GROUNDED THEORY

Abstract

Grounded theory describes a research approach to construct theory where no theory exists, or in
situations in which existing theory fails to establish connections between constructs or to
provide evidence to explain a set of circumstances. Data has been systematically collected and
analyzed in the research method of ‘grounded theory’ resulting in theory generation. Social
relationships and behaviors of groups are unfolded in this method of study. Grounded theory as
a method of qualitative research is a form of a field research that explores and describes
phenomenon of interest in its naturalistic settings.

Keywords:- grounded theory, coding, memoing………………………theme,flow chart

Introduction

Grounded theory research has been instrumental in the development of many middle range
theories of phenomena relevant to social processes.

………. Grounded theory is a qualitative research approach used to explore the social processes
that present within human interactions. The primary purpose of the grounded theory is to develop
a theory about the dominant social processes. Through application of the approach, the

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researchers develop explanations of key social processes or structures that are derived from or
grounded in empirical data (Hutchinson,2001).

Purpose of grounded theory

to discover theoretical explanations about social phenomena.

To develop a theory based on the emerging data about a social process

According to Strauss and corbin 1990, grounded theory involves "systematic technique and
procedures of analysis that enable the researcher to develop a substantive theory that meets the
criteria for doing “good” science:- significance, theory-observation, generalizability,
compatibility, precision, reproducibility, rigor and verification

… theory is that developed for a substantive or empirical, area of inquiry. Formal theory is
developed for a formal, or conceptual area of inquiry.

History

Grounded theory was developed in California, during their study of -‘Awareness of Dying’.

in 1960s by two sociologists Glaser and Strauss.

The grounded theory method is an inductive approach involving a systematic set of

procedures to arrive at a theory about basic social processes (Charmaz, Thornberg & Keane)
2018

Development of grounded theory

Grounded theory was developed in 1960s by two sociologists, Glaser and Strauss. It was
developed in California, during their study-‘Awareness of Dying’. It is a general methodology
for developing theory that is grounded in data which is systematically gathered and analyzed.
The emergent theory is based on observations and perceptions of social scene and evolves during
data collection and analysis (corbin and strauss 2015).

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Overview

The emergent theory is based on observations and perceptions of social scene and evolves during
data collection and analysis (corbin and strauss 2015). Grounded theory describes a research
approach to construct theory where no theory exists, or in situations in which existing theory
fails to provide evidence to explain a set of circumstances.

A grounded theory is one that is inductively derived from the study of the phenomenon it
represents. That is, it is discovered, developed, and provisionally verified through systematic
data collection and analysis of data the pertaining to that phenomenon. Therefore, data
collection, analysis and the theory stand in reciprocal relationship with each other.

The goal of grounded theory investigations is to discover theoretically complete explanations

about particular phenomena. According to Strauss and corbin 1990, grounded theory involves
"systematic technique and procedures of analysis that enable the researcher to develop a
substantive theory that meets the criteria for doing “good” science:- significance, theory-
observation, generalizability, compatibility, precision, reproducibility, rigor and verification

Through an inductive approach, researcher using the method generate theory that can be either
formal or substantive. Substantive theory is that developed for a substantive or empirical, area of
inquiry. Formal theory is developed for a formal, or conceptual area of inquiry.

Basic differences of ground theory from other qualitative methods table

1. The conceptual framework of grounded theory is generated from the data rather than
from previous studies.

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 2. The researcher attempts to discover dominant processes in the social scene rather than
describe the unit under investigation.

3. The researcher compares all data with all other data.

4. The researcher may modify data collection according to the advancing theory; that is, the
researcher drops false leads or asks more penetrating questions as needed.

5. The investigator examines data as they arrive, and begins to code, categorize,
conceptualize and write the first few thoughts concerning the research report almost from
the beginning of the study.

