a grounded theory approach to analysis of interview data from ucl s tqef learning resources project

1. Louise Plewes - CHERI - 01/02/2002 1 A Grounded Theory Approach to Analysis of Interview Data from UCL�s TQEF �Learning Resources� Project Louise Plewes (UCL) l.plewes@ucl.ac.uk CHERI Seminar on Qualitative Research 11:15-12:00 Friday 1st February 2002 Good Morning. I am Louise Plewes from UCL. I am going to talk today for about 10-15 mins on Grounded Theory, showing how I have used this method to analyse interview data from a TQEF Project on Learning Resources at UCL.Good Morning. I am Louise Plewes from UCL. I am going to talk today for about 10-15 mins on Grounded Theory, showing how I have used this method to analyse interview data from a TQEF Project on Learning Resources at UCL.

2. Louise Plewes - CHERI - 01/02/2002 2 Just to give you a brief outline of the structure of the presentation� I am going to present this from the point of view of someone who has recently used grounded theory for the first time, in this case to analyse interview data. So I don�t profess to be an expert on this at all� I want to begin by briefly outlining the background to grounded theory. However I don�t want to spend too much time on this. Then I will move on to show in detail how I have used grounded theory to analyse interview data. I want to concentrate on what this method has brought to my analysis, how it has affected the findings if the research and to draw out some of the strengths and weaknesses of the approach. I will then pause briefly for questions. What I think we should spend the bulk of the allocated time on is an activity to get a feel for how the method can be used in practice.Just to give you a brief outline of the structure of the presentation� I am going to present this from the point of view of someone who has recently used grounded theory for the first time, in this case to analyse interview data. So I don�t profess to be an expert on this at all� I want to begin by briefly outlining the background to grounded theory. However I don�t want to spend too much time on this. Then I will move on to show in detail how I have used grounded theory to analyse interview data. I want to concentrate on what this method has brought to my analysis, how it has affected the findings if the research and to draw out some of the strengths and weaknesses of the approach. I will then pause briefly for questions. What I think we should spend the bulk of the allocated time on is an activity to get a feel for how the method can be used in practice.

3. Louise Plewes - CHERI - 01/02/2002 3 Introduction to Grounded Theory �A qualitative research method that uses a systematic set of procedures to develop an inductively derived grounded theory about a phenomenon�. Two US Sociologists Barney Glaser and Anselm Strauss (1967) - dissatisfaction with failure of quantitative sociology to capture �lived experience�. So, firstly what is grounded theory? Well, it is �A qualitative research method that uses a systematic set of procedures to develop an inductively derived grounded theory about a phenomenon�. Grounded theory was developed by a pair of American Sociologists, Barney Glaser and Anselm Strauss in the late 1960s as a reaction to the failure of quantitative sociology to capture �lived experience�. It incorporates ideas from ethnography. In terms of the relationship between research question and research method, grounded theory starts from a very vague initial question and allows the theory to emerge from the data. So this approach is not about identifying and testing hypotheses. The original books describing this method are difficult to read and understand and there are later differences of opinion between the authors and their research school. Therefore, I have tried to present a simplified version and to show how I have used it within a higher education research context. So, firstly what is grounded theory? Well, it is �A qualitative research method that uses a systematic set of procedures to develop an inductively derived grounded theory about a phenomenon�. Grounded theory was developed by a pair of American Sociologists, Barney Glaser and Anselm Strauss in the late 1960s as a reaction to the failure of quantitative sociology to capture �lived experience�. It incorporates ideas from ethnography. In terms of the relationship between research question and research method, grounded theory starts from a very vague initial question and allows the theory to emerge from the data. So this approach is not about identifying and testing hypotheses. The original books describing this method are difficult to read and understand and there are later differences of opinion between the authors and their research school. Therefore, I have tried to present a simplified version and to show how I have used it within a higher education research context.

