AE-Extra November 2004

Symposium Study I of VII: Theory from Phenomenology

Dan Lukiv
M.Ed., English and Creative Writing
McNaughton Centre, Quesnel, BC, Canada
E-mail: lukivdan@shaw.ca

I plan to conduct six methodologically identical studies through the same research question. I call this series a new area of study. My literature reviews have located no other hermeneutic phenomenological investigations into what experiences in school have encouraged other people to become writers. Comments here and there such as I have found (Hodgins, 1993; and Polanyi, 2002) that mention events in school that encouraged or apparently encouraged some to become creative writers do exist, but no concentrated discussion based on in depth interviewing exists to my knowledge. I encourage researchers interested in my research question to consider a hermeneutic phenomenological approach.

I have found the phenomenological themes from my two studies illuminating. They fill me with wonder. I have taught senior high school creative writing courses for six years, generally basing my teaching on my own experiences. But now I have Arthur's (2002a or 2003a) experiences, and I have Thomas' (see part six). I feel better equipped to teach creative writing in the future. I consider Thomas' theme alongside Arthur's eight themes and my own experiences in school that encouraged me to take up creative writing as a pastime and as a profession, and that prompts me to think about what might work for students, what might encourage some to take up creative writing. I have no rules here, simply direction (McEwan, n.d.).

Other researchers who add conclusions and recommendations through hermeneutic phenomenological study of my research question to the body of my studies' conclusions and recommendations will add depth and breadth to that direction. Researchers could alter the research question to consider university as opposed to elementary school and high school experiences, or to consider fiction writers or dramatists as opposed to poets. Eventually, a body of knowledge, possibly even a "preponderance of evidence" (McMillan & Schumacher, 1997, p. 391), based on experiences from the continuum of education that poets, fiction writers, and dramatists have had could translate into direction in language arts and creative writing programs that better "germinates" future poets, fiction writers, and dramatists.

Perhaps the body of phenomenological knowledge from my six studies--Study VI should be completed in 2007--could crystallize into theoretical direction based on certain grounded theory principles (Dick, 2002). The grounded theory approach, founded in formal text, in 1967, by Barney Glaser and Anselm Strauss (The Discovery of Grounded Theory: Strategies for Qualitative Research), swerved from traditional quantitative, hypothesis-testing methodology to a qualitative, inductive methodology grounded in data (Babchuk, 1996). Today Glaser and Strauss apparently disagree on the methodology of grounded theory, and many others have followed them into the arena of discussion/argument/how dare you say that (1996; Chalip, Marshall, Thomas, & White, 1998; and Glaser, 2002). I liberally reference direction I follow in this section to give voice to the authors I choose to listen to, to provide authority beyond myself, and to provide the reader with a map to follow (Babchuk, 1996) should he wish to read these references. My goal: not to enter that arena I mentioned, but rather, to choose elements of grounded theory that may guide me from phenomenology to theory.

Phenomenological research is primarily concerned with the study of essence, the description of the essence of particular experiences, and not fundamentally concerned with creation of theory (Burch, 1989; and Burch, 1991). Therefore, I present this novel concept: Theory from Phenomenology. Grounded theory typically depends on more than data, such as interviews, but on phenomena (Davidson, 2002; Haig, 1995; Pandit, 1996; Kinach, 1995; and Myers, 1997). Logically, then, the themes could, although I won't say at this point they will, generate theoretical perspectives. I'm making tentative statements that editors of prestigious journals might not want to publish, but I'm not alone amongst researchers who would prefer to speak their minds, or speak tentatively, thoughtfully, than to concern themselves about whether their words meet strict guidelines of what gets into the journals (Barritt, 1992; and van Manen, 1992).

Some refer to the kind of data my phenomenological interviews generated as first-order (Pogson, Bott, Ramakrishnan, & Levy, 2002). Rather than think in terms of order, I prefer to think in terms of degrees of abstraction. The data to themes to theory refers to increased levels of abstraction. Mathematicians describe a process of integration (Nelson, 1998), which can take a one-dimensional formula to two dimensions and then to three (Volumes of Solids, 1999), thereby increasing the abstraction of the formula. For example, if with respect to r (radius of a circle) you integrate 8(pi [pronounced pie])r (a 1-dimensional formula), which is 4 times the circumference a of a circle, you get 4(pi)r² (a 2-dimentional formula), which is the surface area of a sphere, and if with respect to r you integrate 4(pi)r², you get 4/3(pi)r³ (a 3-dimensional formula), which is the volume of a sphere (1999). For my purposes, with respect to the original research question, the integration of data = themes; with respect to the new research question (What, if any, theoretical direction do these themes give to teachers of creative writing?), the integration of themes = theory (assuming theory construction is possible).

