|
1. Introduction
There is an enduring debate within the IS field concerned with the
positivist and interpretivist research traditions (Fitzgerald and
Howcroft, 1998). Undoubtedly, positivism has been most influential,
with much of the published research being centred upon positivistic
assumptions (Orlikowski and Baroudi, 1991; Walsham, 1995; Galliers,
1997). Indeed, much of the IS literature assumes an unproblematic,
rational, objective, approach to management, organisations, and change,
involving mechanistic assumptions about organisational behaviour (Introna,
1997). However, a mounting appreciation of the essentially social
nature of IS in practice has led some researchers to adopt research
approaches which focus primarily on human interpretations and meaning (Walsham,
1995; Myers, 1997). Consequently, interpretive approaches are being
employed to an increasing extent (Klein and Myers, 1999).
There is also increasing evidence of this debate in
the field of IS evaluation. Many authors (Walsham, 1995a; Hirschheim
and Smithson, 1999; Serafeimidis and Smithson, 2000; Irani and Love,
2001) have argued that IS evaluation would be improved by using an
interpretive epistemology. The emerging view is that social actors,
that is the people involved in the IS evaluation situation, are
important and that IS evaluation is a socially embedded process in which
formal procedures entwine with the informal assessments by which actors
make sense of their situation. This view argues that these actors are
in the best position to assess IS, offer opinion, and persuade senior
executives of the value and success of the IS. Notable amongst the
interpretivist researchers in the field of IS evaluation are
Serafeimidis and Smithson (2000). Using an interpretive methodology,
they contend that the use of IS is governed by actor attitudes.
For researchers who adopt an interpretive research
strategy a more focussed, and possibly problematic, issue is that of
selecting appropriate research methods to complement the chosen
strategy. Not surprisingly, many interpretivists select qualitative
research methods, given the popular misconception that interpretive
research can be equated with qualitative research and all the associated
procedures for qualitative analysis (Myers, 1997). However, the
assumption that qualitative methods are the only ones suitable for
interpretive research, or conversely, that quantitative methods should
only be used for positivist research, is a fallacy (Klein and Myers,
1999; Nandhakmar and Jones, 1997). There are examples where
quantitative methods, such as statistical analyses, are employed in
interpretive research (Kaplan and Duchon, 1988), likewise, it is
possible to employ qualitative methods, such as case studies, which are
positivist (Yin, 1989). Nevertheless, whilst it is incorrect to equate
qualitative research with interpretivism, it does tend to be the method
most frequently drawn upon.
Therefore, arising from this, an issue of concern for
many interpretive researchers, is that when presented with unstructured,
non-numeric data derived from a qualitative research study, such as data
from interviews, there is a noticeable absence of practical guidance for
the coding and analysis of data. An element of relief can be found,
however, with Grounded Theory (Glaser and Strauss, 1967), one of the
practical methods that is prominent amongst the various research
strategies recommended for conducting interpretive research (Myers,
1997).
The paper is structured as follows. In the following
section the authors give an overview of GT, its history and procedures.
This section is followed with an analysis showing the various underlying
assumptions adopted when GT has been used in IS research. This is
followed by an illustrative example of the use of GT in IS evaluation
research which draws upon the authors’ own work in this area. The paper
continues with a discussion of the issues that arise from the use of GT
and gives guidance on the adoption of the method and its appropriateness
in the IS evaluation field.
2. The Discovery of Grounded Theory
Glaser and Strauss (1967) were the original proponents
of the set of procedures or method which enabled locally generated
empirical theory to be discovered. The title of their method, which was
the title of the original book, The Discovery of Grounded Theory, is
widely misunderstood. The method is concerned with discovering theory
that is grounded in social settings. The title of the original book
reflected this; it is not a book about their discovery of a method that
they called Grounded Theory. The misconception is so widespread that
the method is now commonly known in its shortened form and indeed
following common practice it is the name that the authors will use in
this paper.
GT is a method for the collection and analysis of
qualitative data developed by Glaser and Strauss (1967). Although the
method dates back to 1967, its use in Information Systems research is
very recent. It is growing in popularity, particularly in the
interpretivist IS research paradigm, for enabling rich and context
sensitive analysis of social situations (Baskerville and Pries-Heje;
1999; Urquhart, 1999; Hughes and Wood-Harper, 1999; Trauth, 2000).
