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Grounded Theory (Glaser & Strauss)

Grounded Theory（Glaser & Strauss）

Overview

概述

Grounded Theory is a systematic methodology for constructing theory that is grounded in qualitative data. Through iterative cycles of data collection, coding, and comparison, the researcher develops concepts and categories that ultimately form an explanatory theory. The method was originally developed by Glaser and Strauss (1967) and later diverged into Glaserian (emergent) and Straussian (structured) variants.
Grounded Theory是一种基于定性数据构建理论的系统方法论。通过数据收集、编码和比较的迭代循环，研究者逐步形成概念和范畴，最终构建出具有解释力的理论。该方法最初由Glaser和Strauss于1967年提出，后来分化为Glaserian（涌现式）和Straussian（结构化）两种变体。

When to Use

适用场景

  • Building new theory when existing theories are inadequate or absent
  • Exploring processes, interactions, or experiences in under-studied domains
  • Generating substantive theory tied to a specific context
  • When the research question asks "what is going on here?" rather than testing a hypothesis
  • 现有理论不足或缺失时构建新理论
  • 探索研究较少的领域中的过程、互动或体验
  • 生成与特定情境相关的实质性理论
  • 研究问题为“这里发生了什么？”而非检验假设时

When NOT to Use

不适用场景

  • When testing or verifying an existing theory (use deductive methods)
  • When the research question requires measurement of frequency or magnitude
  • When the researcher cannot commit to iterative data collection (theoretical sampling requires flexibility)
  • 检验或验证现有理论时（使用演绎法）
  • 研究问题需要测量频率或量级时
  • 研究者无法承诺进行迭代式数据收集时（理论抽样需要灵活性）

Assumptions

假设

IRON LAW: In grounded theory, theory EMERGES from data — imposing a
pre-existing framework violates the methodology's core principle. If
you begin with a hypothesis and seek confirmation, you are NOT doing
grounded theory.
Key assumptions:
  1. Theory must be grounded in systematic data collection and analysis
  2. Data collection and analysis occur simultaneously and iteratively
  3. Theoretical sampling guides where to collect data next based on emerging categories
  4. Theoretical saturation — not sample size — determines when to stop collecting data
IRON LAW: In grounded theory, theory EMERGES from data — imposing a
pre-existing framework violates the methodology's core principle. If
you begin with a hypothesis and seek confirmation, you are NOT doing
grounded theory.
核心假设：
  1. 理论必须基于系统的数据收集与分析
  2. 数据收集与分析同步且迭代进行
  3. 理论抽样根据涌现的范畴指导下一步的数据收集方向
  4. 理论饱和（而非样本量）决定何时停止数据收集

Methodology

方法论

Step 1: Open Coding

步骤1：Open Coding（开放式编码）

Break data into discrete incidents, events, or ideas. Assign initial codes (labels) to each segment. Use in-vivo codes (participants' own words) where possible. Generate as many codes as the data warrant — do not filter prematurely.
将数据拆解为独立的事件、活动或想法。为每个片段分配初始编码（标签）。尽可能使用参与者的原话作为编码（即in-vivo codes）。根据数据生成尽可能多的编码——不要过早筛选。

Step 2: Axial Coding

步骤2：Axial Coding（主轴编码）

Group open codes into higher-order categories. Identify relationships between categories using the coding paradigm: conditions, actions/interactions, and consequences. Build subcategories that specify when, where, why, and how a category manifests.
将开放式编码归类为更高层次的范畴。使用编码范式（条件、行动/互动、结果）识别范畴之间的关系。构建子范畴，明确范畴出现的时间、地点、原因和方式。

Step 3: Selective Coding

步骤3：Selective Coding（选择性编码）

Identify the core category — the central phenomenon around which all other categories integrate. Systematically relate all categories to the core category. Write a storyline that narrates the theory.
识别核心范畴——即所有其他范畴围绕整合的核心现象。系统地将所有范畴与核心范畴关联起来。撰写阐述该理论的叙事主线。

