Trajectory Framework, 236t, 238
Chronic sorrow, definition of, 243
Chronic Sorrow, Theory of, 211, 212, 243–245
application in practice and research, 108–109, 245, 248, 448
context for use, 243
description of, 109
evaluation of, exemplar of, 108–111
evidence of empirical testing, 245
nursing implications of, 243
purpose and concepts of, 243
637
Chronic uncertainty, 237
Chronotherapeutic intervention, prescriptive theory of, 40
Circle of contagiousness, 102, 105t
CJD. See Creutzfeldt–Jakob disease
Clarity of theory, 100–101, 102, 105t
CLAS. See Cultural and Linguistic Services
Class Conflict, Marx’s Theory of, 288–289
Classical conditioning, 309, 413, 413t
Classic management theory, 388, 388b
Classification theories, 75–76
Classism, 282
Client. See also Person
in nursing metaparadigm, 44
Client assistance, activities for, 137–138, 138b
Client Experience Model, 212
Client-focused theories, 99–100
Client–nurse, in nursing metaparadigm, 44
Client participation, 308–309
Client problems, Abdellah’s steps to identify, 140–141
Client system, Neuman on, 151
Clinical growth, concept analysis of, 69–70
Clinical knowledge, 14–15
Clinical Model of Cultural Competence, 282
Clinical relevance, 32
CLT. See Cognitive Load Theory
CMS. See Centers for Medicare & Medicaid Services
CMSA. See Case Management Society of America
CNOs. See Chief nursing officers
CNW. See Certified nurse midwife
Cochrane Collection, 254, 257
Cochrane Database of Systematic Reviews, 257
Cock’s Comb model, 133
Code of Ethics for Nurses With Interpretive Statements, 356
Coercive power, 391, 391t
Coevolution, in Complex Adaptive Systems, 295
Cognator, in Roy Adaptation Model, 174t, 175–176
Cognition, in interpersonal theory, 308
Cognitive-behavioral theory, 302, 309–311, 326t
Cognitive capacities, in Uncertainty in Illness Theory, 235–237
Cognitive content, in nursing education, 510
Cognitive development/interaction theories, 412, 417–420, 426t
application to nursing, 418, 419, 420
Bandura’s Social Learning Theory, 417, 419–420
characteristics of, 417b
Gagne’s, 417, 418–419, 419b
Piaget’s, 417–418
Cognitive distortions, 310
Cognitive-field (Gestalt) theories, 412, 415–417, 417b, 426t
Cognitive learning, 411
Cognitive learning theories, 412, 415–426. See also specific theories
adult learning, 412, 423–425, 424b, 426t
cognitive development/interaction, 412, 417–420, 417b, 426t
638
cognitive-field (Gestalt), 412, 415–417, 417b, 426t
Cognitive Load Theory, 422–423, 426t
Gagne’s, 417, 418–419, 419b
humanistic, 412, 426t
information-processing models, 412, 421–423, 426t
Piaget’s, 417–418
social learning (Bandura), 417, 419–420
summary of, 425–426, 426t
Cognitive Load Theory (CLT), 422–423, 426t
Cognitive restructuring, 310
Cognitive structures, in Piaget’s cognitive development theory, 418
Cognitive theory, 310–311, 326t
Collaboration, as conflict-handling mode, 397
Collectivism, 286–287
Comfort, Kolcaba’s definition of, 238
Comfort, Theory of, 215, 223, 235, 238–240
application in practice, 239–240, 248
context for use, 238–239
evidence of empirical testing, 239–240
nursing implications of, 238–239
purpose and concepts of, 238, 239b, 239f
Comfort Behaviors Checklist, 240
Commission on Collegiate Nursing Education (CCNE), 504, 505
Commitment to Health Theory, 217t
Common-cause variation, 400, 494
Communication
facilitated, 442
as nursing competency, 525t
SBAR technique of, 493
in Theory of Goal Attainment, 171t
Community-based health care systems, 521, 525, 531
Competence, maintaining, 370
Competencies, nurse
in AACN recommendations, 521, 521b
in Benner skill acquisition model, 226–227
in Synergy Model, 233–234, 234b
in today’s health care system, 525, 525t
in transformational leadership, 483
Competing, as conflict-handling mode, 397
Complement system, 343
Complex Adaptive Systems (CAS), 275, 277, 292–296
application to nursing, 295–296
concepts and principles of, 294–295, 295b
Complexity Science, 118, 188, 192, 275, 276, 292–296
AACN on, 293b
application to nursing, 295–296
concepts and principles of, 295b
Comprehensibility, in Artinian Intersystem Model, 161t
Compromise, as conflict-handling mode, 397
Computer simulation, 512–515, 530
Computer technology, as nursing competency, 525t
Concept(s), 26, 27t–28t
639
AACN on application of, 50b
abstract vs. concrete, 50–52
central, of nursing, 41
continuous vs. discrete, 52–53
curricular, 507
definitions of, 27t, 50–51
existing, 54, 54t
grand theory, 126
leadership and management, 377
middle range theory, 207, 210–211
naming of, 55–56
naturalistic, 54, 54t
poorly designed, consequences of, 57
related, 61
research-based, 54, 54t
sources of, 54, 54t
theoretically vs. operationally defined, 53, 53t, 79, 80
as theory component, 79, 98, 100, 101t
types of, 51–53, 52t
variable vs. nonvariable, 52–53
Concept(s), of theorists/theories
Abdellah patient-centered approach, 139–141
Artinian Intersystem Model, 161–163, 163t
Beck’s Postpartum Depression Theory, 245
Benner Model of Skill Acquisition, 226
Chaos Theory, 293–294
Complex Adaptive Systems, 294–295, 295b
Complexity Science, 295b
Eakes, Burke, and Hainsworth’s Theory of Chronic Sorrow, 243
Erickson, Tomlin, and Swain’s Modeling and Role-Modeling, 166, 167t
Health Belief Model, 319, 321t
Henderson, 137–138
Johnson, 148, 149t
King, 170, 171t
Kolcaba’s Theory of Comfort, 238, 239b, 239f
Leininger’s cultural care diversity and universality theory, 227
Lenz’s Theory of Unpleasant Symptoms, 240
Mercer’s Maternal Role Attainment/Becoming a Mother, 246–247
Mishel’s Uncertainty in Illness Theory, 235–237
Neuman Systems Model, 151, 152t, 153f
Newman, 194, 195t
Nightingale, 134–135
Orem, 143–145, 143f, 144t
Parse, 199–200
Pender’s Health Promotion Model, 229
Reed’s Self-Transcendence Theory, 242
Rogers, 189, 190t
Roy Adaptation Model, 174, 174t
Social Exchange Theory, 287–288, 288t
symbolic interactionism, 280–281
Synergy Model, 233–234
Transitions Theory, 231–232, 232f
640
Watson, 179–180, 180t
Concept analysis, 55. See also Concept development
colloquial, 51
descriptive theory from, 76
exemplar of, 61, 69–70
Meleis’s method for, 64
in middle range theory development, 212
Morse’s advanced techniques of, 65–66
Penrod and Hupcey’s principle-based method for, 66–67, 66b, 68t
Rodgers’s evolutionary method for, 59–61, 60b, 62t, 67, 68t, 69–70
Schwartz-Barcott and Kim’s method for, 61–63, 63t, 67, 68t
theoretical, 51
Walker and Avant’s method for, 58, 58b, 67, 68t
Concept clarification
Meleis’s method for, 64, 64b
Morse’s method for, 66
Concept comparison, 66
Concept delineation, 65
Concept derivation, 59, 59b
Concept development, 49–71
comparison of methods for, 67, 68t
and conceptual frameworks, 57
context for, 51, 55–57
Meleis’s method for, 64–65, 64b, 65t, 67, 68t
Morse’s method for, 65–66, 67, 68t
Penrod and Hupcey’s method for, 66–67, 66b, 68t
purposes of, 55
and research, 57
Rodgers’s method for, 59–61, 60b, 62t, 67, 68t
Schwartz-Barcott and Kim’s method for, 61–63, 63t, 67, 68t
strategies for, 57–67
student-generated examples of, 55, 56
and theory, 57, 86–87, 86t
Walker and Avant’s method for, 58–59, 60t, 67, 68t
Wilson’s method for, 57–58, 59
Concept exploration, 64
Concept learning, 419b
Concept mapping, 421
Concept synthesis, 55, 58–59
Conceptual definitions, 79
Conceptual framework, 24, 27t, 34
categorization of, 118–123
concept development and, 57
in grand theories, 74, 118–123
in nursing education, 504–508
in research, theory as, 455–456, 459, 464–466, 465b
Conceptual knowledge, 15
Conceptual meaning, creation of, 86–87
Conceptual model, 24, 25, 26, 27t, 34, 81–82
relationship with theory and hypotheses, 116–117, 117f
Concrete concepts, 50–52
Concrete operational stage, 418
641
Conditioning
classical (Pavlov), 309, 413, 413t
definition of, 413
operant, 309–310, 326t, 413–414, 413t
Conditions for Learning, Gagne’s, 417, 418–419, 419b
Confidentiality, 370
Conflict, in Social Exchange Theory, 287–288
Conflict management, 397
Conflict mode model, 397
Conflict situation, characteristics of, 397
Conflicts of interest, 370
Conflict theories, 285–286, 288–292
feminist theory, 290–292
Marx’s Theory of Class Conflict and Social Change, 288–289
Congressional model, of shared governance, 481
Congruence, 314
Connecting, in Humanbecoming Paradigm, 199
Connecting–separating, 199
Connectionism, 413
Connection power, 391
Connell School of Nursing (Boston College), 173, 176
Consciousness, 195t. See also Health as Expanding Consciousness
Consciousness raising, 323
Consent, informed, 366–367
Consequences, delineating, 65, 65t
Conservation Model, 213, 214, 214f, 463–464
Consistency of theory, 98, 100–101, 102, 103, 105t, 106
Construct
caring as central, in nursing, 44
definition of, 27t
Constructed knowledge stage, of nursing theory, 29t, 31–32
Constructivism, 9–10
Bandura and, 420
future of, 522
social, 275, 280–285
Contemplation stage, of change, 323, 323f
Content, curricular. See Curriculum, nursing
Contextual features, in ethical decision making, 371, 372t
Contextual stimuli, 174t
Contingency theories of leadership, 382–384, 383b
Continuous concepts, 52–53
Continuous quality improvement (CQI), 398
Continuum of leader behavior, 380
Control beliefs, 320
Control charts, 402
“Cookbook care,” 256
Cooperativeness, in conflict handling, 397
Coordination dynamics, 294
Coordination of care, in case management, 490
Coping, with stress, 173, 215, 316–317, 326t, 461
Correlational research, 76, 456, 456t, 458
Correlational statements, 80
642
Cosmology, 7, 8t
Cost
accountability care organizations and, 492–493
case management and, 489
disease management and, 490–493
evidence-based practice and, 257–258, 495
future issues in, 520, 526–528
nurse staffing levels and, 487–488
patient-centered medical homes and, 492–493
patient-focused care and, 485–486
quality management and, 495
shared governance and, 481–482
total patient care (functional nursing) and, 483
Councilor model, of shared governance, 481
Creative/critical thinking, 511, 521, 525, 529
Creutzfeldt–Jakob disease (CJD), 334
Crisis Emergencies, Theory of, 443t
Critical caring theory, 85
Critical reflection, 96, 100–101, 359
Critical Social Theory (CST), 10, 289–290
Critical theories, 275, 285–286, 288–292
Critical thinking, 511, 521, 525, 529
CRNA. See Certified registered nurse anesthetist
Crosby’s four absolutes, of quality improvement, 401
Cross-Cultural Research, Model for, 217t
Cues to action, 319, 320f, 321t
Cues to Participation in Prostate Screening, 217t
Cultural and Linguistic Services (CLAS), 282
Cultural bias, 282–283
ethnocentrism vs., 282
recommendations for avoidance in research, 283, 283b
Cultural brokering, theory of, 211
Cultural care and universality theory, Leininger’s, 227–229
application in practice, 228–229, 228b, 248, 449t
application in research, 519–520
context for use, 227
evidence of empirical testing, 228–229
nursing implications of, 227
purpose and concepts of, 227
Cultural competence, 282
Cultural diversity, 281–283
Cultural norms, Virtue Ethics and, 359
Culture
definition of, 281
essential principles of, 282
Curriculum, nursing, 502–509
blocking of content in, 507–508
changes in, 529–532
components of, 502, 503b
concepts of, 507
conceptual/organizational frameworks for, 504–508
components of, 507
643
definition of, 504
designing, 506
patterns of, 507–508
purposes of, 504–505
current issues in development of, 508–509
definition of, 502, 503
design of, 503
eclectic approach to, 506
enhanced content in, areas of, 509, 509t
and regulatory bodies (accreditation), 503–504
single-theory approach to, 506
structure or sequencing of, 507, 508t
threading content in, 508
Tyler model of, 503–504
Customer, as focus in quality management, 494
D
Data analysis/management, 60–61
in decision making, 396–397
in quality improvement, 402–404
Databases, in evidence-based practice, 254, 257, 258
Data collection, 60–61
Cochrane Collection, 254
digital data, 267
Nightingale’s method of, 133, 254
Data mining, 258
Data visualization dashboards, 397, 402
Death. See End-of-life care
Debriefing, in technology-based teaching, 513
Decay theory, of memory, 422
Decentralization
centralization vs., 479
shared governance vs., 480
support services, in patient-focused care, 485
Decisional balance, 323
Decision making
centralization vs. decentralization, 479
end-of-life, 372–373, 457
ethical, 370–373
group, 396
organizational quantitative techniques in, 396–397
processes of, 395–397
quantitative technology in, 396–397
Rational Decision-Making Model, 395–396
in shared governance, 480–482
Decision trees, 397
Declaration of Helsinki, 364–365
Deconstruction, 10
Defense mechanisms, 302, 304–305, 311
Define, measure, analyze, improve, and control (DMAIC), 403
Defining, in concept development, 65, 65t
Definitions
644
theoretical vs. operational, 53, 53t, 79, 80
in theories, 100, 101t
Degree of reaction, 152t
Deliberate action, 144t
Delineating antecedents, 65, 65t
Delineating consequences, 65, 65t
Delirium prevention bundle, 466
Delivery models. See Patient care delivery models
Deming Cycle, 496
Democratic leadership, 379–380
Denial, 302, 305
Deontology, 360–363
application to nursing, 362–363
definition of, 361
historic example of, 363
Utilitarianism vs., 362
Departmentalization, 479–480
Dependency subsystem, 148
Depression in adoptive parents, theory of, 464
Descriptive research, 76, 456–458, 456t
Descriptive theories, 38–39, 75–76, 456–458, 456t
Detector, in intrasystem model, 162f, 164
Deterministic systems, 295
Developmental environment, 161
Developmental psychology. See Development stages; specific theories
Developmental self-care requisites, 144t
Developmental theories, 99–100
Developmental transitions, 231
Development stages
in interpersonal theory, 303, 303t, 307–308
in Piaget’s Cognitive Development Theory, 418
in Psychoanalytic Theory, 303, 303t, 304
in psychosocial development theory, 303, 303t, 306–307
Diagnosis-related groups (DRGs), 489
Diagramming, theory, 98, 102, 103, 110
Dialectic learning (teaching), 510–511
Dialogical engagement, 200
Differentiating, in concept development, 65, 65t
Digital data, 267
Direct care, as nursing competency, 525t
Directive leader, 384
Discipline(s)
characteristics of, 3
classification of, 4
definition of, 3
multiparadigm, nursing as, 12
nursing as, 3–5, 208
philosophy of, 7
structure of, 3
theory classification based on, 73, 78, 78t
theory in, 23–25
tradition of, 3
645
Discovery International, 198
Discrete concepts, 52–53
Discrimination learning, 419b
Disease
ancient view of, 332–333
definition of, 332
natural history of, 337–338, 339f
Disease causation, theories and models of, 332–339
epidemiologic triangle, 334–335, 335f
evolution of, 332–333
Germ Theory and principles of infection, 332–334
Web of Causation, 335–337, 336f
Disease management, 490–493
accountable care organizations in, 492–493
clinical outcomes of, 492
cost reduction in, potential for, 491
criteria for need for, 491, 491b
definition of, 490–491
models of, 491–492
