Application of Grounded

Theory in Research
 Introduction
 Grounded Theory is a qualitative research methodology developed by sociologists Barney
Glaser and Anselm Strauss in the 1960s. It is primarily used for constructing theories that
are grounded in systematically gathered and analyzed data. Unlike other research methods
that begin with a theory and then test it, grounded theory starts with data collection and
develops a theory based on the analysis of this data. This inductive approach allows the
theory to emerge naturally from the data itself rather than fitting data into pre-existing
theoretical frameworks.
 Grounded theory is particularly useful when exploring new or complex phenomena where
existing theories are insufficient or inapplicable. It allows researchers to remain flexible and
responsive to the data, ensuring that the theory developed is both relevant and meaningful
to the context being studied.
 Major Characteristics of Grounded
Theory
 Inductive Approach: Grounded theory relies on an inductive process, meaning that it
derives theories from the data rather than starting with hypotheses or preconceived
theories. This involves a bottom-up approach where patterns, themes, and categories
emerge from the data.
 Simultaneous Data Collection and Analysis: In grounded theory, data collection and analysis
happen concurrently. This iterative process involves collecting data, coding it, and then
collecting more data based on initial findings. This constant comparison allows for refining
categories and concepts.
 Theoretical Sampling: Researchers use theoretical sampling, meaning that they collect,
code, and analyze data to decide what data to collect next and where to find it. The aim is to
gather data that will help elaborate and refine the emerging theory.
 Constant Comparative Method: A core feature of grounded theory is the constant
comparative method, where data is constantly compared with other data to find similarities
and differences. This method ensures that the categories and concepts developed are
grounded in the data itself.
 Major Characteristics of Grounded
Theory
 Coding Process: Grounded theory uses a systematic coding process to analyze data,
typically involving three stages:
- Open Coding: Identifying, naming, categorizing, and describing phenomena in the data.
- Axial Coding: Relating categories to their subcategories, linking them to the core category,
and refining them further.
- Selective Coding: Integrating and refining the theory by selecting the core category around
which all other categories are integrated.
 Memo Writing: Researchers use memo writing throughout the research process to capture
their thoughts, interpretations, and reflections on the data. Memos help in developing and
refining theoretical concepts.
 Theory Development: The ultimate goal of grounded theory is to generate a substantive
theory that is grounded in empirical data. The theory should be robust, explanatory, and
applicable to other contexts.
Major Characteristics of Grounded Theory
 Flexibility and Openness: Grounded theory emphasizes flexibility and openness in the
research process, allowing for unexpected findings and insights to shape the direction of the
study. Researchers must remain open to revising their interpretations as new data emerges.
 Focus on Social Processes: Grounded theory often aims to explain social processes,
interactions, or actions. It seeks to understand how individuals or groups interpret, define,
and respond to particular phenomena in their social context.
 Emphasis on Context: Grounded theory emphasizes the context in which data is collected
and analyzed. Understanding the context helps to provide a deeper insight into the
phenomena being studied and ensures that the theory developed is relevant to the specific
social setting.
 Emergent Design: Grounded theory research does not follow a rigid research design; it is
emergent and evolves during the research process. The research questions, sampling
strategies, and methods of data collection may change as the researcher gains deeper
insights into the data.
 Major Characteristics of Grounded Theory
 Data Saturation: Grounded theory aims to achieve data saturation, which occurs when no
new information or themes emerge from the data. This indicates that the categories are
well developed in terms of their properties and dimensions and further data collection
would not add significant new insights.
 Integration of Data Types: Grounded theory can integrate various types of data, such as
interviews, observations, documents, and artifacts. This approach allows for a
comprehensive understanding of the phenomena being studied by drawing from multiple
data sources.
 Reflexivity: Grounded theory involves a high degree of reflexivity, where researchers
continually reflect on their own influence on the research process, including their biases,
assumptions, and interactions with participants. Reflexivity ensures that the emerging
theory is not unduly shaped by the researcher’s preconceptions.
 Focus on Process, Action, and Interaction: Grounded theory particularly emphasizes
understanding social processes, actions, and interactions. It seeks to explain how people
engage in particular behaviors or activities, how they construct meaning, and how they
respond to specific situations.