4. Louise Plewes - CHERI - 01/02/2002 4 Example - Background and Data Collection Research part of 3-year HEFCE / TQEF-funded project �Understanding the Development of Teaching and Learning Resources at UCL�. Series of 14 x 1 hour semi-structured interviews with academic, administrative and technical staff. Sample one department from each Faculty. I think the best way to explain grounded theory is through a practical example of its use. To give you a brief bit of background about this, I am working on a project funded by the Higher Education Funding Council for England, Teaching Quality Enhancement Fund. The project is about understanding the needs of academic staff for support in the production of a wide range of paper based and electronic learning resources for use in undergraduate teaching across all subject disciplines. As part of this research I have recently completed a series of of 14 1 hour interviews with 3 types of UCL staff: academics, administrators and technicians. I used semi-structured interview schedules tailored to each specific staff group, although in practice a core of questions were common. The sample consisted of staff from one department in each faculty, however there was an element of practicality in the selection of interviewees who were mainly interested people who were willing and available to be interviewed and who had had previous contact with EPD. I think the best way to explain grounded theory is through a practical example of its use. To give you a brief bit of background about this, I am working on a project funded by the Higher Education Funding Council for England, Teaching Quality Enhancement Fund. The project is about understanding the needs of academic staff for support in the production of a wide range of paper based and electronic learning resources for use in undergraduate teaching across all subject disciplines. As part of this research I have recently completed a series of of 14 1 hour interviews with 3 types of UCL staff: academics, administrators and technicians. I used semi-structured interview schedules tailored to each specific staff group, although in practice a core of questions were common. The sample consisted of staff from one department in each faculty, however there was an element of practicality in the selection of interviewees who were mainly interested people who were willing and available to be interviewed and who had had previous contact with EPD.

5. Louise Plewes - CHERI - 01/02/2002 5 Example - Data Analysis Identify �critical instances� -highlight key passages of transcripts. �Open coding� - assign passages to categories (i.e. abstract conceptual labels). Work through all transcripts and collect numerous illustrative quotes to �saturate� categories. �Axial coding� - refine initial list of categories. Delete and amalgamate some. Make connections between the categories and define their properties e.g. context, pre-conditions. These are sub-categories. �Selective coding� - identify a core category and themes from which theory will derive. In terms of data analysis I followed a grounded theory approach and I�ve tried to break down here the main stages in the systematic analysis of the data. As you can see there are 4 stages and they involve interrogating the data at progressively deeper, less abstract levels. So, firstly, highlighting key passages in the transcripts, termed �critical instances�. Critical instances exclude things like digressions, repetitions and other irrelevant material, but in practice their definition is subjective. The next stage, termed �open coding� is to assign theses quotes to categories. A category is an abstract conceptual label which summarises the key characteristics of a passage. This is a time-consuming stage which involves working through the transcripts in turn to collect numerous quotes and examples of each existing category and to identify new ones. Many categories will be identified from the first transcript and then progressively fewer new categories from each successive transcript, as the proportion of new information decreases. The process of assigning quotes to categories was repeated for one transcript by a second, independent person to check the reproducability of assigning quotes to categories. This corrects for �operator variance� and ensures mutual consistency and credibility. The end point of this process is the production of an initial list of categories. The next stage of the analysis, axial coding, involves refining this list by deleting or combining some categories, followed by making connections between the categories and defining properties, for instance context and preconditions. Categories may have major or minor status and the linkages may go across these different levels. The final stage, selective coding, involves the identification of a core category or general themes from which the theory will arise. This stage may be extended by deliberately seeking out negative cases which do not fit the theory and producing explanations for them.In terms of data analysis I followed a grounded theory approach and I�ve tried to break down here the main stages in the systematic analysis of the data. As you can see there are 4 stages and they involve interrogating the data at progressively deeper, less abstract levels. So, firstly, highlighting key passages in the transcripts, termed �critical instances�. Critical instances exclude things like digressions, repetitions and other irrelevant material, but in practice their definition is subjective. The next stage, termed �open coding� is to assign theses quotes to categories. A category is an abstract conceptual label which summarises the key characteristics of a passage. This is a time-consuming stage which involves working through the transcripts in turn to collect numerous quotes and examples of each existing category and to identify new ones. Many categories will be identified from the first transcript and then progressively fewer new categories from each successive transcript, as the proportion of new information decreases. The process of assigning quotes to categories was repeated for one transcript by a second, independent person to check the reproducability of assigning quotes to categories. This corrects for �operator variance� and ensures mutual consistency and credibility. The end point of this process is the production of an initial list of categories. The next stage of the analysis, axial coding, involves refining this list by deleting or combining some categories, followed by making connections between the categories and defining properties, for instance context and preconditions. Categories may have major or minor status and the linkages may go across these different levels. The final stage, selective coding, involves the identification of a core category or general themes from which the theory will arise. This stage may be extended by deliberately seeking out negative cases which do not fit the theory and producing explanations for them.