Useful summaries of the use of GT in IS research can be found in Hughes
and Howcroft (2000) and Urquhart (2001).
In the method, conceptual properties and categories
may be ‘discovered’ or generated from the qualitative data by following
a number of guidelines and procedures where the aim is to indicate the
importance of the actors in the social setting. It is they who provide
the transcript data from interviews. As soon as the first transcript is
prepared, coding begins. The term ‘coding’ is used here to describe the
process of annotating or labelling interview transcripts with a piece of
text. At this stage the coding is ‘open’ and is fairly unrestricted, in
the sense that each line, and sometimes each word, is scrutinised in
order to produce a code which initially may appear as a simple
repetition or summary of the text. The purpose is to ‘open’ the inquiry
into the data and at this stage any element of the data may seem
relevant. As more data is collected, the researcher continues the open
coding, but also begins to identify ‘categories’ rather than labels.
The categories are formed from groups of words from the initial coding
which pertain to the same phenomenon. Categories are at a higher level
and more abstract than the concepts they represent. The concepts must
be repeatedly present in the data to warrant the abstraction to the
level of category. The researcher may select both in vivo categories
and their own categories. The categories are generated through the same
analytic process of making comparisons in order to highlight
similarities and differences.
For the process to be rigorous, the researcher must go
back through the currently available data and re-code in relation to the
new categories. Researchers may then use their knowledge of the domain,
or draw upon their previous experience, in order to expand and clarify
categories and sensitise themselves to ways of further exploring the
data. As categories are formed it is essential that each have an
associated memo, which elucidates it and relates it back to the data.
As the number of categories increase they can be
related to each other and to sub-categories. This process is known as
‘axial’ coding, in which the researcher explores the relationship
amongst categories and sub-categories. This will usually necessitate
the gathering of further data to explicate quite specific points in
order that a category can be saturated. Saturation of a category occurs
when the collection of data and its analysis can add no further to the
properties of the category. Categories may also be related to each
other to provide an integrating framework. During axial coding the
analytical memos will now be developing the properties of categories and
the relationship with sub-categories, in particular the integration of
categories and the relationship between them.
As the number of saturated categories grow and the
relationship between them becomes established they can be unified around
a ‘core’ category. This core category represents the central phenomenon
of the study and usually evolves towards the end of an investigation.
At this stage the researcher may have identified several schemes that
can link the data together. It is important that a central category is
derived which can be achieved using either abstraction or
generalisation. Indeed, the more abstract the core category, the more
widely applicable it becomes. The ‘filling in’ of poorly developed
categories also takes place at this stage, in order that all categories
in the final integrative framework are saturated.
Two analytical techniques, theoretical sampling and
constant comparison, are the means by which the GT proceeds. These
techniques relate the coding activities to the pool of data and memos
that already exist. Theoretical sampling is an inductive technique that
is used when the data does not exhaust the theoretical category that is
being developed. The researcher must return to the domain until
categories have been saturated. That is to say the researcher must
sample particular categories to ascertain that its properties cannot be
elucidated further. This checks both the scope, as well as the depth of
a category. The theoretical sampling in GT is theory-driven. Strauss
and Corbin (1998) emphasise that the grounds that determine which
events, activities, or people require further data collection are
analytic grounds based on the emerging theory. As each new incident or
concept emerges, it needs to be compared against existing concepts and
categories for both similarities and differences.
The purpose of this constant comparison is threefold.
Firstly, to attempt to ensure the researcher’s neutrality by constantly
being challenged with new data; secondly, to help achieve greater
precision in grouping together like phenomena; and thirdly, to further
subdivide concepts which are variations on the first, to ensure
consistency in grouping like with like. Strauss and Corbin (1998)
stress that the researcher should be vigilant in their search for
patterns and variations, by arguing that concepts and their dimensions
must ‘earn’ their way into the theory. Figure 1 below outlines the GT
procedures.

