Introduction to Grounded Theory

1. Grounded
Theory
Hong Kong ■ Shanghai ■ Hangzhou ■ Jakarta

2. Discovery has been the aim of science
since the dawn of the renaissance.
But how those discoveries are made has varied
with the nature of the materials being studied
and the times.
Strauss & Corbin, 1998
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3. Prof. Dr. Hora Tjitra - Cross-cultural and Business Psychology
14
years
in
Germany
7
years
in
China
Dipl.-Psych., Technical University of Braunschweig
Organizational Psychology and Human Resource Management
Born
and
grew
up
in
Indonesia
Dr. Phil., University of Regensburg
Intercultural Psychology and Strategic Management
Executive Education, INSEAD
HR Management in Asia
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4. Outline
1 Selecting the right qualitative research method 5
2 From the data to theory: different coding steps in GT 8
3 Memos and Diagrams in GT 16
4 Criteria for good GT research 23
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5. Qualitative Research Process:
From Ideas (Questions) to Results (Theory)
The Foundations and Pillars of Qualitative Thinking
Research Topics, Problems and Questions (Hypotheses)
Qualitative Research Design
Single Case Document Qualitative Qualitative
Analyses Analyses Action Research Field Research Experiments Evaluation
Process of Qualitative Research
Data Preparation Analyzing
Collection Process Process
Writing Qualitative Research Report
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6. Checklist for selecting a qualitative research method
1. What do I know about the issue of my study or how detailed is my knowledge already?
2. How developed is the theoretical or empirical knowledge in the literature about the issue?
3. Am I more interested in generally exploring the field and the issue of my study?
4. What is the theoretical background of my study and which methods fit this background?
5. What is it that I want to get close to in my study? Personal experiences of (a group) of certain
people or social processes in the making? Or am I more interested in reconstructing the
underlying structures of my issue?
6. Do I started with a very focused research question right away or do I start from a rather unfocused
approach in order to develop the more focused questions underway in the process of my project?
7. What is the aggregate I want to study? Personal experiences, interactions or situations or bigger
entities like organizations or discourse?
8. Is it more the single case (e.g. of a personal illness experience or of a certain institution) I am
interested in or the comparison of various cases?
9. What are resources (time, money, who/manpower, skills…) available to run my study?
10. What are the characteristics of the field I want to study and of the people in it? What can you
request of them and what not?
11. What is the claim of generalization of my study?
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7. Research perspectives in qualitative research:
matching theories and methods
Research perspectives in qualitative research
Subject‘s points Making of social Cultural framing of
of view realities Social realities
Theoretical § Symbolic interactionism § Ethnomethodology § Psychoanalysis
positions § Interpretive § Social constructionism § Genetic structuralism
interactionism
Methods of § Semi-structured § Focus groups § Recording interactions
Data collection interviews § Ethnography § Photography
§ Narrative interviews § Participant observation § Film
§ Recording interactions
§ Collecting documents
Methods of § Theoretical coding § Conversation analysis § Objective hermeneutics
interpretation § Content analysis § Discourse analysis § Deep hermeneutics
§ Narrative analysis
§ Hermeneutic methods
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8. The Origins of Grounded Theory (Glaser and Strauss, 1967)
• A conceptual levels theory and general
research methodology
• The emergence of grounded theory was
during the collaboration of Glaser and
Strauss at the University of California at
Berkeley from 1965 to 1967.
• Barney Glaser
– Sorbonne University Paris,
French Literature
– Columbia University New York,
Lazersfield & Merton, Statistical Analysis
• Anselm Strauss
– Chicago University,
Symbolic Interactionist Sociology
Graphic source:http://qualmethods.wikispaces.com/Grounded+Theory
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9. The Creation of THEORY from DATA
Grounded theory mean theory that was derived from data, systematically gathered and
analyzed through the research process.
In this method, data collection, analysis and eventual theory stand in close relationship to one
another.
The interpretation of data cannot therefore be regarded independently of their collection or
the sampling of data.
A researcher does not begin a project with a preconceived theory in mind, rather
he / she begins with an area of study and allows the theory to emerge from the data.
Interpretation is the anchoring point for making decisions about which data or cases to
integrate next in the analysis and how or with which methods they should be collected.
In the process of interpretation different ‘procedures’ for dealing with text can be
differentiated: ‘open coding’, ‘axial coding’ and ‘selective coding’.
§ Methodology: A way of thinking about and studying social reality
§ Methods: A set of procedures and techniques for gathering and analyzing data
§ Coding: The analytic process through which data are fractured, conceptualized,
and integrated to form theory.
