Introducing grounded theory
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This document outlines the structure and objectives of a workshop on Grounded Theory. The workshop will introduce participants to the basic principles and procedures of Grounded Theory. It will cover topics such as the origins and theoretical underpinnings of Grounded Theory, how to conduct Grounded Theory research through procedures like open coding, theoretical sampling and memo writing, and putting the analysis together to build a theory. By the end of the workshop, participants will understand and have hands-on experience with Grounded Theory to help inform their own research.
Introducing grounded theory
- 1. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ Introducing Grounded Theory
- 2. Objectives of this workshop By the end of this workshop, you… … will be familiar with the basic principles of Grounded Theory. … will understand the procedures used in Grounded Theory. … will have had practical experience applying the procedures used in Grounded Theory. … will have reflected on the uses and limitations of Grounded Theory in relation to your own research needs.
- 3. Structure of this workshop What is Grounded Theory? Overview, Aims, Origins Theoretical underpinnings Processes and procedures Doing Grounded Theory research (I) Getting a feel of the data Theoretical sampling Doing Grounded Theory research (II) Making sense through writing Putting it all together Building a theory Using Grounded Theory in your own work
- 4. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ What is Grounded Theory?
- 5. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ Overview, Aims & Origins
- 6. What is Grounded Theory? Grounded Theory is an inductive, theory-generating approach to conducting research. It is a method (not a theory!) It involves a systematic, rigorous engagement with the data, following specific procedures, and it aims to generate a central theoretical notion (a core category). This core category should be sufficiently abstract, so that it is theoretically useful, but must remain connected to the data from which it was derived.
- 7. The founding fathers of Grounded Theory Barney G. Glaser (1930 - ) PhD in Sociology (U. of Columbia) Supervised by Paul Lazarsfeld and Robert K. Merton Quantitative background Influenced by Critical Rationality (Popper) Anselm S. Strauss (1916-1996) PhD in Sociology (U. of Chicago) Supervised by Herbert Blumer Qualitative background Influenced by symbolic interactionism & pragmatism Image credits: Wikipedia (L) and UCSF (R)
- 8. Key publications 1967 •Glaser, B. & Strauss, A. (1967). Discovery of Grounded Theory. Chicago, IL: Aldine. 1978 •Strauss, A. (1978). Theoretical Sensitivity. Mill Valley, CA: The Sociology Press. 1987 •Strauss, A. (1987). Qualitative Analysis for Social Scientists. Cambridge: CUP. 1990 •Strauss, A. & Corbin, J. (1990). Basics of Qualitative Research: Grounded Theory Procedures & Techniques. Thousand Oaks, CA: SAGE. 1992 •Glaser, B. (1992). Emergence vs. Forcing: Basics of Grounded Theory Analyses. Mill Valley, CA: The Sociology Press. 2006 •Charmaz, K. (2006). Constructing Grounded Theory: A Practical Guide through Qualitative Analysis. Thousand Oaks, CA: SAGE.
- 9. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ Theoretical Underpinnings
- 10. Ontological assumptions Mental representations correspond to actual entities in the ‘real world’. The object of scientific investigation is the mental representations, rather than the real world entities. Events result from the complex, and sometimes unpredictable, interaction of multiple factors. “We believe that it is important to capture as much of this complexity in our research as possible, at the same time knowing that capturing it all is virtually impossible” (Corbin & Strauss, 2008, p. 8).
- 12. Principles Bottom-up theory generation Synthetic approach (theoretically sensible synthesis of multiple data sources, esp. interviews and observations) Theoretical sensitivity Sampling strategy driven by needs of theory generation (theoretical sampling) Three-step coding process, leading to the development of a theory End point Theoretical saturation
- 13. “ ” The published word is not the final one, but only a pause in the never- ending process of generating theory. Glaser & Strauss (1967, p. 40)
- 14. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ Processes & Procedures
- 15. Formulating a research problem Possible origins: Suggested by institutional research priorities Derived from the literature Derived from experience Emergent from prior research Operationalised in the form of a research question: Delimits the research domain Suggests research methods
- 16. Data generation AND analysis Coding (open, axial, selective) Memoing Theoretical sampling
- 17. Developing a theory Theoretical Sampling Constant comparison Constant comparison Constant comparisonResearch problem Theory Case Case Case Image credit: Karina Fernandez
- 18. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ Doing Grounded Theory (1)
- 19. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ Open coding GETTING A FEEL OF THE DATA
- 20. Open coding First level of conceptual engagement with the data Involves assigning substantive codes to instances of data. Codes should not merely describe the data – they correspond to more abstract categories of which the data are indicators. Initially, codes should be “detailed, specific and numerous” (Gilbert, 2008, p. 87) The purpose of open coding is to open up the theoretical possibilities that are suggested by the data.