Step 4: Theoretical Integration

步骤4：理论整合

Refine the theory through constant comparison. Validate against the data. Produce a substantive theory with defined concepts, propositions, and boundary conditions. Report the audit trail of coding decisions.
通过持续比较完善理论。对照数据进行验证。生成包含明确概念、命题和边界条件的实质性理论。记录编码决策的审计轨迹。

Output Format

输出格式

markdown
undefined
markdown
undefined

Grounded Theory Analysis: [Context]

Grounded Theory Analysis: [Context]

Core Category

Core Category

  • Central phenomenon: [the core category label]
  • Definition: [what it means in this context]
  • Central phenomenon: [the core category label]
  • Definition: [what it means in this context]

Category Structure

Category Structure

CategoryPropertiesDimensionsRelationship to Core
[name][key properties][range/variation][how it relates]
CategoryPropertiesDimensionsRelationship to Core
[name][key properties][range/variation][how it relates]

Coding Paradigm

Coding Paradigm

  • Causal conditions: [what leads to the phenomenon]
  • Context: [specific conditions shaping action]
  • Intervening conditions: [broader structural conditions]
  • Action/Interaction strategies: [how actors respond]
  • Consequences: [outcomes of action/interaction]
  • Causal conditions: [what leads to the phenomenon]
  • Context: [specific conditions shaping action]
  • Intervening conditions: [broader structural conditions]
  • Action/Interaction strategies: [how actors respond]
  • Consequences: [outcomes of action/interaction]

Theoretical Propositions

Theoretical Propositions

  1. [Proposition linking categories]
  2. [Proposition linking categories]
  1. [Proposition linking categories]
  2. [Proposition linking categories]

Saturation Evidence

Saturation Evidence

  • Categories saturated: [list]
  • Data sources: [count and type]
  • Point of saturation: [when no new properties emerged]
undefined
  • Categories saturated: [list]
  • Data sources: [count and type]
  • Point of saturation: [when no new properties emerged]
undefined

Gotchas

注意事项

  • Do NOT begin with a literature review that biases your coding — Glaser insists on delaying the lit review until the theory emerges
  • Constant comparison means comparing incident-to-incident, not just category-to-category
  • Theoretical sampling is NOT the same as purposive sampling — it is driven by emerging theory, not pre-set criteria
  • The Glaserian and Straussian variants differ significantly; state which approach you follow
  • Theoretical saturation means no new PROPERTIES of a category emerge — not just no new codes
  • Memo-writing throughout the process is essential, not optional — memos capture the analytical logic
  • 不要以会影响编码的文献综述作为开端——Glaser坚持要等到理论涌现后再进行文献综述
  • 持续比较指的是事件与事件之间的比较，而非仅仅范畴与范畴之间的比较
  • 理论抽样与目的抽样不同——它由涌现的理论驱动，而非预设标准
  • Glaserian和Straussian变体差异显著；需说明你采用的是哪种方法
  • 理论饱和指的是范畴的新属性不再涌现——而非仅仅没有新的编码
  • 整个过程中撰写备忘录至关重要，而非可选——备忘录记录分析逻辑

References

参考文献

  • Glaser, B. G., & Strauss, A. L. (1967). The Discovery of Grounded Theory: Strategies for Qualitative Research. Aldine.
  • Strauss, A. L., & Corbin, J. (1990). Basics of Qualitative Research: Grounded Theory Procedures and Techniques. Sage.
  • Charmaz, K. (2006). Constructing Grounded Theory: A Practical Guide Through Qualitative Analysis. Sage.
  • Glaser, B. G., & Strauss, A. L. (1967). The Discovery of Grounded Theory: Strategies for Qualitative Research. Aldine.
  • Strauss, A. L., & Corbin, J. (1990). Basics of Qualitative Research: Grounded Theory Procedures and Techniques. Sage.
  • Charmaz, K. (2006). Constructing Grounded Theory: A Practical Guide Through Qualitative Analysis. Sage.