1.

Grounded Theory
a. Meaning:
 Strauss & Corbin, 1998: the researchers generate the theory that is “grounded” in data from
participants who have experienced the process.
 Glasser & Strauss, 1967: the discovery of theory from data systematically obtained from
social research.
Grounded Theory was originally developed by two sociologist, Barney Glasser and Anselm
Strauss. Grounded Theory is used to generate or discover a theory from the data collected along
the way rather than reviewing the existing theory. The outcome of grounded theory research is to
construct a theory that explains a studied phenomenon from the collected data. In this case, the
researcher/s do not have the theory first then collect the data, but they collect the data first and
then generelized a theory based on the data collected. It is an ongoing process in which the data
are collected and analyzed then a theory is proposed. Later, more data is collected then the
theory is revised. The theory proposed from the first research will be revised according to the
data collected afterwards if the data shows any difference/improvement. The process of revising
the theory is a continuous process in which the theory can be revised based on the further data
collected as long as the theory is relevant to the newest data.
b. Basic Principles of Grounded Theory
Grounded theory involves the progressive identification and integration of categories of meaning
from data. It is both the process (as method) and its products (as theory):
 Grounded Theory as method: Provides the guideline on how to identify the categories, how to
make links between the categories and how to establish relationships between them
 Grounded Theory as theory: The end-product of the process. It provides an explanatory
framework with which to understand the phenomenon under investigation.

c. Special Terms in Grounded Theory

To identify, refine and integrate categories, and ultimately to develop theory, grounded theory
researchers use a number of key strategies:
 Categories
Grouping together of instances that share central features/characteristics one another.
Categories can be divided into two: descriptive label and analytical. In descriptive label, the
categories are at a low level of abstraction, for example: anxiety, anger and pity can be
grouped together under the label of “emotions”. In anlytical, the categories are at a high level
of abstractions. The researchers do not just simply label the categories, but rather interpret
instances of phenomena.
 Coding
This is the process by which categories are identified. In the early stages of analysis, coding is
largely descriptive. Here, descriptive labels are attached to discrete instances of phenomena.
As coding progresses, the researcher is able to identify higher-level categories that
systematically integrate low-level categories into meaningful units (analytical categories).
The label used in the research cannot be taken from the existing theory. Instead, the labels
should comes from the participants of the study.

d. Types of Grounded Theory Design

According to Creswell (2012), there are three dominant groundedtheory design:
 The Systematic Design (focuses on the “process”)
This design is the development of grounded theory which was refined in 1990’s by Strauss
and Corbin. This design composed of three stages of coding: Open, Axial, and Selective
coding
- Open Coding is the initial stage of forming emergent theory or conceptualization. A
grounded theorist is required to construct initial categories of information about the studied
 participants by segmenting the collected data (Creswell, 2012). They need to identify the
important words or phrases and then label them by using suitable terms. Then, the
collected data will be classified under certain categories.
- Axial Coding comes after the open coding. Babchuk (1997) stated that in axial coding,
hypothetical relationships between the major categories and their corresponding
subcategories are built. The researchers need to choose an open category and relate it to
other categories. These categories are related based on their causal conditions of the
studied phenomenon, the strategies that used to resolve the studied phenomenon,
environmental factors that influence the strategies adoption, and outcomes.
- Selective Coding is the last stage of the stages of coding. In this stage, a grounded theorist
generates theory by interpretting the interrelationship that emerge among categories
formed in the second stage.
 The Emerging Design (higher level of abstraction)
This design is the result of Glasser’s issues with systematic design proposed by Strauss and
Corbin. He considered the systematic design is too rigid and strict by emphasizing on the set
of rules and procedures. Glaser (1992) emphasized that the generated theories should be
guided from the collected data itself and they are more valuable as compared to the operation
on a set of preset categories. Thus, Robson (2002) claimed that the emerging design is
especially suitable to be applied to study ‘real world’ which seems relatively complex, poorly
controlled, and messy. Glaser (1992) further pointed out that the key objective of the
grounded theory is to explain a ‘basic social process’, focusing on the delineation of the
relationships between categories and emerging theory rather than purely describing
categories. In addition to that, Wright (2009), who has also adopted the emerging design to
study adult education, concluded that data analysis is the core component in this research
design as the researchers are requested to ‘listen’ and immerse themselves in the data.
 The Constructivist Design
This design was first developed in the earlier 2000’s by Kathy Charmaz. Unlike the other
forms of grounded theory which focus on categories, codes, and theory generating. The
constructivist design emphasizes the views, values, and feelings of the people, rather than the
process. Constructivist design gives a new interaction between researchers and participants
and this on-going interaction will continue contributing to data construction (Hallberg, 2006).
According to Guba and Lincoln (1994) and Schwandt (1994), a constructivist design aims to
explain participants’ meanings towards a process in reality.