I welcome researchers reading this integration approach who could offer suggestions or concerns (Barritt, 1992) about my stepping from phenomenology to grounded theory direction to contact me (lukivdan@hotmail.com). If grounded theory is an emergent methodology, as Dick says (2002), then my steps certainly are in the right ball park. I will need to develop my own style of constant comparison between themes that emerge from the phenomenological studies and theoretical statements that may emerge (2002) from the themes.

These themes, or as some grounded theory researchers say, categories or concepts or understanding (Calloway & Knapp, 1995; Glaser, 2002; and Introduction to Qualitative Tools, 1998), established through my six studies, through systematic hermeneutic phenomenological methodology, would become the data I use to construct theory, but construction would follow new systematic methodology, defining analysis and interpretation in the grounded theory arena (1998; and Kinach, 1995). Of course, categories in grounded theory arise through what many researchers call the comparative method (Glaser, 2002), whereas themes in my phenomenological studies arose through phenomenological analysis and interpretation (van Manen, 1990). Whichever qualitative methodology we consider as researchers, one goal of applying it is to bring us close to what we are studying. Grounded theory direction, then, could bring me close to what I would be trying to understand (State of the Art, 1998), namely the phenomenological themes and the theory that may lie implicitly therein (see part four); additionally, the direction could help verify, make valid, the theory (State of the Art, 1998)--if one does emerge.

The themes of my six studies could parallel the concepts or categories of a grounded theory approach (Pandit, 1996). My goal: to group the themes through connections between them (1996), and integrate them (1996) into a covering theory. The quality of this inductive approach would naturally parallel the quality of theory produced (Borgatti, 1996b). I could discover a core category that all other themes relate to (1996b; and McCarthy, 2001). If the core category were considered the vertebrae, these other themes would be the ribs. Here, however, I sidestep grounded theory terminology such as open, axial, and selective coding (Babchuk, 1996; and Davidson, 2002).

I base that decision for sidestepping on the premise that codes may relate to single words or phrases (Dick, 2002) far more concrete than the phenomenological abstractions I call themes (van Manen, 1990). I have other reasons too. Logic suggests that Theory from Phenomenology should retain, as much as possible, "phenomenological" language. The language of hermeneutic phenomenology includes themes, but not open, axial, and selective coding. I prefer, at least for now, the language of grouping of themes, connections between themes, integration of themes, and covering theory. I say "at least for now" because the actual process of theory building from phenomenology may reveal to me a better language. At any rate, I may use the concept of a core category that all themes relate to as a useful theory-building spine.

The concept of memos, however, I will not sidestep. Pandit (1996) used memos in his grounded theory doctoral work to help him group and integrate what he called concepts and the broader categories, and to keep track of concepts, categories, questions, and possibilities. Actually, memos helped me analyze and interpret interview data in my phenomenological studies. Borgatti speaks about memos as a means to generate theoretical insight in grounded theorizing (1996b). Memos address what Pandit (1996) calls internal validity (credible establishment of relationships) and construct validity (enhanced through clear procedures of operation).

Whether or not I follow his example of using data analysis computer programs (Pandit, 1996) to help me compare and contrast my themes remains to be seen. But I will follow his example of comparing my theory to relevant literature, if any exists, once I establish theory. Some researchers encourage a review of literature during analysis and interpretation (Grounded Theory Research Design, n.d.); however, in my original study (2002a or 2003a), I conducted a suspended literature review after my interpretation, to avoid biasing myself (van Manen, 1990). Pandit (1996; see, also, Davidson, 2002) worked similarly, reviewing relevant literature after the theory emerged.

This order fits the spirit of grounded theory, which should not allow "our theories...[to] drive our research" (Pogson et al., 2002, p. 6). Grounded theory researchers avoid forming a priori hypotheses (2002). Actually, its methodology began, in part, as a reaction against the preponderance of 1960s and pre-1960s education research that quantitatively tested hypothetical premises (Grounded theory, n.d.). Not surprisingly, then, I will avoid doing an extensive literature review related to my theory until it crystallizes. This will help me keep hypotheses and biases at bay. Curiously, however, just as I found no hermeneutic phenomenological studies that investigated my research question (2002a or 2003a), I may find no literature that supports, contradicts, or extends theory I construct.

I should note here that Arthur's themes (2002a or 2003a) from Study I are discussed in Study II's literature review (2004). A suspended literature review for my phenomenological studies no longer made sense once I had completed the original study because its results had become part of my bias-generating psyche. Hence, in the study of Thomas' experiences (Study II), the best that I could do was employ bracketing (see chapter three), participant review, peer debriefing, memoing, and field notes as vehicles to keep my biases at bay. I will employ the same in studies III, IV, V, and VI.