patient-centered medical home models of, 492–493
Disease prevention
levels of, 337–338, 338b
as nursing research priority, 524
principles of infection in, 333–334
Distance learning/education, 510, 512–515, 530
Distracted driving, application of theory in, 447
Diverse population, as health care challenge, 520b
Diversity, in Complex Adaptive Systems, 295
Diversity of Human Field Pattern, Theory of, 191, 213
DMAIC steps, in quality improvement, 403
DNA, 344
DNP. See Doctor of nursing practice
Doctoral programs
first, 30
growth in, 31–32
Doctor of nursing practice (DNP), 32, 523b, 530
Domination/subjugation, 288
Double effect, rule of, 368
Dramatic relief, 323
Dreyfus Model of Skill Acquisition, 83–84, 216, 224
DRGs. See Diagnosis-related groups
Driving forces, for change, 393
Dying. See End-of-life care
Dynamical systems, 293–295, 295b
Dynamism, 307
E
EBP. See Evidence-based practice
EBP Beliefs (EBPB) scale, 263
Echoic memory, 422
Echo map, 279
Eclectic approach, in nursing education, 506
646
Ecogenetic nursing, 345, 346t
Economic class conflict, 288–289
Economic rationality, 395
Education. See Nursing education
Effector, in intrasystem model, 162f, 164
Egalitarianism, 361
Ego
in Psychoanalytic Theory, 303–305
in Psychosocial Developmental Theory, 306–307
Ego defense mechanisms, 302, 304–305, 311
Ego strength, 306
Eight-Step Plan for Implementing Change (Kotter), 393–394
Electroshock therapy, feminist theory and, 292
Eliminative subsystem, 148
Emancipatory knowing, 15–16
Emancipatory pedagogy, 181
Emergence, in Complex Adaptive systems, 294
Emotion, in learning, 428
Emotional intelligence, 53t, 378–379, 385–386
Empathy
nurse-expressed, middle range theory of, 211
role-taking vs., 280–281
Empirical adequacy of theory, 98, 103, 105t, 106
Empirical concepts, 52
Empirical generalizations, 79, 80t
Empirical indicator, 27t
Empirical knowledge
case study of, 20–21
definition of, 13, 14
in nursing, 13–15, 15t
science as, 6
Empirical models, 81
Empirical referents (indicators), 79
Empirical testing. See Testing, empirical, of theories or models
Empiricism, 7, 8–9
contemporary, 9
founding belief of, 8
future of, 522
modern ethical theories, 360–361
nursing and, 9
nursing epistemology and, 13–15, 15t
quantitative methodology in, 17–19
theory development and, 85
Empirico-rational approach, to disease causation, 333
Employee variables, in Path–Goal Theory, 384
Employment options, for nurses, 524
Empowerment, 392
Enabling, in Humanbecoming Paradigm, 199
Enabling–limiting, 199
Enacted Scope of Nursing Practice, 285
End-of-life care
Bridging Worlds Theory, 441
647
communication and acceptance in, 442
death imminence awareness, 212, 457
decision making in, 372–373, 457
Dobratz’s middle range theory on, 213, 461
Leininger’s cultural care diversity and universality, 228
nonmaleficence in, 368–369
as nursing research priority, 527t
Self-Transcendence Theory, 242
simulation for teaching, 515
social constructs in, 281
Theory of Comfort, 240
Theory of Peaceful End of Life, 211, 217–218, 218f, 244t
Endorphins, 350
Energy field, 189–191, 190t
Energy systems, 187, 188, 194
English proficiency, limited, 520b
Entropy, 189
Enumerative concepts, 51, 52t
Environment
in Artinian Intersystem Model, 161, 163t
definition of, 42
in epidemiologic triangle, 334–335, 335f
in Health as Expanding Consciousness, 193, 203, 204t
in Henderson’s theory, 137
in Humanbecoming Paradigm, 203, 204t
in interactive theories, 160
in interpersonal theory, 309
in Johnson’s theory, 148
in Neuman Systems Model, 151
in Nightingale’s theory, 134–135
in nursing metaparadigm, 41–44, 43t
in Orem’s theory, 144
in Psychoanalytic Theory, 304
in Psychosocial Developmental Theory, 306
in Roy Adaptation Model, 174t
in Science of Unitary and Irreducible Human Beings, 189, 190t, 203, 204t
in stress theory, 316–317
in theory evaluation, 103
in Theory of Goal Attainment, 171t
in unitary process theories, 203, 204t
Environmental field, 190t
Environmental reevaluation, 323
Environmental variables, in Path–Goal Theory, 384
Epidemiologic triangle, 334–335, 335f
Epistemologic principle, in concept analysis, 66b
Epistemology, 7, 8t, 12–16
case study of, 20–21
definition of, 13, 27t
nursing, 13–16, 15t, 20–21
Equilibrium
in active potential assessment model, 166
in systems, 276
648
Equity Theory, 390
Erikson’s developmental theory. See Psychosocial Developmental Theory
Errorless learning strategies, 423
Errors, medical, IOM report on, 493
Essentialism, 59
Esthetic knowledge, 13–14, 15t, 20
Esthetics, 7, 8t
Ethical decision making, 370–373
application to nursing, 371–373
overview of, 371
topics method for, 371, 372t
Ethical dilemma, 371
Ethics, 356–375
in academia, 358
ANA code of, 356
autonomy in, 361, 365–367
Belmont Report, 365
beneficence in, 364, 365, 367–368
bioethics, 357, 364–370
as branch of philosophy, 7, 8t, 356
case study, 21
defined, 14, 356
defined by Aristotle, 358
justice in, 364, 365, 369–370
modern, 360–363
morality vs., 357–358
nonmaleficence in, 364, 365, 368–369
Nuremberg Code, 364–365, 364b
in nursing, 13–14, 15t, 21
paternalism and, 365, 367, 368b
theories and principles of, 358–373
Tuskegee Study, 365
Virtue Ethics, 358–360
Ethnocentrism, 282
Ethnography, 76, 283, 457
Ethnonursing research methods, 228
Evidence-based practice (EBP), 16, 31, 32, 253–272, 404–405, 495–497
AACN on, 255b
ACE Star Model of, 261–263, 262b, 262f
advanced practice nurse’s role in, 405
ARCC Model of, 261, 263, 264b, 269t
barriers to, 259, 260b
comparison of models, 267–268, 269t
concept development and, 50
concerns related to, 256–258
“cookbook care” and, 256
definition and characteristics of, 256
developing, process for, 442
future issues in, 523–526
grand theory and, 118, 132
Iowa Model of, 253, 261, 263–264, 264b, 265f, 269, 269t
Johns Hopkins model of, 261, 264–267, 266b, 269t
649
key resources for, 257
limitations of, 405
middle range theory and, 208
overview of, 255
practice-based evidence in, 258
practice theories and, 442, 444t
prescriptive theory in, 77
promotion of, 258–259, 497
quality improvement in, 496
research vs., 254, 255
role of advanced practice nurses in, 496
steps in method, 405
Stetler Model of, 261, 267, 268t, 269t
support for and commitment to, 496
theoretical models of, 260–269
theory and, 77, 258, 259–260, 259f, 442
theory-guide, 260
Evolutionary method of concept development, 59–61, 60b, 62t, 67, 68t, 69–70
Exchange theories, 275, 279, 285–288
application to nursing, 288
assumptions of, 286, 287b
central concepts of, 287–288, 288t
collectivist or macrolevel, 286–287
historical overview of, 286
individualistic or microlevel, 286
modern social exchange theories, 286–288
Exemplar
concept analysis, 61, 69–70
middle range theory combining existing nursing and non-nursing theories, 215
middle range theory derived from grand theory, 214, 214f
middle range theory derived from practice guideline or standard of care, 218, 218f
middle range theory derived from research/practice, 213
theory as conceptual framework, 465–466
theory development, 90–92
theory evaluation, 108–111
theory-generating research, 460–461
theory-testing research, 463–464
Exercise as Self-Care, Theory of, 215
Exercise Barriers Scale, 466
Exhaustion, as stage of stress, 315–316, 316t, 341, 342t
Existence statements, 79–80
Existing concepts, 54, 54t
Expanding consciousness, 195t. See also Health as Expanding Consciousness
Expectancy, definition of, 390
Expectancy Theory, 389–390
Expected worth, 395
Experience, of adult learners, 424, 424b
Experiential learning model, 417
Experimental research, 76–77, 456, 456t, 458–459
Expert power, 391, 391t
Explanatory theories, 37, 38, 76, 456, 456t, 458
Explicit assumptions, 81
650
Exploratory (descriptive) research, 76, 456–458, 456t
External criticism, 99, 99b
External customers, 494
Extraction–synthesis, 200
F
Facilitated communication, 442
Facilitated Sensemaking, 84, 212
Facilitative affiliation, 168
Facilitators, in Transitions Theory, 232
Factor-isolating theories. See Descriptive theories
Factor-relating theories. See Explanatory theories
Factual assumptions, 81
Family Caregiving Dynamics Model, 216–217
Family-centered care, 485–486
Family systems theory, 277
Family Vigilance, Theory of, 212, 213, 244t
Fayol’s principles of management, 388, 388b
Feedback
in Artinian Intersystem Model, 163
in learning, 428
in Neuman Systems Model, 151, 152t
in systems, 276, 276f
Feedback mechanisms, physiologic, 340
Female genital cutting/mutilation, 292, 449t
Feminine mystique, 291
Feminist theory, 290–292
application to nursing, 291–292
as perceived view, 10
as postmodern view, 10
themes in, 290–291, 291b
variations of, 291
Fidelity, 370
Fiedler Contingency Theory of Leadership, 382–383, 383b
Field, in Planned Change Theory, 393
Field theory, 415–417
Fieldwork phase, of concept development, 62, 63t
Fight or flight, 341
First-level managers, 479
Fitness for use, 401
Flexible line of defense, 152t, 153f
Flight Nursing Expertise, Theory of, 461
Flipped classroom, 421, 511
Focal stimuli, 174t
Followership theory, 387
Force, in Planned Change Theory, 393
“Forces of Magnetism,” 488
Forcing, as conflict-handling mode, 397
Ford Motor Company, 403
Forgetting, theories of, 422
Formal leaders, 377
Formal operational stage, 418
651
Formative testing, in nursing education, 512
“Frequent flyers,” in emergency department, 89
Freud’s Psychoanalytic Theory. See Psychoanalytic Theory
Fruitfulness, of theory, 103
Function, in Behavioral System Model, 149t
Functional nursing, 483–484
Functional requirements, of humans, 148, 149t
Functional theory of leadership, 379–381
Future issues, 519–534
in caring construct, 44
Institute of Medicine on, 4, 439, 520, 520b, 521
in nursing education, 529–532
in nursing leadership and administration, 526–529, 528b
in nursing practice, 525–526
in nursing research, 471, 471t, 522, 526, 527t–528t
in nursing science, 522
in nursing theory, 523–524
in theory development, 523–524
G
Gagne’s learning theory, 417, 418–419, 419b
Games, as teaching strategy, 511–512
Gantt charts, 397
GAS. See General Adaptation Syndrome
Gate Control Theory of pain, 215, 331–334, 350–351, 351f
GCQ. See General Comfort Questionnaire
GCT. See Gate Control Theory of pain
Gender
and feminist theory, 290
and learning style, 427
Gene(s), 344
General Adaptation Syndrome (GAS), 166, 315–316, 316t, 326t, 341–343
General Comfort Questionnaire (GCQ), 239
General Electric (GE), 403
Generality of theory, 95, 98, 101, 105t, 106
Generalized other, 280
General Systems Theory (GST), 276–277
application to nursing, 277
basic tenets of, 276
principles of, 277b
von Bertalanffy’s, 143, 151, 169, 173, 189, 276
Generational differences, 285
Genetics, 344–347
AACN on, 345b
application to nursing, 345–347
in cancer theories, 347–348, 348f
counseling on, nurses’ role in, 346
ethics and confidentiality in testing, 346
in health care, nursing model for, 345, 346t
overview of, 344
Genetic Vulnerability, Theory of, 213–214
Genital cutting/mutilation, 292, 449t
652
Genital stage of development, 303t, 304
Genome, human, 344
Genomics, 345
Germ Theory, 332
Gestalt (cognitive-field) theories, 412, 415–417, 417b, 426t
Glaserian grounded theory, 164
Global learners, 427
Goal, of nursing, in Roy Adaptation Model, 174t
Goal Attainment, Theory of, 160, 168–172, 170f
assumptions of, 169
background of theorist, 169
concepts of, 170, 171t
parsimony of, 172
philosophical underpinnings of, 169
relationships in, 170
testability of, 172
usefulness of, 171–172
value in extending nursing science, 172
Golden mean, 358–359
Golden Rule, 360
Governance, shared, 480–482, 483
Graduate education, 30–32
Grand theories, 34, 37, 73–74, 75, 75f, 116–130. See also specific theories
analysis/evaluation of, 106, 124–127, 125b
application in practice, 447–448, 449t
background of theorists and, 124–125
categorization of, 118–123, 123t
combining, competing paradigms and, 128
conceptual model vs., 116–117
in evidence-based practice, 118, 132
extending nursing science through, 127
Fawcett’s categorization of, 122–123, 123t
human needs-based, 131–158. See also Human needs theories
interactive process-based, 159–186. See also Interactive theories
major assumptions, concepts, and relationships in, 126
Meleis’s categorization of, 119, 120t, 123t
middle range theories derived from, 213–214, 214f, 461
middle range theories vs., 207, 210t
need to renew or update, 118, 120
Newman’s categorization of, 121–122, 123t
nursing domains of, 119
paradigms of, 119–123, 121f
Parse’s categorization of, 121, 121f
parsimony of, 127
philosophical underpinnings of, 125–126
practice theories derived from, 441–442
relationship with conceptual model and hypotheses, 116–117, 117f
research testing, 464
scope of, 118–119
specific categories of, 123–124, 124t
testability of, 126
unitary process-based, 187–206. See also Unitary process theories
653
usefulness of, 126
Great Man Theory, 377
Grounded theory approach, 39
in Artininan Intersystem Model, 164
in descriptive research, 457–458
in Health as Expanded Consciousness, 197
in middle range theories, 212
in practice theories, 76, 84–85, 84t, 440–441
in symbolic interactionism, 281
in theory generation, 460–461
Group decision making, 396
Group practice model, 483
Growth process, in learning, 428
GST. See General Systems Theory
Guided imagery, 191
H
Harmony–disharmony, 180t
HBM. See Health Belief Model
HCAHPS. See Hospital Consumer Assessment of Healthcare Providers and Systems
Healing Touch Comfort Questionnaire, 240
Health
in Artinian Intersystem Model, 161–162, 163t
definition of, 42
in Henderson’ theory, 137
in Humanbecoming Paradigm, 204t
in Human Caring Science, 179, 180t
in Johnson’s theory, 148
in Modeling and Role-Modeling, 167t
in Neuman Systems Model, 151
in Newman’s theory, 194, 195t, 204t
in Nightingale’s theory, 134–135
in nursing metaparadigm, 41–44, 43t
in Orem’s theory, 144
in Roy Adaptation Model, 174t
in Science of Unitary and Irreducible Human Beings, 190t, 204t
in theory evaluation, 103
in Theory of Goal Attainment, 171t
in unitary process theories, 203, 204t
Health Amendments Act (1956), 30
Health as Expanding Consciousness, 193–197
assumptions of, 194
background of theorist, 193–194
comparison with other unitary process theories, 203, 204t
concepts of, 194, 195t
parsimony of, 197
philosophical underpinnings of, 194
practice theory derived from, 443t
relationships in, 194–196
testability of, 196–197
usefulness of, 196, 197b
value in extending nursing science, 197
654
Health as Expanding Consciousness (Newman), 193
Health as resource for everyday life, 521
Health Belief Model, 72, 217, 318–319
application in research, 519–520
application to nursing, 324–325, 447
comparison with other behavioral theories, 326t
concepts of, 319, 321t
Health care access, ethics of, 369–370
Health care challenges, 520, 520b
Health care costs. See Cost
Health care delivery. See Patient care delivery models
Healthcare.gov, 495
Health care reform, 520, 524.
