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Critical Theory

In: The SAGE Encyclopedia of Qualitative Research Methods

By: John M. Budd

Edited by: Lisa M. Given

Book Title: The SAGE Encyclopedia of Qualitative Research Methods

Chapter Title: "Critical Theory"

Pub. Date: 2012

Access Date: October 6, 2018

Publishing Company: SAGE Publications, Inc.

City: Thousand Oaks

Print ISBN: 9781412941631

Online ISBN: 9781412963909

DOI: http://dx.doi.org/10.4135/9781412963909

Print pages: 175-179

This PDF has been generated from SAGE Research Methods. Please note that the

pagination of the online version will vary from the pagination of the print book.

http://dx.doi.org/10.4135/9781412963909

Critical theory is a foundational perspective from which analysis of social action, politics,

science, and other human endeavors can proceed. Research drawing from critical theory has

critique (assessment of the current state and the requirements to reach a desired state) at its

center. Critique entails examination of both action and motivation; that is, it includes both what

is done and why it is done. In application, it is the use of dialectic, reason, and ethics as means

to study the conditions under which people live. This entry describes the development of critical

theory and its applications to a variety of research questions.

Background

Critical theory has a considerable history; from its beginnings with the Frankfurt School to the

current time, it has undergone some changes. That said, its usefulness as a means of inquiring

into questions of social structure and action is undeniable. Critical theory retains its

fundamental postpositivist character even in its transformed state.

Origins

Approximately seven decades ago, Max Horkheimer articulated the foundations of the social-

theoretic school of thought that would be called critical theory. Horkheimer, along with Theodor

Adorno, Herbert Marcuse, and others affiliated primarily with the Institute for Social Research at

the University of Frankfurt am Main, began to revisit Karl Marx's critique of capitalism and apply

it to contemporary society.

The Frankfurt School founders drew to some extent from the idealism of George Wilhelm

Friedrich Hegel as well in their development of dialectical means of analysis. The Hegelian

source was far less important, however, than were Karl Marx and Max Weber. The difference of

their approach was to situate it in immanent (knowledge within the realm of possible

experience) terms rather than transcendent (the condition of the possibility of knowledge)

terms. The role of history was central to Horkheimer, Adorno, and Marcuse. For that reason,

historical examination was, for them, an important element of analytical method. The historical

was not merely artifactual; it was essential to understanding of the social situatedness of

contemporary social life.

Second Phase

Critical theory is usually separated into three stages. Following the work of the Frankfurt School

members, some transformation of underlying principles, and so methods, was begun. Jürgen

Habermas studied with founders of the Frankfurt School; his early work demonstrated his

intellectual and practical debts to them. His analysis of the public sphere was firmly historical in

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that he drew his analysis from the manifestation of public political and social behavior.

Habermas then began to turn to communication and language as the analytical and normative

bases for inquiring into social action. The normative aspect is important as a distinguishing

mark between his work and that of others who are linked to a movement sometimes called the

“linguistic turn.” One element of consistency between the first and second stages of critical

theory is the denial of relativism that can characterize other theoretical and methodological

approaches.

Third Phase

Some students of Habermas further transformed some of the conceptual and analytical bases

of critical theory. The third stage of work built on Habermas's critique of instrumental reason—

something that he continued, but altered, from the Frankfurt School founders. During the third

stage, the force of ideology and its influence on social action became more particularized.

Analysis became, if anything, more immanent. The situatedness of specific human actors—and

their historical development—was a methodological centerpiece. Also, the connection of

ideology and the ethical analysis was strengthened.

Critical Theory and Method

Although there are three identified stages of critical theory, all three conceptions have

methodological value. There are some conceptual and foundational differences among the

three stages, but there are questions as to which methodological specifics of each stage can

be applied. The realm of social theory generally is extremely broad; any historical, political,

economic, and technological elements can be studied in depth. Furthermore, conceptions of

ideology can be applied to analysis in numerous ways. Therefore, the changes to critical theory

do not represent supersessive variables. Because of the breadth of critical theory's brush,

many kinds of questions may be amenable to its application.

Historical Analysis

Because all of critical theory relies on a particular kind of historicism (the starting point that

people are historical agents who are participants in action as well as being subject to action),

the analysis of historical situatedness is an important methodological component. The historical

analysis of critical theory is of a specific sort. Rather than being explanations of events, it is

intended to be indicative of current states. Because much of critical theory owes a debt to Marx,

the political and economic investigation that it supports depends on examination of the

genealogy of capitalism. The historical analysis generally focuses on societal action and the

impact of large-scale policies and decisions on the behavior of individuals in society. If a

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particular Marxian starting point is adopted, for example, the analysis might examine class

differences and the distinctions of the ways in which people of different classes live. The

Marxian approach is emblematic of the first stage of critical theory, but it is a bit less

pronounced during the latter two stages. Although that emphasis is less pronounced, it still

informs analysis to some extent. The historical examination could seek evidence for the loci of

decisions that affect the study of society. A single decision could have varying effects on

different segments of society; what benefits one group may be detrimental to another group.