Constant
Comparative Analysis
Theoretical
Sampling
Figure 1:
Grounded Theory Procedures (Hughes and Howcroft, 2000)
3. The Use of Grounded Theory in IS Research
Hughes and Howcroft (2000) consider and analyse the
use of GT in interpretive research and highlight a number of examples in
the IS literature where the method has been used by IS researchers. In
order to clarify this analysis, the characteristics of the projects and
the underlying assumptions of the researchers are tabulated in Table 1.
The authors accept that the projects do not represent a definitive
account of the use of Grounded Theory in IS research, rather they typify
the ways in which Grounded Theory has been used in a variety of
projects.
The entries in each section are summaries of those
that have been reported by the project authors. They are not our
interpretation of how Grounded Theory was used - nor would we claim
authority. However, we would point out that when considering the use of
Grounded Theory in the IS field there are inconsistencies in both
the understanding of the method and the application of the method. One
could argue that this is because Grounded Theory is more or less
appropriate for addressing certain kinds of research questions or at
certain stages of the research process. However, whilst further
investigation into the relationship between the ways in which Grounded
Theory is adapted and the kinds of research questions studied may prove
fruitful, we would argue that since Grounded Theory has had limited
application, researchers would be well advised to explore its use in
different contexts. Therefore, we prefer to avoid making sweeping
generalisations about its recommended usage.
The projects range from those concerned with
organisational change (Orlikowski, 1993; Pries-Heje, 1992) to those
concerned with the practical use of the method to inform knowledge based
systems design (Oliphant and Blockley, 1991; Galal and McDonnell,
1997). For some the full-blown use of the method is important (Pidgeon
et al, 1991) whilst for others the use of specific procedures helps to
overcome deficiencies in another research strategy (Baskerville and
Pries-Heje, 1995; Baskerville and Pries-Heje, 1999; Hughes, 1998). Some
researchers selectively change the method to suit the purpose of the
research (Calloway and Ariav, 1991; Fitzgerald, 1997).
The underlying assumptions made explicit by the
authors range from qualitative-interpretive (Howcroft, 1998) to
qualitative-positivist (Pries-Heje, 1992). The latter to the extent
that the project’s author explicitly commends the method for its meeting
the criteria of good science. Although interestingly, the criteria are
not rigorously pursued. Grounded Theory is used as a method alongside
others (Orlikowski, 1993; and Torsaskar, 1991) and also used entirely on
its own (Calloway and Ariav, 1991). The projects are summarised in
Table 1 below.
Researcher |
Research Project |
Underlying Assumptions and
Perspectives |
Adaptations to Grounded Theory
Method Made Explicit |
|
Toraskar |
To evaluate the product of IS design. |
Grounded Theory is in the tradition of
hermeneutic methods of analysis and prediction. |
Ignores evaluative criteria. |
|
Calloway and Ariav |
To explore how IS designers perceive
the use of design tools during systems development. |
Grounded Theory can be used as a
method of data reduction alongside Content Analysis. |
Ignores evaluative criteria.
Uses seed categories rather than
inductive generation of all categories. |
|
Pidgeon, Turner and Blockley
|
For conceptual analysis in knowledge
elicitation. |
Grounded Theory provides rich
conceptual models that accurately describe data. The evaluative
criteria provide necessary rigour. |
Follows the method. |
|
Oliphant and Blockley |
Design of a knowledge based advisor on
the selection of earth retaining structures. |
Grounded Theory provides a
hierarchical model from which knowledge based rules can be
derived. |
Follows the method. |
|
Pries-Heje |
An investigation into barriers for the
use of computer-based tools in ISD. |
Grounded Theory provides systematic
techniques to develop substantive theory that meet the criteria of
‘good’ science |
Follows the method |
|
Orlikowski |
Development of a conceptual framework
for understanding organisational issues surrounding the adoption
and use of CASE tools. |
Grounded Theory adopted because of its
inductive, contextual and procedural characteristics useful in
considering change |
Follows the method alongside other
methods to triangulate findings |
|
Baskerville and Pries-Heje
|
To study methods and tools in order to
improve problems that exist in software product development. |
Grounded Theory increases the rigour
in the theory development portion of action research. |
Limited theoretical sampling.
Predetermined core categories.