See also Patient Protection and Affordable Care Act; specific reforms
Health care team, 141
Health Change Trajectory Model, 238
Health deviation self-care requisites, 144t
Health disparities, 520b, 524
Health economics, 521
Health Empowerment Theory, 191
Health-illness transitions, 231
Health information, 410
Health literacy, 53t, 410
Health maintenance organizations (HMOs), 490
Health-promoting lifestyle, theoretical vs. operational definition of, 53t
Health promotion, 521, 524, 525t, 527t
Health Promotion for Preterm Infants, Theory of, 213, 214, 214f
research testing, 463–464
Health Promotion Model (HPM), 94, 217t, 229–230, 230f
application in practice, 229–230, 231b, 248
application in research, 465–466
context for use, 229
evidence of empirical testing, 229–230
nursing implications of, 229
practice theory derived from, 441
purpose and concepts of, 229
Health protection, 521
Health-related behaviors of Korean Americans, 443t
Heart & Lung: The Journal of Critical Care, 453
Helicy, 189–191, 190b
Helsinki Declaration, 364–365
Helson’s Adaptation Theory, 84, 173
Hepatitis C, complexity of living with, 443t
Heredity, in development, 308, 309
Herzberg’s Two-Factor Theory, 381–382, 449t
Hierarchy of learning, 418, 419b, 427
Hierarchy of needs (Maslow), 312–313, 326t, 381
High-fidelity patient simulator, 513, 515
High middle range theories, 211, 224–235, 225t. See also specific theories
Benner Model of Skill Acquisition, 224–227
Leininger’s cultural care diversity and universality theory, 227–229
Pender’s Health Promotion Model, 94, 229–230, 230f
655
Synergy Model, 233–234
Transitions Theory, 230–233
High-risk patients, in case management, 490
Hill–Burton Act, 30
Hippocratic ethics, 365, 367, 369
Historical inquiry, 76
Historicism, 9–10
HIV/AIDS, determining cause of, 333–334
HMOs. See Health maintenance organizations
Holism
in Modeling and Role-Modeling, 167t
in Watson’s Human Caring Science, 177–178
Holistic nursing
homeostasis in, 341
Psychosocial Developmental Theory in, 307
Home Health Nursing, Neal Theory of, 225t
Homeodynamics, 189–192, 190b, 340
Homeostasis, 149t, 340–341
Hospice Comfort Questionnaire, 240
Hospital Consumer Assessment of Healthcare Providers and Systems (HCAHPS), 486, 489
Hospital model, of nursing education, 28–30
Hospital Standardization Program, 398
Host, in epidemiologic triangle, 334–335, 335f
HPM. See Health Promotion Model
Humanbecoming, Theory of. See Humanbecoming Paradigm
Human Becoming Hermeneutic Method, 200–202
Humanbecoming Paradigm, 121, 187–188, 198–203
assumptions of, 198–199, 199b
background of theorist, 198
comparison with other unitary process theories, 203, 204t
concepts of, 199–200
parsimony of, 202
philosophical underpinnings of, 189, 198
practice theory based on, 442
relationships in, 199–200
testability of, 200–202, 201t–202t
usefulness of, 200, 203b
value in extending nursing science, 202–203
Human being. See Person
Human Caring Science, 159, 160, 177–182, 207
application in nursing education, 502
application in research, 461
assumptions of, 178–179
background of theorist, 178
carative factors in, 159, 178, 179b, 181
concepts of, 179–180, 180t
middle range theory derived from, 207
parsimony of, 182
philosophical underpinnings of, 178
relationships in, 180–181
testability of, 182
unitary process elements in, 177–178
656
usefulness of, 181, 183b
value in extending nursing science, 182
Human Caring Science: A Theory of Nursing (Watson), 177
Human genome, 344
Human Genome Project, 344
Humanism, 121–122, 160
Humanistic theories, 312–315. See also specific theories
comparison with other behavioral theories, 326t
learning theory, 412, 420–421, 426t
Maslow’s human needs theory, 312–313, 326t
person-centered theory, 313–315, 326t
as “third force,” 420
Humanities, theory in, vs. philosophy, 357
Human needs theories, 123–124, 131–158
Abdellah’s patient-centered approach, 139–142
Henderson’s, 136–139, 466
interactive theories vs., 160
Johnson’s Behavioral System Model, 146–150
Maslow’s, 54, 132, 312–313, 326t, 381
Neuman Systems Model, 131, 149–155
Nightingale’s, 132–136
Orem’s Self-Care Deficit Nursing Theory, 142–146
theorists of, 119, 120t, 123–124, 124t
Human science, 6, 6t
vs. natural science, 6–7
nursing as, 17
perceived view of science, 7, 9–10
Hybrid model, of concept development, 61–63, 63t, 67, 68t
Hygiene factors, in leadership theory, 381–382
Hypotheses
concept development and, 57
definition of, 27t
as relational statement, 79, 80t
relationship with theory and conceptual model, 116–117, 117f
I
IANP. See Inpatient asthma nurse practitioner
Iconic memory, 422
ICT. See Intellectual Capital Theory
Id, 303–305
Ideal self, 314
Imaging, in Humanbecoming Paradigm, 199
Immunity and immune function, theories of, 343–344
Impetus of instinct, 304
Implications, identifying, 61. See also Nursing implications of theory
Implicit assumptions, 81
Implicit memory, 423
Implied theory, 442–444, 446–447
Impoverishment, in active potential assessment model, 166
Incongruence, 314
Individual(s). See also Person
in Theory of Goal Attainment, 169, 171t
657
Individualistic social exchange, 286
Individualization, in learning, 427, 428
Inequality
in conflict theories, 288–289
in Critical Social Theory, 289–290
in feminist theory, 290–292
in Social Exchange Theory, 287–288
Infection, principles of, 333–334
Infection prevention, 337–338, 338b
Infection risk, 334
Informal leaders, 377
Informational power, 391
Information-processing models, 412, 421–423, 426t
Informed choice, 365
Informed consent, 366–367
Ingestive subsystem, 148
In-group, in Leader–Member Exchange Theory, 380
Inhibitors, in Transitions Theory, 232
Innovation, as nursing research priority, 528t
Innovator control processes, 174t
Inpatient asthma nurse practitioner (IANP), 496
Input, system, 152t, 276, 276f
Insight, concept of, 415
Instability, in Behavioral System Model, 149t
Instinct, characteristics of, 304
Institute for Healthcare Improvement, 492
Institute of Medicine (IOM)
evidence-based practice, 255, 259, 404
health care challenges identified by, 520, 520b
high-quality care, 485
recommendations for nursing, 4, 439, 521, 531
recommendations for nursing education, 531
To Err Is Human, 493
Instruction. See Teaching
Instructional objectives, 414
Instrumentality, 390
Integrality, 189–191, 190b
Integrated knowledge stage, of nursing theory, 29t, 32
Integrated theory development, 86
Integration, in Social Exchange Theory, 287
Integration via movement, 195t
Intellectual Capital Theory (ICT), 216, 216f, 217
Intelligence, emotional, 53t, 378–379, 385–386
Intention, in Theory of Reasoned Action/Planned Behavior, 319–321
Intentionality, Theory of, 191
Interaction(s)
in nursing metaparadigm, 44
in symbolic interactionism, 280–281
in Theory of Goal Attainment, 171t
Interactional learning, 280
Interaction theories, in sociology, 280–285
cultural diversity in, 281–283
658
Role Theory, 274, 284–285
symbolic interactionism, 280–281, 281b
Interaction theories, of learning, 412, 417–420, 426t
Bandura’s Social Learning Theory, 417, 419–420
characteristics of, 417b
Gagne’s, 417, 418–419, 419b
Interaction theorists, 119, 120t, 123–124, 124t
Interactive–integrative paradigm, 121–122
Interactive theories, 99–100, 123–124, 124t, 159–186
Artinian Intersystem Model, 160–165
Modeling and Role Modeling, 160, 165–168
Roy Adaptation Model, 85–86, 160, 172–177
Systems Framework (King), 160, 168–172
Theory of Goal Attainment, 160, 168–172, 170f
Watson’s Human Caring Science, 159, 160, 177–182
Interdependence mode, 175–176, 175f
Interference, in learning, 428
Interference theory, of memory, 422
Intermittent urinary catheterization, 445, 445t
Internal criticism, 99, 99b
Internal customers, 494
Internal dimensions, of theory, 102
International Orem Society, 145
International Physical Activity Questionnaire, 466
Internet-based education, 510, 512–515
Internet-based ratings, 495
Interpersonal communication, as nursing competency, 525t
Interpersonal Relations in Nursing (Peplau), 308, 449t
Interpersonal theory, 307–309
application to nursing, 308–309, 449t
comparison with other behavioral theories, 326t
overview of, 307–308
participant–observer in, 308–309
stages of development in, 303t, 307–308
Interpersonal Theory of Psychiatry (Sullivan), 307–309
Interpretative (perceived) view, 7, 9–11
Interpretive Interactionism, 279
Intersystem, in Artinian model, 162f, 163–164
Intersystem Model, Artinian. See Artinian Intersystem Model
Intersystem Patient-Care Model, 160. See also Artinian Intersystem Model
Intrasystem, in Artinian model, 162f, 163–164
Intuitive knowledge, 13
IOM. See Institute of Medicine
Iowa Model of Evidence-Based Practice, 253, 261, 263–264, 264b, 265f, 269, 269t
J
Japanese management style, 402–404
JHNEBP. See Johns Hopkins Nursing Evidence-Based Practice Model
Joanna Briggs Institute, 254, 257
Johns Hopkins Nursing Evidence-Based Practice Model (JHNEBP), 261, 264–267, 266b, 269t
Journal of Advanced Nursing, 453
Journal of Nursing Scholarship, 453
659
Journals, nursing, 453, 467
Juran’s Trilogy, 401, 401b, 403
Justice, 44, 364, 365, 369–370
K
Kantian ethics, 360–363
Kinesthetic learning style, 426–427
Knowledge
a posteriori, in Utilitarianism, 360
a priori, in Deontology, 360
case study in nursing, 20–21
character vs., 360
definition of, 27t
development in nursing science, 12–16, 15t, 452, 522
development in research, 452–454
development within discipline, 3–5
future issues in, 522, 530
gain in, teaching for, 411
metaparadigm in nursing, 41–44
middle range theory and development of, 208, 209
need for, in adult learning, 424, 424b
patterns in nursing, 13–16, 15t, 20–21
perceived, 7, 9–10, 11t
postmodernist view of, 10–11
received, 7–9, 11t, 18
specialized, in professions, 2
theory of (epistemology), 12–16
types of, 13
Knowledge management, 530
Knowledge transformation, ACE Star Model of, 261–263, 262b, 262f, 269t
Korean Americans, health-related behaviors of, 443t
L
“Lady with the lamp,” 133
Laissez-faire leadership, 379–380
Languaging, 199
Latency stage of development, 303t, 304
Law(s), 27t, 79, 80t
LCUs. See Life change units
Leader–Member Exchange (LMX) Theory, 380–381
Leader–member relations, 383, 383b
Leadership, 376–408
authentic, 386
autocratic, democratic, and laissez-faire, 379–380
change and, 392–395
charismatic, 386–387
conflict management in, 397
continuum of behavior, 380
decision-making processes in, 395–397
definition of, 377
emotional intelligence of, 378–379, 385–386
empowerment in, 392
660
formal vs. informal, 377
future issues in nursing, 526–529, 528b
overview of concepts in, 377
power in, 390–392
problem-solving in, 395–397
quality improvement in, 397–404
in quality management, 494
resilience in, 395
servant, 387
in shared governance, 480–482
in team nursing, 484
transactional, 385
transformational, 385–386, 482–483, 482b
visionary, 378, 385
Leadership theories, 377–387
behavioral or functional, 379–381
contemporary, 385–387
contingency, 382–384
early, 377–384
Fiedler’s, 382–383, 383b
followership, 387
Great Man, 377
Leader–Member Exchange, 380–381
motivational, 381–382
Motivation–Hygiene (Two-Factor), 381–382, 449t
Path–Goal, 383–384
situational, 384
Theory X and Theory Y, 381
trait, 377–378
Lead exposure, application of theory in, 447
Lean process management, 402–403, 495
Lean Sigma, 403
Lean Thinking, 402–403
Learning
affective, 411
cognitive, 411
cognitive-field theory and, 416
definition of, 410–411
Gagne’s types of, 418, 419b
hierarchy in, 418, 419b, 427
principles of, 427–428
psychomotor, 411
Stimulus–Response Model of, 413, 413t
strategies in nursing education, 510–512
vicarious, 420
Learning objectives, 414
Learning styles, 411, 426–427
Learning theories, 78, 78t, 409–431. See also specific theories
AACN on, 412b
adult learning, 412, 423–425, 424b, 426t
application in nursing, 415, 419, 420, 425, 428–429, 459, 466, 513–514
behavioral, 412–415, 413t
661
categorization of, 412
cognitive, 412, 415–426, 425–426, 426t
cognitive development/interaction, 412, 417–420, 417b, 426t
cognitive-field (Gestalt), 412, 415–417, 417b, 426t
Cognitive Load Theory, 422–423, 426t
Gagne’s, 417, 418–419, 419b
humanistic, 412, 420–421, 426t
information-processing models, 412, 421–423, 426t
Piaget’s, 417–418
social learning (Bandura), 417, 419–420
summary of, 425–426, 426t
Least Preferred Coworker (LPC) Scale, 382–383
Legitimacy, of theory, 100
Legitimate power, 391, 391t
Leininger’s cultural care and universality theory. See Cultural care and universality theory
Leininger Sunrise Model, 227
Leukocytes, 343
Liberal feminism, 291
Life, Watson’s definition of, 180t
Life change units (LCUs), 341
Lifetime growth and development, 167t
Limited English proficiency, 520b
Line authority, 479
Lines of resistance, 152t
Linguistic principle, in concept analysis, 66b
Linkages, theoretical, 81, 87–88, 88b
Literary synthesis, 59
Literature review/search, 57, 59, 61, 76, 211, 212, 435, 440
LMX. See Leader–Member Exchange Theory
Logic, 7, 8t
Logical adequacy, of theory, 95, 98, 105t, 106
Logical positivism, 8–9
Logical principle, in concept analysis, 66b
Logistic teaching strategies, 510, 512
Long-term memory, 421–423
Love and belonging needs, 312
Low middle range theories, 211, 224, 243–247, 244t. See also specific theories
Maternal Role Attainment/Becoming a Mother, 216, 243, 246–247
Postpartum Depression Theory, 243, 245–246
Theory of Chronic Sorrow, 108–111, 211, 212, 243–245
Lymphocytes, 343
M
Macrosystem, 278, 278f
Macrotheory, 34, 37. See also Grand theories
Mad cow disease, causative agent of, 334
Magico-religious approach, to disease causation, 333
Magnet Recognition Program, 259, 483, 488–489, 488b
Maintenance stage, of change, 323, 323f
Maladaptive equilibrium, 166
Manageability, in Artinian Intersystem Model, 161t
Managed care, 483, 490, 491–492
662
Managed care organizations (MCOs), 490, 491–492
Management, 376–408
application of theory in, 475–500
authority and responsibility in, 479
borrowed theory from, 78, 78t
bureaucracy/organization theory in, 388
case management in, 489–490
centralization vs. decentralization in, 479
chain of command in, 477
change in, 392–395
classic management theory in, 388, 388b
conflict management in, 397
decision-making processes in, 395–397
definition of, 377
departmentalization in, 479–480
disease/chronic illness management in, 490–493
empowerment in, 392
evidence-based practice in, 404–405
Fayol’s principles of, 388, 388b
future issues in nursing, 526–529, 528b
leadership theories in, 377–387
lean process management in, 402–403, 495
Magnet Recognition Program in, 483, 488–489, 488b
motivational theories in, 389–390
organizational design in, 476–480, 476b
organizational/management theories in, 387–388
overview of concepts in, 377
patient care delivery models in, 483–489
patient-focused care in, 483, 485–486
power in, 390–392
primary nursing in, 483, 484–485
problem-solving in, 395–397
quality improvement in, 397–404
quality improvement/management in, 493–496
resilience in, 395
scientific management in, 387–388
shared governance in, 480–482
Six Sigma in, 402–404, 495
span of control in, 477–478
Taylor’s principles of, 387–388, 388b
team nursing in, 483, 484
total patient care (functional nursing) in, 483–484
transformational leadership in, 385–386, 482–483, 482b
work specialization in, 476–477
Managers
first-level, 479
middle-level, 479
nurse, in case management, 489–490
top-level, 479
Man-Living-Health (Parse), 198
Marxist feminism, 291
Marxist theory, 287–289
663
Mastectomy, concept development of grief after, 49–50, 56–57
Maternal Role Attainment/Becoming a Mother, Conceptualization of, 216, 243, 246–247, 285
application in practice, 247, 248
context for use, 247
evidence of empirical testing, 247
nursing implications of, 247
purpose and concepts of, 246–247
Maturation, and learning, 416, 424
Maturity level, 384
MCN: American Journal of Maternal Child Nursing, 453
MCOs. See Managed care organizations
Meaning, in theory evaluation, 95, 98
Meaningfulness, in Artinian Intersystem Model, 161t
Meaningful terminology, 97, 105t, 106
Measurement, in concept development, 62
Measurement, in quality improvement, 402–404
Medicaid
accountability care organizations and, 492–493
disease management and, 492
quality management and, 495
Medical errors, IOM report on, 493
Medical/health homes, 492–493, 531
Medical indication, in ethical decision making, 371, 372t
Medicare
accountability care organizations and, 492–493
disease management in, 492
quality management and, 495
Medicare.gov, 495
Medicare Shared Savings Program, 493
Medication Adherence Model, 217t
Medication administration, specialization in, 476–477
Memory, in information-processing models, 421–423
Mesosystem, 277–278, 278f
Metaparadigm, 41–44
alternative viewpoints on, 44
Artinian Intersystem Model on, 161–163, 163t
definition of, 27t, 41
Henderson on, 137–138
Johnson on, 43t, 148
King’s Theory of Goal Attainment on, 170, 171t
Leininger on, 43t
Neuman on, 43t, 151
Newman on, 43t, 193, 203, 204t
Nightingale and, 134–135
Orem on, 43t, 144
Parse on, 203, 204t
relationships among concepts in, 42–44
requirements for, 41, 41b
Rogers on, 43t, 189, 190t, 203, 204t
Roy on, 43t, 174, 174t
social justice in, 44
theoretical definitions of concepts in, 43t
664
theory evaluation and, 99–100, 105t
unitary process theory on, 203, 204t
Watson on, 43t, 179, 180t
Metaphysical knowledge, 13
Metaphysics, 7, 8t
Metasynthesis, 76–77, 254
Metatheory, 34, 73–74, 75, 75f
Methodological triangulation, 522
Methodology, 12–13, 16–19
future issues in, 522
pluralism in, 18–19
quantitative vs. qualitative, 16, 17–19, 522
Metrics, in quality improvement, 402–404
Microsystems, 277–278, 278f
Microtheories, 34, 38. See also Practice theories
Middle-level managers, 479
Middle middle range theories, 211, 224, 235–242, 236t. See also specific theories
Self-Transcendence Theory, 210, 211, 215, 235, 242
Theory of Comfort, 215, 223, 235, 238–240
Theory of Unpleasant Symptoms, 211, 212, 235, 240–241
Uncertainty in Illness Theory, 211, 216, 235–238
Middle range theories, 27t, 34, 37–38, 73–74, 75, 75f, 207–222. See also specific theories
AACN on, 224b
abstraction level of, 211, 224
analysis and evaluation of, 219, 523
application in practice, 248, 447–448, 449t
approaches for generating, 212, 212b
Benner Model of Skill Acquisition, 224–227
categorization of, 211
characteristics of, 209, 210b, 210t
combining existing nursing and non-nursing theories, 214–215
concepts of, 207, 210–211
debate over, 208, 211
derived from behavioral sciences, 215–217, 217t
derived from grand theories, 213–214, 214f, 461
derived from non-nursing disciplines, 215–217, 216f, 217t
derived from practice guidelines or standard of care, 217–218, 218f
derived from research and/or practice, 212–213, 455
development of, 211–219, 212b, 523
empirical referents for, 219
evaluation of, 94, 102–103, 104t, 106, 107b, 108–111
functional adequacy of, 219
future issues in, 523
grand theories vs., 207, 210t
high, 211, 224–235, 225t
legitimizing nursing discipline with, 208
Leininger’s cultural care diversity and universality theory, 227–229
low, 211, 224, 243–247, 244t
Maternal Role Attainment/Becoming a Mother, 216, 243, 246–247
middle, 211, 224, 235–242, 236t
Pender’s Health Promotion Model, 229–230, 230f
Postpartum Depression Theory, 243, 245–246
665
practice theories derived from, 441
practice theories vs., 210t, 441
purposes of, 208–209
relationships in, 210–211
Self-Transcendence Theory, 210, 211, 215, 235, 242
specificity of, 211
structural integrity of, 219
substantive foundations for, 219
Synergy Model, 233–234
testability of, 210t
Theory of Chronic Sorrow, 211, 212, 243–245
Theory of Comfort, 215, 223, 235, 238–240
Theory of Unpleasant Symptoms, 211, 212, 235, 240–241
Transitions Theory, 230–233
Uncertainty in Illness Theory, 211, 216, 235–238
user-friendly language and style of, 219
Midlife Women’s Attitudes Toward Physical Activity (MAPA), 443t
Midrange theory. See Middle range theories
Milestone charts, 397
Mind-Body-Spirit nursing, 196
Mind mapping, 423
Mishel’s Uncertainty in Illness Theory. See Uncertainty in Illness Theory
Model(s), 81–82. See also specific models
concept development and, 57
definition of, 27t
evaluation of, 102–103, 104t
Modeling
in concept development, 65, 65t
defined by Erickson, Tomlin, and Swain, 167t
Modeling and Role-Modeling (MRM), 160, 165–168
application in practice, 449t
assumptions of, 166
background of theorists, 165
complexity of, 168
concepts of, 166, 167t
philosophical underpinnings of, 166
relationships in, 166–167
testability of, 168
usefulness of, 167, 168b
value in extending nursing science, 168
Modular (team) nursing, 483, 484
Moral distress, 369
Morality, ethics vs., 357–358
Moral knowledge, 13–14, 15t.
