From the data to build a theory - An Introduction to Grounded Theory as one of the most popular approach in qualitative research.

1. Hangzhou, January 2011
Prof. Dr. Hora Tjitra, Zhejiang University
Grounded
Theory
An
Introduction
to
Inductive
Qualitative
Analysis
Method
访
谈
方
法

2. An
Introduc+on
to
Grounded
Theory
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

3. An
Introduc+on
to
Grounded
Theory
3
14
years
in
Germany
7
years
in
China
Born
and
grew
up
in
Indonesia
Prof.Dr.Hora Tjitra - Cross-cultural and Business Psychology
Dipl.-Psych.,Technical University of Braunschweig
Organizational Psychology and Human Resource Management
Dr.Phil.,University of Regensburg
Intercultural Psychology and Strategic Management
Executive Education,INSEAD
HR Management in Asia

4. An
Introduc+on
to
Grounded
Theory
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
4

5. An
Introduc+on
to
Grounded
Theory
5
Data
Collection
Preparation
Process
Analyzing
Process
Process of Qualitative Research
Single Case
Analyses
Document
Analyses
Action Research Field Research
Qualitative
Experiments
Qualitative
Evaluation
Qualitative Research Process:
From Ideas (Questions) to Results (Theory)
Writing Qualitative Research Report
Qualitative Research Design
The Foundations and Pillars of Qualitative Thinking
Research Topics, Problems and Questions (Hypotheses)

6. An
Introduc+on
to
Grounded
Theory
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
theore;cal
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
theore;cal
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
reconstruc;ng
the
underlying
structures
of
my
issue?
6. Do
I
started
with
a
very
focused
research
ques;on
right
away
or
do
I
start
from
a
rather
unfocused
approach
in
order
to
develop
the
more
focused
ques;ons
underway
in
the
process
of
my
project?
7. What
is
the
aggregate
I
want
to
study?
Personal
experiences,
interac;ons
or
situa;ons
or
bigger
en;;es
like
organiza;ons
or
discourse?
8. Is
it
more
the
single
case
(e.g.
of
a
personal
illness
experience
or
of
a
certain
ins;tu;on)
I
am
interested
in
or
the
comparison
of
various
cases?
9. What
are
resources
(;me,
money,
wo/manpower,
skills…)
available
to
run
my
study?
10. What
are
the
characteris;cs
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
generaliza;on
of
my
study?

7. An
Introduc+on
to
Grounded
Theory
Research perspectives in qualitative research:
matching theories and methods
Research perspectives in qualitative research
Subject‘s points
of view
Making of social
realities
Cultural framing of
Social realities
Theoretical
positions
Methods of
Data collection
Methods of
interpretation
 Symbolic
interac/onism
 Interpre/ve
interac/onism
 Ethnomethodology
 Social
construc/onism
 Psychoanalysis
 Gene/c
structuralism
 Semi-­‐structured
interviews
 Narra/ve
interviews
 Focus
groups
 Ethnography
 Par/cipant
observa/on
 Recording
interac/ons
 Collec/ng
documents
 Recording
interac/ons
 Photography
 Film
 Theore/cal
coding
 Content
analysis
 Narra/ve
analysis
 Hermeneu/c
methods
 Conversa/on
analysis
 Discourse
analysis
 Objec/ve
hermeneu/cs
 Deep
hermeneu/cs

8. An
Introduc+on
to
Grounded
Theory
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
collabora;on
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,
Sta;s;cal
Analysis
• Anselm
Strauss
– Chicago
University,
Symbolic
Interac;onist
Sociology
8
Graphic
source:h.p://qualmethods.wikispaces.com/Grounded+Theory

9. An
Introduc+on
to
Grounded
Theory
9
The Creation of THEORY from DATA
 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.
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’.

10. An
Introduc+on
to
Grounded
Theory
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

11. An
Introduc+on
to
Grounded
Theory
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:
h.p://qr<ps.com/faq/FAQ-­‐-­‐code%20terms.htm

12. An
Introduc+on
to
Grounded
Theory
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
a^ach
annota;on
and
above
all
‘concepts’
(codes)
to
them.
• Basic
ques;ons
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.

13. An
Introduc+on
to
Grounded
Theory
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 pen 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

14. An
Introduc+on
to
Grounded
Theory
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.

15. An
Introduc+on
to
Grounded
Theory
15
The process of theory development: description,
conceptual ordering,and theorizing
 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.
• Before
beginning
the
process
of
developing
theory,
a
researcher
must
have
some
understanding
of
what
cons/tutes
theory.
• The
first
step
toward
understanding
is
to
be
able
to
differen/ate
among
descrip/on,
conceptual
ordering,
and
theorizing.
• A
second
step
is
realizing
that
these
forms
of
data
analysis
actually
build
on
one
another,
with
the
theory
incorpora/ng
aspects
of
both.