Reorientation of early coding to
evaluate and learn about predetermined core category. |
|
Fitzgerald |
A field study of the use of systems
development methodologies in practice. |
Grounded Theory increases rigour and
traceability during theory development. |
Use of seed categories. |
|
Galal and McDonnell |
A case study of an automated document
management system for the legal domain. |
Grounded Theory supports rigorous
analysis of qualitative data. Adopted for the evolution of first
requirements’ model. |
Follows the method integrated into KBS
engineering techniques. |
|
Urquhart |
A case study of analyst-client
communication during early requirements gathering. |
Grounded Theory offers well-signposted
procedures which aim to produce a theory that is precise, rigorous
and capable of replication. |
Follows the method alongside other
qualitative techniques and questionnaires in order triangulate the
findings. |
|
Hughes |
A data analysis method used for
requirements determination. |
Grounded Theory provides useful
procedures to elicit situated requirements within an
ethnomethodological perspective. |
Use of seed categories.
Use of software package to aid
analysis.
Ignores evaluation criteria. |
|
Howcroft |
An interpretive study of the nature
and characteristics of Internet usage. |
Grounded Theory offers a systematic
and traceable method for inducing patterns from the raw data. |
Use of seed categories.
|
Table 1: Use of Grounded Theory in IS Researc
This raises a number of questions for the use of
Grounded Theory in IS research. Is there some ‘correct’ way of using
Grounded Theory? Is there a research paradigm in which Grounded Theory
‘fits’? What validity can be given to the concerns of Strauss and
Corbin (1998) about the need for sensitised, trained and experienced
Grounded Theorists? The questions are returned to in the Discussion
section of the paper. In the following section by way of illustrating
of the use of GT as a research method in IS evaluation an interpretive
case study is described and the outcomes from the study presented. A
full discussion of the case study is given in Jones and Hughes (2000).
4.
Illustrative Case Study
The case study in this section concerns one Local
Authority in the UK, which provides a full range of public sector
services, for example, Education, Social Services, Highways, Housing,
Planning and Public Protection. Qualitative methods of data collection,
particularly informal semi-structured interviews with senior IS
stakeholders, were used together with GT to analyse the data. The use
of Grounded Theory identified a core category, that of Information
Systems Evaluation, together with three emergent themes, or major
categories (figure 2). The major categories are firstly, that IS
investment decisions are usually undertaken in isolation by Information
Systems Department Management and that they are largely intuitive and
political in nature. Secondly, that evaluation methods, traditional or
otherwise, are not utilised. Thirdly, that an interpretive approach to
IS evaluation would be worthy of consideration.
Information Systems Evaluation
  
IS Investment Decisions IS
Evaluation Methods Situated Practice
|
IS investment decisions are usually
undertaken in isolation by the information systems department
management. They are largely intuitive and political in nature
|
Evaluation methods, traditional or
otherwise, are not utilised |
An interpretive approach to IS
evaluation would be worthy of consideration |
Figure 2:
Core Category and Major Categories, with brief descriptions
4.1 IS Investment Decisions
The organisation addresses IS investment and
evaluation issues via a Corporate Information Technology Client Group (CITCG),
regular IS Account Management meetings between the IS Department and IS
Users, and monthly IS Departmental Management Team meetings. Arising
from these forums the IT Departmental Management Team, consisting of
three senior IT managers and the CIO, make recommendations to the CITCG,
which are invariably accepted.
The decision to invest in IS therefore, appears at
first sight to be strategic, since the CITCG, endorse the choice
suggested by the IT Department. There is also a seemingly well-planned
and participative approach to IS investment decisions. However, in
practice, IS implementations are not introduced through a positive
commitment by the Authority in its entirety, as the Director's
Management Team and many key stakeholders are not consulted. The
decision making process is illustrated in figure 3 below.
Corporate IS Client Group
Ill-informed
Reluctant
to be Involved
Uneasy with
IS Decision Making
 
IS Management Meetings
Account Management
Meetings
IS
Perspective
Increasing user IS Awareness
Make and Defend IS
Decisions Anxious to use
IS
Lacks a Strategic
View
Piecemeal IS Adoption
Figure 3: Decision-Making Process
It is difficult engaging senior managers in the IS
decision making process and therefore it is perhaps not surprising that
this approach has been adopted. IS investment decisions are made with
the intention of fully supporting service delivery plans. However, the
prevailing IS decision-making process makes it extremely difficult to
determine to what extent this is successful. IS investment is largely
intuitive and highly political in nature. The power of politics and
persuasion is a major factor when convincing, or otherwise, the CIO when
determining IS investment decisions.