Fundamental characteristics of grounded theory method…..figure

Charmaz (1995, 2002) identifies a number of features that all grounded theories have:
Explores the basics social processes
 Simultaneous collection and analysis of data
 Creation of analytic codes and categories developed from data and not by pre-
existing conceptualizations (theoretical sensitivity)
 Inductive construction of abstract categories
 Theoretical sampling to refine categories
 Writing analytical memos as the stage between coding and writing
 The integration of categories into a theoretical framework.
Types of grounded theory
 Grounded theory is of 3 types
1. Traditional Grounded Theory associated with Glaser
2.Evolved Grounded Theory associated with Strauss, Corbin and Clarke
3.Constructivist Grounded Theory associated with Charmaz
Traditional or classic grounded theory
The traditional grounded theory is to generate a conceptual theory that accounts for a
pattern of behaviour that is relevant and problematic for those involved.
Evolved Grounded Theory…….semiotics

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It is based on symbolic interactionism and stems from work associated with Strauss, Corbin and
Clarke. Symbolic interactionism is a sociological perspective that relies on the symbolic meaning
people ascribe to the processes of social interaction. Symbolic interactionism addresses the
subjective meaning people place on objects, behaviours or events based on what they believe is
true.

Constructivist Grounded Theory ……………………………..

Constructivist grounded theory’s methodological underpinnings focus on how participants’
construct meaning in relation to the area of inquiry. A constructivist co-constructs experience
and meanings with participants
…….list
Elements and interpretation of the method

Research question

The main purpose of using grounded theory approach is to explore social processes with the goal
of developing theory. The research question can be a statement or a broad question that the
permits in depth explanation of the phenomenon. Researcher need a research question that will
give us the flexibility and freedom to explore if phenomenon in depth also underline this
approach to qualitative resource is the assumption that all of the concepts pertaining to a given
phenomenon have not been identified at least not in this given population or place; or if so, then
the relationship between the concepts are poorly understood or conceptually developed.

The nature of grounded theory methodology requires that investigators refine the research
question as the generate and analyze the study data. Because the study focus may change
depending on the data generated, the original questions merely lend focus to the study. A truly
accurate research question is impossible to ask before beginning any grounded theory study.

Researchers perspective

In a grounded theory study, the theory emerges directly from data and reflects the contextual
values that are integral to the social processes being studied. The researcher should not complete

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a thorough review of the literature before the study, but this view may underestimates the
researcher's ability to be reflexive, which is similar to bracketing; the researcher must be aware
of the effect of his or her own personal thoughts and feelings when conducting the research so
they do not influence the data.

Sampling

Participants for a grounded theory investigation must be selected based on their experience with
the social processes under investigation. The sample size is determined by the data generated and
their analysis. The Grounded theorists continue to collect data until they achieve saturation of
conceptual information and no new codes emerge. The researcher can gain closure by constant
questioning and reexamination of the data.

Researcher’s role

The grounded theory researcher works within a matrix where several processes go on at once
rather than following a series of linear steps. So it is not possible to control for the presence of
the researcher in a naturalistic setting. The investigator examine the data as they arrive and
begins to code, categories, conceptualize and to write the first few thoughts concerning the
research report almost from the beginning of the study. The researcher is an integral part of
investigation and consequently, must recognize the intimate role with the participants and
include the implications of that role in the actual investigation and interpretation of the data.

Straaus and corbin have identified skills needed for doing qualitative research: the ability "to step
back and critically analyze situations, to recognize and avoid bias, to obtain valid and reliable
data and to think abstractly". “A qualitative research requires theoretical and social sensitivity,
the ability to maintain analytical distance while at the same time drawing upon past experience
and theoretical knowledge to interpret what is seen, astute powers of observation and good
interaction skills”.

Skills required for a theory developer

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To conduct a Grounded theory investigation, researchers must possess excellent interpersonal
and observational skills, compelling analytical abilities, and writing skills that facilitate
communication in written word, with a high degree of accuracy, regarding what they have
learned.

Steps in development of grounded theory

The theory emergence is based on observations and perceptions of social

situations and scenes. It evolves during data collection and analysis (corbin and strauss 2015

Stern described five steps in the process of grounded theory research that compose the
fundamental components of the method. They are:-……………………………………………….

Researcher identified following steps…….