 Major Characteristics of Grounded Theory
 Contextual Sensitivity: Grounded theory is sensitive to the context in which data is
collected and interpreted. It recognizes that human behavior is influenced by the
surrounding social, cultural, historical, and situational contexts, and aims to understand
how these factors shape the phenomena under study.
 Iterative Analysis: The analysis in grounded theory is iterative, meaning that it is ongoing
and cyclic. As new data is collected, it is continuously compared with existing data and
codes, allowing the theory to evolve progressively throughout the research process.
 Grounding in the Participants’ Language and Meaning: Grounded theory values the
language, meanings, and perspectives of the participants. Researchers strive to capture
and use participants' own words and phrases in developing codes and categories to ensure
that the theory remains closely connected to their lived experiences.
 Development of a Core Category: A key aspect of grounded theory is the identification of
a core category or central theme that integrates all other categories and provides a
cohesive explanation of the studied phenomenon. The core category represents the main
concern or process revealed by the data.
 Major Characteristics of Grounded Theory
 Fit, Relevance, Workability, and Modifiability: The quality of a grounded theory is assessed
by criteria such as:
- Fit: The theory should fit the data; it should accurately reflect the experiences of
participants.
- Relevance: The theory should be relevant to the participants and the field of study.
- Workability: The theory should explain how the phenomena occur, how they are
maintained, and how they can change.
- Modifiability: The theory should be open to revision and modification in light of new data
or perspectives.
 Philosophical Foundations
of the Grounded Theory
Approach
 Symbolic Interactionism
- Grounded Theory also draws significantly from symbolic interactionism, a sociological perspective developed by
George Herbert Mead and later expanded by Herbert Blumer.
- Symbolic interactionism posits that humans create meanings through their social interactions, and these meanings are
constantly negotiated and renegotiated in social contexts. This perspective emphasizes understanding how individuals
interpret and define their social reality.
- In Grounded Theory, researchers focus on how people make sense of their experiences and construct meaning in
specific contexts. Data is collected through observing these interactions and meanings, and theory is built inductively
from the ground up.
 Constructivism
- Grounded Theory, especially as articulated by later scholars like Kathy Charmaz, incorporates a constructivist
perspective. Constructivism posits that reality is socially constructed through human interaction, and knowledge is
shaped by the perspectives of those involved in the research.
- In a constructivist Grounded Theory, the researcher acknowledges that their interpretations and co-construction of
data with participants influence the theory that emerges. This approach highlights the active role of the researcher in
interpreting the data and constructing the grounded theory, rather than claiming objective detachment.
 Interpretivism
- Grounded Theory is also aligned with interpretivism, which emphasizes understanding the
subjective meanings and experiences of research participants. It seeks to interpret how
individuals perceive, make sense of, and act upon their social worlds.
- This foundation supports the idea that the aim of Grounded Theory is not to generate a
singular, objective truth, but rather to understand the multiple realities and subjective
experiences of participants within their contexts.
 Pragmatism
- Grounded Theory, developed by Barney Glaser and Anselm Strauss in the 1960s, is heavily
influenced by pragmatist philosophy, particularly the works of John Dewey, William James, and
Charles Sanders Peirce.
- Pragmatism emphasizes the practical application of ideas and the idea that the meaning of
concepts emerges from their practical consequences. In the context of Grounded Theory, this
means that theories should emerge from and be grounded in the empirical data collected from
the field. Theories are constructed to be useful and applicable in understanding social processes
and phenomena.
- This approach is concerned with action, interaction, and the consequences of actions in
everyday life, rather than abstract metaphysical concepts.
 Inductive Reasoning
- Grounded Theory relies on inductive reasoning, where theories are developed from specific
observations or data rather than starting with a hypothesis or pre-existing theory. The process
involves collecting data, coding, categorizing, and then developing concepts that explain the
patterns and processes observed in the data.
 Emergent and Iterative Approach
- The process is emergent and iterative, reflecting the philosophical stance that understanding
evolves over time. The researcher moves back and forth between data collection and analysis,
constantly refining and redefining concepts and categories as new data is gathered.
