Theoretical Coding: Text Analysis in Grounded Theory

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5.13 Theoretical Coding: Text Analysis in Grounded Theory

Andreas Böhm

1 Procedure according to grounded theory 270 2 Limitations of the method 274 3 Developments and perspectives 274

Barney Glaser and Anselm Strauss (1967) data collection is oriented to theoretical created in their grounded theory a comprehensive sampling (see 4.4): in the early stages as many idea of the epistemological and research process different people, situations and documents as in the social sciences (see 2.1, 6.6). It extends possible are selected to obtain data covering the from the first ideas of a research question to the complete spectrum of the research question. production of the report on results (see 5.22). Subsequently data are sought that will confirm Data collection, analysis and formulation of or modify the (provisional) categories of the theory are closely interrelated. The label grounded theory that have already been developed. theory is often used to refer to both the method ‘Sensitizing concepts’ as guiding principles are and also the research result that is sought through the starting point of the research and have the the use of this theory. On the basis of empirical character of open questions (‘what happens research in a particular object area it makes it pos- and how?’). The researchers’ own questions, sible to formulate a valid theory for this area con- their prior understanding and, related to this, sisting of interrelated concepts and suitable for their own prejudices concerning the research the production of a description and an explana- issue can be worked out by means of brain- tion of the social phenomena investigated. storming and group discussions. The reading of relevant literature also belongs to this (special- ist publications, but also journalistic work, 1 PROCEDURE ACCORDING novels and stories). The most important intel- TO GROUNDED THEORY lectual activity in the analytical process consists of comparison. This refers less to the search for Grounded theory is a Kunstlehre (art), and so its identical contents than to the search for simi- procedure cannot be learned in the form of larities and differences (Busse 1994). Coding prescriptions. A clear example of the use of the may be described as the deciphering or interpre- procedure may be found in the chapter by tation of data and includes the naming of con- Hildenbrand about Anselm Strauss (see 2.1). cepts and also explaining and discussing them The following summary of the procedure relies in more detail. The explanations are reflected in in particular on the presentations of Glaser coding notes. The result of coding is then a list (1978), Strauss (1987) and Strauss and Corbin of terms as well as an explanatory text. Three (1990). The data material here is text in the types of coding may be distinguished that may broader sense of the term (transcribed interviews, be partially considered as phases in the research field notes, observation reports, and so on). The process – open, axial and selective coding (see Flick 5.13.qxd 3/19/04 2:39 PM Page 271

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below). ‘Code’ is a technical term from the • Why? What reasons are given or may be analytical procedure and signifies a named con- deduced? cept. In the data indicators are sought of the • For what reason? With what intention, and phenomenon being studied. The target of the for what purpose? first analyses is the production of codes that • By what means? What methods, tactics and relate directly to the data. Initially, concepts strategies are used to achieve the goal? always have a provisional character, and in the course of the analysis they become more differ- In coding researchers use their background entiated, numerous and abstract. The differenti- knowledge about the context of the textual pas- ated concepts are known as categories. sage being investigated and, in general terms, their knowledge about the area of investigation. Writing of memos The result of the work is an interpretative text which adheres to analytical thinking about the Theoretical memos are based on the coding phenomenon and which often contains ques- notes mentioned above and on broad interrela- tions about how the phenomenon might be tions that are gradually revealed by the investi- further investigated (see 2.1 for an example). gator. The writing of theoretical memos requires Theoretical codes in the sense of terms from sci- researchers to distance themselves from the data, entific theories should initially be avoided. and also helps them to go beyond purely More profitable are in-vivo codes, which, as col- descriptive work (motto ‘Stop and memo!’). In loquial interpretations of the phenomena, are the course of the analysis memos can become taken directly from the language of the field of starting points for the formulation of the final investigation. In-vivo codes are components of manuscript. Exactly as with theoretical memos, ‘theories’ formulated personally by the produc- there is a constant process of writing and revi- ers of the text in question. Traditional categories sion (theoretical sorting). Working in a team of such as age, gender, level, and so on, should only colleagues prevents one-sidedness and can speed be used after a thorough scrutiny of their rele- up the epistemological process, for which reason vance. The text and the researcher’s background working in a team of investigators and (research) knowledge make it possible to specify different supervision have proved to be of value. aspects or properties of the phenomenon being investigated. Mental comparisons (including false and extreme instances) provide some indi- Open coding cation of the possible variation in these aspects or in their characteristics. If a particular aspect or In open coding data are ‘broken down’ analyti- property may be plotted on a continuum, then cally, and in this the principle of grounded we are dealing with a dimension. theory shows itself: from the data, that is from Open coding is an expanding procedure in the the text, a succession of concepts is developed sense that considerable quantities of interpreta- that may ultimately be used as building blocks tive text can be added to a small segment of an for the model. As a first step it is advisable to original text. To retain an overview, the investi- analyse single short textual passages (line by gator should continually write memos, and sort line). Subsequently larger paragraphs or even and weigh up the results of the work. In order- whole texts may be coded. In order to avoid ing the interim results it will become clear what simple paraphrasing, the following ‘theory- concepts are important for the researcher’s own generating’ questions are asked of the text. question and therefore require deeper analysis, and what results should be discarded and not • What? What is at issue here? What phenom- pursued in greater depth. enon is being addressed? • Who? What persons or actors are involved? What roles do they play? How do they Axial coding interact? • How? What aspects of the phenomenon are This step serves to refine and differentiate con- addressed (or not addressed)? cepts that are already available and lends them • When? How long? Where? How much? How the status of categories. One category is located strongly? at the centre and a network of relationships is Flick 5.13.qxd 3/19/04 2:39 PM Page 272