1. Discovery of primitive ideas and initial themes during collection of empirical data

2. Concept formation

3. Concept development

4. Concept modification

5. Concept integration

6. Construct development

7. Linking the concepts

8. Production of the research report

Methods of Data generation

The researcher may collect the data from interviews, skilled observations or documents or from a
combination of these sources. Daily journals, participant observation, formal or semi structured
interviews and informal interviews are valid means of generating data. As concepts and
categories emerge during data analysis, the required sampling of particular data sources
continues until each category is saturated. No limits are set on the number of participants,
interviewees or data sources.

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Data treatment

The choice of data treatment and the collection methods is influenced primarily by researcher
preference. Researcher generally tape record interviews and transcribed, the observations are
recorded as field notes. The researcher should transcribe and type double spaced field notes
immediately. It is also helpful to leave at least a 2-inch margin on one side of the transcribed data
sheets for coding purposes. Open ended questions are used initially to identify concepts for
further focus.

Data analysis: generating theory

The discovery of core variable is the goal of grounded theory. The researcher undertakes the
quest for this essential element of the theory, which illuminates the main theme of the actors in
the setting, and explicates what is going on in the data. The core variable serves as the
foundational concept for theory generation and the integration and density of the theory are
dependent on the discovery of a significant core variable

Glaser provided nine criteria to help researchers decide the core categories:
1. It reoccurs frequently in the data
2. It must be central, it relates to many categories
3. It has clear and grabbing implications for a more general or formal theory
4. It takes more time to saturate than other categories
5. It relates meaningfully and easily through other categories
6. It has considerable carry-through
7. It is completely variable
8. It is a dimension of the problem
9. It can be any kind of a theoretical code
Concept formation

Grounded theory requires that researchers collect, code, and analyze data from the beginning of
the study. The method is circular, allowing the researchers to change focus and pursue leads
revealed by the ongoing data analysis.

Coding

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During the conduct of a grounded theory investigation, the processes of data collection, coding
and analysis occur simultaneously. As they collect data through interviews, participant
observation, field notes and so forth, researchers begin to code data. They then examine data line
by line, identify processes and conceptualize underlying patterns. Coding occurs at the three
levels.

 Open coding: this involves line by line coding where concepts and key phrases are
identified and highlighted and moved into subcategories, then categories. This breaks the
data down into conceptual components and the researcher can start to theorise or reflect
on what they are reading and understanding—making sense of the data. The data from
each participant will be ‘constantly compared’ for similarities.

 Axial coding: at this stage relationships are identified between the categories, and
connections identified.

 Selective coding: this involves identifying the core category and methodically relating it
to other categories. The relationships must be authenticated and categories refined.
Categories are then integrated together and a Grounded Theory identified. Analytical
notes are encouraged. These are notes to oneself to explain thought patterns in relation to
the data analysis.

Open codes: An example (Saldana, 2013, p.5)

1.
I suffered a lot from my gerandchild………….. son, …………., went through a really tough
time about, probably started the end of fifth-grade and went into sixth grade. 2.When he was
growing up in school he was a people pleaser and his teachers love him to death. 3.Two boys in
particular he chose to try to emulate, wouldn’t, were not very good for him. 4.They were very
critical of him, and put him down all the time and he internalised that, I think, for a long time.
5.
In that time, they really just kind of shunned him altogether, and so his network as he knew it
was gone.
1.
Middle school hell
2.
Teacher’s pet
3.
Bad influences
4.
Angst

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5.
Lost boy
Axial coding: Example
 Analyse other data using the same codes:
 1.
Middle school hell 2.
Teacher’s pet 3.
Bad influences 4.
Angst 5.
Lost boy
 Several/many of the same codes will be used repeatedly
 Look at other data for new codes
 6.
Importance of friends 7.Happy days 8.Carefree, etc
 Review your first dataset to see if the new codes apply
 Expand/refine/redefine the codes, as necessary.
 Search for patterns among the codes.
 Examples
 C1.
Affection C2.
Negative experiences C3. Reactions
Emerging categories: Examples
 Patterns may be exact, similar, or something in common;
 Examples
 C1.
Affection C2.
Negative experiences C3. Reactions
 There may be sub-categories – e.g., C1.Affection
 C1T.
from teachers; C1P. from peers; C1F .
from family

Concept development
Three major steps expand and define the emerging theory: reduction, selective sampling of the
literature and selective sampling of the data. Through these processes, the core variable emerges.