 Emphasis on Process
- Grounded Theory places a strong emphasis on understanding social processes and how they
unfold over time. It focuses on how actions and interactions are patterned, maintained, and
changed within social contexts. This is aligned with both pragmatism and symbolic
interactionism, which prioritize understanding dynamic, lived experiences.
 Planning and Designing a Grounded
Theory Project: Critical Steps and
Considerations
 Defining the Research Focus and Scope
- Clarify the Research Question: Begin with a broad research question or area of interest that is open to
exploration. The question should be flexible enough to allow for emerging themes and concepts. For
example, "How do patients with chronic illnesses manage their daily routines?" is a broad question that
allows for various dimensions to emerge.
- Determine the Research Purpose: Grounded Theory projects aim to develop theory rather than test a pre-
existing one. The purpose should focus on understanding processes, actions, or interactions within a specific
social context.
 Understanding the Philosophical Orientation
- Align with Philosophical Foundations: Ensure that your approach aligns with the foundational
philosophical perspectives of Grounded Theory, such as pragmatism, symbolic interactionism, and
constructivism. This understanding will guide the overall design, including data collection and analysis
strategies.
 Review of Literature (Selective and Minimal)
- Conduct a Preliminary Literature Review: In Grounded Theory, the literature review is typically
less extensive at the outset. The goal is to familiarize yourself with existing concepts, theories,
and gaps while avoiding imposing pre-existing frameworks on the data. The review should inform
the initial focus without constraining the researcher’s openness to new concepts that emerge
from the data.
- Identify Gaps and Justify the Research: Ensure there is a clear rationale for the study,
identifying gaps or under-explored areas in the literature that the research aims to address.
 Selecting the Research Setting and Sample
- Determine the Research Context: Identify the setting(s) where the phenomenon of interest is
likely to be observed. Consider practicalities such as access, feasibility, and ethical considerations.
- Define Sampling Strategy: Use theoretical sampling —a key principle in Grounded Theory—
where participants are selected based on their potential to provide relevant information to
develop the emerging theory. The sampling will evolve as data collection proceeds, guided by the
concepts that emerge from the analysis.
- Plan for Sample Size Flexibility: Be open to adjusting the sample size as needed; in Grounded
Theory, sample size is determined by data saturation—the point at which no new information or
themes are emerging from the data.
 Ethical Considerations
- Obtain Ethical Approval: Plan to obtain ethical approval from relevant bodies or institutions.
Grounded Theory research often deals with sensitive topics or vulnerable populations, so
ensure that ethical considerations, such as informed consent, confidentiality, and participants'
rights, are carefully planned.
- Prepare Informed Consent Forms: Design consent forms that clearly explain the purpose,
procedures, potential risks, and benefits of the study to participants.
 Developing Data Collection Strategies
- Select Appropriate Data Collection Methods: Decide on the methods of data collection (e.g.,
in-depth interviews, focus groups, participant observation, documents, or field notes).
Grounded Theory often relies heavily on interviews and observations to gather rich, detailed
data.
- Prepare Interview Guides or Protocols: Develop an initial interview guide with open-ended
questions that are broad enough to explore the participants' perspectives and experiences. Be
ready to adapt and refine these guides based on insights gained from initial interviews.
- Plan for Data Triangulation: Consider using multiple data sources to enhance the depth and
credibility of the findings, such as combining interviews with field observations, documents, or
 Planning for Data Management
- Develop a Data Management Plan: Create a plan for organizing, storing, and managing the data
collected. This includes deciding on transcription methods, data storage (e.g., digital files, software),
and maintaining confidentiality and anonymity.
- Select Appropriate Software Tools: Choose software tools for data coding and analysis (e.g.,
NVivo, ATLAS.ti) to manage and organize the large volume of qualitative data that will be collected.
 Prepare for Initial Data Analysis
- Plan for Iterative Data Analysis: Grounded Theory uses constant comparative analysis, where data
collection and analysis occur simultaneously. Plan to start analyzing data from the first collection
point, allowing emerging concepts and categories to guide further data collection and sampling.
