Flick 5.13.qxd 3/19/04 2:39 PM Page 270 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 THEORETICAL CODING: TEXT ANALYSIS IN GROUNDED THEORY 271 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.