Reduction
During data analysis, the researcher may get huge number of categories. So, the researchers need
to reduce in number by cutting down the unwanted and overlapping categories. This can be done
by Comparing the categories which allows the researcher to see how each cluster can be fit under
another broader category. Through the Category reduction the researcher can determine primary
social processes or core variables that trace the action in the social scene being investigated. The
result of this reduction is a clustering of categories that, when combined, form a category of
broader scope

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Selective sampling of the literature

Stern:-

It is not good to review the literature for the study. The researcher may get some idea about the
study by reviewing the literature. This may lead to prejudgement and results in inaccurate
generation of the theories. So, the literature selection and reviewing is should be done along with
data analysis. The literature review gives the researcher an idea about the concepts under the
study which will help the researcher to fill the gaps in the emerging theory. Thus the literature
review can be used as a supporting document for the study to explain the theory and to compare
with other theories about the concepts which results in complete theoretical description.

in before the study may give some idea

cause prejudgement has suggested and attempting a literature search for the study begins is
unnecessary and perhaps may even be detrimental to the study. Reviewing the literature may
lead to prejudgments and affect premature closure of ideas, the direction maybe a wrong, and
available data of materials may be inaccurate

Selective sampling of the literature is suggested and generally follows or occurs simultaneously
with data analysis. The literature review helps researchers become familiar with the works
published on the concepts under study and fills in the missing pieces in the emerging theory. As
theory begins to develop, the researchers conduct a literature review to learn what has been
published about emerging concepts. They use the existing literature as data and the literature into
a matrix consisting of data, category and conceptualization. Literature, carefully scrutinized,
helps expand the theory and relate it to other theories. The literature can fill in gaps in the
emerging theory and add completeness to the theoretical description.

Selective sampling of data

As the main concepts or variables become apparent, comparison with the data determines under
which conditions they occur and if the concepts or variables seem Central to the emerging
theory. Researchers may collect additional data in a selective manner to develop the hypothesis
and identify the properties of the main categories. Through selective sampling, saturation of the
categories occurs.

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Emergence of core variables

Through the process of reduction and comparison, the core variable for the investigation
emerges. The concept of core variable refers to a category which accounts for most of the
variation in a pattern of behaviour and which helps to integrate other categories that have been
discovered in the data. Following the emergence of the core variable, researchers begin the steps
of concept modification and integration. Through the use of theoretical codes, the conceptual
framework moves from descriptive to the theoretical level.

Concept modification and integration

Concept modification and integration are accomplished as researchers continue to analyse data.
Theoretical coding provides direction and memoing preserves the researcher’s thoughts and
abstractions related to the emerging theory.

Theoretical coding

Theoretical coding gives direction to the process of examining data in theoretical rather than
descriptive terms. According to Stern, this means applying a variety of analytical schemes to data
to enhance their abstraction. For theoretical explanations, the researchers examine all the
variables that may affect data analysis and findings. During concept modification and
integration, researchers use memory to maintain their ideas pertinent to the emerging theory.

Theoretical codes provide insights into how substantive codes related to each other. Glaser
proposed 18 families of theoretical codes that researchers can use to conceptualize how
substantive force related to each other

Memoing

Memoing preserves emerging hypothesis, analytical schemes, hunches and abstraction.

Researchers must sort memos into cluster concepts to tie up or remove loose ends. They write
memos on file cards or paper or store them in computer files. During the process, it becomes

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clear how concepts fully integrate with one another and which analytical journey extends beyond
the focus of the research report. Investigators set aside memos that do not fit until they write
another focus of the study. Sorted memos become the basis for the research report.