6. Louise Plewes - CHERI - 01/02/2002 6 �Critical Instances� �The 2 biggest problems with collecting sound and video material are the cost. Within a small humanities department like this, there is no-one to pay for that so it comes out of our own pockets. So it is collecting that material and also arranging it.� Acad1; Page 7. The previous slide showed the main stages in the application of grounded theory. I want to go though each stage in turn and show how I did it. So firstly critical instances. I have reproduced 1 page of a transcript here and highlighted what I consider to the be the key elements. This section of the transcript deals mainly with use of audio and video material.The previous slide showed the main stages in the application of grounded theory. I want to go though each stage in turn and show how I did it. So firstly critical instances. I have reproduced 1 page of a transcript here and highlighted what I consider to the be the key elements. This section of the transcript deals mainly with use of audio and video material.

7. Louise Plewes - CHERI - 01/02/2002 7 �Open Coding� "The two biggest problems with collecting sound and video material are the cost." Acad 1 Page 7. 28 Use of audio and video material - expense "Within a small humanities department like this, there is no-one to pay for that." Acad1 Page 7. 29 Expense in relation to small size of department and teaching budget The next stage is open coding. This slide shows how some of the critical instances from the previous slide were made into categories which capture the essence of what is said in the quotes. The following slide shows the final content of these catgeories e.g. numerous quotes from other interviewees have been added.The next stage is open coding. This slide shows how some of the critical instances from the previous slide were made into categories which capture the essence of what is said in the quotes. The following slide shows the final content of these catgeories e.g. numerous quotes from other interviewees have been added.

8. Louise Plewes - CHERI - 01/02/2002 8 �Axial Coding� List of codes produced = 384 categories! Properties, context and preconditions of categories. Arrangement of categories - major and sub-categories. The starting point for axial coding is the full list of categories produced at the end of open coding. Im my case this was 384 categories - here is just part of the list. It includes categories such as� The next stage is to try and identify the properties of the catgeories for instance their context or pre-conditions. So for instance for category 30 - �spending own money on teaching resources�. This happens either because of the dedication of staff or because of a lack of alternative sources of funding. The next stage is to relate the categories to one another and identify different levels of importance. Here is an example of how I have done this. I did this in the form of list because a diagram was not practical for 384 categories! But a diagram would be another effective way of doing this. So here I have identified the subject discipline as being an important influence on definition, use and production of learning resources and identified various sub-categories under that general heading.The starting point for axial coding is the full list of categories produced at the end of open coding. Im my case this was 384 categories - here is just part of the list. It includes categories such as� The next stage is to try and identify the properties of the catgeories for instance their context or pre-conditions. So for instance for category 30 - �spending own money on teaching resources�. This happens either because of the dedication of staff or because of a lack of alternative sources of funding. The next stage is to relate the categories to one another and identify different levels of importance. Here is an example of how I have done this. I did this in the form of list because a diagram was not practical for 384 categories! But a diagram would be another effective way of doing this. So here I have identified the subject discipline as being an important influence on definition, use and production of learning resources and identified various sub-categories under that general heading.

