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STATE: A MULTI-PARADIGMATIC APPROACH
Kavous Ardalan, Ph.D.Professor of Finance
School of ManagementMarist College
Poughkeepsie, Ne !ork "#$%"&"'()Fa*+ (-/ )&'$-%
0el+ (-/ )&'%%% 1*t.#2(21&Mail+ Kavous.Ardalan3Marist.1du
4anuar5 #%"'
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STATE: A MULTI-PARADIGMATIC APPROACH
AbstractAn5 e*planation of the state is 6ased on a orldvie. 0he premise of this paper is that an5
orldvie can 6e associated ith one of the four 6road paradigms+ functionalist, interpretive,radical humanist, and radical structuralist. 0his paper takes the case of the state and discusses itfrom the four different viepoints. 7t emphasi8es that the four vies e*pressed are e9uall5scientific and informative: the5 look at the phenomenon from their certain paradigmatic viepoint:and together the5 provide a more 6alanced understanding of the phenomenon underconsideration.
#
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STATE: A MULTI-PARADIGMATIC APPROACH
I. Introduction
An5 ade9uate anal5sis of the state necessaril5 re9uires fundamental understanding of the
orldvies underl5ing the vies e*pressed ith respect to the state. 0his paper is 6ased on the
premise that an5 orldvie can 6e associated ith one of the four 6asic paradigms+ functionalist,
interpretive, radical humanist, and radical structuralist. 7t argues that an5 vie e*pressed ith
respect to the state is 6ased on one of the four paradigms or orldvies. 0his paper takes the
case of the state and discusses it from four different viepoints, each of hich corresponds to one
of the four 6road orldvies. 0he paper emphasi8es that the four vies e*pressed are e9uall5
scientific and informative: the5 look at the phenomenon from their certain paradigmatic viepoint:
and together the5 provide a more 6alanced understanding of the phenomenon under
consideration.
0hese different perspectives should 6e regarded as polar ideal t5pes. 0he ork of certain
authors helps to define the logicall5 coherent form of a certain polar ideal t5pe. ;ut, the ork of
man5 authors ho share more than one perspective is located 6eteen the poles of the spectrum
defined 65 the polar ideal t5pes. 0he purpose of this paper is not to put people into 6o*es. 7t is
rather to recommend that a satisfactor5 perspective ma5 dra upon several of the ideal t5pes.
0he ancient para6le of si* 6lind scholars and their e*perience ith the elephant illustrates
the 6enefits of paradigm diversit5. 0here ere si* 6lind scholars ho did not kno hat the
elephant looked like and had never even heard its name. 0he5 decided to o6tain a mental picture,
i.e. knoledge, 65 touching the animal. 0he first 6lind scholar felt the elephant
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elephant
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0he functionalist paradigm has provided the frameork for current mainstream academic
fields, and accounts for the largest proportion of theor5 and research in academia.
7n order to understand a ne paradigm, theorists should 6e full5 aare of assumptions
upon hich their on paradigm is 6ased. Moreover, to understand a ne paradigm one has to
e*plore it from ithin, since the concepts in one paradigm cannot easil5 6e interpreted in terms of
those of another. No attempt should 6e made to critici8e or evaluate a paradigm from the outside.
0his is self&defeating since it is 6ased on a separate paradigm. All four paradigms can 6e easil5
critici8ed and ruined in this a5.
0hese four paradigms are of paramount importance to an5 scientist, 6ecause the process
of learning a6out a favored paradigm is also the process of learning hat that paradigm is not.
0he knoledge of paradigms makes scientists aare of the 6oundaries ithin hich the5
approach their su6=ect. 1ach of the four paradigms implies a different a5 of social theori8ing.
;efore discussing each paradigm, it is useful to look at the notion of >paradigm.? ;urrell
and Morgan "2)2/#regard the+
... four paradigms as 6eing defined 65 ver5 6asic meta&theoretical assumptions hich underrite the frame
of reference, mode of theori8ing and modus operandi of the social theorists ho operate ithin them. 7t is a
term hich is intended to emphasi8e the commonalit5 of perspective hich 6inds the ork of a group of
theorists together in such a a5 that the5 can 6e usefull5 regarded as approaching social theor5 ithin the
6ounds of the same pro6lematic.
0he paradigm does ... have an underl5ing unit5 in terms of its 6asic and often >taken for granted?
assumptions, hich separate a group of theorists in a ver5 fundamental a5 from theorists located in other
paradigms. 0he >unit5? of the paradigm thus derives from reference to alternative vies of realit5 hich lie
outside its 6oundaries and hich ma5 not necessaril5 even 6e recogni8ed as e*isting. pages #'@#-/
#0his ork 6orros heavil5 from the ideas and insights of ;urrell and Morgan "2)2/.
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1ach theor5 can 6e related to one of the four 6road orldvies. 0hese adhere to different
sets of fundamental assumptions a6out: the nature of science i.e., the su6=ective&o6=ective
dimension/, and the nature of societ5 i.e., the dimension of regulation&radical change/, as in
1*hi6it ".'
Assumptions related to the nature of science are assumptions ith respect to ontolog5,
epistemolog5, human nature, and methodolog5.