See also Ethics
Moral law, in Kantian ethics, 360
Motivation
in adult learning, 424, 424b
in cognitive-field (Gestalt) learning, 416
in future health care system, 521
in Maslow’s human needs theory, 312–313
Motivational theories, 389–390
666
Achievement–Motivation Theory, 389, 389t
Equity Theory, 390
Expectancy Theory, 389–390
Motivational theories of leadership, 381–382
Motivation–Hygiene Theory, 381–382, 449t
Theory X and Theory Y, 381
Motivation–Hygiene Theory, 381–382, 449t
Motivation in health behavior, theory of, 236t
Motorola, 403
Movement, in Health as Expanding Consciousness, 194–196, 195t
Moving Beyond Dwelling in Suffering, 443t
MRM. See Modeling and Role-Modeling
Multicultural nursing, 172
Multiskilled workers, 485
N
Naming theories, 75
Narrative exchange, 359
National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research
(NCPHSBBR), 365
National Guideline Clearinghouse (NGC), 257
National Heart, Lung, and Blood Institute/National Asthma Education and Prevention Program, 496
National Institute for Nursing Research (NINR), 469, 470, 526, 527t–528t
National Institutes of Health (NIH), 32, 469
National League for Nursing (NLN), 31, 136, 504
Natural history of disease, 337–338, 339f
Naturalistic concepts, 54, 54t
Natural sciences, 6–7, 6t
Nazi Germany, ethics and, 363, 364–365, 364b
NCPHSBBR. See National Commission for the Protection of Human Subjects of Biomedical and Behavioral
Research
Neal Theory of Home Health Nursing, 225t
Needs-based theory. See Human needs theories
Needs theories, 99–100
Need to know, in adult learning, 424, 424b
Negative association, 80
Negentropy, 152t, 189
Neomodernism, in theory evaluation, 103
Neonatal care, ethics in, 370, 371
Network analysis, 279
Networks, social, 275, 276, 279–280, 279f
Neuman Systems Model, 131, 149–155
application in nursing education, 506
application in research, 459, 461, 464
assumptions in, 151–153, 154b
background of theorist, 150–151
concepts of, 151, 152t, 153f
as curricular framework, 506
middle range theories derived from, 213
parsimony of, 154
philosophical underpinnings of, 151
relationships in, 151–153
667
research testing, 464
stress theory and, 317
testability of, 154
usefulness of, 153, 155b
value in extending nursing science, 155
Neuman Systems Model Trustees Group, Inc., 153
Neutral association, 80
New England Hospital, nursing training at, 28
New England Medical Center Model, 489
Newtonian-based theories, 292
New York University, nursing doctoral program of, 30
NGC. See National Guideline Clearinghouse
NGT. See Nominal Group Technique
NIC. See Nursing Intervention Classification system
Nightingale Fund, 134
Nightingale School for Nurses, 133–134
NIH. See National Institutes of Health
NINR. See National Institute for Nursing Research
NLN. See National League for Nursing
Nominal Group Technique (NGT), 396
Nonlinear dynamics, 295b
Nonmaleficence, 364, 365, 368–369
Non-nursing disciplines, middle range theories derived from, 215–217, 216f, 217t
Non-nursing theory. See also Borrowed theory
combined with existing nursing theory, in middle-range theories, 214–215
in nursing research, 466, 467–468
Nonrelational (existence) statements, 79–80
Normal line of defense, 152t, 153f
Normative beliefs, 319–321
Notes on Hospitals (Nightingale), 133
Notes on Nursing: What It Is and What It Is Not (Nightingale), 26, 132–133, 135, 453
Novice-to-expert theory, Benner’s, 226
Nuremberg Code, 364–365, 364b
Nurse case manager, 489–490
Nurse-managed health centers, 531
Nurse Practitioner Practice Model, 225t
Nurse practitioners
in accountability care organizations, 493
in inpatient asthma education, 496
Nursing
as academic discipline, 3–5, 208
as art, 135, 144, 254, 256
caring as central construct in, 44
central concepts of, 41
common elements of, 31
context-dependent vs. context-independent, 31
defined, 42
defined by Abdellah, 141
defined by Artinian, 161–163, 162–163, 163t
defined by Erickson, Tomlin, and Swain, 166, 167t
defined by Henderson, 136
defined by Johnson, 148
668
defined by King, 169, 171t
defined by Meleis and Trangenstein, 233
defined by Newman, 194, 195t, 200, 204t
defined by Orem, 144
defined by Parse, 204t
defined by Rogers, 190t, 191, 204t
defined by Watson, 179, 180t
future of, IOM recommendations on, 4, 439, 521, 531
graduate, ANA promotion of, 30
as human science, 17
metaparadigm of, 41–44, 43t
as multiparadigm discipline, 12
as practice or applied science, 7, 16–17, 302
praxis of, 15–16
as profession, 2–3, 82, 141, 357
scientific foundation of, AACN on, 5b
social justice in, 44
Nursing action, 161–163, 163t
Nursing Consortium for Research on Chronic Sorrow, 243
Nursing diagnoses
in Abdellah’s patient-centered approach, 140, 141
in Neuman Systems Model, 151
vs. nursing functions, 141
Nursing education
Abdellah and, 142
AMA advocacy of, 28
application of content and skills in, 510
application of theory in, 501–518
buzzwords in, 502
change in, 502
closing theory–practice gap through, 439
cognitive content of, 510
curriculum in, 502–509
blocking of content in, 507–508
changes in, 529–532
components of, 502, 503b
concepts of, 507
conceptual/organizational frameworks for, 504–508
current issues in development of, 508–509
definition of, 502, 503
design of, 503
eclectic approach to, 506
enhanced content in, areas of, 509, 509t
and regulatory bodies (accreditation), 503–504
single-theory approach to, 506
structure or sequencing of, 507, 508t
threading content in, 508
Tyler model of, 503–504
doctor of nursing practice, 32
eclectic approach in, 506
first autonomous school in, 29–30
first doctoral programs in, 30
669
first training school in, 28
future issues in, 529–532
grand theories and, 117–118
growth in doctoral programs, 31–32
growth in master’s programs, 31
Henderson and, 136–139
hospital model of, 28–30
IOM recommendations for, 531
Johnson and, 147, 149
Modeling and Role-Modeling in, 167, 168
Neuman and, 150, 153
Nightingale and, 26, 133–134, 135
for nurse case manager, 489
Orem and, 145, 146
psychomotor tasks in, 510
Rogers and, 191
single-theory approach in, 506
stages of nursing theory in, 26–34, 29t
teaching/instruction in, 509–515, 510
dialectic, 510–511
logistic, 510, 512
operational, 510, 511–512
problem-based, 510, 511, 530
theory-based strategies in, 510–512
technology in, 510, 512–515
Theory of Goal Attainment in, 171
Nursing epistemology, 13–16
case study of, 20–21
definition of, 13
patterns of knowledge in, 13–14, 15t
Nursing for the Future (Brown), 30
Nursing goals, in Neuman Systems Model, 151
Nursing implications of theory
Benner Model of Skill Acquisition, 226
Leininger’s cultural care and universality theory, 227
Maternal Role Attainment/Becoming a Mother, 247
Pender’s Health Promotion Model, 229
Postpartum Depression Theory, 245
Self-Transcendence Theory, 242
Synergy Model, 234
Theory of Chronic Sorrow, 243
Theory of Comfort, 238–239
Theory of Unpleasant Symptoms, 241
Transitions Theory, 232–233
Uncertainty in Illness Theory, 237
Nursing Intellectual Capital, Theory of, 216, 216f, 217
Nursing Intervention Classification (NIC) system, 444–446
Nursing metaparadigm, 41–44, 43t
Nursing of the Sick (Hampton), 133
Nursing philosophy, 12. See also Philosophical underpinnings of theory
Nursing problems, Abdellah’s list of, 140, 140b, 142
Nursing process, in metaparadigm, 44
670
Nursing research
agenda for, 468–471
amount and quality of, 526
application of theory in, 452–474
on areas of evolving nursing science, 469–471, 470b
correlational, 76, 456, 456t, 458
corresponding, to types of theories, 456–459, 456t
definition of, 454
descriptive, 456–458, 456t
experimental, 456, 456t, 458–459
future issues in, 471, 471t, 522, 526, 527t–528t
grand theories and, 117–118
historical overview of, 453–454
middle range theories derived from, 212–213
middle range theory use in, 208
NINR priorities in, 469, 470, 526, 527t–528t
non-nursing theories in, 466, 467–468
nursing theory in, 467–468
concern over reliance on, 467–468
rationale for using, 467
Parse’s method of, 200–202, 201t–202t
priorities in, 469–471, 470b, 471t, 526, 527t–528t
process of, 454, 455b
purpose of theory in, 455
relationship with theory, 454–456
theory as conceptual framework in, 455–456, 459, 464–466, 465b
theory description in research report, 468, 469b
theory fitting in, 464–465
theory-generating, 459–461
theory-testing, 459, 461–464
theory use in, 459–466
Nursing Research (journal), 30, 453
Nursing science, 12–13
case study of, 20–21
definition of, 12
development of knowledge in, 12–16, 15t
empiricism in, 9
evolving, areas of, 469–471, 470b
future issues in, 522
as nursing research priority, 527t–528t
phenomenology/constructivism/historicism in, 10
philosophical views in, 7–11, 11t
philosophy of, 12
postmodernism in, 11
research methodology in, 12–13, 16–19
Nursing science, value in extending, 127
Abdellah and, 142
Artinian Intersystem Model and, 165
Health as Expanding Consciousness and, 197
Henderson and, 139
Humanbecoming Paradigm and, 202–203
Human Caring Science, 182
671
Johnson and, 150
Modeling and Role-Modeling and, 168
Neuman Systems Model and, 155
Nightingale and, 136
Orem and, 146
Roy Adaptation Model and, 176–177
Science of Unitary and Irreducible Human Beings and, 192
Theory of Goal Attainment and, 172
Nursing Science Quarterly, 198
Nursing Services Delivery Theory, 277
Nursing shortage, 524, 528, 530
Nursing skills, Abdellah’s list of, 140, 142
Nursing system, in Self-Care Deficit Theory, 143, 144t
Nursing theory. See also Theory(ies); specific theories
borrowed or shared, 78, 78t, 441, 446–447. See also specific disciplines
borrowed vs. unique, 453, 466, 467–468
categorization of, 118–123, 123t
chronology of publications on, 35t–37t
classification of, 34–40
development and history of, 26–34
and evidence-based practice, 258, 259–260, 259f
future issues in, 523–524
historical overview of, 26–34
importance of, 23, 25
Nightingale and, 26
in nursing research, 467–468
concern over reliance on, 467–468
rationale for using, 467
questions and debates about, 23–24
relationships among levels of, 75, 75f
scope of, 34–38, 37f, 73–75
significant events in development of, 33t
stages of development, 26–34, 29t
theory of vs. theory for, 467–468
type or purpose of, 38–40
Nursing therapeutics, 44, 99–100, 231–233, 232f
Nursing Work Index-Revised, 486–487
O
Object of instinct, 304
Occupation, nursing as, 2–3
Occupational health nursing, Rogers’s model for, 225t
OCRSIEP. See Organizational Culture and Readiness Scale for System-Wide Integration of Evidence-Based
Practice
Office on Minority Health (OMH), 282
Ohio State University School of Nursing, 171
Omaha System, 212, 225t
OMH. See Office on Minority Health
Online courses, 510, 512–515, 530
Ontology, 7, 8t, 12–13, 16, 27t
Openness, 189–191, 190t
Open system, in Neuman Systems Model, 152t
672
Open Systems Theory (OST), 276–277, 276f, 277b
Operant, definition of, 413
Operant conditioning, 309–310, 326t, 413–414, 413t
Operational adequacy of theory, 98
Operational definitions, 102–103
Operationally defined concepts, 53, 53t, 79, 80
Operational stages, Piaget’s, 418
Operational statement, 80
Operational teaching strategies, 510, 511–512
Opioid drugs, ethical decision-making on, 371–372
Opioid receptors, 350
Oral stage of development, 303t, 304
Organism, in person-centered theory, 314
Organizational Culture and Readiness Scale for System-Wide Integration of Evidence-Based Practice
(OCRSIEP), 263
Organizational design, 476–480
authority and responsibility in, 479
centralization vs. decentralization in, 479
chain of command in, 477
departmentalization in, 479–480
elements of, 476, 476b
span of control in, 477–478
work specialization in, 476–477
Organizational quantitative decision-making techniques, 396–397
Organizational theory, 388
Organizational transition, 231
Orientation to learning, of adults, 424, 424b
Originating, 199
Origins, of theory, 95, 99, 101–102, 105t, 106
OST. See Open Systems Theory
Outcomes
in Artinian Intersystem Model, 164
in case management, 490
in concept comparison, 66
in disease management, 492
in health care, nurse staffing levels and, 487–488
in Magnet Recognition Program, 489
in Neuman Systems Model, 151
in prescriptive theories, 77
in Synergy Model, 234
Outcome theorists, 119, 120t
Out-group, in Leader–Member Exchange Theory, 380
Output, in systems, 152t, 276, 276f
Ownership, in shared governance, 480
P
Pain management, 350–351
acute, theories of, 211, 217, 244t
ethical decision-making and, 371–372
Gate Control Theory of, 215, 331–334, 350–351, 351f
Theory of Adaptation to Chronic Pain, 215, 244t
Palliative care, 527t. See also End-of-life care
673
Pandimensionality, 189–191, 190t
Paradigm(s). See also Metaparadigm
categorization of grand theories by, 119–123, 121f
competing, combining theories from, 128
definition of, 28t, 119
Fawcett’s categorization of, 122–123, 123t
future issues on, 522
Humanbecoming, 121, 187–188
interactive–integrative, 121–122
Newman’s categorization of, 121–122, 123t
Parse’s categorization of, 121, 121f, 123t
particulate–deterministic, 121–122
philosophical underpinnings from, 125–126
reaction, 122, 123t, 125
reciprocal interaction, 122, 123t, 125
simultaneity, 121, 121f, 187
simultaneous action, 122, 123t, 125
theory evaluation by, 103
totality, 121, 121f
unitary–transformative, 121–122
Paradigm cases, 359
Paradigm shift, 119–120, 198, 303
Parataxic cognition, 308
Parents’ Perception of Uncertainty in Illness Scale, 237
Parents’ Perception of Uncertainty in Illness Scale–Family Member, 237
Pareto charts, 397, 402
Parish nursing models, 225t
Parsimony of theory, 98b, 100t, 127
Abdellah’s patient-centered approach, 142
Artinian Intersystem Model, 165
Health as Expanding Consciousness, 197
Henderson’s, 138–139
Humanbecoming Paradigm, 202
Human Caring Science, 182
Johnson’s, 150
Modeling and Role-Modeling, 168
Neuman Systems Model, 154
Nightingale’s, 136
Orem’s, 146
Roy Adaptation Model, 176
Science of Unitary and Irreducible Human Beings, 192
Theory of Goal Attainment, 172
Participant–observer, 308–309
Participation, shared governance vs., 480
Participative leader, 384
Participatory Action Research, 289–290
Particulate–deterministic paradigm, 121–122
Partnerships, in shared governance, 480
Paternalism, and ethics, 365, 367, 368b
Path–Goal Theory, 383–384
Pathogenesis, 337–338
Patient, Intervention, Comparison, Outcome, and Time (PICOT) format, 266–267
674
Patient care delivery models, 483–489
current use of, 486–487
future issues in, 524–525
Magnet Recognition Program, 488–489
nurse staffing levels in, 487–488
patient-focused care, 483, 485–486, 485b
primary nursing, 483, 484–485
team nursing, 483, 484
total patient care (functional nursing), 483–484
Patient-centered approach, Abdellah’s, 139–142
assumptions, concepts, and relationships in, 139–141
background of theorist, 139
parsimony of, 142
philosophical underpinnings of, 139
usefulness of, 141
value in extending nursing science, 142
Patient-centered medical homes (PCMHs), 492–493, 531
Patient-Centered Outcomes Research Institute (PCORI), 486
Patient characteristics, in Synergy Model, 233–234, 234b
Patient contracting, 446, 446t
Patient-focused care (PFC), 483, 485–486
goals of, 485, 486
as indicator of quality care, 485–486
multiskilled workers in, 485
outcomes of, 486
patient redeployment in, 485
principles of, 485, 485b
support services decentralization in, 485
task simplification in, 485
Patient preferences, in ethical decision making, 371, 372t
