Grounded TheoryAlan Copeland, Kris Hancock, Barbara Hannah, Junyi Ran,

Amirali Jahangard and Jerry Salmon

August 2011

What is Grounded Theory?

• Grounded theory is a research method that utilizes collected data to develop a theory that explains a process, action or interaction about a topic.• This occurs by following this general inductive process:• Gather data from various sources (documents, observation field

notes, interviews, focus groups).• Analyze data by coding information to find emerging patterns and

concepts. Core ideas or “substantive codes” will emerge. • Theory is developed as researchers examine interaction of the

substantive codes.

(Creswell, 2008); (Seale, 2004, p. 507); (Grounded theory online, 2011)

Why is Grounded Theory Unique?

• Supports initial data collection and preliminary analyses before attempting to incorporate previous research literature• Data collection, analysis and theory formulation are

undeniably connected• Asking questions and making comparisons specifically

inform and guide analysis and facilitate the theorizing process

Seminal Works

• Grounded theory is a term coined by Glaser and Strauss to describe the type of theory produced by their methods of data collection and analysis. It suggests that developed theories are “grounded” in the collected data.• The concept arose from their work on dying people in

American hospitals.• Glaser and Strauss propose the grounded theory

approach as an alternative to the positivist-verificationist (deductive) approaches.

(Glaser and Strauss, 1967)

Seminal Works• Glaser and Strauss separated and continued work on

Grounded Theory in different directions.• Strauss and Corbin developed “The Systematic Design” that

provides intricate detail about research techniques and procedures to use. It can help new researchers begin using Grounded Theory.

• Glaser believes that Grounded Theory should not be restricted to that systematic approach, as he feels it can limit the development of a meaningful theory focused on the data, rather than procedure. His approach of “The Emerging Design” is more traditional Ground Theory.

• Both procedures will be outlined on later slides.(Grounded theory online, 2011)

Seminal Works• Charmaz has relatively recently developed “The Constructivist

Design.” • He was focused more on multiple realities of research

participants’ perceptions. • A participants rich descriptions of situations are the data

collected. Themes emerge as analysis of this data occurs, from which a theory is created.

(Grounded theory online, 2011)

When to use Grounded Theory• Grounded Theory should be used when the researcher: • wishes to set aside theoretical ideas and generate a theory rather

than use one “off the shelf”• wishes to use the constant comparison of instances of data• wishes to explain a process, action, or interaction• wants to use a step-by-step, systematic procedure• wants to stay close to the data.

• Glaser (1999), stated during a conference address: “Let me be clear. Grounded theory is a general method. It can be used on any data or combination of data.”

(Creswell, 2008), (Glaser, 1999, p. 387), (Urquhart, 2001), (Grounded theory online, 2011)

Examples of Research Questions

• Single Question Studies:• What are the social psychological problems of dying in a

hospital when the patient knows, does not know, or the varying degrees between, that he/she is dying? (Glaser, 1967).

• How and why do third places (e.g. diners, coffee shops and taverns) become meaningful in consumers lives? (Rosenbaum, 2006)

• How can nurses employ specific grounded theories to improve patient care quality? (Nathanial, 2007)

• How can emotional intelligence affect interdisciplinary team effectiveness? (McCallin, 2007)

Grounded theory online (2011)

Examples of Research Questions

• Multiple Question Studies:• How can family and community interactions promote

resilient behaviours in children within high-conflict families?• How do children within high-conflict families perceive their

parents’ ongoing conflict?• How do children within high-conflict families understand

the mediating attempts of both family and community members?

• What barriers to resiliency are experienced by children in high-conflict families and how do the children attempt to overcome these barriers?”

(Pomrenke, 2007, p. 356)

Methods of Grounded Theory

• Grounded Theory employs the constant comparative method in which a theory emerges while constantly comparing data from different categories.• We will cover two of the research designs within

Grounded Theory:• The Emerging Design (Glaser)• The Systematic Design (Strauss & Corbin)

(Pomrenke, 2007,)

Methods of Grounded Theory

• The Emerging Design (Glaser)• Identify your substantive area of study - your area of interest in

which to study the perspective of a group(s) of people.• Get out in the field and collect data using either qualitative or

quantitative data or both. • Open code your data. Opening coding and data collection are

integrated activities. Coding means to label all pieces of data with their concept. Coding continues until categories are identified, eventually the core category will emerge. This core category explains behavior in the substantive area.

• Write memos throughout the entire process. Your theory about the substantive area will be captured in memos.

continued...