- 22. Open coding Break the data into cognitively manageable segments. Natural breaks in the data can be helpful, as they frequently denote shifts in topic. Explore the segments for ideas that they might contain. Read the data multiple times (phrase-by-phrase; sentence-by-sentence, entire text) Be on the look out for ‘rich’ moments, which will have to be micro- analysed Work analytically, nor descriptively. There can be multiple codes assigned to each data segment. Record your thoughts in memos. Assign names to the ideas you have identified. These may be suggested by the text (in vivo) or the literature.
- 23. Theoretical sensitivity Interplay between data and the ‘prepared mind’ (Corbin & Strauss, 2008, p. 33) of the researcher, which leads to the assignment of categories to the data Theoretical sensitivity can be developed through: Engagement with the literature Experience Prior research “Forcing the researcher’s ideas on data is more likely to happen when the researcher ignores the relevance of self in the interpretation process” (Corbin & Strauss, 2008, p. 33)
- 24. In-depth engagement with the data To avoid shallow and uninteresting findings, ‘interrogate’ the data: Who? (Who is involved? In what capacity?) What? (What was the event? What were the consequences?) When? (At what point in time? How often? Before and after what? At what rate? For how long?) Where? Why? (What was the proximal cause? What was the distal cause? What was the intention? How were causes and intentions perceived?) How? (How much? How many? With what instrument? With what strategy? With what feeling?)
- 25. Keep comparing! Constant comparison: Compare instantiations of each code / category in the data. How is each code / category manifested in each case? Consider revising categories (splitting, merging or renaming) Theoretical comparison: Think about the abstract properties of each category. Do you feel that you know enough about the category? Should you generate more data about it? Do other possibilities suggest themselves?
- 27. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ Theoretical sampling GENERATING THE DATA
- 28. Alternating Sampling and Analysis In Grounded Theory research, sampling is ‘responsive to the data, rather than established before the research begins’ (Corbin & Strauss, 2008, p. 144) Sampling Anal ysis Sam pling Anal ysis Theoretical saturation
- 29. How much sampling is enough? Ideally, sampling stops when theoretical saturation has been attained (: when additional data do not offer any more new insights). Pragmatically, sampling is likely to be constrained by deadlines or budget limitations. In such a case, the limitations of the study will have to be explicitly acknowledged.
- 30. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ Doing Grounded Theory (2)
- 31. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ Memoing Making sense of the data through writing
- 32. What are memos? Notes made during the coding process. These are made spontaneously (‘stop & memo’) and systematically (e.g., at the end of each coding session) Their length varies, but typically they are shorter and simpler in the early coding stages, and increase in length and complexity as coding progresses. Types of memos: Analytical / Theoretical Methodological Reflexive
- 33. Why memo? Memos serve as a repository of analytical ideas Memo writing forces the researcher to reflect on the data. Memo writing can help to spot future directions for theoretical sampling; or alternatively they may indicate that saturation is imminent.
- 34. Memos: Tips & Tricks Always date memos Use descriptive headings Devise a coding system to archive / retrieve memos When including raw data in the memos, use references to facilitate retrieval. Memos are ‘living documents’: they can be updated, merged or divided as our understanding evolves. Even if you do not use CAQDAS, applications such as Evernote can facilitate memo writing and retrieval. (but consider the ethical implications of storing data on the cloud!)
- 37. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ Axial Coding Putting the data together in categories
- 38. What is axial coding? Axial (or categorical) coding involves identifying connections between two or more previously defined codes. Codes can be brought together: As constituents of a larger category As steps of a process or timeline As elements of causal relationships … The distinction between ‘open’ and ‘axial’ coding is, to an extent, artificial, but serves explanatory purposes.
- 39. Analytical processes Elaborate categories that are poorly developed Review categories / axes for consistency and logic. Revise or discard categories that are not logically consistent.
- 42. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ Selective Coding Building a theory
- 43. What is selective coding? The aim of Grounded Theory is to reach a central category. Selective coding involves revisiting the data and (re)coding them with reference to the core category
- 44. Criteria for choosing a central category Most major categories should be able to be made subordinate to it. There should be indicators of the central category present in (almost) all the cases. The category should emerge from the data rather than be imposed onto them. Ideally, the category should allow scope for the development of more general theory. The category should have ‘depth’: by connecting it to other categories its explanatory power should be augmented. (Strauss, 1987, p. 36)
- 47. KARL-FRANZENS-UNIVERSITÄT GRAZ UNIVERSITY OF GRAZ Using GT in your own work