Patient Protection and Affordable Care Act (PPACA), 398–400, 520, 528–529
accountable care organizations under, 492–493
facility-acquired conditions and reimbursement under, 487
patient- and family-focused care under, 486
quality management under, 495
Triple Aim under, 492–493
Patient redeployment, 485
Patient simulator, high-fidelity, 513, 515
Patient-to-nurse ratios, 487–488
Pattern
in Complex Adaptive Systems, 294
in Health as Expanding Consciousness, 194–196, 195t
in Science of Unitary and Irreducible Human Beings, 189–191, 190t
in Transitions Theory, 232
Pattern recognition, 194–196, 195t
Pavlovian conditioning, 309, 413, 413t
PBE. See Practice-based evidence
PBL. See Problem-based learning
PBM. See Pharmacy benefits management
PCMHs. See Patient-centered medical homes
PCORI. See Patient-Centered Outcomes Research Institute
PCRS. See Picot Caregiver Rewards Scale
675
PDCA (Plan-Do-Check-Act) Model, 400
PDSA (plan-do-stay-act) cycle, 495
Peaceful End of Life, Theory of, 211, 217–218, 218f, 244t
Pedagogy, 423
Pender’s Health Promotion Model. See Health Promotion Model
Perceived Access to Breast Health Care in African American Women Theory, 90–92
Perceived barriers, 319, 320f, 321t
Perceived behavioral control, 320
Perceived benefits, 319, 320f, 321t
Perceived severity, 319, 320f, 321t
Perceived susceptibility, 319, 320f, 321t
Perceived view of science, 7, 9–11, 11t
Perception
in learning theory, 416, 417, 417b
in Theory of Goal Attainment, 171t
Performance criteria, 414
“Perpetual novice phenomenon,” 226
Person (human being)
in Abdellah’s patient-centered approach, 139–142
in Artinian Intersystem Model, 161, 163b, 163t
definition of, 41
in Health as Expanding Consciousness, 193, 194, 195t, 203, 204t
in Henderson’s theory, 137–138, 138t
in Humanbecoming Paradigm, 203, 204t
in Human Caring Science, 179, 180t
in human needs theory, 132
in Johnson’s theory, 148
in Neuman Systems Model, 151
in Nightingale’s theory, 134–135
in nursing metaparadigm, 41–44, 43t
in Orem’s theory, 144, 145
in Roy Adaptation Model, 174t
in Science of Unitary and Irreducible Human Beings, 189, 190t, 203, 204t
in theory evaluation, 103
in Theory of Goal Attainment, 171t
in unitary process theories, 203, 204t
Personality traits, of leaders, 377–378
Personalization, in learning, 427
Personal knowledge, 13–14, 15t, 20
Person-centered theory, 313–315, 326t
Person-centered therapy, 421
Person–environment interaction–focused theory, 99–100
Person–environment relationship, in stress theory, 316–317
Personification, 307–308
PET. See Practice question, evidence, and translation
PFC. See Patient-focused care
Phallic stage of development, 303t, 304
Pharmacy benefits management (PBM), 491
Phenomena, definition of, 28t
Phenomenal field, 180t, 314
Phenomenology, 7, 9–10, 17–19, 76
Phenomenon of Caregiver Dependency, 216–217
676
Philosophical thought experiment, Rawls’s, 361
Philosophical underpinnings of theory, 125–126
Abdellah’s, 139
Artinian Intersystem Model, 160–161
Health as Expanding Consciousness, 194
Henderson’s, 137
Humanbecoming Paradigm, 189, 198
Human Caring Science, 178
Johnson’s, 147
Modeling and Role-Modeling, 166
Neuman Systems Model, 151
Nightingale’s, 134
Orem’s, 143
Roy Adaptation Model, 173
Science of Unitary and Irreducible Human Beings, 189
Theory of Goal Attainment, 169
Philosophy
branches of, 7, 8t
definition of, 5, 7, 28t
metatheory, 34, 73–74, 75, 75f
of nursing, 12
overview of, 7
of science, 7–11, 8t, 11t
theory in, vs. humanities, 357
Phronesis, 358–359
Physical functioning, theories and principles related to, 340–351
Physiologic integrity, 175
Physiologic needs, 312
Physiologic-physical mode, 175–176, 175f
Physiology
cancer theories, 347–349
genetic principles and theories, 344–347
homeostasis, 340–341
immunity and immune function, 343–344
middle range nursing theories derived from, 215
pain management, 350–351
stress and adaptation, 341–343
theories and principles related to, 340–351
Piaget’s Cognitive Development Theory, 417–418
Picot Caregiver Rewards Scale (PCRS), 288
PICOT format, 266–267
PKPIC. See Power as Knowing Participation in Change
Plan-Do-Check-Act (PDCA) Model, 400
Plan-do-stay-act (PDSA) cycle, 495
Planned Behavior, Theory of, 318, 319–321
application in research, 466
application to nursing, 324–325
comparison with other behavioral theories, 326t
components of, 322f
Planned Change Theory, 392–395, 449t
Pleasure principle, 304, 305
Pluralism, methodologic, 18–19
677
Points, in network analysis, 279
Polar area diagram, 133
Pol-econ, 285–286
Population demographics, 118
Population health initiatives, 492–493
Portfolios, in nursing education, 512
Position power, 383, 383b
Positive association, 80
Positivism, 8–9, 121–122, 131, 160, 257
Postcolonialism, 10–11, 11t
Postmastectomy grief (PMG), 49–50, 56–57
Postmodernism, 7, 10–11, 11t, 103, 292
Postpartum Depression Screening Scale, 246
Postpartum Depression Theory, 243, 245–246
Postpositivism, 9, 121–122, 125, 126, 160
Poststructuralism, 10–11, 11t
Power, 390–392
authority vs., 390–391
Barrett’s theory of, 191–192
bases or sources of, 391–392, 391t
charismatic, 391
coercive, 391, 391t
in conflict theories, 288–289
connection, 391
definition of, 390
expert, 391, 391t
informational, 391
legitimate, 391, 391t
in motivational theory, 389
need for, 389, 389t
position, 383, 383b
referent, 391, 391t
reward, 391, 391t
in Social Exchange Theory, 287–288
transfer or delegation of (empowerment), 392
Power as Knowing Participation in Change (PKPIC), 191–192
Powering, 199
Power pose, 392
PPACA. See Patient Protection and Affordable Care Act
Practical science. See Applied science
Practice
application of models or theories to. See Application of theory, in nursing practice
future issues in, 524–526
gap between theory and, 437–440
grand theories and, 117–118
IOM recommendations for, 531
middle range theories derived from, 212–213
in nursing metaparadigm, 44
relationship among theory, research, and practice, 82–83, 82f, 524
theory-based, 436–437
theory development in, 84–85, 84t
theory relationship with, 435–436, 436b
678
transformation in, 531
validation and application of theory in, 86, 86t, 88
Practice-based evidence (PBE), 258
Practice guidelines, middle range theories derived from, 217–218, 218f
Practice question, evidence, and translation (PET), 266–267, 266b
Practice science, 6–7, 8t, 16–17
Practice-specific theory, 28t
Practice theories, 34, 38, 73–75, 75f, 440–442, 456
characteristics of, 440–441
definition of, 440
development of, 523–524
evaluation of, 102–103, 104t, 106, 107b
and evidence-based practice, 442, 444t
examples from nursing literature, 441–442, 443t
future issues in, 523–524
grand theory-based, 441–442
grounded theory approach in, 76, 84–85, 84t, 440–441
middle range theories vs., 210t, 441
middle range theory-based, 441
types needed, 441t
Pragmatic adequacy of theory, 98, 105t, 106
Pragmatic principle, in concept analysis, 66b
Praxis, definition of, 28t
Praxis of nursing, 15–16
Preconditions, in concept comparison, 66
Precontemplation stage, of change, 323, 323f
Predictability of theory, 98, 105t
Predictive theories, 38, 39, 76–77, 456, 456t, 458–459
Prenatal Care Access, Theory of, 217t
Preoperational stage, 418
Preparation stage, of change, 323, 323f
Preparing Instructional Objectives (Mager), 503
Prepathogenesis, 337
Prescriptive theories, 38, 39–40, 74–75, 77–78
components of, 77
survey list for, 77, 77b
Prevention as intervention, 152t
Primary nursing, 483, 484–485
Primary prevention, 337–338, 338b
Principle-based concept analysis, 66–67, 66b, 68t
Principle or rule learning, 419b
Prion, 334
Privacy, 370
Private duty nursing, 483
Proactive inhibition, 422
Problem analysis tools, 495
Problem-based learning (PBL), 510, 511, 530
Problem-solving, 395–397
in evidence-based practice, 495–496
in Gagne’s learning theory, 419b
in quality management, 494–495
Procedural knowledge stage, of nursing theory, 29t, 31
679
Process, in concept comparison, 66
Process improvement, 494
Product of nursing, 144t
Profession(s)
characteristics of, 2–3
nursing as, 2–3, 82, 357
theory in, 24–25
Professional identity formation, 359
Projection, 311
Properties, of transitions, 232
Propositions, 79, 80t
Prospective payment system, 489
Protection Motivation Theory, 318
Prototaxic cognition, 308
Psychic energy, 304
Psychoanalytic Theory, 302, 303–305
application to nursing, 305
comparison with other behavioral theories, 326t
stages of development in, 303, 303t, 304
Psychodynamic theories, 303–309
comparison with other behavioral theories, 326t
interpersonal, 303t, 307–309, 326t
psychoanalytic, 302, 303–305, 303t, 326t
psychosocial developmental, 303t, 306–307, 326t
Psychological Adaptation in Death and Dying, 213, 461
Psychological integrity, 175
Psychological sciences. See Behavioral sciences
Psychomotor learning, 411
Psychomotor tasks, in nursing education, 510
Psychosexual development, 303t, 304
Psychosocial Developmental Theory, 306–307
application to nursing, 306–307, 449t
comparison with other behavioral theories, 326t
overview of, 306
stages of development in, 303, 303t, 306–307
Publications, of theorists, 35t–37t
Abdellah’s, 141, 141b
Johnson’s, 147, 147b, 148
Neuman’s, 150
Newman’s, 193
Nightingale’s, 26, 35t, 134–135
Orem’s, 145
Parse’s, 198
Watson’s, 177
Publications, on theory analysis and evaluation, 97t
Public Health Nursing Practice Model, 217, 225t
Pure or basic sciences, 6, 6t, 302
Purpose of research, 452
Purpose of theories, 73, 75–78, 79, 100, 101t, 105t, 435
Benner Model of Skill Acquisition, 226
Kolcaba’s Theory of Comfort, 238
Leininger’s cultural care diversity and universality theory, 227
680
Maternal Role Attainment/Becoming a Mother, 246–247
middle range theories, 208–209
Pender’s Health Promotion Model, 229
Postpartum Depression Theory, 245
in research, 455
Self-Transcendence Theory, 242
Synergy Model, 233–234
Theory of Chronic Sorrow, 243
Theory of Unpleasant Symptoms, 240
Transitions Theory, 231–232
Uncertainty in Illness Theory, 235–237
Q
QI. See Quality improvement
QM. See Quality management
Qualitative methodology, 16, 17–19, 522
Qualitative synthesis, 58
Quality improvement (QI), 267, 397–404. See also Quality management
characteristics of, 402
Crosby’s four absolutes of, 401
definition of, 398
Deming’s 14 points on, 400–401, 401b
DMAIC steps in, 403
frameworks for, 400–402
in health care
case for, 398–400
timeline of, 399t–400t
Juran’s Trilogy of, 401, 401b, 403
lean process management in, 402–403, 495
processes and tools in, 402–404
Six Sigma in, 402–404, 495
vocabulary in, 398
Quality management (QM), 493–496
benchmarking in, 494, 495
customer focus in, 494
definition of quality in, 494
employee involvement in, 494
evidence-based practice and, 495–497
leadership in, 494
principles of, 494
process improvement in, 494
quality defined in, 494
safety promotion in, 496
scientific method in, 494–495
To Err Is Human as impetus for, 494
variance analysis in, 494
Quality of life
in ethical decision making, 371, 372t
in future health care system, 521, 531
in nursing metaparadigm, 42
Quality report cards, 495
Quality systems improvement (QSI), 398
681
Quantitative decision-making techniques, 396–397
Quantitative methodology, 16, 17–19, 522
Quantitative synthesis, 58
R
RAA. See Roy Adaptation Association
Racism, 282
Radiation Therapy Comfort Questionnaire, 240
Radical feminism, 291
RAM. See Roy Adaptation Model
Randomized control trials (RCTs), 254, 257–258
Rational Choice Theory, 287
Rational Decision-Making Model, 395–396
Rational Emotive Theory, 310–311, 326t
Rationalism, 7, 360
Rationality, 287–288, 288t
bounded, 396
economic, 395
in modern ethical theories, 360–361
RCTs. See Randomized control trials
Reaction paradigm, 122, 123t, 125
Readiness to learn, of adults, 424, 424b
Reality convergence, 105t
Reality simulation, 512–515, 530
Reasoned Action, Theory of, 217, 318, 319–321
application in research, 466
application to nursing, 324–325
comparison with other behavioral theories, 326t
components of, 322f
Received knowledge stage, of nursing theory, 29t, 30
Received view of science, 7–9, 11t, 18
Reciprocal determinism, 419
Reciprocal interaction paradigm, 122, 123t, 125
Reciprocity, 286
Reconstitution, 152t
Recovery Alliance Theory of Mental Health Nursing, 217t
Referent power, 391, 391t
Reflection, teaching, 420
Refreezing, in Planned Change Theory, 393
Refugee women experiencing cultural transition, well-being in, 443t
Regulator, in Roy Adaptation Model, 174t, 175–176
Reinforcement
application to nursing, 415
in Hull’s learning theory, 413t, 414
in operant conditioning, 309–310, 413–414
Related concepts, 61
Relational concepts, 51, 52t
Relational statements, 79–81, 80t
associational or correlational, 80
causal, 80
formulation and validation of, 88
Relationship behavior, 384
682
Relationships, in theories, 100, 101t
Abdellah’s patient-centered approach, 139–141
Artinian Intersystem Model, 162f, 163–164
grand theories, 126
Health as Expanding Consciousness, 194–196
Henderson’s, 137–138
Humanbecoming Paradigm, 199–200
Human Caring Science, 180–181
Johnson’s, 148
middle range theories, 210–211
Modeling and Role-Modeling, 166–167
Neuman’s, 151–153
Nightingale’s, 134–135
Orem’s, 145
Roy Adaptation Model, 175–176, 175f
Science of Unitary and Irreducible Human Beings, 189–190
Theory of Goal Attainment, 170
Relationship statements, 28t
Relaxation Response, 215
Relevance, in learning, 427
“Relevance gap,” 32
“Report cards,” for health care providers, 495
Research
application of theory in, 452–474
concept development and, 57
correlational, 76, 456, 456t, 458
corresponding, to types of theories, 456–459, 456t
cultural bias in, recommendations for avoiding, 283, 283b
definition of, 454
descriptive, 76, 456–458, 456t
ethics in, 364–370
evidence-based practice vs., 254, 255
experimental, 76–77, 456, 456t, 458–459
future issues in, 522, 526, 527t–528t
justice in, 370
methodology of, 12–13, 16–19
middle range theories derived from, 212–213
middle range theory use in, 208
non-nursing theories in, 466, 467–468
nursing research agenda for, 468–471
nursing theories in, 467–468
participatory action, 289–290
practice theories derived from, 440–441
process of, 454, 455b
purpose of, 452
purpose of theory in, 455
relationship among theory, research, and practice, 82–83, 82f, 524
relationship with evidence-based practice and theory, 258, 259f
relationship with theory, 454–456
theory as conceptual framework in, 455–456, 459, 464–466, 465b
theory development in, 84t, 85
theory-generating, 459–461
683
theory-testing, 84t, 85–86, 459, 461–464
theory use in, 459–466
translational, 32
Research agenda, 468–471
areas of evolving nursing science, 469–471, 470b
examples of priorities, 471t
NINR research priorities, 469, 470, 526, 527t–528t
Research-based concepts, 54, 54t
Research framework, 455–456, 459, 464–466, 465b
Research in Nursing & Health (journal), 453
Research report, 468, 469b
Research utilization, 267
Residual stimuli, 174t
Resilience, 395
Resilience, Theory of, 39, 211, 213, 236t
Resistance, as stage of stress, 315, 316t, 341, 342t
Resonancy, 189–191, 190b
Resource flows, in networks, 279, 279f
Respect for persons (autonomy), 361, 365–367
Restraining forces, on change, 393
Result interpretation, in concept development, 61
Retrieval cues, loss of, 422
Retroactive inhibition, 422
Revealing, in Humanbecoming Paradigm, 199
Revealing–concealing, 199
Reward power, 391, 391t
Ring structure, 151
Role, concept of, 284
Role ambiguity, 284
Role conflict, 284