- Prepare for Open Coding: Develop an approach for initial coding, where data is broken down into
discrete parts, closely examined, and compared for similarities and differences.
 Reflexivity and Researcher Positioning
- Reflect on Researcher Bias: Engage in reflexivity, being aware of your own biases, assumptions,
and preconceptions. Consider how your position might influence the data collection, analysis, and
interpretation processes.
- Plan Reflexive Strategies: Consider using reflexive journals, memos, and peer debriefing to enhance
transparency and trustworthiness.
 Establishing Trustworthiness and Rigor
- Plan for Credibility, Transferability, Dependability, and Confirmability: Ensure that the research
design includes strategies to enhance trustworthiness, such as prolonged engagement, member
checking, peer debriefing, audit trails, and transparency in methodological decisions.
- Plan for Theoretical Sensitivity: Maintain theoretical sensitivity by being open to understanding
and recognizing the subtleties of the data. Theoretical sensitivity involves being attuned to the
meanings and patterns in the data, recognizing which pieces of information are significant, and
being willing to shift direction as needed.
 Logistical and Practical Considerations
- Budget and Time Planning: Consider practical issues such as budget constraints, travel
requirements, and time allocation for data collection, transcription, analysis, and writing.
- Plan for Contingencies: Prepare for potential challenges, such as difficulties in accessing
participants, unforeseen ethical concerns, or unexpected findings that require shifts in focus or
methods.
 Pilot Testing
- Conduct a Pilot Study: Consider conducting a small pilot study to test your data collection
methods and refine them as needed. This helps in identifying any potential problems or areas for
improvement before full-scale data collection begins.
Data Collection and Data Analysis in
Grounded Theory project:
Simultaneous and an Iterative
Process
 Data Collection in Grounded Theory
 Start with Initial Sampling: Begin with a broad, purposive sampling strategy, selecting
participants who are likely to provide insights into the research question or area of interest.
This is usually guided by a preliminary understanding of the context or phenomenon being
studied.
 Use Multiple Data Collection Methods: Employ a variety of qualitative data collection
methods, such as:
- In-depth Interviews: Conduct semi-structured or unstructured interviews with open-ended
questions that encourage participants to share their experiences and perspectives in their own
words. The interview questions should evolve based on ongoing data analysis.
- Participant Observations: Observe participants in their natural settings to understand their
behaviors, interactions, and the context in which they occur.
- Document Analysis: Collect and analyze relevant documents, texts, or artifacts that provide
additional context or insights into the phenomenon being studied.
- Field Notes and Memos: Maintain detailed field notes and reflective memos to document
observations, initial thoughts, and insights throughout the data collection process.
 Theoretical Sampling: As data collection progresses, shift to theoretical sampling, where
you select participants, settings, or cases that will help elaborate, refine, or challenge
emerging categories and concepts. Theoretical sampling is driven by the need to develop
the emerging theory and is not predetermined at the outset.
 Flexibility and Adaptation: Be open to adapting the data collection methods based on what
emerges from the data. This could involve revising interview questions, changing settings, or
seeking out different participant groups to explore specific concepts more deeply.
 Data Saturation: Continue data collection until data saturation is reached—when no new
themes or insights are emerging, and the categories are well-developed and rich in content.
This ensures that the emerging theory is comprehensive and grounded in the data.
 Major Considerations
During Data Collection
 Maintain Theoretical Sensitivity: Stay attuned to the meanings and nuances in the data. Theoretical
sensitivity involves being aware of the subtle differences and meanings that arise from the data, which
requires ongoing reflection and reflexivity.
 Constant Comparative Analysis: Engage in a process of constant comparison by continuously comparing
new data with existing data, codes, categories, and emerging concepts. This comparison helps refine and
differentiate categories, identify patterns, and discover new themes.
 Memo Writing: Write analytical memos throughout the data collection process. Memos are used to
document your thoughts, ideas, hunches, and insights as they develop. Memos help track the evolution of
categories, conceptual relationships, and theoretical insights, providing a foundation for theory
development.
 Be Reflexive: Practice reflexivity by critically reflecting on your role as a researcher, how your background,
assumptions, and biases may influence data collection, and how you interact with participants. Reflexivity
helps maintain an open and unbiased approach to the data.