Participant review, including free imaginative variation, which verifies or appropriately alters a researcher's interpretation of data, addresses internal validity. Therefore, I might consider, at the stage of crystallizing my theory, conducting participant reviews with each of my six participants of the six studies, if possible, to see if the theory rings true for their experience. As in hermeneutic phenomenological research that values the researcher's analysis and interpretation along with the participants' verification (van Manen, 1990), my proposed methodology would value the same. This novel approach would place the theory generated at a high level of validity.

I enjoy this thought, because if I am going to spend great lengths of time conducting six studies and then work through the time-consuming method of a grounded theory approach (Pandit, 1996), I want to end up with high validity. Therefore, from the beginning of my research I have been aware of the need for what I call good process. For example, I have made sure my phenomenological studies have fit my original research question without "the question being made to fit the research method" (McCarthy, 1999, Three Stages of Developing the Research Topic, para. 1). I am matching this logic as I step beyond phenomenology. Really, I am attempting to join up the established, valid process of phenomenological research with valid grounded theory direction.

In the name of good process, here is my logic: 1) The topic of creative writing in school gave rise to my research question, which sent me on a research design (Daniel, 1996) exploration (I chose qualitative research), which sent me on a methodology exploration (I chose hermeneutic phenomenology), which introduced me to how to conduct valid research of my research question, research made valid in part because of participant review; and 2) Likewise, my topic of themes of events (phenomenological data) in school that have encouraged some people to become creative writers has given rise to my new research question of What, if any, theoretical direction do these themes give to teachers of creative writing?, which has sent me on a research design (Daniel, 1996) exploration (I have tentatively chosen qualitative research), which has sent me on a methodology exploration (I have tentatively chosen direction from grounded theory literature), which is teaching me how to construct valid theory (Pandit, 1996), the validity of which could be enhanced considerably through participant review.

Those readers familiar with grounded theory may notice that I have spoken about participant review, but not about saturation. "Saturation point is defined as that point in data collection/analysis when no new features related to the research question turn up in the most recently collected data" (Rintel, 2001). Not all researchers agree about the validity of saturation: "It seems so intense a process that I wonder," Rintel says, "if anyone has ever actually achieved saturation" (2001). In spite of such comments, many researchers treat saturation seriously, especially with regard to a core category (Glaser and Strauss: Developing Grounded Theory, n.d.). A variety of interviewees can provide a variety of data, thereby providing diverse aspects of the core category, enabling the researcher to deepen his insight (n.d.; see, also, Davidson, 2002).

If saturation is to grounded theory, then, I must add, verification and richness are to hermeneutic phenomenological research. Participant review--verification--ensures that the essential themes discovered truly describe the essence of the participant's lived experience (van Manen, 1990). Although applying the principles of saturation appears possible, the phenomenological researcher may simply stop interviewing once he or she sees that the data is fruitful/rich. For example, Study I (part one) was rich in its number of essential themes, namely eight, and Study II (part six), although only one essential theme emerged, has richness too. The breadth and depth of the single theme makes the study more than worthwhile in my mind. And verification gives the theme credibility.

Credibility with regard to a grounded covering theory that speaks about my six studies may also rank high through similar verification--by all six participants. As for richness: It will likely arise from the diversity of experiences of my information-rich (Patton, 1987) participants and their individuality (Stipek, 1998; and Zunker, 1998).

If my grounded theory approach, based on phenomenological data (themes), truly works, then I can present two modes of direction to teachers: 1) direction through a list of all themes from the six studies; and 2) theoretical direction (McEwan, n.d.). The list, as a checklist, could direct teachers to consider activities or ways of dealing with students that might encourage some to become creative writers (see parts one and six), based on the premise, analogy (Kline, 1967), that they have encouraged others. The theory could also direct teachers, although at a more abstract level, to consider activities or ways of dealing with students that might encourage some. I do not call this generalizing my results, my checklist and theory, but rather I call it extrapolation, based on the experiences of information-rich participants (Patton, 1987). I will discuss extrapolation in more length shortly.

In my phenomenological work, I have addressed validity issues in considerable detail. I realize that research that does not fully address validity issues invites criticism from, even rejection by, its readers. McKewan (n.d.) says, "If you read only the introduction and the conclusion to a research study, ignoring everything in between, you may as well not read it at all." I agree. A reader who does not evaluate a study's rigour and consider the researcher's arguments in favour of the study's validity seems, to me, odd.