Role function mode, 175–176, 175f
Role incongruity, 284
Role-modeling. See also Modeling and Role-Modeling
defined by Erickson, Tomlin, and Swain, 167t
in Virtue Ethics, 359
Role overload, 284
Role strain or stress, 284
Role-taking, 280–281
Role Theory, 215–216, 274, 284–285
application to nursing, 284–285
generational differences in, 285
overview of, 284
Roy Adaptation Association (RAA), 176
Roy Adaptation Model (RAM), 85–86, 159, 172–177
adaptive modes in, 175–176, 175f
application in practice, 447–448
application in research, 456t, 459, 461, 464
background of theorist, 173
concepts of, 174, 174t
cultural assumptions of, 174
middle range theories derived from, 213–214, 215, 461
parsimony of, 176
684
philosophical assumptions of, 173
philosophical underpinnings of, 173
practice theory derived from, 441–442, 443t
relationships in, 175–176, 175f
research testing, 464
scientific assumptions of, 173
stress theory and, 317
testability of, 176
usefulness of, 176, 177b
value in extending nursing science, 176–177
Rule of double effect, 368
Rule or principle learning, 419b
Run charts, 402, 495
Rural nursing model, 225t
S
Sacred Cow Contest, 497
“Safeguarding the children” model, in cancer, 457–458
Safety needs, 312
Safety promotion, 496
St. Mary’s (Carondelet) Model, 489
Salient belief, 319
Sample, selecting, 60–61
Satisficing, 396
Saturated data, 61
SBAR. See Situation, background, assessment, recommendation
Scaffolding, 420
SCD. See Sign chi do (SCD) exercises
SCDNT. See Self-Care Deficit Nursing Theory
Schemas, 422–423
Schemes, in Piaget’s development theory, 418
School of Translational Science (Australia), 257
Schools of thought, 119, 120t
Schuler Nurse Practitioner Practice Model, 225t
Science. See also Nursing science
applied vs. pure or basic, 6, 302
characteristics of, 6b
classifications of, 6–7, 6t
definition of, 5–6
overview of, 5–7
perceived view of, 7, 9–11, 11t
philosophies of, 7–11, 8t, 11t
postmodernist view of, 7, 10–11
received view of, 7–9, 11t, 18
Science-based medicine, 254
Science of Unitary and Irreducible Human Beings, 86, 188–192
application in research, 461
assumptions of, 189
background of theorist, 188
comparison with other unitary process theories, 203, 204t
concepts of, 189, 190b, 190t
middle range theories derived from, 213, 215
685
parsimony of, 192
philosophical underpinnings of, 189
practice theory derived from, 443t
relationships in, 189–190
testability of, 192
usefulness of, 191–192, 193b
value in extending nursing science, 192
Science of Unitary Human Beings, 188
Scientific management, 387–388, 388b
Scientific method, in quality management, 494–495
Scientific theory, 84t, 85, 357
Scope and Standards for Nurse Administrators (ANA), 266, 488
Scope of theory, 34–38, 37f, 73–75, 103, 105t, 106
in categorization of grand theories, 118–119
in middle range theories, 211, 224
in theory evaluation, 97
Scorecards, 397, 402
Secondary prevention, 337–338, 338b
Security, in technology-based teaching, 514
Selector, in intrasystem model, 162f, 164
Self
concept of, 280–281
in interpersonal theory, 307–308
in Maslow’s human needs theory, 312–313
in person-centered theory, 314
in Psychoanalytic Theory, 303–305
Self-actualization, 312–315, 313b, 386, 416
Self-actualizing needs, 312
Self-awareness, of leaders, 379
Self-care
in Modeling and Role-Modeling, 167t
Orem’s definition of, 144t
Self-Care, Dependent-Care & Nursing (journal), 145
Self-Care Deficit Nursing Theory (SCDNT), 85, 142–146
application in research, 456t, 461, 466
assumptions, concepts, and relationships in, 143–145, 143f, 144t
background of theorist, 142
as curricular framework, 506
middle range theories derived from, 213, 215, 461
parsimony of, 146
philosophical underpinnings of, 143
testability of, 145, 146b
usefulness of, 145
value in extending nursing science, 146
Self-care in diabetes mellitus, situation-specific theory of, 443t
Self-Care of Chronic Illness, Theory of, 85, 213, 236t, 461
Self-care requisites, 144t
Self-Care Science and Nursing Theory, 143
Self-concept, 307–308, 314, 424, 424b
Self-concept-group identity mode, 175–176, 175f
Self-determination, 366–367
Self-direction, in adult learning, 423–424
686
Self-efficacy
in Health Belief Model, 319, 321t
in Transtheoretical Model, 323
Self-Efficacy in Nursing Theory, 217t
Self-Efficacy Theory, 215, 236t, 318, 447
Self-esteem, and power, 392
Self-esteem needs, 312
Self-help model, 236t
Self-management, as nursing research priority, 527t
Self management/self control, of leaders, 379
Self-organization, 294
Self-rule, in Deontology, 361
Self-Transcendence Theory, 191, 210, 211, 215, 235, 242
application in practice, 242, 248
context for use, 242
evidence of empirical testing, 242
nursing implications of, 242
purpose and concepts of, 242
Self-transcendent needs, 312
Semantic clarity, 101
Semantic consistency, 101
SEMs. See Social-Ecological Models
Sense of coherence (SOC), 160–161, 161t, 162, 164
Sensitive dependence on initial conditions, 293
Sensorimotor stage, 418
Sensory store (memory), 421–422
Sequencing, of curriculum, 507, 508t
Sequential learning, 512
Servant leadership, 387
Setting, selecting, 60–61
Sexism, 282
Sexual subsystem, 148
Shared decision making, 365, 366
Shared governance, 480–482, 483
administrative model of, 481
congressional model of, 481
councilor model of, 481
criticism of, 482
decentralization vs., 480
definition of, 480
outcomes of, 481–482
participation vs., 480
principles of, 480–481
Shared theory. See Borrowed theory
Shortage of nurses, 524, 528, 530
Short-term memory, 421–423
Sick-Nursing and Health-Nursing (Nightingale), 133, 135
Sigma Theta Tau International, 254, 256, 259
Signal learning, 419b
Sign chi do (SCD) exercises, 459
Significant theories, characteristics of, 97
Silent knowledge stage, of nursing theory, 26–30
687
Simplicity/complexity of theory, 97, 101, 103, 105t, 106
Simulation, in nursing education, 512–515, 530
Simultaneity paradigm, 121, 121f, 187
Simultaneous action paradigm, 122, 123t, 125
Single-theory approach, in nursing education, 506
Situation, background, assessment, recommendation (SBAR), 493
Situational control, 383
Situational environment, 161
Situational Leadership Theory, 384
Situational sense of coherence (SSOC), 160–161, 161t, 162, 162f, 164
Situational transitions, 231
Situation-producing theories, 38, 75. See also Prescriptive theories
Situation-relating theories, 38. See also Predictive theories
Situation-specific theories, 28t, 34, 38. See also Practice theories
Six Sigma, 402–404, 495
Skill(s). See also Competencies
of advanced practice nurses, 523, 523b
of generalist nurses, 521, 521b
in today’s health care system, 525, 525t
Skill acquisition
Benner Model of, 224–227, 452
Dreyfus Model of, 83–84, 216, 224
Skinner’s behavioral theory. See Operant conditioning
Skin ulcers, theoretical model for development of, 244t
SLT. See Social Learning Theory
Smoking cessation, 321–322, 447
SOC. See Sense of coherence
Social awareness, of leaders, 379
Social Change, Marx’s Theory of, 288–289
Social Cognitive Theory, 217, 318
Social Constructionism, 275, 280–285
cultural diversity in, 281–283
Role Theory in, 284–285
symbolic interactionism in, 280–281, 281b
Social contract, 369
Social-Ecological Models (SEMs), 274, 275, 276, 277–279, 278f
Social Exchange Theory, 287–288
application to nursing, 288
assumptions of, 286, 287b
central concepts of, 287–288, 288t
Social integrity, 175
Socialist feminism, 291
Social justice, 44
Social Learning Theory (SLT), 417, 419–420
application in research, 459, 466
application to nursing, 420
middle range theory derived from, 217
Social networks, 275, 276, 279–280
application to nursing, 279–280
overview of, 279
resource flows in, 279, 279f
Social psychology, 318–325. See also specific theories
688
application to nursing, 324–325
comparison with other behavioral theories, 326t
Health Belief Model, 318–319, 320f, 321t, 324–325, 326t
Theory of Reasoned Action/Planned Behavior, 318–321, 322f, 324–325, 326t
Transtheoretical Model, 318, 321–323, 322b, 323f, 324b, 325, 326t
Social Readjustment Rating Scale (SRRS), 341, 342
Social sciences, 6, 6t, 18
Social skills/relationship skills, of leaders, 379
Social support, model for, 236t
Social support networks, 279–280
Social Support of Exercise Scale, 466
Sociocultural utility, of theory, 103–104
Sociograms, 279
Sociological imagination, 275
Sociology, 274–300
Chaos Theory in, 275, 292–296
Complex Adaptive Systems in, 275, 292–296
Complexity Science in, 275, 292–296
critical and conflict theories in, 275, 285–286, 288–292
exchange theories in, 275, 279, 285–288
interaction theories in, 280–285
middle range theories of, 208
nursing theories derived from, 78, 78t, 215
Social-Ecological Models in, 274, 275, 276, 277–279, 278f
Systems Theories in, 275–280
Somatic knowledge, 13
Sorrow. See Chronic Sorrow, Theory of
Source of instinct, 304
Space, in Health as Expanding Consciousness, 194–196, 195t
Span of control, 477–478
Special-cause variation, 400, 494
Spiritual Care in Nursing Practice, Theory of, 212, 225t
Spiritual integrity, 175
Spirituality, adaptive, 85–86
Spiritual knowledge, 13
SRRS. See Social Readjustment Rating Scale
SSOC. See Situational sense of coherence
Stability
in Artinian Intersystem Model, 162
in Behavioral System Model, 149t
in Neuman Systems Model, 152t
Stabilizer control processes, 174t
Staff authority, 479
Staffing levels, 487–488
Stage theories, 303.
See also Development stages
Stair-Step Model, of professional identity formation, 359
Standardized patients, 419
Standard of care, middle range theories derived from, 217–218, 218f
State boards of nursing, 503
Statement analysis, 87, 87b
Statement development, 86, 86t, 87
689
Statements, theoretical, 79–81, 80t
Statistical concepts, 51, 52t
Statistical quality control, 400
Status, concept of, 284
Stetler Model of Evidence-Based Practice, 261, 267, 268t, 269t
Stimuli, in Roy Adaptation Model, 174t
Stimuli frame, in Uncertainty in Illness Theory, 235–237
Stimulus–response learning, 419b
Stimulus–Response Model of Learning, 413, 413t
Strange attractor, 293, 294f
Stress
borrowed or shared theories, 78
defined by Lazarus, 317
defined by Selye, 54, 315
in Neuman Systems Model, 150
stages of, 315–316, 316t, 341, 342t
in Theory of Goal Attainment, 171t
Stressor
in Behavioral System Model, 149t
Engles’s responses to, 166
in Neuman Systems Model, 152t
Stress theories, 315–317
active potential assessment model, 166
application to nursing, 317, 342–343
comparison with other behavioral theories, 326t
General Adaptation Syndrome, 166, 315–316, 316t, 326t, 341–343
Stress Coping Adaptation Theory, 173, 215, 316–317, 326t
Theory of Caregiver Stress, 244t
Structural clarity, 101
Structural consistency, 101
Structure
in Behavioral System Model, 149t
in Social Exchange Theory, 287–288, 288t
of theory, 81, 100, 101t
Structure–function relationship, in theory, 102
Structure of Social Action, 143
Structure providers, in Uncertainty in Illness Theory, 235–237
Student-centered teaching, 421
Subjective knowledge stage, of nursing theory, 29t, 30–31
Subjective norms, 319–321
Substantia gelatinosa, 331, 350, 351f
Subsystems, behavioral, 147–148, 149t
Successful Aging, Theory of, 214, 236t, 446–447
Sudden infant death, Web of Causation, 337
Suffering, Theory of, 244t
Sullivan’s interpersonal theory. See Interpersonal theory
Summative concepts, 51, 52t
Sunrise Model, Leininger’s, 227
Superego, 303–305
Supervision, as nursing competency, 525t
Supportive leader, 384
Surrogate terms, 61
690
Survey list, 77, 77b
Symbol(s), 280
Symbolic interactionism, 280–281
application to nursing, 281
assumptions of, 280, 281b
overview of, 280–281
Symptom cluster experience profile, 78
Symptom science, 527t
Synchronous delivery/technology, 512–513
Synergy Model, 95, 233–234
application in practice, 234, 235b, 248, 448, 449t
application in research, 466
context for use, 234
evidence of empirical testing, 234
nurse competencies in, 233–234, 234b
nursing implications of, 234
outcomes in, 234
patient characteristics in, 233–234, 234b
purpose and concepts of, 233–234
Syntaxic cognition, 308
Syntax of theory, 98
Synthesizing, in concept development, 65, 65t
Systems
adaptive, 294
in Behavioral System Model, 149t
deterministic, 295
dynamical, 293–295, 295b
elements of, 276, 276f
equilibrium in, 276
Systems Framework (King), 160, 168–172
Systems Model, Neuman’s. See Neuman Systems Model
Systems theories, 143, 160, 275–280
Complexity Science in, 275, 276, 292–296
General Systems Theory, 276–277, 276f, 277b
Social-Ecological Models in, 274, 275, 276, 277–279, 278f
social networks in, 275, 276, 279–280, 279f
T
Tactual learning style, 426–427
Task behavior, 384
Task simplification, 485
Task structure, 383, 383b
Tautology, 102
Taxonomy, 75–76
application of theory in, 444–446
definition of, 28t
Taylor’s principles of management, 387, 388b
Teachers College of Columbia University, nursing doctoral program of, 30
Teaching
definition of, 411
Gagne’s concept of, 419
as nurse’s role, 410
691
in nursing education, 509–515
dialectic, 510–511
logistic, 510, 512
operational, 510, 511–512
problem-based, 510, 511, 530
technology-based, 510, 512–515
theory-based strategies in, 510–512
student-centered, 421
tools for. See Learning theories
Team nursing, 483, 484
Technology
as nursing competency, 525t
in nursing education, 510, 512–515, 530
in nursing practice, 531
Teleology, 102
Tension, in Behavioral System Model, 149t
Tertiary prevention, 337–338, 338b
Testability of theory, 95, 97, 98, 105t, 106, 126
Abdellah’s, 142
Artinian Intersystem Model, 164
Health as Expanding Consciousness, 196–197
Henderson’s, 138
Humanbecoming Paradigm, 200–202, 201t–202t
Human Caring Science, 182
Johnson’s, 149–150
middle range theories, 210t
Modeling and Role-Modeling, 168
Neuman Systems Model, 154
Nightingale’s, 136
Orem’s, 145, 146b
Roy Adaptation Model, 176
Science of Unitary and Irreducible Human Beings, 192
Theory of Goal Attainment, 172
Testing, empirical, of theories or models, 84t, 85–86, 459, 461–464
Benner’s Model of Skill Acquisition, 226–227
Leininger’s cultural care diversity and universality theory, 228–229, 228b
Maternal Role Attainment/Becoming a Mother, 247
Pender’s Health Promotion Model, 229–230
Postpartum Depression Theory, 245–246
Self-Transcendence Theory, 242
Synergy Model, 234
Theory of Chronic Sorrow, 245
Theory of Comfort, 239–240
Theory of Unpleasant Symptoms, 241
Transitions Theory, 233
Uncertainty in Illness Theory, 237–238
The Future of Nursing (IOM), 4, 439, 520b, 521
The Joint Commission (TJC), 282, 398
The Nicomachean Ethics (Aristotle), 358
Theoretically defined concepts, 53, 53t, 79, 80
Theoretical models, 81–82
Theoretical phase, of concept development, 61–62, 63t
692
Theoretical statements, 79–81, 80t
Theorists, background of, 124–125
Abdellah, 139
Artinian, 160
Erickson, 165
Fawcett, 125
Fitzpatrick, 125
Henderson, 136–137
Johnson, 147
King, 169
Neuman, 150–151
Newman, 125, 193–194
Nightingale, 133–134
Orem, 142
Orlando, 125
Parse, 125, 198
Peplau, 125
Rogers, 125, 188
Roy, 173
Swain, 165
Tomlin, 165
Watson, 178
Theorists, publications of, 35t–36t
Abdellah’s, 141, 141b
Johnson’s, 147, 147b, 148
Neuman’s, 150
Newman’s, 193
Nightingale’s, 26, 35t, 134–135
Orem’s, 145
Parse’s, 198
Watson’s, 177
Theorists, schools of thought, 119, 120t
Theory(ies). See also specific theories, types of theories, and models
assumptions of, 81, 100, 101t, 105t. See also Assumptions
borrowed or shared, 78, 78t.
