Coding in Grounded Theory: Codes, Categories and Concepts

Conceptualisation of data is the foundation of grounded theory. Conceptualisation, of going beyond description to explain what is happening in the social processes underlying behaviour, is achieved through coding.

Depending on the iteration of grounded theory to which you align, the taxonomies of coding are many and various, though can generally be understood as comprising three levels across three phases of coding. The three levels of coding in grounded theory are codes, categories and concepts. The three phases of coding are initial, intermediate and advanced.

Three Levels of Coding: Codes, Categories and Concepts

A code can be understood as a word or descriptor assigned to label a section of data so that it’s possible to look for emerging patterns, ideas or related content. A category can be understood as a group of similar or related codes. Depending on your chosen iteration of grounded theory, categories may be described as having sub-categories, or use the term category interchangeably with the term concept. A concept can be understood as providing an abstracted understanding of a phenomenon.

Three Phases of Coding: Initial, Intermediate and Advanced

Initial coding can be characterised as fracturing the data, breaking it into its smallest parts, often through line-by-line coding, and then labelled with a code. Depending on the iteration of grounded theory you prescribe to, you may encounter classifications such as open, axial or selective coding in this phase of the coding process. Intermediate coding is the identification of properties and dimension, that is, the characteristics and variations of codes, and the patterns and relations between codes during category development. Finally, advanced coding is the use of techniques such as diagramming and storylines to facilitate the integration of the grounded theory. Advanced coding involves the connecting of categories to provide a coherent and comprehensive explanation of a phenomenon.

While iterations of grounded theory and associated taxonomies may vary, the levels and phases of coding listed above are common to all. It is through these coding activities that conceptualisation of data is achieved, facilitating an explanatory understanding of the phenomenon of interest.

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References

Birks, M., & Mills, J. (2023). Grounded theory: a practical guide (3rd ed.). SAGE Publications Ltd.

Bryant, A., & Charmaz, K. (2019). The SAGE handbook of current developments in grounded theory. SAGE Publications Ltd.          

Charmaz, K. (2014). Constructing grounded theory (2nd ed.). Sage.

Theoretical Saturation in Grounded Theory

Theoretical saturation can be described as the point at which, through a process of concurrent data collection and analysis, no new concepts or categories are introduced. Once a category is theoretically saturated it is not necessary to continue to theoretically sample for comparison data, further data no longer sparking new insights or revealing new properties or dimensions of established categories and codes. The grounded theory can be considered theoretically saturated.

Theoretical saturation is a key factor in building a comprehensive, convincing and integrated theory, one in which an explanatory pattern in and of the data is present. The theoretical categories in a saturated theory are conceptually well developed, and categories and codes are well articulated and integrated. The conceptual density achieved through theoretical saturation is characterised by the depth, richness and interconnectedness of the grounded theory.

While theoretical saturation is characterised by no new data driven insights, properties or dimensions occurring, an alternative view exists. Theoretical sufficiency emphasises the adequacy and comprehensiveness of a theory developed from the data rather than a theory saturated to the maximum possible extent.

Achieving theoretical saturation is the criterion by which theoretical sampling can end and attention can shift to focusing on enabling conceptual integration of categories.

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References

Birks, M., & Mills, J. (2023). Grounded theory: a practical guide (3rd ed.). SAGE Publications Ltd.         

Dey, I. (1999). Grounding grounded theory: guidelines for qualitative inquiry. Academic Press.

Glaser, B. G., & Strauss, A. L. (1967). The discovery of grounded theory: strategies for qualitative research. Aldine.

Holton, J. A. (2007). The coding process and its challenges. In A. Bryant & K. Charmaz (Eds.), The SAGE handbook of grounded theory (pp. 265-290). SAGE Publications Ltd.                         

Morse, J. M. (1995). The significance of saturation [Editorial]. Qualitative Health Research, 5(2), 147-149.      

Morse, J. M. (2007). Sampling in grounded theory. In A. Bryant & K. Charmaz (Eds.), The SAGE handbook of grounded theory. SAGE Publications Ltd.           

Strauss, A. L., & Corbin, J. M. (1990). Basics of qualitative research: grounded theory procedures and techniques. SAGE.   

Wiener, C. (2007). Making teams work in conducting grounded theory. In A. Bryant & K. Charmaz (Eds.), The SAGE handbook of grounded theory (pp. 293-310). SAGE.     

Constant Comparative Analysis in Grounded Theory

Constant comparative analysis is an iterative analytical process connecting all aspects of a research project. Primarily associated with grounded theory, constant comparative analysis is part of the concurrent data collection and analysis method, and commences with the first instance of data gathering. Data are initially compared within a single data set before comparing new data with existing data. Codes are compared with codes, and gradually grouped into categories of similar and related codes.

Constant comparative analysis is superficially similar to the iterative nature of thematic analysis, a method that tends to be more structured in its approach to coding and theme development, focusing on identifying and interpreting patterns and meanings in the data. However, the emphasis on continuous comparison and refinement of categories and concepts facilitated by constant comparative analysis, undertaken with the intention of developing a fully integrated theory or model, results in a higher level of abstraction than other forms of data analysis.