272 A COMPANION TO QUALITATIVE RESEARCH

Context and intervening conditions

Causal Phenomenon Consequences conditions

Action strategies

Figure 5.13.1 Coding paradigm for social science research questions

developed around it. Typically, axial coding is development of the phenomenon, for instance, used particularly in the middle and later stages a broken leg (= cause) leads to pain (= phenome- of an analysis. In the same way as open coding, non). It is important here to clarify the proper- axial coding is applied to very short textual seg- ties of the cause. For the example given, this ments (in the sense of a detailed analysis), to would mean asking: What kind of fracture? larger extracts or to the entire text. For theory- Simple or compound? And so on. With causes a formation what is of particular importance is distinction must sometimes be made between the development of relationships between the the subjective view, as it may be presented, for axial categories and the concepts that are related example, as a speaker’s perspective in an inter- to them in terms of their formal and content view text, and the view of the researcher. Causes aspects. The axial category is developed in its are normally only valid in a particular set of con- temporal and spatial relationships, in relation- ditions, and here what is of particular importance ships of cause and effect, in means–ends rela- for the formation of an action-related theory tionships and in terms of argumentative and are the conditions that promote or restrict the motivational connections. The hypothetical possibilities for action or interaction. Under relationships in axial coding must be repeatedly contextual conditions are included particularly checked in a deductive procedure, using new time, place and duration. And among intervening data material. To explain the relationships conditions we find the social, political and cul- between categories that relate to partial aspects tural environment and the individual biography. of social action, Strauss’s coding paradigm has Actions and interactions have two properties. proved to be of value (Figure 5.13.1). (1) They are processes and have a sequence, and The following example, in which ‘pain’ has it is therefore appropriate to ask about sequences been selected as the axial category, will illustrate and temporal course of action. (2) They are goal- the coding paradigm: ‘If I’ve drunk too much oriented and are often performed for particular (context), I get (condition) a headache (phenom- and specifiable reasons, for which reason one enon/axial category). Then I take an aspirin may refer to (interactional) strategies or tactics. (strategy). After a while it’s better (consequence)’ ‘Goal-oriented’ should not be confused with (taken from Strauss and Corbin 1990: 98). (conscious) intention. For the purposes of the The phenomenon denoted by the axial category analysis a functional mode of observation is is, for example, an event or a fact. The actions of preferred that disregards intentions. Strauss and an individual as well as interactions between dif- Corbin (1990: 104) offer the following example. ferent people revolve around the phenomenon. In an investigation into the self-consciousness The following questions make easier the choice of children a field observation was analysed. A of axial category: What do my data refer to? child throws a glass of milk onto the floor and is With what are the actions and interactions in rebuked by its mother in the presence of other the data actually concerned? Causes or causal children. It was not a conscious intention of the conditions contribute to the occurrence or mother that the child’s self-consciousness Flick 5.13.qxd 3/19/04 2:39 PM Page 273