See also specific disciplines and theories
application in nursing practice, 78, 78t, 446–447
application in nursing research, 78, 78t, 453, 466, 467–468
definition of, 27t, 302
future issues on, 524
practice theories derived from, 441
vs. unique, 40, 302, 453, 467
classification of, 34–40, 73–78, 99–100
components of, 79–82, 100, 101t
concept development and, 57, 86–87, 86t
concepts and conceptual definitions of, 79
definitions of, 24–25, 28t, 38
and evidence-based practice, 77, 258, 259–260, 259f, 442
historical overview of, 26–34
in humanities vs. philosophy, 357
implied, 442–444, 446–447
importance in nursing, 23, 25
693
internal dimensions of, 102
nursing education on, 439
of nursing vs. for nursing, 467–468
origins of, 95, 99, 101–102, 105t, 106
overview of, 24–25
practice relationship with, 435–436, 436b
as process and product, 435
purpose of, 79, 100, 101t, 105t, 435
relationships among levels of, 75, 75f
research relationship with, 454–456
scope of, 34–38, 37f, 73–75
significant, characteristics of, 97
source or discipline of, 73
structure and linkages of, 81, 100, 101t
terminology of, 26, 27t–28t
types or purpose of, 38–40, 73, 75–78
Theory analysis, 96, 107b.
See also Theory evaluation
Duffey and Muhlenkamp’s method for, 97t, 98, 98b
Fawcett’s method for, 97t, 99–100
Meleis’s method for, 97t, 101–102
middle range theories, 219, 523
Theory of Chronic Sorrow, 109–111
Walker and Avant’s method for, 97t, 99, 100t
Whall’s method for, 97t, 102–103, 104t, 219
Theory-based nursing practice, 436–437
Theory building, 73
Theory construction, 73, 86, 86t, 87–88
Theory critique, 101–102.
See also Theory evaluation
Theory description, 96, 107b
Chinn and Kramer’s method for, 97t, 100–101, 101t
Meleis’s method for, 97t, 101–102
Theory of Chronic Sorrow, 109
Theory development, 72–93
approaches to, 83–86, 84t
concept development in, 57, 86–87, 86t
exemplar of, 90–92
future issues in, 523–524
integrated approach in, 86
King’s writings on, 168
middle range theories, 211–219, 212b, 523
overview of, 73
practice-to-theory, 84–85, 84t
process of, 86–88, 86t
relationship among theory, research, and practice, 82–83, 82f, 524
research-to-theory, 84t, 85, 459, 460–461
stages, in nursing, 26–34, 29t
statement development in, 86, 86t, 87
testing in research, 84t, 85–86
theory-to-practice-to-theory, 83–84, 84t
theory-to-research-to-theory, 84t, 85–86
694
validation and application in practice, 86, 86t, 88
Theory evaluation, 94–113
Barnum’s method for, 97t, 99, 99b, 105t, 106
Chinn and Kramer’s method for, 97t, 100–101, 101t, 105t, 106
comparison of methods, 104–106, 105t
criteria for, 95, 97–98, 99b, 104–106, 105t
definition of, 95
Dudley-Brown’s method for, 97t, 103–104, 105t, 106
Duffey and Muhlenkamp’s method for, 97t, 98, 98b
Ellis’s method for, 97, 97t, 105t, 106, 124
exemplar of, 108–111
Fawcett’s method for, 97t, 99–100, 105t, 106, 124
grand theories, 106, 124–127, 125b
Hardy’s method for, 97–98, 97t, 105t, 106, 124
historical overview of, 96–104, 97t
Meleis’s method for, 97t, 101–102, 105t, 106
middle range theories, 219, 523
publications on, 97t
purpose of, 95–96, 127–128
single-phase, 96
synthesized method for, 106, 107b, 219
three-phase, 96
two-phase, 96, 98
Walker and Avant’s method for, 97t, 99, 100t, 105t, 106, 124
Whall’s method for, 94, 97t, 102–103, 104t, 105t, 106, 219
Theory fitting, 464–465
Theory-generating research, 84t, 85–86, 459–461
exemplar of, 460–461
nursing studies, 461
process of, 460
Theory generation, 73. See also Theory development
Theory-guided evidence-based practice, 260
Theory–practice gap, 437–440
changing health care system and, 440
closing, 439–440
nursing education and, 439
reasons for, 437–439
theorist vs. practitioner in, 439
Theory synthesis, 87–88, 88b, 212, 214–217
Theory-testing research, 84t, 85–86, 459, 461–464
criteria for evaluating, 462, 462b
exemplar, 463–464
lack of clarity on, 462
nursing studies, 464
process of, 462
Theory X on leadership, 381
Theory Y on leadership, 381
The Principles of Scientific Management (Taylor), 387
Therapeutic milieu, 309
Therapeutic self-care demand, 144t
Therapeutic touch, 192
Think Aloud strategy, 514
695
“Third force” psychologists, 420
Threading, in curriculum, 508
Throughput, in systems, 276, 276f
Tidal model, 225t
Time
in Health as Expanding Consciousness, 194–196, 195t
in Human Caring Science, 180t
in technology-based teaching, 514
Time-flow analyses, 397
TJC. See The Joint Commission (TJC)
To Err Is Human (IOM), 493
Top-level managers, 479
Totality paradigm, 121, 121f
Total patient care (functional nursing), 483–484
Total quality (TQ), 398
Total quality control, 400
Total quality management (TQM), 398
Total quality systems (TQS), 398
Touch, therapeutic, 192
TPB. See Planned Behavior, Theory of
TRA. See Reasoned Action, Theory of
Trait theories, of leadership, 377–378
Transaction, in Theory of Goal Attainment, 171t
Transactional leadership, 385
Transactional process, 168–172
Transcendence. See Self-Transcendence Theory
Transcultural nursing, 227–229
Transformational leadership, 385–386, 482–483
in Magnet Recognition Program, 483, 489
nurse competencies in, 483
results vs. process of, 482
strategies for, 482, 482b
Transforming, 199
Transforming Presence: The Difference Nursing Makes (Newman), 193
Transgenerational Transmission of Violence Theory, 216–217
Transitions
Meleis’s definition of, 231
in nursing metaparadigm, 44
Transitions Theory, 215–216, 230–233
application in practice, 233, 448
application in research, 458
context for use, 232–233
evidence of empirical testing, 233
nursing implications of, 232–233
practice theory derived from, 443t
purpose and concepts of, 231–232, 232f
Transition to Adulthood, 443t
Translational research, 32
Transpersonal caring, 180t, 181, 207
Transtheoretical Model, 318, 321–323, 456t
comparison with other behavioral theories, 326t
processes of change in, 323, 324b
696
stages of change in, 321–323, 322b, 323f
Triple Aim, 492–493
True presence concept, 199–200, 203
Truth-telling, 370
TTM. See Transtheoretical Model
Tuskegee Study, 365
Two-Factor Theory, Herzberg’s, 381–382, 449t
Tyler Curriculum Development Model, 503–504
Typology, 75–76
U
UAP. See Unlicensed assistive personnel
Uncertainty, negotiating, 441–442
Uncertainty in Illness Scale, 237
Uncertainty in Illness Theory, 211, 216, 235–238, 237f
application in practice, 237–238
context for use, 237
evidence of empirical testing, 237–238
nursing implications of, 237
purpose and concepts of, 235–237
Uncertainty Scale for Kids, 237
Understanding, theory’s contribution to, 98, 105t, 106
Unfreezing, in Planned Change Theory, 393
Unitary Man, Theory of, 188, 189
Unitary man/human beings, Rogers’s theories of, 86, 188–192. See also Science of Unitary and Irreducible
Human Beings
Unitary process theories, 125, 187–206. See also specific theories
comparison of, 203, 204t
Health as Expanding Consciousness, 193–197
Humanbecoming Paradigm, 121, 198–203
interactive theories vs., 160
Science of Unitary and Irreducible Human Beings, 188–192
Science of Unitary Human Beings, 188
theorists of, 123–124, 124t
Watson’s Human Caring Science and, 177–178
Unitary–transformative paradigm, 121–122
U.S. Preventative Services Task Force, 255, 257
U.S. Public Health Service, 319
Universal self-care requisites, 144t
University of Pittsburgh, nursing doctoral program of, 30
University of Texas Health Science Center at San Antonio, evidence-based practice model of, 261–263, 262b,
262f, 269t
Unlicensed assistive personnel (UAP), 484
Unpleasant Symptoms, Theory of, 211, 212, 235, 240–241, 241f
application in practice, 241, 248
context for use, 241
evidence of empirical testing, 241
nursing implications of, 241
purpose and concepts of, 240
Urinary catheterization, intermittent, 445, 445t
Urinary Incontinence and Frequency Comfort Questionnaire, 240
Use, context for
697
Benner Model of Skill Acquisition, 226
Leininger’s cultural care diversity and universality theory, 227
Maternal Role Attainment/Becoming a Mother, 247
Pender’s Health Promotion Model, 229
Postpartum Depression Theory, 245
Self-Transcendence Theory, 242
Synergy Model, 234
Theory of Chronic Sorrow, 243
Theory of Comfort, 238–239
Theory of Unpleasant Symptoms, 241
Transitions Theory, 232–233
Uncertainty in Illness Theory, 237
Usefulness of theory, 95, 97, 98, 102, 103–104, 105t, 106, 126
Abdellah’s patient-centered approach, 141
Artinian Intersystem Model, 164
Health as Expanding Consciousness, 196, 197b
Henderson’s, 138
Humanbecoming Paradigm, 200, 203b
Human Caring Science, 181, 183b
Johnson’s, 149
Modeling and Role-Modeling, 167, 168b
Neuman Systems Model, 153, 155b
Nightingale’s, 135
Orem’s, 145
Roy Adaptation Model, 176, 177b
Science of Unitary and Irreducible Human Beings, 191–192, 193b
Theory of Goal Attainment, 171–172
Utilitarianism, 286, 360, 361–363
application to nursing, 362–363
Deontology vs., 362
historic example of, 363
V
Valence, 390
Validity of theory, 95, 105t, 106
Value assumptions, 81
Valuing, in Humanbecoming Paradigm, 199
Variable(s), 52–53
Variance analysis, 494
Veil of Ignorance, 361
Veracity, 370
Verbal association, in Gagne’s learning theory, 419b
Verbal Rating Scale Questionnaire, 240
Vicarious learning, 420
Videoconferencing, 512–515, 530
Virtual communities/classrooms, 512–515
Virtue Ethics, 358–360
Visionary leadership, 378, 385
Visions: The Journal of Rogerian Nursing Science, 192
Visual learning style, 426–427
Visual representation, 102
Vulnerability, in Self-Transcendence Theory, 242
698
W
Watson Caring Science Institute (WCSI), 178, 179b
Web-based (online) courses, 510, 512–515, 530
Weber’s principles of management, 388
Web of Causation, 335–337, 336f
Weight Management, Theory of, 213
Well-being, in Self-Transcendence Theory, 242
Wellness, as nursing research emphasis, 527t
Wellness/illness, in Neuman Systems Model, 152t
Western Journal of Nursing Research, 453
Working definition, 62
Working (short-term) memory, 421–423
Work specialization, 476–477
World Medical Association, Declaration of Helsinki, 364–365
Worldviews, 34
definition of, 28t
grand theories categorized by, 119–123, 121f
metatheory, 34, 73–74, 75, 75f
nursing theory, 25
perceived, 7, 9–11, 11t
postmodern, 7, 10–11, 11t
received, 7–9, 11t
theory evaluation, 99
X
Xerox Corporation, benchmarking in, 495
Y
Yale University School of Nursing, 29–30
Z
Zika virus infection, 334
699
Unit I: Introduction to Theory
1. Philosophy, Science, and Nursing
Case Study
Nursing as a Profession
Nursing as an Academic Discipline
Introduction to Science and Philosophy
Overview of Science
Overview of Philosophy
Science and Philosophical Schools of Thought
Received View (Empiricism, Positivism, Logical Positivism)
Contemporary Empiricism/Postpositivism
Nursing and Empiricism
Perceived View (Human Science, Phenomenology, Constructivism, Historicism)
Nursing and Phenomenology/Constructivism/Historicism
Postmodernism (Poststructuralism, Postcolonialism)
Nursing and Postmodernism
Nursing Philosophy, Nursing Science, and Philosophy of Science in Nursing
Nursing Philosophy
Nursing Science
Philosophy of Science in Nursing
Knowledge Development and Nursing Science
Epistemology
Ways of Knowing
Nursing Epistemology
Other Views of Patterns of Knowledge in Nursing
Summary of Ways of Knowing in Nursing
Research Methodology and Nursing Science
Nursing as a Practice Science
Nursing as a Human Science
Quantitative Versus Qualitative Methodology Debate
Quantitative Methods
Qualitative Methods
Methodologic Pluralism
Summary
Key Points
Learning Activities
2. Overview of Theory in Nursing
Overview of Theory
The Importance of Theory in Nursing
Terminology of Theory
Historical Overview: Theory Development in Nursing
Florence Nightingale
Stages of Theory Development in Nursing
Silent Knowledge Stage
Received Knowledge Stage
Subjective Knowledge Stage
Procedural Knowledge Stage
Constructed Knowledge Stage
Integrated Knowledge Stage
Summary of Stages of Nursing Theory Development
Classification of Theories in Nursing
Scope of Theory
Metatheory
Grand Theories
Middle Range Theories
Practice Theories
Type or Purpose of Theory
Descriptive (Factor-Isolating) Theories
Explanatory (Factor-Relating) Theories
Predictive (Situation-Relating) Theories
Prescriptive (Situation-Producing) Theories
Issues in Theory Development in Nursing
Borrowed Versus Unique Theory in Nursing
Nursing’s Metaparadigm
Relationships Among the Metaparadigm Concepts
Other Viewpoints on Nursing’s Metaparadigm
Caring as a Central Construct in the Discipline of Nursing
Summary
Key Points
Learning Activities
3. Concept Development: Clarifying Meaning of Terms
The Concept of “Concept”
Types of Concepts
Abstract Versus Concrete Concepts
Variable (Continuous) Versus Nonvariable (Discrete) Concepts
Theoretically Versus Operationally Defined Concepts
Sources of Concepts
Concept Analysis/Concept Development
Purposes of Concept Development
Context for Concept Development
Concept Development and Conceptual Frameworks
Concept Development and Research
Strategies for Concept Analysis and Concept Development
Walker and Avant
Concept Analysis
Concept Synthesis
Concept Derivation
Examples of Concept Analysis Using Walker and Avant’s Techniques
Rodgers
Schwartz-Barcott and Kim
Theoretical Phase
Fieldwork Phase
Analytical Phase
Meleis
Concept Exploration
Concept Clarification
Concept Analysis
Morse
Concept Delineation
Concept Comparison
Concept Clarification
Penrod and Hupcey
Comparison of Models for Concept Development
Summary
Key Points
Learning Activities
4. Theory Development: Structuring Conceptual Relationships in Nursing
Overview of Theory Development
Categorizations of Theory
Categorization Based on Scope or Level of Abstraction
Philosophy, Worldview, or Metatheory
Grand Theories
Middle Range Theories
Practice Theories
Relationship Among Levels of Theory in Nursing
Categorization Based on Purpose
Descriptive Theories
Explanatory Theories
Predictive Theories
Prescriptive Theories
Categorization Based on Source or Discipline
Components of a Theory
Purpose
Concepts and Conceptual Definitions
Theoretical Statements
Existence Statements
Relational Statements
Structure and Linkages
Assumptions
Models
Theory Development
Relationship Among Theory, Research, and Practice
Relationship Between Theory and Research
Relationship Between Theory and Practice
Relationship Between Research and Practice
Approaches to Theory Development
Theory to Practice to Theory
Practice to Theory
Research to Theory
Theory to Research to Theory
Integrated Approach
Process of Theory Development
Concept Development: Creation of Conceptual Meaning
Statement Development: Formulation and Validation of Relational Statements
Theory Construction: Systematic Organization of the Linkages
Validating and Confirming Theoretical Relationships in Research
Validation and Application of Theory in Practice
Summary
Key Points
Learning Activities
5. Theory Analysis and Evaluation
Definition and Purpose of Theory Evaluation
Theory Description
Theory Analysis
Theory Evaluation
Historical Overview of Theory Analysis and Evaluation
Characteristics of Significant Theories: Ellis
Theory Evaluation: Hardy
Theory Analysis and Theory Evaluation: Duffey and Muhlenkamp
Theory Evaluation: Barnum
Theory Analysis: Walker and Avant
Theory Analysis and Evaluation: Fawcett
Theory Description and Critique: Chinn and Kramer
Theory Description, Analysis, and Critique: Meleis