Constant comparative analysis aims to facilitate the development and refinement of concepts and categories grounded in the data. Using a combination of inductive and abductive analysis the researcher engages in ongoing acts of decision-making, and is encouraged to challenge and refine their theory. It is the combined use of inductive and abductive processes which are believe to account for the conceptual leaps achieved through constant comparative analysis. While seeking to ensure the complexity of the data are represented, successively more abstract conceptualisations of the data are created. In constant comparative analysis, patterns are recognised and extrapolated from the detailed description of individual cases to a generalised and abstracted conceptualisation of a phenomenon.

If you found The Grounded Theorist useful, please consider making a one-off or monthly donation. Thank you.

References

Birks M and Mills J. (2023) Grounded theory: a practical guide, London: SAGE Publications Ltd.

Braun V and Clarke V. (2013) Successful qualitative research: a practical guide for beginners, London: Sage.

Bryant A and Charmaz K. (2007) The SAGE handbook of grounded theory, London: SAGE Publications Ltd.

Charmaz K. (2014) Constructing grounded theory, London: Sage.

Glaser BG and Strauss AL. (1967) The discovery of grounded theory: strategies for qualitative research, New York: Aldine.

Memoing in Grounded Theory

Memos are a means of stimulating, exploring or extending thinking about a project and its data, providing a private and informal space to record and examine beliefs, assumptions and ideas as they occur. Typically recorded in written form, memos aid a researcher using grounded theory in capturing insights in their early stages of development, meaning they are subject to revision as the project or theory develops. However, it’s important to never discard or revise a memo because its subsequent significance may not be obvious at the time it’s recorded. Instead, memos can be recorded sequentially as additions to initial reflections.

Engaging in memoing from the planning stage or start of a project can help develop a memo-writing habit. The advice is to stop and memo at the moment an insight occurs, though these insights often occur at inopportune moments, for example, mid-interview or while travelling. At such times, embracing audio memos or writing memo jots can help the researcher to capture their transitory thoughts and insights; revisiting, transcribing or expanding upon them at a later date.

Regularly writing memos can create and maintain a sense of momentum and progression, and intentionally sitting down to engage in memoing practice can be particularly helpful in the early phase of a project. The content, length and analytical strength of memos will evolve throughout a grounded theory project, and plays a pivotal role in constant comparative analysis. Memoing can stimulate thinking about a particular code or category, capturing insights, and facilitate analytical activity to increase the level of theoretical abstraction. Memoing can also provide an audit trail of decision making and theory development.

The topics of memos may include some or all of the following, often in a single memo: decision making and research activities; extracting or recording potential meaning from data; exploring potential relationships between categories; considering the utility of a hypotheses. Whatever seems important at the time is worth recording in a memo.

Embrace the flexibility and freedom of memoing and experiment with different ways of memoing, be they hand written, typed or audio recorded.

References

Birks, M., & Mills, J. (2023). Grounded theory: a practical guide (3rd ed.). SAGE Publications Ltd.  

Charmaz, K. (2014). Constructing grounded theory (2nd ed.). Sage.

Charmaz, K., & Thornberg, R. (2020). The pursuit of quality in grounded theory. Qualitative Research in Psychology. https://www.tandfonline.com/doi/full/10.1080/14780887.2020.1780357            

Glaser, B. G. (1998). Doing grounded theory: issues and discussions. Sociology Press.       

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Staged Sampling in Grounded Theory

In grounded theory studies the changing nature of the researcher’s understanding of a phenomenon informs the changing nature of their sampling strategy during the lifetime of a project. A staged approach to sampling is undertaken with the intention of exploring a full range of experiences or data sets.

Initially, purposive sampling is used to select a subset of the defined population known to have knowledge or experience of the research phenomenon. Later, as the researcher’s understanding of the phenomenon develops, a move to theoretical sampling is made in support of the ongoing development of the grounded theory; the subset of the defined population shifts to one that can provide detailed, complex and contradictory accounts of the research topic.

Opinions differ about when to start theoretical sampling, ranging from the first occurrence of constant comparative analysis as the researcher follows-up areas of interest, to only having value in confirming, clarifying and expanding theoretical categories.

Acknowledging the aim of facilitating depth and richness in the data of a grounded theory study, theoretical sampling continues until theoretical saturation has been achieved, that is, when the theory’s categories and their properties have been clearly articulated.

References

Birks, M., & Mills, J. (2023). Grounded theory: a practical guide (3rd ed.). SAGE Publications Ltd.

Braun, V., & Clarke, V. (2013). Successful qualitative research: a practical guide for beginners. Sage.

Bryant, A., & Charmaz, K. (2007). The SAGE handbook of grounded theory. SAGE Publications Ltd.

Charmaz, K. (2014). Constructing grounded theory (2nd ed.). Sage.

Coyne, I. T. (1997). Sampling in qualitative research. Purposeful and theoretical sampling; merging or clear boundaries? Journal of Advanced Nursing, 26, 623-630.

Glaser, B. G. (1998). Doing grounded theory: issues and discussions. Sociology Press.

If you found The Grounded Theorist useful, and would like to ensure its continued availability, please consider making a one-off donation or becoming a sustaining member. Thank you.