Production of the research report

The research reporter for a ground theory investigation presents the theory, which is
substantiated by supporting data from field notes. The report should give readers an idea of the
sources of data, how the data were rendered and how the concepts are integrated. A good
reporter reflects that allows an outsider to grasp its meaning and apply its concept

Evaluation of grounded theories

Strauss and Corbin identified four criteria for judging the applicability of the theory to a
phenomenon:
1 fit
2) understanding
3) generalisibality and
4) control
If theory is faithful to the everyday reality of the substantive area and is carefully induced from
diverse data, then it should fit that substantive area. If a researcher collected insufficient data and
attempted closure too soon, then it is impossible to meet criterion. Because it represents a reality,
the ground should be comprehensible to both the study participant and to the practitioners with
experience in the specific area studied. If the data on which the theory is based are
comprehensive and the interpretations conceptual and broad, then that theory should be abstract
enough and conclude sufficient variation so that it may apply to a variety of context related to the
phenomenon under study, thus meeting the criterion of generality. The theory also should
provide control with regard to action toward the phenomenon.

Constant comparison is the core feature in all ground theory analysis. That involves comparing
elements present in one data source with those in another to determine if they are similar. The
process continuous until the content of all sources has been compared so that commonalities are
identified.

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Strengths:

• An effective approach to build new theories and understand new phenomena

• High quality of the emergent theory
• Emergent research design reflects the idiosyncratic nature of the study
• Findings and methods are always refined and negotiated
• Requires detailed and systematic procedures for data collection, analysis and theorizing
• The resulting theory and hypotheses help generate future investigation into the
phenomenon
• Requires the researcher to be open minded, and able to look at the data through many
lenses
• Data collection occurs over time, and at many levels, helping to ensure meaningful
results
Weaknesses:
• Huge volumes of data is needed.
• Time consuming and painstakingly precise process of data collection/analysis
• Lots of noise and chaos in the data
• Prescribed application required for the data-gathering process
• There are tensions between the evolving and inductive style of a flexible study and the
systematic approach of grounded theory.
• It may be difficult in practice to decide when the categories are “saturated” or when the
theory is sufficiently developed
• It is not possible to start a research study without some pre-existing theoretical ideas and
assumptions
• Requires high levels of experience, patience and acumen on the part of the researcher
Russell Bernard approach

Grounded theory refers to a set of systematic inductive method for conducting qualitative
research aimed towards theory development. Grounded theorists seek to understand people’s
experiences in a rigorus and detailed manner and to gain a deeper understanding of the social
phenomenon being studied.

According to Bernard the grounded theory process is deceptively simple”:

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 1. Produce transcripts of interviews and read through a small sample of text
2. Identify potential analytic categories (i.e; potential themes) that arise
3. As the categories emerge, pull together all the data from those categories and compare
them
4. Consider how categories are linked together
5. Use the relations among categories to build theoretical models, constantly checking the
models against data, especially against negative cases
6. Present the results of the analysis using quotes from the interviews that illuminate the
theory (exemplars)
Alternate views of grounded theory

Glaser Corbin and Strauss Charmaz

Initial data Breaking down Breaking down and Creating link between
analysis and conceptualizing data, which collecting data and developing
conceptualizing includes taking part a single emergent theory, defining
data with sentence, observation or what is occurring in data and
comparison so that incident beginning to analyze what it
patterns emerge means

Types of coding Open, selective, Open axial Initial, focused

theoretical

Connections 18 coding families Paradigm (conditions, actions- Analytic strategies are

between plus theoretical interactions and consequences emergent rather than
categories: codes from or outcomes) and the procedural applications,
strategies different conditional/consequential categories subcategories and
disciplines Matrix links

Outcome Emergency theory Conceptual description An interpretive theory

(discovery) (verification) constructed through
researcher’s past and present
involvement with the persons,
perspectives and research

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 practices

Conclusion

Grounded theory plays a significant role in the conduct of qualitative research. The fundamental
characteristics and application of the approach include issues related to refinement of the
research questions; determination of the sample; and data generation, treatment and analysis.
Applied to the profession of nursing grounded theory can increase middle range substantive
theories and help explain the theoretical gaps among theory, research and practice.

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