Methods of Grounded Theory

• …The Emerging Design (Glaser) continued• Conduct selective coding and theoretical sampling. Stop open

coding and code only for the core category and related categories. Further data collection can occur to saturate the core category and is directed by the developing theory.

• Sort your memos and find the theoretical code(s) that best organizes all your substantive codes and their relationships will become clear.

• Read the literature and integrate with your theory. This occurs at the end of the process to avoid creating bias in the researcher.

• Write up your theory.

(Grounded theory online, 2011)

Methods of Grounded Theory

• The Systematic Design• In this design prescriptive forms of coding are introduced into

the analysis process to address concerns about reliability and validity.

• The analysis moves through these stages:• Open coding – the breakdown, examination, comparison,

conceptualization and categorizing of data.• Axial coding – Data is piece together by making connections between

categories created through open coding. This is done through the use of a paradigm involving conditions, context, action/interaction strategies, and consequences.

• Selective coding – The selection of one core category. It is then systematically related to other categories in a manner that validates the information. It may be necessary to fill in these categories with more data.

(Qualitative Research Guidelines Project, 2007)

What does Grounded Theory Accomplish?

• Enables you to study processes• Helps you explicate what is happening in your field setting• Keeps you focused on your data and emerging analysis• Supports you in developing an original theoretical analysis

(Charmaz, 2008)

Limitations of Grounded Theory

• Similar to other research methods that involve qualitative data, it can be difficult to ensure that researcher bias has been removed.

• Brown (1973) suggests that grounded research is an inappropriate methodology for certain types of research problems (e.g. long-term historical problems, unconscious processes).

• Denzin (1987) claims that it is old fashioned with a variety of post-modernist approaches now being ‘in’.

• Coffey, Holbrook and Atkinson (1996) object to the narrow analytic strategy imposed by a heavy reliance on coding as a first step.

(Creswell, 2008)

Limitations of Grounded Theory• According to Charmaz (1983), both the assumptions and analytical methods of

grounded theory have been criticized by some qualitative researchers on a number of accounts. For example, their are some suggestions that grounded theorists fail to give proper attention to both data collection techniques and to the quality of the gathered material. Such criticisms, she maintains, misinterpret the aims and methods of grounded theory. Katz (1983, p.133) argues that the case for analytical induction can be made stronger with a number of revisions:

• Where grounded theory is chosen, they may be uncertain regarding the differences that now exist between the approaches of Glaser and Strauss, who together first described the method.

• Grounded theory oversimplifies complex meanings and interrelationships in data; second, that it constrains analysis, putting the cart (procedure) before the horse (interpretation); and third that it depends upon inappropriate models of induction and asserts from them equally inappropriate claims to explanation and prediction. Let us look at some of the critical literature which exemplifies this debate, and indicate both our points of agreement and suggested foci for development.

(Charmaz, 1983)

Limitations of Grounded Theory• Validity Issues• The grounded approach advocates the use of multiple data sources converging

on the same phenomenon and terms these 'slices of data’ (Glaser & Strauss, 1967, p. 65).

• The data triangulation works as follows: quantitative data can indicate directly observable relationships and corroborate the findings from qualitative data. Qualitative data can help understand the rationale of the theory and underlying relationships. The use of multiple data sources thus enhances construct validity and reliability (Eisenhardt, 1989, p. 538).

• Ethical Issues• Not advancing the purpose of the study• Creating power and authority imbalances in interviewing• Not building a useful chain of evidence from data to theory• Not engaging in a study that benefits participants

(Creswell, 2008)

Evaluation a Grounded Theory Research Paper• Grounded Theory online suggests key questions for reviewers are:• “What is the substantive area of interest?• What comprise the data sources?• Was data collected in a manner that was consistent with Grounded Theory.

If it wasn’t, how was data collected … what impact will that have had?• Was constant comparison conducted?• Is there evidence of the inter-changeability of indicators?• Was theoretical sampling conducted?• Are the codes, concepts or descriptive codes?• What is the main concern?• What is the core category? And what are the related categories?• Is there theoretical completeness and conceptual integration, what

theoretical codes structure the theory?• Has the literature been sampled and integrated into the theory? • Which Grounded Theory books have been read?”