9. Louise Plewes - CHERI - 01/02/2002 9 Research Findings I Diversity of learning resources production practices between individuals and within departments and faculties. Using grounded theory categories very few similarities (~1% of categories in common) in patterns of response by type of staff and by discipline. Using frequency count of key words there were much larger similarities in patterns of response both by type of staff and by discipline. Therefore data analysis method can determine nature of findings. I want to discuss briefly some of the findings of this research, in particular the effect of the data analysis method. Perhaps the most striking finding was the sheer diversity of learning resources production practices with large differences between individuals, even in the same subject area and large differences between subject areas. I look at similarities and differences in patterns of response by type of staff (academic, admin and technical) and by subject area so hard soft, pure or applied and found that there were negligible similarities. However I also used another data analysis method, counting the frequency of various key words and this showed much greater similarities in patterns of response both by type of staff and by subject area. This illustrates the way in which the data analysis method may have a clear influence on research findings.I want to discuss briefly some of the findings of this research, in particular the effect of the data analysis method. Perhaps the most striking finding was the sheer diversity of learning resources production practices with large differences between individuals, even in the same subject area and large differences between subject areas. I look at similarities and differences in patterns of response by type of staff (academic, admin and technical) and by subject area so hard soft, pure or applied and found that there were negligible similarities. However I also used another data analysis method, counting the frequency of various key words and this showed much greater similarities in patterns of response both by type of staff and by subject area. This illustrates the way in which the data analysis method may have a clear influence on research findings.

10. Louise Plewes - CHERI - 01/02/2002 10 Research Findings II The nature of the questions asked determines the type of findings and theory developed. No surprises! Surface / pragmatic questions get pragmatic answers... Although may �read between the lines� to get at deeper meanings. Difficulty of generalising from this sample. Another issue with the use of grounded theory is that since the theory emerges from the data the nature of the questions asked will determine the answers and therefore the content of the theory developed. In this case I was asking very practical questions because the aim of the research project is to improve the level of service offered to academics therefore I got very practical answers and it is difficult to get at some of the deeper more philosophical aspects of the data although it is possible by �reading between the lines�. There are also difficulties of generalising outside of the context in which the data were collected. Another issue with the use of grounded theory is that since the theory emerges from the data the nature of the questions asked will determine the answers and therefore the content of the theory developed. In this case I was asking very practical questions because the aim of the research project is to improve the level of service offered to academics therefore I got very practical answers and it is difficult to get at some of the deeper more philosophical aspects of the data although it is possible by �reading between the lines�. There are also difficulties of generalising outside of the context in which the data were collected.

11. Louise Plewes - CHERI - 01/02/2002 11 Strengths and Weaknesses Suitable for diagrammatic representation? Complex terminology. Time-consuming, requires concentration but can adapt a �quick-and-dirty� version. Reductionist - complexity of raw data overcome by reducing it to the status of variables. Does not lead to any surprising findings. Theory is inductively built up from data collected so cannot contain anything new. Uncovers a pre-existing reality similar to positivism / realism. Idea that there is a �core� category which explains all. Issues of generalisation. So in terms of the strengths and weaknesses of this approach there are few clear cut strengths or weaknesses. Firstly, the output of the process is often best understood as a diagram. However, the relationships between the categories may be hierarchical and not straightforward with linkages cutting across the levels and the end diagram may be very large and cumbersome. The method itself may appear complex, and that is partly because of the terminology used, but in actual fact it is surprisingly straightforward and common sense. However, it is quite time-consuming and requires concentration but it is possible to adopt a more �quick-and-dirty� version as I have here. It does provide a structured method often lacking in other qualitative approaches. The method has been criticised for being reductionist. That is that it engages with the data at the abstract level of categories and reduces it to the status of variables, not unlike the quantitative methods it is supposedly a reaction against. Also, the method assumes the discovery of a pre-existing reality as in positivism rather than looking at the social context of the construction of that reality. I have difficulties with the idea that there is a core category which explain all the data. This was something which I found very hard to do for the dataset I had. Finally, there are issues about the ability to generalise from this method but they are not unique to it. So in terms of the strengths and weaknesses of this approach there are few clear cut strengths or weaknesses. Firstly, the output of the process is often best understood as a diagram. However, the relationships between the categories may be hierarchical and not straightforward with linkages cutting across the levels and the end diagram may be very large and cumbersome. The method itself may appear complex, and that is partly because of the terminology used, but in actual fact it is surprisingly straightforward and common sense. However, it is quite time-consuming and requires concentration but it is possible to adopt a more �quick-and-dirty� version as I have here. It does provide a structured method often lacking in other qualitative approaches. The method has been criticised for being reductionist. That is that it engages with the data at the abstract level of categories and reduces it to the status of variables, not unlike the quantitative methods it is supposedly a reaction against. Also, the method assumes the discovery of a pre-existing reality as in positivism rather than looking at the social context of the construction of that reality. I have difficulties with the idea that there is a core category which explain all the data. This was something which I found very hard to do for the dataset I had. Finally, there are issues about the ability to generalise from this method but they are not unique to it.