e. The Key Characteristics of Grounded Theory

Creswell (2012) has listed 6 major characteristics of grounded theories:
 Process Approach
Corbin and Strauss (2008) viewed that the research process in grounded theory research is a
series of interactions and outcomes among a group of people regarding the studied
phenomenon (as cited in Creswell, 2012)
 Theoretical Sampling
Theoretical sampling means checking emerging theory against reality by sampling incidents
that may challenge or elaborate its developing claims. It refers to the on-going process of
coding the data, comparing the data, and grouping similar data to build categories and core
categories (Jones & Alony, 2011). The purpose of theoretical sampling is to systematically
direct the grounded theorists to choose the most important data for the studied phenomenon
(Jones & Alony, 2011). According to Brown et al. (2002), theoretical sampling can be
stopped when theoretical saturation is achieved. Theoretical saturation can be identified
through three parameters: (i) no new data is distilled from a certain category, (ii) the category
could sufficiently cover salient variations and process, and (iii) the interrelationships between
categories have been delineated appropriately.
  Constant Comparative
Constant comparison is the process of comparing like with like, to trace out the emerging
pattern and theory (Goulding, 2002). This is the core category of a grounded theory design
because the grounded theorist compared all the collected data constantly to find out their
commonalities and variations. The ultimate objective of constant comparative analysis is to
link and integrate categories in such a way that all instances of variation are captured by the
emerging theory.
 A Core Category
According to Hallberg (2006), a core category can be viewed as the integration of other major
derived categories into a theory that rooted in the collected data. A core category has to be
able to explain the rooted theory as a whole. Several criteria for choosing the core category
have been pointed out by Strauss (1987) including: (i) the core category can be related to
other major categories, (ii) it should emerge frequently in the data, (iii) the generated
explanation must be logical and consistent when comparing to the major categories, (iv) the
core category should be named sufficiently abstract so that it can be used in other relevant
studies, (v) the generated theory should have explanatory power, and (vi) the generated
explanation should have the ability to hold among various conditions.
 Theory Generation
Since the generated theory in grounded theory has to be close to the data, it does not have an
excellent ability for generalization, thus it could not be applied widely for many situations
and people. Creswell (2012) further pointed out that the resultant theory can be presented in
three forms: (i) as a visual coding paradigm, (ii) as a series or hypothesis, (iii) or as a
narrative story. The story is the ideal part as it can express the most important factors of the
actual data in a narrative way. A good story must be able to delineate the relationships
between sub-categories with the core category (Brown et al., 2002)
 Memos
Memo writing is a good idea to record emergent concepts or ideas throughout the research
process. Memo writing is an on-going process from the beginning to the completion of the
research and these memos will be transformed into research findings. These types of memos
are known as theoretical memos. Memos are also helpful for the ground theorists in
generating theories based on the data collected and recorded in the memo.

f. Data Collection and Data Analysis

In general, data in grounded theory can be collected in the forms of interviews, observations,
focus group discussion, and documents. Among those ways of collecting data, interviews is the
most frequent used way in data collection. In general, data could be collected in forms of
interviews, observations, focus group discussion, and documents. Unlike typical qualitative
research, research process for grounded theory unlikely is a linear process (Charmaz, 2006). Data
collection and data analysis, in general, are woven through the research process (Egan, 2002).
That is, grounded theorists collect and analyze the data almost concurrently (Dunne, 2011), and
the theory continues to develop along with the existence of new data (Bound, 2011). This on-
going course should not be stopped unless the data saturation point is achieved (Egan, 2002).

g. General Steps in Grounded Theory

Creswell (2012) has outlined eight major steps to conduct grounded theory research
 Step 1: Decide whether a Grounded Theory Design Suits the Research Problem.
 Step 2: Plan a Feasible Process to Study.
 Step 3: Seek Approval and Access.
 Step 4: Theoretical Sampling.
 Step 5: Code the Data.
 Step 6: Use Selective Coding and Develop the Theory.
  Step 7: Validate the Emerging Theory.
 Step 8: Write a Grounded Theory Report.

h. Strengths and Limitations of Grounded Theory

 Strengths
- Grounded theory offers opportunities to the researchers to use their values and
understanding in order to generate a new theory for a very complex phenomenon (Bryant,
2002).
- Grounded theory is a theory discovery method that enables the researcher to generate a
theory for a process by grounding the theory from the collected data (Martin & Turner,
1986).
- Some main features of the grounded theory research design belong to constant comparison
and theoretical sampling in which theoretical sampling enables participants continuously
to provide new evidence until theoretical saturation; meanwhile, constant comparison is an
on-going process that requires researchers comparing across the data to generate an
emerging theory (Goulding, 2002).
- Grounded theory provides a somewhat systematic methodology for researchers (Lawrence
& Tar, 2013)
- Grounded theory has the great potential to produce a theory with detailed information
(Laws & McLeod, 2004)
 Limitations
- The freedom and flexibility provided from grounded theory would contribute to potential
harm in grounded theory research (Potrata, 2010).
- Writing grounded theory in traditional format might lead to a problematic situation
because this linear way does not reflect how the actual grounded theory developed (Dunne,
2010).
- Grounded theory is not perfect for all the research questions.
- The research process on grounded theory appears to be relying on researchers’ subjectivity
(Charmaz, 2008b).