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Table 5.13.1 Coding families (adapted from Glaser 1978: 75–82)

Coding families Concepts Examples

The Six Cs Causes, contexts, contingencies, … of pain suffering consequences, conditions Process Stages, phases, phasings, transitions, Career of a patient with chronic pain passages, careers, chains, sequences The Degree Family Extent, level, intensity, range, amount, Extent of pain suffering continuum, statistical average, standard deviation Type Family Types, classes, genres, prototypes, Kinds of pain – sharp, piercing, throbbing, styles, kinds shooting, sting, gnawing, burning The Strategy Family Strategies, tactics, techniques, mechanisms, Coping with pain management Interactive Family Interaction, mutual effects, interdependence, Interaction of pain experience and coping reciprocity, symmetries, rituals Identity-Self Family Identity, self-image, self-concept, self-evaluation, Self-concepts of pain patients social worth, transformations of self Cutting-Point Family Boundary, critical juncture, cutting point, Start of chronification in the medical turning point, tolerance levels, point career of pain patient of no return Cultural Family Social norms, social values, social beliefs Social norms about tolerating pain, ‘feeling rules’ Consensus Family Contracts, agreements, definitions of the Compliance situation, uniformity, conformity, conflict

should suffer from the rebuke (here the interac- far developed. As a starting point for establishing tional strategy), but rebuking can be coded here the main phenomenon of the analysis it is as a strategy. advisable to look at coding lists, summarizing Actions and interactions lead to particular memos and representations of networks. The consequences. Strauss (1987: 57) recommmends main phenomenon is described as the core cate- that care be exercised in applying the coding gory and is possibly already present in the paradigm to linguistic peculiarities in the data: formulation of the research question of the researchers should regard keywords such as particular investigation. Admittedly it must ‘because’, ‘since’, or ‘owing to’ as indicators of sometimes occur in the research process that causal conditions. Consequences of actions are a different phenomenon than originally often indicated by means of expressions such as assumed will take on central importance for the ‘as a result of’, ‘and so’, ‘with the result that’, issue in question. There are indeed such shifts ‘the consequence was’, ‘consequently’. in a research perspective in the course of data As a further stimulus in axial coding, an collection and interpretation, which lead to new overview of theoretical framing concepts may and surprising discoveries. For this reason be used, or so-called coding families. The C-family grounded theory recommends asking repeatedly, (causes, contexts, consequences, conditions, in the course of an investigation, which pheno- etc.) corresponds to the coding paradigm mena are central and formulating appropriate described above. For Glaser (1978: 74) this cod- theory-memos. ing family is central to the analysis of social If a number of well-worked-out axial cate- events (the ‘bread and butter theoretical code of gories are available we may assume that the sociology’) (see Table 5.13.1). central phenomenon has been captured in its essential aspects – otherwise it is necessary to Selective coding return to earlier phases in the research process. In the practice of research there are two possi- In this phase the researcher is particularly active bilities. (1) One of the axial categories includes as an author on the basis of the categories, the central phenomenon and is therefore suit- coding notes, memos, networks and diagrams so able as the core category. The candidate for the Flick 5.13.qxd 3/19/04 2:39 PM Page 274