Analysis and Evaluation of Practice Theory, Middle Range Theory, and Nursing Models: Whall
Theory Evaluation: Dudley-Brown
Comparisons of Methods
Synthesized Method of Theory Evaluation
Summary
Key Points
Learning Activities
Unit II: Nursing Theories
6. Overview of Grand Nursing Theories
Categorization of Conceptual Frameworks and Grand Theories
Categorization Based on Scope
Categorization Based on Nursing Domains
Categorization Based on Paradigms
Parse’s Categorization
Newman’s Categorization
Fawcett’s Categorization
Specific Categories of Models and Theories for This Unit
Analysis Criteria for Grand Nursing Theories
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
The Purpose of Critiquing Theories
Summary
Key Points
Learning Activities
7. Grand Nursing Theories Based on Human Needs
Florence Nightingale: Nursing: What It Is and What It Is Not
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Virginia Henderson: The Principles and Practice of Nursing
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Assumptions
Concepts
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Faye G. Abdellah: Patient-Centered Approaches to Nursing
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Assumptions
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Dorothea Orem: The Self-Care Deficit Nursing Theory
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Dorothy Johnson: The Behavioral System Model
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Assumptions
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Betty Neuman: The Neuman Systems Model
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Summary
Key Points
Learning Activities
8. Grand Nursing Theories Based on Interactive Process
Barbara Artinian: The Intersystem Model
Background of the Theorist
Philosophic Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Assumptions
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Helen C. Erickson, Evelyn M. Tomlin, and Mary Ann P. Swain: Modeling and Role-Modeling
Background of the Theorists
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Imogene King: King’s Conceptual System and Theory of Goal Attainment and Transactional Process
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Assumptions
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Sister Callista Roy: The Roy Adaptation Model
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Jean Watson: Human Caring Science, A Theory of Nursing
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Assumptions
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Summary
Key Points
Learning Activities
9. Grand Nursing Theories Based on Unitary Process
Martha Rogers: The Science of Unitary and Irreducible Human Beings
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Margaret Newman: Health as Expanding Consciousness
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Rosemarie Parse: The Humanbecoming Paradigm
Background of the Theorist
Philosophical Underpinnings of the Theory
Major Assumptions, Concepts, and Relationships
Concepts
Relationships
Usefulness
Testability
Parsimony
Value in Extending Nursing Science
Summary
Key Points
Learning Activities
10. Introduction to Middle Range Nursing Theories
Purposes of Middle Range Theory
Characteristics of Middle Range Theory
Concepts and Relationships for Middle Range Theory
Categorizing Middle Range Theory
Development of Middle Range Theory
Middle Range Theories Derived From Research and/or Practice
Middle Range Theory Derived From a Grand Theory
Middle Range Theory Combining Existing Nursing and Non-Nursing Theories
Middle Range Theory Derived From Non-Nursing Disciplines
Middle Range Theory Derived From Practice Guidelines or Standard of Care
Final Thoughts on Middle Range Theory Development
Analysis and Evaluation of Middle Range Theory
Summary
Key Points
Learning Activities
11. Overview of Selected Middle Range Nursing Theories
High Middle Range Theories
Benner’s Model of Skill Acquisition in Nursing
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Leininger’s Cultural Care Diversity and Universality Theory
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Pender’s Health Promotion Model
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Transitions Theory
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
The Synergy Model
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Middle Middle Range Theories
Mishel’s Uncertainty in Illness Theory
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Kolcaba’s Theory of Comfort
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Lenz and Colleagues’ Theory of Unpleasant Symptoms
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Reed’s Self-Transcendence Theory
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Low Middle Range Theories
Eakes, Burke, and Hainsworth’s Theory of Chronic Sorrow
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Beck’s Postpartum Depression Theory
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Mercer’s Conceptualization of Maternal Role Attainment/Becoming a Mother
Purpose and Major Concepts
Context for Use and Nursing Implications
Evidence of Empirical Testing and Application in Practice
Summary
Key Points
Learning Activities
12. Evidence-Based Practice and Nursing Theory
Overview of Evidence-Based Practice
Definition and Characteristics of Evidence-Based Practice
Concerns Related to Evidence-Based Practice in Nursing
Evidence-Based Practice and Practice-Based Evidence
Promotion of Evidence-Based Practice in Nursing
Theory and Evidence-Based Practice
Theoretical Models of Evidence-Based Practice
Academic Center for Evidence-Based Practice Star Model of Knowledge Transformation
Advancing Research and Clinical Practice Through Close Collaboration Model
The Iowa Model of Evidence-Based Practice to Promote Quality Care
The Johns Hopkins Nursing Evidence-Based Practice Model
Stetler Model of Evidence-Based Practice
Theoretical Models: A Summary
Summary
Key Points
Learning Activities
Unit III: Shared Theories Used by Nurses
13. Theories From the Sociologic Sciences
Systems Theories
General Systems Theory
Overview
Application to Nursing
Social Ecological Models
Overview
Application to Nursing
Social Networks
Overview
Application to Nursing
Social Construction and Interaction Theories
Symbolic Interactionism
Overview
Application to Nursing
Cultural Diversity
Overview
Application to Nursing
Role Theory
Overview
Application to Nursing
Exchange Theories, Conflict and Critical Theories
Exchange Theories
Historical Overview
Modern Social Exchange Theories
Application to Nursing
Conflict and Critical Theories
Critical Social Theory
Feminist Theory
Complexity Science, Chaos Theory and Complex Adaptive Systems
Chaos Theory
Complex Adaptive Systems
Application to Nursing
Summary
Key Points
Learning Activities
14. Theories From the Behavioral Sciences
Psychodynamic Theories
Psychoanalytic Theory: Freud
Overview
Application to Nursing
Developmental (or Ego Developmental) Theory: Erikson
Overview
Application to Nursing
Interpersonal Theory: Sullivan
Overview
Application to Nursing
Behavioral and Cognitive-Behavioral Theories
Operant Conditioning: Skinner
Cognitive Theory: Beck
Rational Emotive Theory: Ellis
Application of Behavioral and Cognitive-Behavioral Theories to Nursing
Humanistic Theories
Human Needs Theory: Maslow
Overview
Application to Nursing
Person-Centered Theory: Rogers
Overview
Application to Nursing
Stress Theories
General Adaptation Syndrome: Selye
Stress, Coping, and Adaptation Theory: Lazarus
Application of Stress Theories to Nursing
Social Psychology
Health Belief Model
Theory of Reasoned Action (Theory of Planned Behavior)
Transtheoretical Model and Stages of Change
Application of Social Psychology Theories to Nursing
Summary
Key Points
Learning Activities
15. Theories From the Biomedical Sciences
Theories and Models of Disease Causation
Evolution of Theories of Disease Causation
Germ Theory and Principles of Infection
Overview
Application to Nursing
The Epidemiologic Triangle
The Web of Causation
Overview
Application to Nursing
Natural History of Disease
Overview
Application to Nursing
Theories and Principles Related to Physiology and Physical Functioning
Homeostasis
Overview
Application to Nursing
Stress and Adaptation: General Adaptation Syndrome
Overview
Application to Nursing
Theories of Immunity and Immune Function
Overview
Application to Nursing
Genetic Principles and Theories
Overview
Application to Nursing
Cancer Theories
Overview
Application to Nursing
Pain Management
Gate Control Theory
Application to Nursing
Summary
Key Points
Learning Activities
16. Ethical Theories and Principles
Ethics and Philosophy: An Overview
Theory in the Humanities and Philosophy
Ethics Versus Morality
Philosophical Theories of Ethics
Virtue Ethics
Background
Application in Nursing
Modern Ethical Theories
Deontology
Utilitarianism
Deontology and Utilitarianism—A Summary
Application to Nursing
Bioethical Principles
Historical Perspective on the Bioethical Principles
Autonomy
Overview
Application to Nursing
Beneficence
Overview
Application to Nursing
Nonmaleficence
Overview
Application to Nursing
Justice
Overview
Application to Nursing
Other Bioethical Principles
Ethical Decision Making
Overview
Application to Nursing
Summary
Key Points
Learning Activities
17. Theories, Models, and Frameworks From Leadership and Management
Overview of Concepts of Leadership and Management
Early Leadership Theories
Trait Theories of Leadership
Emotional Intelligence
Behavioral Theories of Leadership
Leader–Member Exchange Theory
Motivational Theories of Leadership
Theory X and Theory Y
Motivation–Hygiene Theory (Herzberg’s Two-Factor Theory)
Contingency Theories of Leadership: Leadership and Management by Situation
The Fiedler Contingency Theory of Leadership
Path–Goal Theory
Situational Leadership Theory
Contemporary Leadership Theories
Transactional and Transformational Leadership
Authentic Leadership
Charismatic Leadership
Servant Leadership
Followership Theory
Organizational/Management Theories
Scientific Management
Theory of Bureaucracy/Organizational Theory
Classic Management Theory
Motivational Theories
Achievement–Motivation Theory
Expectancy Theory
Equity Theory
Concepts of Power, Empowerment, and Change
Power
Empowerment
Change
Planned Change Theory
Resilience
Problem-Solving and Decision-Making Processes
The Rational Decision-Making Model
Group Decision Making
Organizational Quantitative Decision-Making Techniques
Conflict Management
Quality Improvement
The Case for Quality Improvement in Health Care
Quality Improvement Frameworks
Quality Improvement Processes and Tools
Evidence-Based Practice
Summary
Key Points
Learning Activities
18. Learning Theories
What Is Learning?
What Is Teaching?
Categorization of Learning Theories
Behavioral Learning Theories
Overview
Application to Nursing
Cognitive Learning Theories
Cognitive-Field (Gestalt) Theories
Overview
Application to Nursing
Cognitive Development or Interaction Theories
Piaget
Gagne
Bandura
Humanistic Learning Theory
Rogers
Information-Processing Models
Cognitive Load Theory
Application to Nursing
Adult Learning
Overview
Application to Nursing
Summary of Learning Theories
Learning Styles
Principles of Learning
Application of Learning Theories in Nursing
Summary
Key Points
Learning Activities
Unit IV: Application of Theory in Nursing
19. Application of Theory in Nursing Practice
Relationship Between Theory and Practice
Theory-Based Nursing Practice
The Theory–Practice Gap
Closing the Theory–Practice Gap
Situation-Specific/Practice Theories in Nursing
Definition and Characteristics of Situation-Specific/Practice Theories
Examples of Practice and Situation-Specific Theories From Nursing Literature
Situation-Specific Theory and Evidence-Based Practice
Application of Theory in Nursing Practice
Theory in Nursing Taxonomy: Examples From the Nursing Intervention Classification System
Urinary Catheterization: Intermittent
Patient Contracting
Examples of Theory From Nursing Literature
Application of “Borrowed” and “Implied” Theories in Nursing Practice
Application of Grand and Middle Range Theories in Nursing Practice
Summary
Key Points
Learning Activities
20. Application of Theory in Nursing Research
Historical Overview of Research and Theory in Nursing
Relationship Between Research and Theory
Nursing Research
Purpose of Theory in Research
The Research Framework
Types of Theory and Corresponding Research
Descriptive Theory and Descriptive Research
Overview
Nursing Studies
Explanatory Theory and Correlational Research
Overview
Nursing Studies
Predictive Theory and Experimental Research
Overview
Nursing Studies
How Theory Is Used in Research
Theory-Generating Research
Overview
Nursing Studies
Theory-Testing Research
Overview
Nursing Studies
Theory as the Conceptual Framework or Context of a Study
Overview
Nursing Studies
Nursing and Non-Nursing Theories in Nursing Research
Rationale for Using Nursing Theories in Nursing Research
Concerns Over Reliance on Nursing Models to Direct Nursing Research
Other Issues in Nursing Theory and Nursing Research
The Research Report
Nursing’s Research Agenda
Summary
Key Points
Learning Activities
21. Application of Theory in Nursing Administration and Management
Organizational Design
Work Specialization
Chain of Command
Span of Control
Authority and Responsibility
Centralization Versus Decentralization
Departmentalization
Shared Governance
Transformational Leadership in Nursing and in Health Care
Patient Care Delivery Models
Total Patient Care (Functional Nursing)
Team Nursing
Primary Nursing
Patient-Focused Care/Patient-Centered Care
Use of Patient Care Delivery Models Today
American Nurses Credentialing Center Magnet Recognition Program
Case Management
Disease/Chronic Illness Management
Disease Management Models
Population Health Accountable Care Organizations and Medical Home Models of Care
Quality Management
Evidence-Based Practice
Summary
Key Points
Learning Activities
22. Application of Theory in Nursing Education
Theoretical Issues in Nursing Curricula
Curriculum Design in Nursing Education
Nursing Curricula and Regulating Bodies
Conceptual/Organizational Frameworks for Nursing Curricula
Purposes of the Conceptual Framework
Designing a Curriculum Conceptual Framework
Components of the Curricular Conceptual Framework
Patterns of Curricular Conceptual Frameworks
Current Issues in Curriculum Development
Theoretical Issues in Nursing Instruction
Theory-Based Teaching Strategies
Dialectic Learning
Problem-Based Learning Strategies
Operational Teaching Strategies
Logistic Teaching Strategies
Use of Technology in Nursing Education
Issues in Technology-Based Teaching
Summary
Key Points
Learning Activities
23. Future Issues in Nursing Theory
Future Issues in Nursing Science
Future Issues in Nursing Theory
Implications for Theory Development
Theoretical Perspectives on Future Issues in Nursing Practice, Research, Administration and Management, and Education
Future Issues and Nursing Practice
Theoretical Implications for Nursing Practice
Future Issues and Nursing Research
Theoretical Implications for Nursing Research
Future Issues and Nursing Leadership and Administration
Theoretical Implications for Nursing Administration and Management
Future Issues and Nursing Education
Theoretical Implications for Nursing Education
Summary
Key Points
Learning Activities
Glossary
Author Index
Subject Index