12. Louise Plewes - CHERI - 01/02/2002 12 Data Validation Issues Is the account credible? Does it provide sufficient information for the reader to judge the suitability of the research method used? Have the effects of the research method on the findings been discussed? Fit of theory with empirical data? Triangulation. Inevitable degree of subjectivity. Generalisation - case study unique to context. There are also data validation issues. I have outlined some critieria which may be used to judge data validity although these are not specific to grounded theory. These include issues such as: is the account credible an d consistent? Does it provide enough information for the reader to judge for themselves the suitability of the research method used? Have the effects of the research methods on the findings been discussed? And does the theory fit with the empirical data? There are methods which can be used to validate data such as triangulation which involves coming at the same research question by multiple different methods and comparing the consistency of the results. In terms of this study I have treated the results as a case study which is unique to the particular context. There are also data validation issues. I have outlined some critieria which may be used to judge data validity although these are not specific to grounded theory. These include issues such as: is the account credible an d consistent? Does it provide enough information for the reader to judge for themselves the suitability of the research method used? Have the effects of the research methods on the findings been discussed? And does the theory fit with the empirical data? There are methods which can be used to validate data such as triangulation which involves coming at the same research question by multiple different methods and comparing the consistency of the results. In terms of this study I have treated the results as a case study which is unique to the particular context.

13. Louise Plewes - CHERI - 01/02/2002 13 Any Questions? Any Questions? I�ll just pause at this point to see if there are any questions before we move on to the practical activity and discussion.I�ll just pause at this point to see if there are any questions before we move on to the practical activity and discussion.

14. Louise Plewes - CHERI - 01/02/2002 14 Practical Activity / Discussion Work on 2-page extract from another transcript to identify: �Critical Instances� �Open Coding� �Axial Coding� Discussion OK. I have provided a brief extract from another of the interviews conducted as part of this project. What I would like you to do is to work though it and try to identify critical instances, and do the open and axial coding. I�ll leave about 20 minutes for that and see how far you get and then we can discuss some of the findings for the last 10 minutes or so. OK?OK. I have provided a brief extract from another of the interviews conducted as part of this project. What I would like you to do is to work though it and try to identify critical instances, and do the open and axial coding. I�ll leave about 20 minutes for that and see how far you get and then we can discuss some of the findings for the last 10 minutes or so. OK?

15. Louise Plewes - CHERI - 01/02/2002 15 Selected References Gillham, B (2000): �The Research Interview�, Continuum, London, 96pp. Glaser B., and Strauss, A., (1967): �The Discovery of Grounded Theory: Strategies for Qualitative Research�, Aldine, Chicago. Strauss, A., and Corbin, J., (1990): �Basics of Qualitative Research: Grounded Theory Procedures and Techniques�, Strauss, A., and Corbin, J. (Eds.) (1997): �Grounded Theory in Practice�, Titscher S., Meyer, M., Wodak, R., and Vetter, E., (2000): �Grounded Theory�, Chapter 6 pp. 74-89 IN �Methods of Text and Discourse Analysis�, Sage, London, 278pp. http://www.groundedtheory.com http://ww.scu.edu/schools/gcm/ar/arp/grounded.htm I have included a quick slide of references at the end. Thank you.I have included a quick slide of references at the end. Thank you.