Constructing Grounded Theory (Kathy Charmaz, 2006)

04/14/2023Pavan Soni, IIM Bangalore

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KATHY CHARMAZ

Constructing Grounded Theory (Kathy Charmaz,

2006)


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Grounded Theory Process

Research Question

Data

Initial Coding

Focused Coding

Categories

Properties

Categories

Properties

Categories

Properties

Relationships

Relationships

Comparative AnalysisMemo-writing (sorting/ diagramming /

integrating) Theoretical Sampling

Saturating Theoretical Categories

Theoretical Statements

Ethnography Intensive Interviewing

Textual Analysis

Line-by-line codingComparing incidents Axial/ Theoretical coding


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Summary of content

I. An invitation to Grounded TheoryII. Gathering rich dataIII. Coding in Grounded Theory practiceIV. Memo-writingV. Theoretical sampling, saturation, and

sortingVI. Reconstructing theory in Grounded Theory

studiesVII.Writing the draftVIII.Reflecting on the research process


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I. An invitation (1/2)

Grounded theory offers general principles and heuristics devices rather than formal rules

Theory is grounded in data itself Through making and coding numerous comparisons Studying data comparing them writing memosMore useful than quantitative research for theory generationAppropriate for mid-range theory generation Most are substantive (not formal) theories Against the positivistic quantitative research Construction, instead of discovery, of grounded theory Not to force a data into a preconceived notion (as in logico-

deductive research method)Moving back-and-forth between data and analysis


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I. An invitation (2/2)

Defining components of grounded theory research (Glaser and Strauss, 1967)

Simultaneous involvement in data collection and analysis Constructing analytical codes and categories from data,, not from

preconceived logically deduced hypothesis Using the constant comparative method, which involves making

comparisons during each stage of the analysis Advancing theory development during each step of data collection

and analysis Memo-writing to elaborate categories, specify their properties,

define relationships between categories and identify gaps Sampling aimed towards theory construction, not for population

representativeness Conducting the literature view after developing an independent

analysis


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II. Gathering rich data (1/6)

Reach for quality (interpretive qualitative method) Sufficient background data, Detailed description Relevance and sufficiency Multiple views Usefulness in developing analytical categories Useful comparisons

Key questions What’s happening here? What are the basic social processes? What are the basic social psychological processes?


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Data construction approachAttending to actions and processes as well as to wordsDelineating the context, scenes, and situations of action

carefullyRecording who did what, when it occurred, why it happened,

and how it occurredIdentifying the conditions under which specific actions,

intentions, and processes emerge or are mutedLooking for ways to interpret these dataFocus on specific words and phrases to which participants

seem to attribute particular meaningFinding taken-for-granted and hidden assumptions of various

participants, showing how they are revealed through and after actions


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Tenets of ethnographic research Record individual and collective actionsContain full, detailed notes with anecdotes and

observationsEmphasize significant processes occurring in the settingAddress what participants define as interesting and/or

problematicAttend to participants language usePlace actors and actions in scenes and contextsBecome progressively focused on key analytic ideas

In grounded theory, researcher gives priority to studied phenomenon or process, rather than the setting itself


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Grounded theory can discipline ethnographers by helping them to

Compare data with data from the beginning of research, not after all the data is collected

To compare data with emerging categoriesTo demonstrate relations between concepts and

categoriesIt helps build systematic checks into both data

collection and analysis . The approach is as follows:Seek data describe observed events answer fundamental questions about what is happening develop theoretical categories to understand data


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Intensive interviewing permits an in-depth exploration of a particular topic with a person who has had the relevant experience. Best to have a few broad, open-ended questions.

An interview is contextual and negotiated. Never to force interviewees responses into

preconceived categories. Pay attention to responders’ language.

Remaining alert to interesting leads. Interviews in grounded research are open-ended yet directed, shaped yet emergent, and paced yet flexible.


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Forms of textual analysis could includeElicited text (research participants writing

the data, e.g. Internet questionnaire, logs, diaries, etc)

Extant text (researcher don’t affect their construction, e.g. public records, mass media, corporate documents, archive material, etc)

Studying text (putting context back in the text, useful for analytical scrutiny, and not just corroborative evidence)


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III. Coding in grounded theory practice (1/7)

Qualitative coding is the first step.Coding means categorizing segments of data with a short name that simultaneously summarizes and accounts for each piece of data. Codes show how to select, separate, and sort data to begin an analytical accounting of them.