(Grounded theory online, 2011)

Example 1 of Grounded Theory Article

ILLUMINATING SOCIAL DETERMINANTS OF WOMEN’S HEALTH USING GROUNDED THEORY

By:

Judith Wuest, PhD, RN, and Marilyn Merritt-Gray, MN, RNFaculty of Nursing, University of New Brunswick, Fredericton,New Brunswick, Canada

Helene Berman, PhD, RN, and Marilyn Ford-Gilboe, PhD, RNSchool of Nursing, University of Western Ontario

Example 1 of Grounded Theory ArticleEvaluation criteria Reviewer’s comments

What is the substantive area of interest?

Social determinates of women’s health.

What comprise the data sources? Analysis of family health promotion processes among single mothers who with their child left abusive male partners.

Was data collected in a manner that was consistent with Grounded Theory. If it wasn’t, how was data collected … what impact will that have had?

Yes, data was collected in a manner that helped identify how public policy influences the health promotion process among the subject group described above.

Was constant comparison conducted? Yes, constant comparison was conducted by the researchers of this study.

Example 1 of Grounded Theory ArticleEvaluation criteria Reviewer’s comments

Is there evidence of the inter-changeability of indicators?

Yes, the researchers indicated the potential use of other research subjects (civil servants and service providers) to gain an understanding of this phenomenon.

Was theoretical sampling conducted? Yes, the researchers studies different cases to compare with those that were already analyzed.

Are there codes, concepts or descriptive codes?

Yes, the researchers use descriptive codes and concepts to explain and help identify the phenomenon.

What is the main concern? The main concern of this article is the effectiveness of public policy in promoting family health among this demographic.

Example 1 of Grounded Theory ArticleEvaluation criteria Reviewer’s comments

What is the core category? And what are the related categories?

The core category relates to the effectiveness of public policy in promoting family health among this demographic.

Is there theoretical completeness and conceptual integration, what theoretical codes structure the theory?

Yes, there is theoretical completeness in this study. The theory used in this study adequately covers all the relevant truths.

Has the literature been sampled and integrated into the theory?

Yes, the authors clearly reference many sources, and provide a strong justification for using Grounded Theory method in this study.

Which Grounded Theory books have been read?

The authors of this research study reference many academic articles and books related to Grounded Theory including several from Glaser.

Example 2 of Grounded Theory Article Using grounded theory to understand software process

improvement

By: Gerry Coleman, Department of Computing, Dundalk Institute of Technology, Dundalk, Co. Louth, Ireland

Rory O’ConnorSchool of Computing, Dublin City University, Glasnevin, Dublin, Ireland

Example 2 of Grounded Theory ArticleEvaluation criteria Reviewer’s comments

What is the substantive area of interest? Software process improvement (SPI) aims to understand the software process as it is used within an organization.

What comprise the data sources? Collecting data with interviewing a total of 21 companies with specific question.

Was data collected in a manner that was consistent with Grounded Theory. If it wasn’t, how was data collected … what impact will that have had?

Yes. Atlas TI was selected as data management tool designed specially for use with Grounded Theory.

Was constant comparison conducted? Yes. In conjunction with the theoretical sampling process, the constant comparative method was also used.

Example 2 of Grounded Theory ArticleEvaluation criteria Reviewer’s comments

Is there evidence of the inter-changeability of indicators?

This research provides a new contribution in thisarea, using evidence from practice, a theory has been generated which explains the factors which influence the first software process a company will use.

Was theoretical sampling conducted? Yes, they used the combination of theoretical sampling and constant comparison.

Are the codes, concepts or descriptive codes?

The interview was then coded, by hand, in accordance with the open coding procedure of Grounded Theory.

What is the main concern? 1 - Grounded Theory is based on the opinion of interviewers. 2 - Interviews were only sought, and conducted, with senior managers.

Evaluation criteria Reviewer’s comments

What is the core category? And what are the related cateories?

The core category is the cost of process and related categories are:bureaucracy, documentation, communication, tacit knowledge, creativity and flexibility.

Is there theoretical completeness and conceptual integration, what theoretical codes structure the theory?

In this research the outcome of the analytic generalization process has resulted in a general conceptualization of the technological, human and organizational factors linked with implementing software process and process improvement in programmers.

Example 2 of Grounded Theory Article

Evaluation criteria Reviewer’s comments

Has the literature been sampled and integrated into the theory?

Yes, it is described how the theory was developed through the different stages of the study.

Which Grounded Theory books have been read?

