This paper examines phenomenology and grounded theory as two commonly used qualitative research approaches in the social sciences and education. It outlines their philosophical differences, methodological characteristics, and appropriate applications, then applies this framework to a comparative analysis of two studies: Norton's (2013) phenomenological investigation of teacher self-efficacy beliefs and Yalof's (2014) grounded theory exploration of peer support in online learning environments. The paper evaluates each study's purpose, research questions, researcher role, data collection methods, ethical considerations, limitations, and overall effectiveness, ultimately demonstrating how methodological rigor—or its absence—shapes the quality and credibility of qualitative educational research.
Both phenomenology and grounded theory are commonly used approaches to qualitative research in the social sciences. While grounded theory and phenomenology can sometimes be used simultaneously in ways that "slur" or "blur" the distinction between multiple qualitative methods, researchers in education should ultimately focus their attention on the best method for exploring single, focused research questions and their real-world applications (Baker, Wuest, & Stern, 1992, p. 1355). Grounded theory has been described as a "practical method for conducting research" that shows how people construct meaning about their social world (Suddaby, 2006, p. 633). Therefore, grounded theory is sociological in origin and linked to the concept of symbolic interactionism (Starks & Brown Trinidad, 2007). The methods used for grounded theory approaches to research in the social sciences include observations and other ethnographic data collection techniques, coupled with open coding for data analysis (Creswell, 2013). Interviews are one of the most commonly used data collection methods in grounded theory, and are also used frequently in phenomenological research (Wimpenny & Gass, 2000). While the goals of grounded theory research in education can be pragmatic — such as influencing policy and practice — researchers generally use grounded theory to generate theory or suggest new directions for paradigms or concepts (Starks & Brown Trinidad, 2007). Essentially, the researcher shows how an emerging theory is grounded in reality, while also demonstrating how observed experiences, populations, or phenomena reflect emerging theory in the social sciences.
Phenomenology differs from grounded theory in several key ways, including its philosophical orientation. Whereas grounded theory focuses more on sociological interactions among research participants and sample populations, phenomenology focuses more on the abstract qualities and categories of lived human experience (Creswell, 2013). In phenomenological research, data collection can also be ethnographic in nature or may include specific methods such as interviews and focus groups. Like grounded theory, phenomenology usually entails the recognition of categories and themes that carry distinct meaning for the population. The researcher seeks broad "essential" elements that characterize the lived, shared experience of the population under study (Starks & Brown Trinidad, 2007, p. 1373).
Therefore, while grounded theory and phenomenology share certain similarities, they employ different research methods and have potentially different applications. As Suddaby (2006) points out, grounded theory is better suited when the researcher is working with "knowledge claims about an objective reality" and wants to observe or understand how actors construct meaning from that objective reality (p. 634). When researchers begin with more of a blank slate and want to uncover or explore a previously undefined or unknown issue, problem, or phenomenon, phenomenological research methods are better indicated. The researcher should ideally select the appropriate qualitative method to meet research goals and to best investigate the implications of the research questions. Qualitative research examples highlight the strengths and weaknesses of both of these major approaches and show how each can be judiciously applied in context.
In a dissertation presented to a university, Norton (2013) uses phenomenological approaches to study the self-efficacy beliefs of teachers who persist in their profession. In "Marshaling Resources," Yalof (2014) uses grounded theory to explore peer support systems used among students in online learning environments. A comparison of these two studies illustrates the differences between grounded theory and phenomenology in education research.
In "A Phenomenological Investigation into the Self-Efficacy Beliefs of Teachers Who Have Persisted in the Teaching Profession," Norton (2013) clearly states the purpose of the research as "to examine the perceptions and characteristics" of teachers "in order to explain the phenomenon of teacher self-efficacy" (p. 19). By investigating self-efficacy beliefs through interactions with teachers, the researcher also aims to prevent teacher burnout and dissatisfaction, thereby reducing employee turnover among educators (Norton, 2013). The researcher purposefully selects twelve teachers who have remained in the profession for more than five years in order to examine how self-efficacy beliefs impact decisions to stay in the profession and shape attitudes toward professional status and role.
Three research questions guide the Norton (2013) study. First, the researcher inquires about the perceptions of secondary school teachers regarding how their personal self-efficacy as teachers might impact their students' academic achievement. As qualitative research, Norton (2013) does not expect or need to demonstrate a direct correlation or causal relationship between measurable teacher self-efficacy and actual student grades. Instead, the researcher uses phenomenological methods to show how teachers perceive their impact on student achievement and whether self-efficacy plays a role in student outcomes. Second, Norton (2013) asks which personality characteristics teachers believe most influence self-efficacy, either by boosting it or adversely affecting it. The phenomenological approach allows Norton (2013) to explore teacher perceptions and experiences without needing to measure the impact of specific personality characteristics on self-efficacy directly. Finally, Norton (2013) conducts this research to examine teacher perceptions of other factors that they believe influence self-efficacy in addition to personality. For example, teachers can comment on whether student-teacher ratios or external circumstances affect their self-efficacy. These three research questions underlie the entire phenomenological inquiry.