Coding asks ‘which theoretical categories might these statements indicate?’

Coding offers the analytical frame for further research. Coding is the pivotal link between collecting data and

developing an emergent theory to explain these data. It helps develop

Generalizable theoretical statements that transcend specific time and place

Contextual analysis of actions and events.


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Two main phases of codingInitial phase involving naming each word, line, or

segment of data, followed by A focused, selective phase that uses the most

significant and frequent initial codes to sort, synthesize, integrate, and organize large amounts of data

Codes emerge as you scrutinize your data and define meaning with it. Unlike quantitative research, there is not preconceived categories or codes available.

The process of coding produces certain tension between analytic insights and described events.


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Initial codingCode for codingRemain openStay close to the dataKeep your codes simple and preciseConstruct short codesPreserve actionsCompare data with dataMove quickly through the dataCode with words that reflect actions. Adopt an open approach

to coding. Initial codes are provisional, comparative, and grounded in the data. Simultaneous data collection and analysis. Need for speed and spontaneity. Keep codes short, simple, active and analytic.

•Word-by-word coding•Line-by-line coding •Segment-by-segment• Incident-by-incident coding


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Line-by-line codingMeans naming each line of the data. Useful for fundamental

empirical data or processes, and detailed observations with telling and consequential scenes.

Coding leads to developing theoretical categories. Line-by-line coding offers fresh insights, and leads to pursue.

Incident-to-incident codingA comparative study of incidents. Comparative methods help

see and make sense of observations in new, analytical ways. Comparing dissimilar events may offer further insights. Making sequential comparison is important for grounded theory generation

Word-by-word and line-by-line coding helps see the familiar in new insights, while incident aids in discovering patterns and contrasts.


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In-vivo codesRefers to codes of participants’ special terms,

includingGeneral terms everyone knows that flag

condensed but significant meaningA participant’s innovative terms that captures

meaning or experienceInsider shorthand terms specific to a

particular group that reflect their perspectivesIn-vivo codes reflect assumptions, actions, and

imperatives that frame actions


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Focused coding Means using the most

significant and/or frequent earlier codes to sift through large amount of data. But moving to focused coding is not entirely a linear process. Coding is an emergent process, and calls for a concentrated, active involvement in the process.

Data to data comparison helps develop focused codes, and then these codes are further compared with data for further refinement.

Axial codingSpecifies the properties and

dimensions of a category. Is a strategy for bringing data back together again in a coherent whole, and help answer ‘when, where, why, who, how, and with what consequences’

Aims to identify conditions, actions/ interactions, and consequences.

However, axial coding can make grounded theory cumbersome.


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Theoretical coding A sophisticated level of coding that follows the

codes selected during the focused coding. It is about how substantive codes relate to each other as hypothesis to be integrated into a theory.

It precludes the necessity of axial coding. Coding families (theoretical categories) are neither

mutually exclusive, not collectively exhaustive Coding full interview transcripts offers ideas and

understandings that one otherwise might miss.


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IV. Memo writing (1/3)

A memo is a informal analytical note that prompts a researcher to analyze data and codes earlier in the research process.

A memo forms the core of grounded theory It helps increase the level of abstraction of ideas. Memos are generally free and flowing, short and stilted, but

must be written immediately in the field, or on coming back Memo writing encourage digging into the implicit, unstated,

and condensed meanings. Much of the memo writing is concerned with making

comparisons. Can help release from the structures of formal academic

writing. Useful pre-writing exercises include: clustering (or mind

mapping), and freewriting.


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Content of a memoDefine each code or category by its analytical propertiesSpell out and detail processes subsumed by codes or

categoriesMake comparisons between data and data, data and codes,

codes and codes, codes and categories, and categories and categories

Bring raw data into the memoProvide sufficient empirical evidence to support your

definition of the category and analytical claims about itOffer conjectures to check in the field settingsIdentify gaps in the analysisInterrogate a code or category by asking questions of it.


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Raising focused codes into categories

Here a category is a conceptual element in a theory. Memo writing helps doing this by

Giving conceptual categories definitions

Categories can subsume common themes and patterns of several codes.

Make a category as conceptual as possible by abstract power, general reach, analytical direction, and precise wording.

A memo should Define the category Explicate the properties of

the category Explain the conditions under

which the category arises, in maintained and changes

Describe its consequences Show how this category

relates to other categories

Key is to draw comparisons at multiple levels to define a category sharply.