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core category is characterized by its formal atic procedure, be discovered, reviewed and ulti- relationships with all the other important cate- mately eliminated. gories and occupies a central position in the net- The degree of generalizability of a theory work of terms. (2) It often proves to be sensible developed in this way depends, at least in part, to give a central location to a phenomenon to upon a process of abstraction that permeates the which more than a single axial category relates. entire research procedure. The more abstract the In such a case it is necessary to detach oneself formulation of the developed categories – in from the axial categories, and to formulate a particular the core category – the more widely new category which comes about by means of the theory may be applied. But, in addition, the summarizing or reformulating one of the exist- time and energy invested in its development ing categories. will also increase, because ultimately the route Frequently investigators experience difficul- from the data to the relatively abstract cate- ties in sticking to the central proposition of the gories must be documented in every detail. A investigation because of the ‘surfeit of important grounded-theory is testable by again confronting details’. Here one should ask what ‘story’ the the theoretical propositions, as hypotheses, data tell. The researcher will summarize in a few with reality. For social and, in particular, histor- sentences the results of the investigation for an ical phenomena there are limits to this, because interested reader. Guiding questions for this the social conditions cannot be reproduced at kind of record are: What is the issue here? What will nor very precisely. have I learned from the investigation? What is central? What relationships exist? The main story revolves around a core category, unfolds 2 LIMITATIONS OF THE METHOD this in a concise way and shows relationships with other important categories. After determin- The character of grounded theory as a Kunstlehre ing the core category, its properties and dimen- (art) renders its learnability more difficult, and sions, other relevant categories are related, makes particular demands of investigators in res- systematically and in a schematically oriented pect of their creativity. The requirement – which manner (for example, in the sense of the coding seems initially to be liberating – that one should paradigm), to the core category. Once the rela- distance oneself from existing theories and allow tionships to the main categories have been the theory to grow out of the data, often causes formulated, their particular properties and insecurity among students. Particularly in respect dimensions may be compared with regard to of decisions about the transition points between regularities and patterns. the different phases of coding, there are scarcely any fixed rules (Flick 2002: 185). The pragmatic An example of selective coding direction, in terms of which data collection and analysis is complete when theoretical saturation In an investigation of the psychological reaction is reached (that is, no new aspects can be incor- to the nuclear accident at Chernobyl (Legewie porated into the theory), is hardly adequate for et al. 1989), it was possible to discover the fol- beginners. From this it again becomes clear how lowing pattern: in experiencing a threat to one’s important teamwork and research supervision are own physical health and life expectancy what in the context of this method. was decisive was whether age was an important constituent in a person’s self-image. ‘Young’ people (not in the sense of biological age, but in 3 DEVELOPMENTS AND the sense of a self-attributed property, or ‘sub- PERSPECTIVES jective age’) saw themselves in this respect as far more threatened than ‘old’ people. This state- While Barney Glaser withdrew from active ment could only be made after a systematic research in the 1980s, Strauss developed the comparison of combinations found no evidence approach further and devoted himself in partic- of the combinations ‘young’ + ‘no threat’ and ular to a didactic orientation in order to make ‘old’ + ‘severe threat’. The example demon- the method teachable and learnable (Strauss strates how gaps within a theory (such as defec- 1987; Strauss and Corbin 1990). Glaser (1992) tive specification, or defective grounding of the accuses Strauss in this respect of having aban- statements in the data) may, through a system- doned the original idea of allowing the theory Flick 5.13.qxd 3/19/04 2:39 PM Page 275

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to ‘emerge’ in favour of ‘forcing’ theoretical A further development of grounded theory is structures. His criticism was particularly directed also to be seen in the improvement in practical at the axial coding paradigm. In the first com- analysis through the use of specific computer prehensive publication on grounded theory it was programs (see 5.14). Programs such as ATLAS.ti vitally important to Glaser and Strauss (1967) (Muhr 1997) support the task of analysis and that the method be adapted to particular make quality control possible by ensuring that questions and circumstances. Adaptations or the analytical process of individual researchers systematic further developments in the proce- or complete teams can be documented and dure are to be found in Breuer (1996), Flick reproduced in every detail. (1996) and Charmaz (1990). Breuer supple- ments the grounded theory approach for his own questions by the use of transference and FURTHER READING counter-transference in the psychoanalytical sense (see 5.20). Flick (1996), in his investigation of psychology and technology, proceeds on Glaser, B. G. (1978) Theoretical Sensitivity. Mill the basis of Moscovici’s (1984) concept of social Valley, CA: The Sociology Press. representations. On the assumption that in different groups different views of technology will Glaser, B. G. and Strauss, A. (1967) The Discovery be found, groups are pre-selected for investiga- of Grounded Theory. Strategies for Qualitative tion. In that way sampling is limited to the selec- Research. Chicago: Aldine. tion of cases that differ between the groups. Charmaz (1990) takes ‘thick’ presentation of Strauss, A. and Corbin, J. (1990) Basics of cases as a starting point for theory development. Qualitative Research. Newbury Park, CA: Sage.