The authors of this research study reference many academic articles and books related to Grounded Theory including: R. Goede, & C. De Villiers, The applicability of Grounded Theory as research methodology in studies on the use of methodologies in IS practices, in: Proceedings of SAICSIT, 2003, pp. 208–217

Example 2 of Grounded Theory Article

Reasons to like Grounded Theory

• Antoinette McCallin• “It allows participants to identify what they see as a problem in

an area and tell the researcher how they manage that. The methodology is open yet it is systematic and structured in a way that allows the researcher room to move. Being a grounded theory researcher can be likened to solving a puzzle. If you enjoy doing puzzles you might well be a good Grounded Theory researcher. Being a Grounded Theory researcher can also be likened to being a detective, to finding out what is really going on in the background – not what is obvious, but understanding what is not obvious.”

• More quotes can be found in the notes section of this slide.

(Grounded theory online, 2011)

ReferencesColeman, G., & Connor, R. (2007). Using grounded theory to understand software process

improvement: A study of Irish software product companies. Information and Software Technology, 49(6), 654-667. Elsevier. Retrieved August 3 2011 from: http://linkinghub.elsevier.com/retrieve/pii/S0950584907000134

Charmaz, K. (1983) The Grounded Theory Method: an explication and interpretation, In: Emerson, R. (Ed)Contemporary Field Research: a collection of readings Boston: Little Brown

CompanyCreswell, J.W. (2008). Educational research: planning, conducting, and evaluating quantitative and

qualitative research (3rd ed.). Upper Saddle River, NJ: Pearson Education. Eisenhardt, K. M. (1989). Building theories from case study research. Academy of Management

Review, 14, 532-550.Glaser B.G (1999) The future of grounded theory, Qualitative Health Research, Volume 9, Number 6,

Nov 1999, Sage:CA, pp 836−845.Glaser, B. G., & Strauss, A. L. (1967). The discovery of grounded theory: Strategies for qualitative

research. Chicago: Aldine Publishing.Grounded theory online. (n.d.). Retrieved August 3, 2011 from

http://www.groundedtheoryonline.com/ Goulding, C. (1998) Grounded Theory: the missing methodology on the interpetivist agenda

Qualitative Market Research: an international journal 1(1) pp.50-57.Goulding, C. (1999) Grounded Theory: some reflections on paradigm, procedures and

misconceptions Working Paper SeriesMcCallin, A. & Bamford, A. (2007). Interdisciplinary teamwork: Is the

influence of emotional intelligence fully appreciated. Journal of NursingManagement, Vol. 15 (4), p. 386-391.

ReferencesNathanial, A.K. (2007). How grounded theory can improve nursing care policy. Journal of Nursing

Care Quality, Vol. 22 (4), p. 350-357.Pandit, N. (1996). The creation of theory: A recent application of the Grounded Theory method. The

qualitative report, Vol. 2, No. 4.Pomrenke, M. (2007). Using grounded theory to understand resiliency in pre-teen children of high-

conflict families. The qualitative report, Vol. 12, No. 3, pp. 356-374.Qualitative research guidelines project. (2006, July). Retrieved August 3, 2011 from

http://www.qualres.org/HomeCons-3824.html Rosenbaum, M.S. (2006). Exploring the social supportive role of third places in consumers’ lives.

Journal of Service Research, Vol. 9 (1), p. 59-72.Seale, C. (2004). Generating grounded theory. In C. Seale (Ed.) Researching society and culture, 2nd

edition, pp. 239-247. Sage Publications Ltd. London: England.Urquhart, C. (2001). An encounter with grounded theory: Tackling the practical and philosophical

issues. In E.M. Trauth (Ed.) Qualitative research in IS: Issues and trends (Chapter 5). Hershey, PA: Idea Group Publishing .

Wuest, J., Merritt-Gray, M., Berman, H. & Ford-Gilboe M. (2002). Illuminating Social Determinants of Women’s Health using Grounded Theory. Health Care for Women International, 23:794– 808, 2002. Retrieved August 3 2011 from: http://www.nnvawi.org/pdfs/alo/FordGilboe_social_determinants_grounded_theory.pdf

References

• Useful links:• The Grounded Theory Institute www.groundedtheory.com• Grounded theory: doing it as part of public discourse

www.habermas.org/grndthry.htm• Grounded theory: a thumbnail sketch

www.scu.edu.au/schools/gcm/ar/arp/grounded.html• Journal - The Grounded Theory Review (latest issues)

http://www.groundedtheoryreview.com/ContentsVol10no2.htm • Wikipedia (2011). Grounded theory. Retrieved July 25, 2011

from http://en.wikipedia.org/wiki/Grounded_theory