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Science Quarterly

Concepts: Essential Elements of Theories

Imogene M. King
Nurs Sci Q 1988 1: 22
DOI: 10.1177/089431848800100107

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 Concepts:
Essential Elements of Theories
IMOGENE M. KING, RN, EDD*

One approach to building nursing knowledge is the identification of

relevant concepts that describe the structure of the discipline. The
development and validation of concepts in nursing build scientific knowl-
edge of the discipline. Concepts are essential elements of theories. The-
ories provide an approach to describe, explain, and predict phenomena
to strengthen the scientific basis of nursing. Concepts are the categories
of a theory that serve as guides for making observations in the empirical
world. The focus of this article is the nature and function of concepts. A
process for developing concepts is presented and one of the critical
concepts in the authors theory of goal attainment, transactions, is used
to demonstrate the process of concept development through research.

The overall function of theory is to describe,

explain, and predict phenomena to build nurs- What Is
Concept? a

ing knowledge. This function is carried out
through research that tests hypotheses, an-
swers research questions, or provides qualita-
tive data about phenomena in nursing.
One definition of theory that is quoted fre-
quently is: &dquo;a theory is a set of interrelated
constructs (concepts), definitions, and propo-
sitions that presents a systematic view of phe-
nomena by specifying relationships among
variables with the purpose of explaining and
predicting the phenomena&dquo; (Kerlinger, 1973,
p. 9). A theory is a body of propositions, a set
of concepts. A concept is an idea, an abstrac-
tion. In a theory, concepts are the terms to
which meaning has been assigned. The road
to testing theory is paved with concepts, the
categories of a theory, the building blocks, the
essential elements, the foundation for devel-
opment of scientific theories. They serve as a
guide for observations in the empirical world.
The focus of this article is to share some ob-
servations about the nature and function of
concepts and to demonstrate a process for de-
veloping concepts. An example of developing
one of the critical concepts of a theory through
research (King, 1981) is reviewed.
Logic involves mental operations of human
beings, one of which is conception (Cohen. &
Nagel, 1962). Conception is knowing some-
thing beyond the level of sensation (Inhelder
& Piaget, 1964). A concept is an abstraction
that provides knowledge about the essence of
things,; to know facts is to know that certain
things are applied. Theory construction and
testing require some understanding of the na-
ture of a concept.
Nature of concepts
A concept is a mental image of a thing, a
person, or an object. It is an idea in ones mind
formed by a generalization from specific con-
crete experiences (Kaplan, 1964). Ideas are
classified as or concrete (e.g.,
(a) particular
rain or (b) universal or abstract (e.g.,
pain) or
weather or health). Concepts are shared
through words, which are the symbols used to
express concepts. Initially, one communicates
ideas through language, which is composed of
words.

Key Words: Concept, Theory, Concept Development, Some words, such as government, person, or
Transactions culture, in a language deal with concepts, uni-
*
Received October 9, 1987 versal terms that characterize properties and
Accepted October 23, 1987 relations of a class of things, persons, or ob-
*University of South Florida, Tampa, FL. jects. Word explication is one method of dis-
covering underlying concepts. Words provide
a means of organizing ideas, which in turn
bring order to disconnected observations and
22