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10. Characteristics of a grounded theorist
The ability to step back and critically
analyze situations
The ability to recognize the tendency
toward bias
The ability to think abstractly
The ability to be flexible and open to
helpful criticism
Sensitivity to the words and actions
of respondents
A sense of absorption and devotion
to the work process
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11. Coding procedures -
Analysis through microscopic examination of data
Build rather than test theory
Provide researcher with analytic
tools for handling masses of raw
data.
Help analyst to consider alternative
meanings of phenomena.
Be systematic and creative
simultaneously.
Identify, develop and relate the
concepts that are building blocks
of theory.
Graphic source: http://qrtips.com/faq/FAQ--code%20terms.htm
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12. Open coding - What does the Data want to Say
The analytic process through which concepts are identified
and their properties and dimensions are discovered in data.
• Open coding aims at expressing data and phenomena in the form of
concepts.
• For this purpose, data are first disentangled (segmented). Expressions are
classified by their units of meaning in order to attach annotation
and above all ‘concepts’ (codes) to them.
• Basic questions in doing open coding:
– What? Which phenomenon is mentioned?
– Who? Which persons and roles?
– How? Which aspects are mentioned?
– When? How long? Where? Time, course, location.
– How much? How strong? Aspects of intensity.
– Why? Which reasons are given or can be constructed?
– What for? With what intention, to which purpose?
– By which? Means, tactics and strategies for reaching the goal.
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13. Axial coding - Structuring and Categorizing the Data
The process of relating categories to their subcategories, termed ‘axial’ because coding occurs around
the axis of a category, linking categories at the level of properties and dimensions.
• After did the open coding, the next step is to refine and differentiate the categories
(resulting from open coding).
• From the multitude of categories, those are selected that seem to be most
promising for a further elaboration. The axial categories are enriched by their fit
with as many passages as possible.
• Finally, the relations between these and other categories are elaborated.
• The developed relations and categories that are treated as essential are verified
over and over against the text and date.
• The researcher moves continuously back and fort between inductive thinking
(developing) and deductive thinking (testing).
Conditions Causes Consequences Co-Variances Contexts Cutting Points
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14. Theoretical (Selective) Coding:
Developing Theories based on the Data
The process of integrating and refining the theory.
• The third step, continuous the axial coding at the higher level of abstraction.
• The aim of this step is to elaborate the core category around which the other
developed categories can be grouped and by which they are integrated.
• In this way, the story of the case is elaborated and formulated.
• The analysis and the development of the theory aim at discovering patterns in the
data as well as conditions under which these apply.
• Finally, the theory is formulated in greater detail and again checked against the
data.
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15. The process of theory development: description,
conceptual ordering, and theorizing
• Before beginning the process of developing theory, a researcher must
have some understanding of what constitutes theory.
• The first step toward understanding is to be able to differentiate among
description, conceptual ordering, and theorizing.
• A second step is realizing that these forms of data analysis actually build
on one another, with the theory incorporating aspects of both.
§ Description: The use of words to convey a mental of image of an event, a piece of scenery, a scene, an
experience, an emotion, or a sensation; the account related from the perspective of the person doing the
depicting.
☞ depicting, telling a story, sometimes a very graphic and detailed one, without stepping back to interpret events or explain why certain
events occurred and not others.
§ Conceptual ordering: Organizing (and sometime rating) of data according to a selective and specified set of
properties and their dimensions.
☞ classifying events and objects along various explicitly stated dimensions, without necessarily relating the classifications to each other
to form an overarching explanatory scheme.
§ Theory: A set of well-developed concepts related through statements of relationship, which together
constitute an integrated framework that can be used to explain or predict phenomena.
☞ the act of constructing from data an explanatory scheme that systematically integrates various concepts through statements of
relationships. It enables users to explain and predict events, thereby providing guides to action.
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16. Techniques and Procedures
for Developing Grounded Theory

17. Stages of a Grounded Theory Study
Stages are generally sequential, but once research process begins they are often conducted
simultaneously, as the particular research requires.
1. Preparation 4. Memoing
• Minimizing pre-conception • theorizing write-up of ideas and
codes and their relationship
• Integrating the Literatures
2. Data Collection
• Interviews, Observation or any 7. Writing
other types of data
• Theoretical Sampling 5. Theoretical Outline
• Visual outline of the major concepts
of the emerged theory
3. Analysis
• Constant Comparative Analysis
• Sensitizing Concepts: Open, Axial 6. Sorting
and Theoretical Coding • Conceptual sorting of memos
Source: Odis E. Simmons
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18. Definitions of Terms - Memos and Diagrams
Memos: Written records of analysis that may vary in type and form
n Code notes: Memos containing the actual products of the three types
of coding: open, axial, and selective
n Theoretical notes: Sensitizing and summarizing memos that contain
an analyst’s thoughts and ideas about theoretical sampling and other
issues
n Operational notes: Memos containing procedural directions and
reminders
Diagrams: Visual devices that depict the relationships among concepts
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19. Why Memos and Diagrams?