4.2 Evaluation Methods
Traditional mechanistic evaluation processes are not
utilised, although there is a high level of awareness of them. There is
no significant pre or post implementation evaluation of IS value and
benefit via any formal review processes, except for an estimate of
costs. Decision-makers have a high expectation of IS implementations and
assume that IS will always bring benefits. No risk assessment is
undertaken and neither are potential dis-benefits identified.
Discussion and discourse during Account Management
meetings is widely used to determine the level of satisfaction with IS
within the organisation. Consequently, difficulties are raised and,
where necessary, problems are formally documented. Questionnaires are
also used to ascertain user satisfaction. This is a form of qualitative,
interpretive evaluation of IS implementation.
IS practitioners and stakeholders regard formal
evaluation methods as being of little value. This is the main reason
cited why they have been disregarded. Despite the lack of evaluation
methods, it was interesting to note that the £2.5m annual revenue budget
was regarded as being spent appropriately by almost all interviewees and
that no wastage had occurred, even though it was impossible to
demonstrate that this was the indeed the case.
4.3 Interpretive Approach to IS Evaluation
It was acknowledged that IS monitoring, review and
evaluation processes are important, to enable problems and issues to be
raised, documented and resolved. Despite this acknowledgement, this has
not been given high level of importance in the organisation. User
opinion is regarded as an extremely important aspect, which is
overlooked. This is unfortunate, as it was agreed that actor opinion has
the potential to produce deep insights into IS evaluation and could
greatly assist in this area. However, what is problematic is the
articulation and documentation of the process. This is the main barrier
to undertaking interpretive studies in the case study organisation.
The organisation acknowledges that improving IS
evaluation may lie, not with the development of better quantitative
methods, but rather in the experiences of multiple IS stakeholders.
Furthermore, it is aware that practical elaboration of the evaluation is
predominantly grounded in tacit knowledge. User opinion was seen as a
major factor to consider. Interviewees stated that there are inherent
intuitive and political dimensions to IS evaluation.
4.4 Lessons for IS Practitioners and
Organisations
The critical aspect of the case study given in this
paper is that in its methodology, Grounded Theory, it explicitly sought
to discover the underlying assumptions, the contexts and the experiences
of those involved in the IS evaluation process. The outcomes from the
case study are best expressed as lessons and practical guidelines since
no claim is made for interpretive studies of this type for
generalisation (Walsham, 1999). However, the richness of the case study
does lead to lessons for IS practitioners.
Lesson
1 Organisations must question the underlying assumptions of
existing IS evaluation methods and seek alternative perspectives where
these methods fail to achieve desired objectives and outcomes.
Lesson
2 IS evaluation must have an explicit concern for the social
context and interpretive methods must be adopted which explicitly
situate stakeholders at the centre of the evaluation process.
Lesson
3 The views, beliefs and assumptions of stakeholders must be
exposed and considered within the IS evaluation process and not be
ephemeral to it.
Lesson
4 Organisations must have an interpretive benefits management
approach to complement the IS development, project management and
implementation functions.
Lesson
5 A new role must be created for an IS evaluation professional
to facilitate and conduct interpretive IS evaluation studies.
Lesson
6 The hierarchical and political nature of public sector
organisations creates a barrier to change and this must be overcome to
ensure interpretive approaches are successful in practice.
Furthermore, the case study points to practical
guidelines for organisations with regard to IS evaluation and these are
given in table 2 below.
|
Situated Practice Characteristics |
Practitioner Action |
|
Concern for evaluation in practice
Interpretive approach |
Articulate the importance of the
stakeholder view by appointing a facilitator to elicit the views
and concerns of stakeholders so that these can be disseminated.