The kinds of differences, and their sources, are of interest to researchers.

Historical evidence comes substantially from documentation. Official documents are usually the

most authoritative sources for the decision-making activities of the state. This sort of

documentation can record policies relating to zoning, transportation, infrastructure, taxation,

education, and other areas that have direct impacts on people's lives. The locations of schools

and the paths of public transportation, for instance, are largely matters of public record and are

open to examination. Other documentation, however, might be necessary materials for

researchers to gain a purchase on deliberation and debates and on responses to the policies.

Newspapers are among the sources that a researcher could consult. In the cases of more

recent events, there might be archives of community access broadcasts that record public

meetings and community-led discussions. The entirety of the documentary record might need

to be consulted in an effort to understand the critical events and discourse that affect society.

Historical evidence is one building block of critique. That is, the critical theorist will interpret

evidence in terms of effects on those individuals and segments of society that can be least

likely to be positioned to influence policymaking. A tenet of critical theory follows from Kant's

dictum that people should always be treated as ends—never as means—that guides

interpretation. An implication of the tenet is that historical analysis is particular, not universal.

Individuals’ lives are affected by turns of events; the events themselves are brought about by

humans. The particularistic historicism requires that, so far as possible, people's interpretations

of their own states should be taken into account.

Observation

Methodologically, the understanding needed by the researcher can be achieved in part through

observation. Daily lives of, say, the working poor can be followed. The observation consists of

the living conditions of individuals, the kinds of work being done and the places where the work

is done, and spatial limitations that effectively limit movement, living space, and other kinds of

existence. The observation is informed (shaped) by critical theory. That is, the theory identifies

restricting factors as well as potentialities for emancipation. The Marxian aspect of the theory is

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especially important in shaping observation. Living conditions (including, but not limited to,

housing) are economically determined, but they may also be affected by several other social

and other components. Race, as well as economic class, may also be a factor involved with

circumstances affecting people's lived lives. The observation follows from the numerous

instruments that influence much of life. Reason, underlying observation, enables the

researcher to understand the “other.” So, the individuals who are observed are not objects of

study but rather people whose conditions are genuine.

Opportunities for observation in the critical theoretic framework exist in the normal course of

events. For example, a city may plan to rejuvenate a downtown area that has fallen into a state

of deterioration. The plan could involve housing, retail business, office space, and other

elements. Initially, the plan will likely be subject to review at several levels, including community

response. Hearings and meetings could help and could be observed as they occur. In keeping

with critical theory, the researcher could trace who speaks—where the individuals live, what

their interests are, and so on—and what they say. Speakers may indicate what their interests

are and how the plan will serve or disrupt those interests. Enactment of the plan probably

entails dislocation of some people; the disposition of the people can be followed. The economic

states of all involved in the plan can be observed as well, and the observation can be extended

over time. There are numerous other conceivable examples that necessitate observation.

Interviewing

Observation, in the application of critical theory, is not sufficient even if it is necessary.

Individuals, who are other selves, apprehend their lived lives in some particular ways. For

instance, spatial limitations might be perceived not merely as geographic boundaries but also

as social and cultural boundaries. The meaning of perceptions can be comprehended by

researchers only by inquiring of the individuals. Asking people what they believe is open to

them and what is closed is the practical application of reason by the researcher. The

interviewing process also opens the potential practice of reason on the part of the interviewees.

At this point, the act and product of critique is vital. Interviewees may be constrained in their

perceptions and their interpretations of their own perceptions by instrumental reasoning. Their

reasoning may be guided by the expression of interests other than their own. Once again, the

Marxian character of critical theory provides the interpretive impetus for the researcher.

Questioning may elicit responses indicating that interviewees do not perceive their labor as their

own, that people's perceptions are influenced by capitalist culture, and/or that senses of value

and belonging do not exist. The interviewing process must be open (as in not directed by the

interviewer) so that forthright responses are given.

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Public Participation

The second and third stages of critical theory, in particular, pay attention to people's lived lives.

The second stage is especially influenced by Habermas's work in communicative action and

discourse ethics. During this stage, a more pragmatic focus to inquiry is evident. Examination of

what people say and how they say it (especially in public) is frequently foremost. In terms of

theory, the pragmatism of communication and discourse constitute norms. There are ideal ways

in which to communicate, discourse is bound by reason, and there is an ethical imperative that

guides people's discursive interactions. According to this normative theory, there is a gauge

against which human action can be assessed. With regard to public discourse, human agents

are bound to apply practical reason and ensure that ethical responses are given to others’

speech. Such normative standards influence research practice.