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experiences. Concepts represent the essential
elements that an object has in common with
others of the same class.
A class consists of the general names given
to persons or things (e.g., cat or table) and can
be interpreted in two ways: (a) the connotation
or intension of the term, which is the sum of
its characteristics and answers the question
&dquo;What is it?&dquo; or (b) the denotation or extension
of the term, which is the individual or thing to
which the term applies.
The essential characteristics of a concept
discriminate one thing from another. For ex-
ample, weather is characterized by rain, ice,
sleet, snow, fog, or sunshine whereas pain is
characterized by words such as unpleasant,
sharp, affective, and perceptual. Conception,
then, is simple apprehension. When simple
apprehension occurs, the essential character-
istics make up its comprehension. Compre-
hension of a concept is called intension or
connotation. A concept is identified by means
of extension or denotation. Extension is not
the concept but the objects to which the con-
cept refers or applies. Extension is the totality
of objects to which it may be applied. Simple
apprehension involves abstraction and results
in a concept.
Logic involves mental operations of
human beings.
The process by which the mind forms a con-
cept does not involve an act of judgment. A
concept is knowing what something is without
affirming or denying anything about it. A basic
function of concepts is to know the essence
and describe the nature of things.
Functions of concepts
Concepts, the means to organize concrete
information, are stored in ones memory as
abstract ideas, giving meaning to sensory per-
ceptions. Concepts represent ones reality and
ones substantive knowledge; they permit one
to generalize.
Concepts, by definition, are useful as build-
ing blocks to formulate conceptual frame-
works and to construct theories. They help in
the search for relationships by linking thought
and experience and are tested and modified in
experience and research. Concepts help one to
identify variables to formulate hypotheses
that are tested in research and result in de-
scription, explanation, and prediction of
events in the world.
Process for developing concepts
The process of concept development is com-
mon to all human beings with an intact sen-
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sory system. The process involves the follow-
ing steps: .
1. Identify sensory perceptions from ones con-
crete environment.
2. Name sensory perceptions related to per-
sons, things, or objects. Naming requires the
use of word symbols, which are called terms.
3. Differentiate/discriminate sensory experi-
ences related to persons, things, and objects
in ones environment. The common charac-
teristics of a concept are organized into cat-
egories. For example, a dog is an animal with
four legs, a body, a head, etc., characteristics
common to all members of a class named
dog. Some dogs are different and have char-
acteristics that serve to identify and distin-
guish a dog that is a French poodle from a
dog that is a fox terrier. Another example is
the word chair, a class of inanimate objects
with some common characteristics, such as
and
having a seat, having substance, being
nonsentient. However, one may discrimi-
nate a chair in the formal dining room from
a chair on the patio by their differences.
4. Formulate generalizations about persons,
things, or objects in ones environment
through a process of inductive and deductive
thinking (King, 1975).
The process described above explains the
way one develops concepts that represent
ones substantive knowledge. When building
scientific knowledge, nurses select concepts
relevant for nursing, identify the characteris-
tics, and validate them in research. Concept
development is demonstrated here in the way
one concept of one nursing theory was devel-
oped.
Concept Development
Concept development is a critical and reflec-
tive awareness of the meaning of a term.
Analysis of research related to concepts as-
sists in identification of the characteristics of
a concept (Chinn & Jacobs, 1987; Walker &
Avant, 1983). Development of a concept of a
is below for your
nursing theory presented
consideration.
A concept of transactions
The theory of goal attainment is composed
of ten concepts (King, 1981, p. 145). Nine of
the concepts have been theoretically defined
from a review of research literature and by
authorities in nursing and in various other
disciplines. One concept in the theory, trans-
actions, has been described from research
data and operationally defined. In the authors
theory, transactions are the valuational com-
ponents of a dyadic interaction process (King,
1981, p. 147). The process used to develop
substantive knowledge of this concept was (a)
a review of research literature to identify char-
acteristics of the concept (King, 1981, pp. 80-
23
85), (b) formulation of a definition from the
characteristics (King, 1981, pp. 150-151 ), and
(c) collection of data of nurse-patient interac-
tions in one hospital situation, through non-
participant observations, to describe transac-
tions that occurred.
Transactions are the valuational
components of a dyadic interaction.
A classification system of nurse-patient in-
teractions that lead to transactions was de-
rived from a descriptive study (King, 1981, p.
156). This resulted in developing a model of
dyadic interactions that led to transactions
(King, 1981, p. 145). From this descriptive
work, a concept of transactions was devel-
oped. The characteristics of transactions, the
essential properties that determine its nature,
were derived from the literature and verified
from analysis of research data in nurse-pa-
tient interactions. These were perception,
communication (verbal and nonverbal), recip-
rocal interactions, judgments, decisions, ac-
tions, spatial-temporal dimensions, and per-
sonal, dynamic, and goal-directed character-
istics. From these characteristics, a definition
was derived: transactions are dynamic acts of
individuals that are observable in unique con-
crete spatial and temporal interactions as they
communicate, judge, and make decisions for
action within their personal perceptual milieu.
This concept of transactions helps to identify
a critical variable, mutual goal setting, in test-
ing the process element of the theory, inter-
actions that lead to transactions. Transactions
lead to goal attainment, the outcome element
of the theory. The process and outcome ele-
ments of the theory are useful in developing,
refining, and evaluating quality assurance
programs in nursing care delivery systems.
When the documentation system designed for
this theory is implemented in practice, effec-
tiveness of nursing care may be measured.
In summary, concept development may be
defined as a process whereby one gains com-
prehension of a concept (Kim, 1983). It is the
connotation or intension of the term that an-
swers the question &dquo;What is its nature?&dquo; The
extension or denotation indicates the individ-
ual or thing to which the concept is applied.
Concepts build scientific knowledge
Generally, to find meaning in concepts in
everyday living, one examines how to use
them. An understanding of a concept is dem-
onstrated by ones ability to apply the knowl-
edge in a new situation. Ability to recall spe-
cific details from which concepts are devel-
oped is another test of ones understanding.
24
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Specifically, one function of a concept is its
use as a category in identifying the structure
of a discipline. Concepts of theories identify
the variables to test their relationships in re-
search. In addition, concept validation pro-
vides another approach to building nursing
knowledge. For example, when the character-
istics of concepts are identified from analysis
of research, an operational definition may be
formulated that will delineate how the concept
will be measured in nursing research. The
following procedure is suggested by Waltz,
Strickland, & Lenz ( 1984, pp. 24-40).
1. Formulate a theoretical definition.
2. Develop a theoretical definition following a
careful review of the literature in which es-
sential elements of the concepts meaning
are delimited and logically organized.
3. Specify variable dimensions of the concepts
meaning.
4. Identify observable indicators of the con-
cept.
5. Develop means to measure the indicators.
6. Formulate an operational definition of the
concept which provides meaning in terms of
the observations or operations necessary to
measure the concept. (p. 40)
The ultimate test of the adequacy with which a
concept is defined and operationalized is con-
sensus of the scientific community based on
accumulated empirical evidence (p. 40).
Concept development and validation provide
approaches to building nursing knowledge. A
basic vocabulary of concepts (words) with
which nurses can communicate with each
other about phenomena in nursing related to
persons, objects, and events is essential in
continuing to develop the scientific basis of
nursing (King, 1971, pp. 11-12).
Summary
Understanding the nature and functions of
concepts and processes for identifying the
characteristics of concepts is necessary to pro-
vide structure for the discipline of nursing.
When concepts and their definitions are made
explicit in published theories, they serve as
categories or variables from which proposi-
tions can be derived. The propositions specify
relationships among the concepts for the pur-
pose of explaining and predicting phenomena
in nursing situations.
One of the goals of the theory movement in
nursing is to identify essential concepts in
nursing that, when tested by appropriate sci-
entific procedures, explain empirical uniform-
ities in nursing. Scientific activity in nursing
aims to describe, classify, explain, and corre-
late phenomena in nursing. Increased re-
search to test relationships among the con-
cepts of theories will lead to predictive knowl-
edge for use in nursing practice.
 References
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Kaplan, A. (1964). The conduct of inquiry. San Francisco:
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