2. Historical Research
a. Meaning
Historical research is the systematic collection and evaluation of data to describe, explain, and
thereby understand actions or events that occurred sometime in the past. Some aspect of the past
is studied by perusing documents of the period, by examining relics, or by interviewing
individuals who lived during the time. An attempt is then made to reconstruct what happened
during that time as completely and as accurately as possible and (usually) to explain why it
happened.
b. The Purposes of Historical Research
 To make people aware of what has happened in the past so they may learn from past failures
and successes.
 To learn how things were done in the past to see if they might be applicable to present-day
problems and concerns.
 To assist in prediction.
 To test hypotheses concerning relationships or trends
 To understand present educational practices and policies more fully.
c. Steps in Historical Research
There are four essential steps involved in doing a historical study in education:
 Defining the problem
Historical research problems, therefore, are identifed in much the same way as are problems
studied through other types of research. Those problems should be clearly and concisely
stated, be manageable, have a defensible rationale, and (if appropriate) investigate a
hypothesized relationship among variables. In historical research, sometimes the problem
selected in the study have insufficient data
 Locating relevant sources
Once the researchers have decided on the problem or questions he or she wishes to
investigate, they need to find the relevant sources to answer the research question. In general,
however, historical source material can be grouped into four basic categories: documents,
numerical records, oral statements and records, and relics.
- Documents: Document refers to any kind of information that exists in some type of
written or printed form. They can be in the form of written or printed materials that have
been produced in some form or another—annual reports, artwork, bills, books, cartoons,
circulars, court records, diaries, diplomas, legal records, newspapers, magazines,
notebooks, school yearbooks, memos, tests, and so on.
- Numerical Records: Numerical records can be considered either as a separate type of
source in and of themselves or as a subcategory of documents. Such records include any
type of numerical data in printed form: test scores, attendance figures, census reports,
school budgets, and the like.
- Oral Statements: This can be in the form of Stories, myths, tales, legends, chants, songs,
and other forms of oral expression have been used by people through the ages to leave a
record for future generations. But historians can also conduct oral interviews with people
who were a part of or witnessed past events. This
is a special form of historical research, called oral history, which is currently undergoing
somewhat of a renaissance
- Relics: A relic is any object whose physical or visual characteristics can provide some
information about the past. Examples include furniture, artwork, clothing, buildings,
monuments, or equipment.
It is also important to distinguish between primary and secondary sources. A primary source
is one prepared by an individual who was a participant in or a direct witness to the event
being described, while a secondary source is a document prepared by an individual who was
not a direct witness to an event but who obtained his or her description of the event from
someone else.
 Summarizing information obtained from historical sources
In summarizing information, the researchers determine the relevancy of the particular
material to the question or problem being investigated; recording the full bibliographic data of
the source; organizing the data one collects under categories related to the problem being
studied; and summarizing pertinent information (important facts, quotations, and questions)
on note cards.
 Evaluating historical sources
A researcher can never be sure about the genuineness and accuracy of historical sources. In
evaluating historical sources, the researcher should focuses on key questions which are
divided into two: external criticism and internal criticism.
- External criticism refers to the genuineness of any and all documents the researcher uses.
Researchers engaged in historical research want to know whether or not the documents
they find were really prepared by the (supposed) author(s) of the document. The important
thing to remember with regard to external criticism is that researchers should do their best
to ensure that the documents they are using are genuine.
- Internal criticism means determining if the contents of the document are accurate. It is
done after the researcher has been sure that the documents are genuine. While external
 criticism has to do with the nature or authenticity of the document itself, internal criticism
has to do with what the document says.
d. Data Analysis in Historical Research
The data collected in this kind of research is abundant and the researcher needs to synthesize it
into a meanigful narrative explanation. To analyze the data in historical research, some historical
researches prefer to operate from a theoretical model that helps them organize the information
they have collected and may even suggest categories for a content analysis. Others prefer to
immerse themselves in their information until patterns or themes suggest themselves. A coding
system may be useful in doing so.
e. Generalization in Historical Research
In doing historical research, the researcher cannot be part in the phenomenon or situations they
are studying, in some cases it may, so the generalizations are usually made. In addition to that,
the sources of historical research are sometimes incomplete. Those sources can be broken, lost,
etc. As with all research, the validity of any generalizations that are drawn can be strengthened
by increasing the size and diversity of the sample of data on which the generalizations are based.
For those historical studies that involve the study of quantitative records, the computer has made
it possible, in many instances, for a researcher to draw a representative sample of data from large
groups of students, teachers, and others who are represented in school records, test scores, census
reports, and other documents.
f. Advantages and Disadvantages of Historical Research
 Advantages
- It permits investigation of topics and questions that can be studied in no other way
- Historical research can make use of a wider range of evidence than most other methods. It
thus provides an alternative and perhaps richer source of information on certain topics that
can also be studied with other methodologies.
 Disadvantages
- The measures used in other methods to control for threats to internal validity are simply
not possible in a historical study.
- Limitations imposed by the nature of the sample of documents and the instrumentation
process (content analysis) are likely to be severe.
- The possibility of bias due to researcher characteristics (in data collection and analysis) is
always present.

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