 Ethical Considerations: Be mindful of ethical issues, such as informed consent, confidentiality, and
participants' rights throughout the data collection process. Be prepared to handle sensitive topics and adjust
data collection strategies if ethical concerns arise.
 Data Analysis in Grounded Theory
Data analysis in Grounded Theory is conducted concurrently with data collection, involving several key steps and
considerations:
 Open Coding: Start with open coding, where you break down the data into discrete parts, closely examining and
categorizing them line-by-line. Assign codes to segments of data (words, sentences, or paragraphs) that capture
significant ideas, actions, or concepts.
 Constant Comparative Analysis: Throughout the process, compare data within and across different cases to identify
similarities and differences. This method helps refine categories, identify patterns, and develop conceptual links
between them.
 Axial Coding: After open coding, move to axial coding, where you begin to identify relationships between the
categories. Group codes into higher-level categories by exploring the relationships and connections between them
(e.g., causal conditions, strategies, consequences). This step refines and organizes the emerging theory around a core
category.
 Selective Coding: In selective coding, focus on integrating and refining the core category and its related categories to
develop a coherent and central theoretical framework. This involves identifying the central phenomenon, the
conditions that give rise to it, the actions or interactions associated with it, and the outcomes.
 Memo Writing (Continued): Continue writing memos throughout the analysis process. Use memos to document the
development of categories, relationships, and theoretical ideas, and to reflect on analytical decisions and emerging
theoretical insights.
 Theoretical Integration: Integrate and refine the categories and relationships to develop a coherent and robust theory
grounded in the data. This involves constantly comparing emerging concepts against new data and existing literature,
refining the theory until it is fully developed and represents a substantive explanation of the phenomenon.
 Major Considerations During Data Analysis
 Iterative Process: Embrace the iterative nature of Grounded Theory, where data collection and analysis inform
each other continuously. Be prepared to revisit earlier stages of data collection or analysis based on new insights
or gaps identified during the process.
 Theoretical Saturation: Ensure that you reach theoretical saturation, where no new concepts are emerging, and
existing categories are fully developed, detailed, and well-supported by the data.
 Maintain Theoretical Sensitivity: Remain open to emerging themes, categories, and theoretical insights. Avoid
imposing preconceived theories or frameworks on the data. Stay sensitive to the nuances, variations, and
complexities in the data.
 Flexibility: Maintain flexibility in your approach to both data collection and analysis. Be prepared to adapt your
methods, sampling strategy, or focus based on emerging findings.
 Ensure Rigor and Trustworthiness: Use strategies to enhance the rigor and trustworthiness of your analysis, such
as:
- Member Checking: Share findings or interpretations with participants to ensure accuracy and credibility.
- Peer Debriefing: Engage with peers or colleagues to discuss your analysis and interpretations, and to challenge
your assumptions.
- Audit Trail: Keep a detailed record of your analytical decisions, coding process, memos, and evolving categories to
provide transparency and replicability.
- Reflexivity: Continue to practice reflexivity throughout the data analysis process. Reflect on how your perspectives,
experiences, and assumptions may shape your analysis and interpretations.
Integration of Data Collection and Analysis
 Ongoing Iterative Analysis: Continuously analyze data as it is collected. This iterative process
allows you to identify gaps, emerging patterns, or new directions that require further
exploration. Use findings from early data to refine your research questions, interview guides,
and sampling strategies.
 Use of Memos for Theoretical Development: Utilize memos not just to record observations
but also to develop theoretical ideas. Regularly review and connect memos to identify
potential relationships, refine categories, and trace the evolution of the theory.
 A Dynamic, Reflexive Process
Data collection and analysis in a Grounded Theory project are deeply intertwined, forming a
dynamic, reflexive process where each informs and shapes the other. The researcher must
balance flexibility with rigor, remain open to new insights, and adapt the research design based
on the evolving data and emerging theory. Maintaining a focus on theoretical saturation,
trustworthiness, and reflexivity is key to developing a robust, grounded theory that provides a
meaningful explanation of the phenomenon under study.