Reason

One factor that pervades all three stages of critical theory is the recognition that reason is

possible and necessary for human action. The practice of critique depends both on reason as a

tool for the practice and on observation of practical reason. Reason as applied by the

researcher entails the avoidance of e n g a g i n g i n h u m a n b e h a v i o r a n d a c t i o n a s

instrumentalities. From t h e i n q u i r e r ' s s t a n d p o i n t , t h i s n e c e s s i t a t e s d e v e l o p i n g a n

understanding, informed by practices described subsequently, of difference. For example, the

lives lived by the poor are materially and qualitatively different from the lives lived by others.

The difference is likely to affect all aspects of existence. Reason is applied in defining not just

the material differences but also the qualitative and other differences. What people do is

important to critical theory, but why people do what they do—and also what they cannot do—is

also important.

Reason also is intended to supply a link between the immanent and the transcendent. That is,

throughout the entirety of critical theory, the actions of people should be guided by truth that is

provided by the exercise of reason. Application of critical theory, in light of reason, is also

intended to connect theory to the interests that people have. Critical theory, then, is not an

abstraction; it is a way of examining normative elements of human action in terms of the many

and varied material interests that lead to action. Critical theory is also a mechanism by which a

researcher can assess honesty as well as truth, for example, can evaluate what people say

they believe in and what they do. This form of evaluation permits the analysis of differences

between practical reason and instrumental reason and the outcomes of the use of the one as

opposed to the other. A researcher's inquiry into the use of reason necessitates employing

historical analysis, observations, and interviews as well as examination of some underlying

social and communicative dynamics.

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Ideology

Analysis grounded in critical theory includes examination of ideological forces and statements

that influence human action. Once again, this aspect of critical theory signals its Marxian basis;

capitalism is a major ideology that has been, and continues to be, the focus of much attention.

During the first stage, capitalism was the dominant perceived ideology. During the latter two

stages, the study of ideology was broadened to include many aspects of race, gender, class,

and other things. The purpose of including ideology in analysis is, as always, critique. The

existing conditions of people are the focus of analysis, as is the possibility for emancipation

from current conditions. Study of the communicative actions of people can unveil some of the

ideological presumptions that underlie what p e o p l e s a y a n d d o . F o r i n s t a n c e , t h e

communication and discourse may reveal processes of inclusion and exclusion. Study can

investigate who is given voice and who is not as well as the agency of the speakers (the extent

to which their voices are heard and acted on).

The researcher is challenged by the study of ideology. The sources of belief might not be

readily apparent because the ideological origin can be deeply rooted through history and

situation. Analysis of ideology requires examining the discourse that is used in a variety of

settings, perhaps especially official settings, and the definitions and applications of discursive

terms. For example, in critical theory, “Enlightenment” carries ideological import that may

shadow particular kinds of control. Other emblematic terms may also serve similar purposes. It

is important to note that critical theory embraces much more than just the economic elements

of life. All aspects of lived lives, including association, mobility, and schooling, fall under the

purview of critical theory.

Challenges for the Research

Because critical theory has been developed and reshaped over several decades, the

researcher must be aware of all the nuances and influences of the key figures. In fact, the

researcher must apply historical analysis to critical theory itself so as to form the clearest

understanding of the framework it supplies. The most pressing challenge for the researcher

rests with ideology. Any commitment to investigation of ideological underpinnings of human

action necessitates initial inquiry into any potential ideological baggage that the researcher may

carry. Ideology tends to be suffused throughout society; successful ideological forces are those

that are less than conscious in their influence over action. The researcher may be required to

engage in some self-critique—investigation into beliefs that are held and internal situatedness

—prior to conducting analysis. Only then can the effects of ideological policies, discourses, and

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the like be fully comprehended.

T h e w a r n i n g s t h a t c u s t o m a r i l y a p p l y t o o b s e r v a t i o n a l s t u d y , interviewing, and

phenomenological research in general also apply with regard to critical theory. Errors or

insufficiencies in those areas could have deleterious effects on the process and product of

critique. Because critique is the intended outcome of investigation, it is essential that the

researcher apply the theory with care and vigilance. This application of critical theory involves a

substantive difference from grounded theory, which is inductive. There is a perspective that

informs critical theory; the assumptions that reason can yield truth, that instrumental reason

can subvert practical reason, and that ideology shapes the relations between people and

between groups of people all provide epistemological and ontological starting points for inquiry.

When it comes to methodology, there is an onus on the researcher to make the assumptions

very clear. There is also an onus on readers of critical theory-based research to be aware of the

point of view that the theory adopts. These challenges do not render critical theory irrelevant or

impossible; rather, they position research rooted in critical theory within a particular political,

social, economic, and dialectical framework.

John M. Budd

http://dx.doi.org/10.4135/9781412963909.n89