16. Techniques
and
Procedures
for
Developing
Grounded
Theory

17. An
Introduc+on
to
Grounded
Theory
Stages of a Grounded Theory Study
17
Stages
are
generally
sequen/al,
but
once
research
process
begins
they
are
oOen
conducted
simultaneously,
as
the
par/cular
research
requires.
1. Preparation
• Minimizing pre-conception
2. Data Collection
• Interviews, Observation or any
other types of data
• Theoretical Sampling
3. Analysis
• Constant Comparative Analysis
• Sensitizing Concepts: Open,
Axial and Theoretical Coding
4. Memoing
• theorizing write-up of ideas and
codes and their relationship
• Integrating the Literatures
5. Theoretical Outline
• Visual outline of the major
concepts of the emerged theory
6. Sorting
• Conceptual sorting of memos
7. Writing
Source:
Odis
E.
Simmons

18. An
Introduc+on
to
Grounded
Theory
18
Memos:
WriQen
records
of
analysis
that
may
vary
in
type
and
form
 Code notes:
Memos
containing
the
actual
products
of
the
three
types
of
coding:
open,
axial,
and
selec/ve
 Theoretical notes:
Sensi/zing
and
summarizing
memos
that
contain
an
analyst’s
thoughts
and
ideas
about
theore/cal
sampling
and
other
issues
 Operational notes:
Memos
containing
procedural
direc/ons
and
reminders
Diagrams:
Visual
devices
that
depict
the
rela/onships
among
concepts
Definitions of Terms - Memos and Diagrams

19. An
Introduc+on
to
Grounded
Theory
19
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.
Why Memos and Diagrams?

20. An
Introduc+on
to
Grounded
Theory
20
Technical Features of Memos and Diagrams
Memos & Diagrams The analyst
• Not be afraid to modify the
content of memos and diagrams
as progressing
• Keep a list of emergency codes
for reference
• Be flexible and relaxed when
doing Ms & Ds
• Be conceptual rather then
descriptive when writing memos
• Notice when category appears
saturated or several memos
begin to sound alike
• Keep multiple copies of memos
• References should include code
number of the interview,
observation, or document; date;
page number
• Contain headings denoting the
concepts or categories, the title or
heading describe the type of
memos
• Quotes or phrases of raw data can
be included as handy reminder, and
further as illustrations
• Be specific and kept distinct

21. An
Introduc+on
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Grounded
Theory
21
Code Notes
Theoretical Notes
Operational Notes
• At first, scan a document and identify some concepts.
• Early notes include categories, the concepts that point
to the categories, some properties and dimensions
• Ask some other properties and their dimensions
• Theoretical sampling
• What operations to carry out next?
Asking question, making
comparison, or doing more
observation or interview?
Memos and Diagrams in Open Coding

22. An
Introduc+on
to
Grounded
Theory
22
Memos and Diagrams in Selective Coding
• Think about this or that
• Go here or there to theoretically sample
• Check out this or that
• Do this or that
Filling in of categories and refinement of the theory
Fewer; take the form of an integrative memo describing
what the research is all about.
Theoretical
and
Operational
Notes
Code
Notes
Diagrams
Show the density and complexity of the theory
Help the analyst finalize relationships and discover
breaks in logic
The final step in analysis ---- integration of concept & development and refinement

23. Criteria
for
Evaluation

24. An
Introduc+on
to
Grounded
Theory
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
con/nually
resolved?
✓ RELEVANCE
✓ How
relevant
is
the
research
to
those
being
studied?
✓ MODIFIABILITY
✓ How
capable
is
the
theory
of
incorpora/ng
new
concepts
from
the
data
which
is
generated
aOer
the
comple/on
of
the
study?

25. An
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Grounded
Theory
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?

26. An
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Theory
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Evaluating the Empirical Grounding of a Study
 Criterion 5: Are the conditions
under which variation can be
found built into the study and
explained?
 Criterion 6: Has process been
taken into account?
 Criterion 7: Do the theoretical
findings seem significant, and to
what extent?
 Criterion 8: Does the theory
stand the test of time and
become part of the discussions
and ideas exchanged among
relevant social and professional
groups?
 Criterion 1: Are Concept
Generated?
 Criterion 2: Are the concept
systematically related?
 Criterion 3: are there many
conceptual linkages, and are the
categories well developed? Do
categories have conceptual
density?
 Criterion 4: is variation built into
the theory?

27. Thank
You
Contact us via …
Mail: hora_t@mac.com
Follow: twitter@htjitra
Website: http://horatjitra.com
Zhejiang
University,
Hangzhou
(China)