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V. Theoretical sampling, saturation, and sorting (1/4)

Theoretical sampling means seeking and collecting pertinent data to elaborate and refine categories in the emerging theory

Approach is to saturate the category with data and subsequently sort and/or diagram them to integrate the emerging theory.

Theoretical sampling pertains only to conceptual and theoretical development, it is not about representing a population or increasing the statistical generalizability of results.

It involves starting with data, constructing tentative ideas about the data, and then examining these ideas through further empirical inquiry. Memo writing leads to theoretical sampling. Is not same as unfocused data collection.

Abductive reasoning about data starts with data and moves towards hypothesis formation, while considering all possible theoretical explanation of data


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Theoretical sampling helps toDelineate the properties of a categoryCheck hunches about a categorySaturate the properties of a categoryDistinguish between categoriesClarify relationships between emerging

categoriesIdentify variation in a processTheoretical sampling is emergent. Helps discover variation across theoretical

categories. Helps move between targeted data collection and analytic memo-writing


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Saturating a theoretical category happens when gathering fresh data no longer sparks new theoretical insights, nor reveals new properties of core theoretical categories.

Glaser (2001: 191) saysSaturation is not seeing the same pattern over and over again. It is the conceptualization of comparisons of these incidences which yield different properties of the pattern, until no new properties of the pattern emerge. This yields the conceptual density that when integrated into hypothesis makes up the body of generated grounded theory with theoretical completeness


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Sorting, diagramming, and integrating memo are approaches of theory generation.

Sorting helps make analysis progressively stronger, clearer, and more theoretical. It helps compare categories at an abstract level. Approach involved is

Sort memos by the title of each category Compare categories Use categories carefully Consider how their order reflects the studied experience How their order fits the logic of categories Create the best possible balance between the studied experience,

category, and theoretical statements about itDiagramming helps generate a visual representation of categories

and their relationships. A conditional/consequential matrix could be useful here.

Integrating helps forge causal linkages.


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VI. Reconstructing theory in grounded theory research (1/2)

What is theory?Positivist definitions of theory treat is as a statement of

relationships between abstract concepts that cover a wide range of empirical observations. It emphasizes on explanation and prediction. These are elegant in their form, and direct in their statements.

Interpretive definitions of theory emphasize understanding rather than explanation. It is interpretation of the studied phenomenon, rather than strict causality , and hence have a far-ranging scope, wide applications, and deals with fundamental issues of life.

Grounded theory contains both positive and interpretive inclinations.


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VI. Reconstructing theory in grounded theory research (2/2)

Constructivist grounded theory is a part of the interpretive tradition. In this view, any analysis is contextually situated in time, place, culture and situation.

Objectivist grounded theory derives from positivism, and thus attends to data as representing objective reality. The data is rendered objective by looking at many cases.

Grounded theory produces empirical generalizations that lead to generic explanations abstracted from time and place.

Adopting gerunds fosters theoretical sensitivity.


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VII. Writing the draft (1/2)

Let ideas emerge before making decisions about what to do with the manuscript

Writing analysis entails more than mere reportingWriters must address the ‘so what’ question with

a strong argumentScrutinize categories repeatedly for power,

purpose and patternsUse categories are tools to build contextLiterature review provides a place to engage the

ideas and research in the areas that the grounded theory addresses


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VII. Writing the draft (2/2)

Questions the draft must answer Are the definition of major categories complete? Have I raised major categories to concepts in my theory? How have I increased the scope and depth of my analysis in this

draft? Have I established strong theoretical links between categories, and

between categories and their properties, in addition to the data? How have I increased understanding of the studied phenomenon? What are the implications of this analysis for moving theoretical

edges? For its theoretical reach and breadth? For methods? For substantive knowledge? For actions or interventions?

With which theoretical, substantive, or practical problem is this analysis most closely aligned? What audience might be more interested in it? Where shall I go with it?

How does my theory make a fresh contribution?


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VIII. Reflecting on the research process

Grounded theory gives us analytical tools and methodological strategies that we can adopt without endorsing a prescribed theory of knowledge or view of reality.

Successive levels of abstraction through comparative analysis constitute the core of grounded theory analysis.

Important parameters for evaluation are: credibility, originality, resonance, and usefulness.

Data & Analytics

Constructing Grounded Theory (Kathy Charmaz, 2006)