I have read many studies that do not fully address validity issues, such as comparability between classes or students (see, e.g., Atkinson, 2003; and Sluyter, 2003), survey validity (see, e.g., Haynes, 2003), confidentiality and anonymity and other ethical concerns (see, e.g., Haynes, 2003), researcher effects or bias control (see, e.g., Christiansen, 2003), standardization procedures for interviewing a variety of participants (see, e.g., Christiansen, 2003), questionnaire validity (see, e.g., Rauschenberger, 2003), and student effects on each other (see, e.g., Rauschenberger, 2003). These studies invite criticism. Therefore, where grounded theory structures guide me to locate theory in the phenomenon, I will address credibility (internal validity), applicability (external validity), consistency (realiability), and confirmability (objectivity) (State of the Art, 1998; refers to Lincoln & Guba, 1985; see, also, Siegle, n.d.b), or I will formulate and apply other concepts of rigor to ensure the study's integrity (Morse et al., 2002).

I did not use Lincoln and Guba's (1985) terminology (credibility, applicability, consistency, and confirmability) as explicit signposts in my phenomenological studies. I referred to trustworthiness (Guba & Lincoln, 1982; see, also, Siegle, n.d.b) with regard to validity. I could have, however, addressed credibility in terms of taped and transcribed interviews, participant review, free imaginative variation, bracketing, and peer debriefing; consistency (Siegle, n.d.b) in terms of participant review, free imaginative variation, bracketing, and peer debriefing; and confirmability (Siegle, n.d.b) in terms of audibility, field notes, contact summaries, memos, a field journal, bracketing, participant review, and peer debriefing (State of the Art, 1998). But the repetition seems cumbersome. Herein lies some of the trouble with qualitative researchers trying to straddle qualitative and quantitative language to addresses validity and reliability issues (Morse et al., 2002).

As for applicability as a validity issue--it really made no sense for my phenomenological studies because generalization was not the goal. Finding themes specific to the participants, however, was. Hence, rather than applicability, I prefer to use the term extrapolation (Patton, 1987). Extrapolation translates into direction from my studies for teachers of creative writing.

Extrapolation will arise again if grounded theory can provide me with a means to generate valid theory of use in the classroom, theory that will guide teachers who want to create classroom climates and events that may encourage some students to grow up to become creative writers. I do not speak of an if x, then y theory (Borgatti, 1996a), which relates to external validity. Rather, I am speaking of an if x, then perhaps y theory, especially if the theory rings true for all six participants. Such a theory would not describe independent and dependant variables, but it would describe at least a "sense of process" (1996a).

The best theory would address classroom climate and events from kindergarten to grade 12. My intent was to draw on elementary and high school events. I feel at home with my intent because I have taught students in grades 1, 2, 3, 4, 9, 10, 11, and 12, and I am familiar with the cognitive, emotional, and social make up of students in those grades (Zunker, 1998). Another researcher, however, might feel more at home with just elementary or just high school experiences, based on his past as a teacher. That researcher's audience might be just elementary or just high school teachers. This reminds me that skilled ethnographers of the same group of people might present different interviews and therefore different data and therefore different, although not necessarily contradictory, conclusions because different ethnographers might be researching for different audiences (Ethnography, 1998).

The experience of the researcher aside, good grounded theory has four fundamental requirements that seem excellent evaluative tools for Theory from Phenomenology. The theory should 1) "fit the phenomenon" [described by the themes that come out of the six studies]; 2) "be understandable" [understandable to teachers in general, but especially to Language Arts teachers]; 3) be "abstract enough to be [useful in] a wide variety of contexts" [useful in all grades and, I hope, in various school climates socially and economically]; and 4) "provide control, in the sense of stating the conditions under which the theory applies and describing a reasonable basis for action" [the theory should give creative writing teachers direction about what sorts of activities they could engage students in or about how they could interact with students] (Davidson, 2002; see, also, Grounded Theory, n.d.). "A reasonable basis for action" refers to practise, which seems paramount. Just as each action research cycle means "practice informs theory which in turn informs practice" (Dick, 1998, para. 4), Theory from Phenomenology means participant experience informs phenomenology which in turn informs theory which in turn informs practise, which refers to what some call theoretical applicability.

As I have said, I prefer to leave out the term applicability, with its hint of generalizability, in favour of extrapolation (Patton, 1987). It will take the teacher beyond the phenomenological interviews of my six studies, beyond the themes of the studies, and beyond the theory as defined by the experiences of six, information-rich creative writers. How? The themes as a checklist and the theory will both stand as direction for teachers. The checklist and theory will take teachers to their own students in in their own classrooms to address scholastic environments and activities. As I mentioned before, some students, given the right environment, like a marigold seed given the appropriate combinations of soil, nutrients, water, and sunshine, might germinate into creative writers. If educators want to think about what that right environment might be, the themes and theory from the studies will direct teachers with respect to appropriate practise.

The next step in my work as a researcher may be to truly test the generalizability of the theory. I might consider surveying a sample of creative writers, to find out if the theory rings true for their experiences in school. I have not yet decided whether to follow a quantitative or qualitative paradigm. I will discuss this possibility in the "Future Research" section of Study III.

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