Taking field note instead?
• Insufficient space to develop ideas
• Old coding written in the margins might be
misleading or confusing when concepts revised
• Difficult to retrieve information in margin
• Unnecessary to write on the margin when many
helpful computer programs available
Features of Memos and diagrams
• Analyst develops his or her own style: computer
program, color-coded cards, binders, folders,
notebooks
• Orderly, progressive, systematic, easily retrievable
• Provide a storehouse of analytic ideas
• Force the analyst to work with concepts rather than
raw data
• Act as reflections of analytic thought
• Memos can be written from other memos.
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20. Technical Features of Memos and Diagrams
Memos & Diagrams The analyst
• References should include code • Not be afraid to modify the content
number of the interview, observation, of memos and diagrams as
or document; date; page number progressing
• Contain headings denoting the • Keep a list of emergency codes for
concepts or categories, the title or reference
heading describe the type of memos • Be flexible and relaxed when doing
• Quotes or phrases of raw data can be Ms & Ds
included as handy reminder, and • Be conceptual rather then
further as illustrations descriptive when writing memos
• Be specific and kept distinct • Notice when category appears
saturated or several memos begin
to sound alike
• Keep multiple copies of memos
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21. Memos and Diagrams in Open Coding
• At first, scan a document and identify some concepts.
Code Notes • Early notes include categories, the concepts that point to
the categories, some properties and dimensions
• Ask some other properties and their dimensions
Theoretical Notes
• Theoretical sampling
• What operations to carry out next?
Asking question, making comparison,
Operational Notes or doing more observation or
interview?
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22. Memos and Diagrams in Selective Coding
The final step in analysis ---- integration of concept & development and refinement
Code Fewer; take the form of an integrative memo describing
Notes what the research is all about.
Filling in of categories and refinement of the theory
Theoretical • Think about this or that
and Operational • Go here or there to theoretically sample
Notes • Check out this or that
• Do this or that
Show the density and complexity of the theory
Diagrams Help the analyst finalize relationships and discover breaks in
logic
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23. Criteria for Evaluation

24. Judging the merits of Theory-Building Research
What one is making judgment about
✓ FIT
This is another way of expressing validity (Face Validity)
✓ Does the concept adequately explain the data which the
theory purports to express?
✓ WORKABILITY
✓ Do the concepts begin to account for how the main
concerns for those being studied are being continually
resolved?
✓ RELEVANCE
✓ How relevant is the research to those being studied?
✓ MODIFIABILITY
✓ How capable is the theory of incorporating new concepts
from the data which is generated after the completion of the
study?
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25. Evaluating the Research Process
• Criterions1 : How was the original sample selected? On what grounds?
• Criterions2 : What major categories emerged?
• Criterions3 : What were some of the events, incidents, or actions (indicators) that
point to these major categories?
• Criterions4 :On the basis of what categories did theoretical sampling proceed?
That is, how did theoretical formulations guide some of the data collection? After
the theoretical sampling was done, how representative of the data did the
categories prove to be?
• Criterions5: What were some of the hypotheses pertaining to conceptual relations
(i.e., among categories), and on what ground were they formulated or validated?
• Criterions6: Were there instances in which hypotheses did not explain what was
happening in the data? How were these discrepancies accounted for? Were the
hypotheses modified?
• Criterions7: How and why was the core category selected? Was this collection
sudden or gradual, and was it difficult or easy? On what grounds were the final
analytic decisions made?
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26. Evaluating the Empirical Grounding of a Study
q Criterion 1: Are Concept q Criterion 5: Are the conditions
Generated? under which variation can be
found built into the study and
q Criterion 2: Are the concept explained?
systematically related?
q Criterion 6: Has process been
q Criterion 3: are there many taken into account?
conceptual linkages, and are the
categories well developed? Do q Criterion 7: Do the theoretical
categories have conceptual findings seem significant, and to
density? what extent?
q Criterion 4: is variation built into q Criterion 8: Does the theory stand
the theory? the test of time and become part of
the discussions and ideas
exchanged among relevant social
and professional groups?
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27. Excellence through Culture, Talent and Change
Contact
Address
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