Use methods in practice similar to the GT method which provides a
set of procedures for the articulation analysis and dissemination
of a grounded view of stakeholders |
|
Covert non-documented process |
Expose and document these grounded
processes |
|
Social factors dominate
Promotes subjective views
Engages in process
Stakeholder view of process
Recognises political process |
Through seminars and group discussion
expose the underlying assumptions and values. This can be done by
utilising the hermeneutic approach to give precedence to
‘evaluation in practice’ During this exercise explicitly address
the political situation to identify power relations |
Table 2:
Framework for Understanding Situated IS Evaluation
5. Discussion
The use of GT in the above case
study indicates that it can assist conceptually in the understanding of
a problem situation and can also assist with articulation of lessons
learned. However to return to the questions posed earlier in the paper
about the ‘correct’ way of using GT it may be argued by some that the
method has been used in a contingent way which does not reflect the
procedures or philosophy of the original proponents. However we would
argue that from its roots in the social sciences, its philosophy is
post-modernist, and that it relies less on dogma and positivist validity
models and more on the practical application of methods to suit real
situations. In a given methodological context therefore, one would
expect that the intended method could differ from the method in use
because of the dynamics of the situation and that this is entirely
consistent with the need to extract richness from social situation.
An important aspect arising
from the use of GT in the case study is that agency, that is the
attention to the means by which actors or organisational members create
and recreate organisational structures, is paramount. Its use implies
an organisational context rather than the perhaps more familiar
technical or economic contexts for research in the IS evaluation field.
In spite of this rationale for the use of GT in
interpretive case studies the above example did highlight a dilemma
between the rationale and the GT procedures themselves - coding,
comparing, categorising, saturating – all of which have a positivist
feel to them. In resolving this one can look to the experiences of
other researchers (Klein and Myers, 1999) who claim that the assumption
that qualitative methods are the only ones suitable for interpretive
research, or conversely, that quantitative methods should only be used
for positivist research, is a fallacy. Certainly in the case study
above a good deal of the data structuring can be attributed to the
researcher (as is common in interpretive research) and the GT methods
have their place as framework or guidelines or pointers through this
structuring process.
As with any research, every researcher is initially a
novice in the use of research methods when applying them in a new
environment, especially within a new discipline. A researcher’s early
understanding of GT methods can therefore be insufficient and the use of
methods without a full understanding of them or of their conjunction can
be problematic. This matches the Strauss and Corbin (1998) concern
about the need for sensitised, trained and experienced GT researchers.
The authors would agree that for the case study above, more extensive
practical use of the methods and training in social science research
would have been invaluable. However as a discipline ‘we are where we
are’ but it serves as a warning to less experienced researchers before
borrowing from other disciplines they should have a good prior knowledge
of the reference discipline. Based on their own experience the authors
tentatively give the following guidance for GT use in IS evaluation
research.
·
In the
methodological context the intended GT method may not turn out to be the
same as the method used because of the dynamics in the situation
·
GT is
consistent with interpretive studies dealing with social and
organisational contexts.
·
The
researcher’s personal constructs and skills help structure data and it
is the researcher’s perspective that maintains the interpretive style
rather than GT.
·
GT can be
too time consuming, particularly in the transcribing, coding and
comparing associated with the data analysis
·
To fully
understand GT, practical use of the methods in social science research
is invaluable.
·
In
organisational settings, social science methods such as GT can be useful
in providing deep insights and understanding of social life.
·
GT provides
a useful template for researchers and can serve as a comfort factor for
the stressful and uncertain nature of conducting qualitative research.
6. Conclusion
In this paper the authors have highlighted that GT, a
method more commonly associated with the social science perspective, can
assist with rich, context based IS research. The empirical work has
further demonstrated that it is possible to successfully use GT in
qualitative IS evaluation studies where the social aspect is paramount.
The traditional perspective views IS evaluation in a
scientific sense and positivist, mechanistic evaluation methods are
used. The situated approach views IS evaluation in a socially
constructed sense. If the latter view is dominant, it follows that
there is need to use social science methods to evaluate IS. There is a
problem to overcome however, in that although social science methods
such as GT may be appropriate, there can be a difficulty in effectively
introducing such methods into a technically dominant field such as
information systems. The methodology’s acceptability and practicability
therefore needs to be more strongly established by further research.
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