The researcher's role is that of interviewer and colleague, but not participant-observer. Using interviews, focus groups, and surveys, the researcher employs open-ended questions to encourage participants to share perceptions and experiences in accordance with the principles of phenomenological research. The researcher triangulates methods to cultivate a more robust data set, collects and rigorously analyzes the data, and presents findings with commentary linked to prior literature for an audience of peers. In focus groups, the researcher also serves as mediator and facilitator. Norton (2013) therefore assumes a detached and objective role that allows participants to speak for themselves, while also identifying themes and information that can stimulate further research into the phenomenon.
Norton (2013) deftly applies the principles of phenomenology to each stage of the research. Phenomenology is an approach whereby the researcher explores the world as it is experienced by the participants. In this case, Norton (2013) does not impose any preconceived constructs other than self-efficacy, and allows participants to share their own personal perceptions through open-ended interview questions and focus groups. Phenomenology also seeks the shared meanings and messages among participants. Norton (2013) uncovers common threads and themes based on the teachers' shared realities. While grounded theory could also have been used in this dissertation research, Norton (2013) chose phenomenology because it allowed for a more objective understanding of the teachers' lived experiences. The phenomenological approach encouraged participants to speak for themselves and to convey their perceptions to their peers.
In this study, Norton (2013) uses four different types of data collection methods. The first is the focus group, which is commonly used in qualitative research and in phenomenology specifically (Creswell, 2013). The second method is the interview, which is also used in grounded theory (Wimpenny & Gass, 2000). Third, Norton (2013) administered an established instrument to measure self-efficacy. Fourth, the researcher used open-ended survey questions. Each of these methods enhances the reliability and validity of the phenomenological research.
The researcher takes great care to safeguard ethics and protect the rights of participants. In the appendices of the report, for instance, Norton (2013) includes a copy of the actual informed consent form given to participants as well as the ethical review board letter outlining the parameters of the study. The researcher also takes great care to present findings in an ethical manner, preserving the validity and reliability of the data. By including the self-efficacy instrument as one of the data collection methods, the researcher further prevents bias and ensures a more replicable study.
Qualitative research, and phenomenological research in particular, can be challenging to design in ways that peers or other researchers can replicate. In this case, Norton (2013) overcomes these limitations by designing a robust and reliable study. The limitations of the study are clearly stated, including the small sample size and the restricted setting in a specific secondary school. However, future researchers could readily replicate the study with a different teacher population.
Overall, the Norton (2013) study is highly effective and demonstrates strong use of the phenomenological approach to qualitative research in education. Phenomenology seeks to uncover, explore, and understand the lived experiences of people such as teachers. In their actual place of work, participants can reflect on their perceptions and discuss their self-efficacy beliefs, as well as how those attitudes influence their decision to remain in the teaching profession despite workplace dissatisfaction.
Because this study was well designed and included triangulation of methods, there are no meaningful recommendations that would substantially enhance or improve the work, other than conducting further research with a different population sample.
Although it is not overtly stated in "Marshaling Resources," Yalof (2014) tacitly implies the purpose of the research as being to identify ways of improving the efficacy of online education courses. Online education courses are becoming increasingly popular, and yet they continue to present serious limitations in terms of student learning and overall experiences. Prior research shows that social isolation is one of the main reasons why students may fail to reap the benefits of online education, a finding that motivates the purpose of the current research (Yalof, 2014).
Yalof (2014) does not explicitly outline or state the research questions. However, the researcher seeks to understand which issues increase the probability that a student will drop out of — or alternatively, remain enrolled in — an online course. The researcher hypothesizes, based on prior literature, that "marshaling resources" is the key to understanding how students make this decision. Marshaling resources refers to concepts such as "mattering, teaching ambiance, navigating emotions, tipping point, breaking off, and replenishing," which are all soft concerns that lend themselves well to grounded theory research (p. 18). Yalof (2014) explains and defines each of these individual components of marshaling resources in an introductory section that contextualizes the phenomena under investigation.
In this study, Yalof (2014) functions mainly as an observer. The researcher used online discussion groups, serving as moderator and facilitator to stimulate the types of discussions that would yield viable data for the grounded theory research.
Grounded theory is based on a process of uncovering implied meaning and showing how individuals construct their belief systems, worldviews, and social realities. As such, Yalof (2014) uses grounded theory to show how students construct their realities as participants in a virtual classroom. While the researcher could have selected another type of qualitative research method such as phenomenology, grounded theory works well here in that it draws attention to socially constructed realities.
The researcher collects data from eighteen undergraduate and graduate student-participants across fourteen online universities. Data was also collected via online forums and discussions.
"Evaluates Yalof's grounded theory online learning study"
"Contrasts study effectiveness and suggests future directions"
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