0he assumptions a6out ontolog5 are assumptions regarding the ver5 essence of the
phenomenon under investigation. 0hat is, to hat e*tent the phenomenon is o6=ective and e*ternal
to the individual or it is su6=ective and the product of individual
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)
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0he assumptions a6out methodolog5 are related to the a5 in hich one attempts to
investigate and o6tain knoledge a6out the social orld. 0hat is, to hat e*tent the methodolog5
treats the social orld as 6eing real hard and e*ternal to the individual or it is as 6eing of a much
softer, personal and more su6=ective 9ualit5. 7n the former, the focus is on the universal
relationship among elements of the phenomenon, hereas in the latter, the focus is on the
understanding of the a5 in hich the individual creates, modifies, and interprets the situation
hich is e*perienced.
0he assumptions related to the nature of societ5 are concerned ith the e*tent of
regulation of the societ5 or radical change in the societ5.
Sociolog5 of regulation provides e*planation of societ5 6ased on the assumption of its
unit5 and cohesiveness. 7t focuses on the need to understand and e*plain h5 societ5 tends to
hold together rather than fall apart.
Sociolog5 of radical change provides e*planation of societ5 6ased on the assumption of its
deep&seated structural conflict, modes of domination, and structural contradiction. 7t focuses on
the deprivation of human 6eings, 6oth material and ps5chic, and it looks toards alternatives
rather than the acceptance ofstatus quo.
0he su6=ective&o6=ective dimension and the regulation&radical change dimension together
define four paradigms, each of hich share common fundamental assumptions a6out the nature of
social science and the nature of societ5. 1ach paradigm has a fundamentall5 uni9ue perspective for
the anal5sis of social phenomena.
0he aim of this paper is not so much to create a ne piece of pu88le as it is to fit the
e*isting pieces of pu88le together in order to make sense of it. First, each of the sections 77 to /
la5s don the foundation 65 discussing one of the four paradigms. Su6se9uentl5, each e*amines
(
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glo6ali8ation and finance from the point of vie of the respective paradigm. Section 7 concludes
the paper.
II. Functionalist Paradigm
0he functionalist paradigm assumes that societ5 has a concrete e*istence and follos
certain order. 0hese assumptions lead to the e*istence of an o6=ective and value&free social science
hich can produce true e*planator5 and predictive knoledge of the realit5 >out there.? 7t
assumes scientific theories can 6e assessed o6=ectivel5 65 reference to empirical evidence.
Scientists do not see an5 roles for themselves, ithin the phenomenon hich the5 anal58e,
through the rigor and techni9ue of the scientific method. 7t attri6utes independence to the
o6server from the o6served. 0hat is, an a6ilit5 to o6serve >hat is? ithout affecting it. 7t
assumes there are universal standards of science, hich determine hat constitutes an ade9uate
e*planation of hat is o6served. 7t assumes there are e*ternal rules and regulations governing the
e*ternal orld. 0he goal of scientists is to find the orders that prevail ithin that phenomenon.
0he functionalist paradigm seeks to provide rational e*planations of social affairs and
generate regulative sociolog5. 7t assumes a continuing order, pattern, and coherence and tries to
e*plain hat is. 7t emphasi8es the importance of understanding order, e9uili6rium and sta6ilit5 in
societ5 and the a5 in hich these can 6e maintained. 7t is concerned ith the regulation and
control of social affairs. 7t 6elieves in social engineering as a 6asis for social reform.
0he rationalit5 hich underlies functionalist science is used to e*plain the rationalit5 of
societ5. Science provides the 6asis for structuring and ordering the social orld, similar to the
structure and order in the natural orld. 0he methods of natural science are used to generate
2
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e*planations of the social orld. 0he use of mechanical and 6iological analogies for modeling and
understanding the social phenomena are particularl5 favored.
Functionalists are individualists. 0hat is, the properties of the aggregate are determined 65
the properties of its units.
0heir approach to social science is rooted in the tradition of positivism. 7t assumes that the
social orld is concrete, meaning it can 6e identified, studied and measured through approaches
derived from the natural sciences.
Functionalists 6elieve that the positivist methods hich have triumphed in natural sciences
should prevail in social sciences, as ell. 7n addition, the functionalist paradigm has 6ecome
dominant in academic sociolog5 and mainstream academic fields. 0he social orld is treated as a
place of concrete realit5, characteri8ed 65 uniformities and regularities hich can 6e understood
and e*plained in terms of causes and effects. Biven these assumptions, the individual is regarded
as taking on a passive role: his or her 6ehavior is 6eing determined 65 the economic environment.
Functionalists are pragmatic in orientation and are concerned to understand societ5 so that
the knoledge thus generated can 6e used in societ5. 7t is pro6lem orientated in approach as it is
concerned to provide practical solutions to practical pro6lems.
7n 1*hi6it ", the functionalist paradigm occupies the south&east 9uadrant. Schools of
thought ithin this paradigm can 6e located on the o6=ective&su6=ective continuum. From right to
left the5 are+ 6=ectivism, Social S5stem 0heor5, 7ntegrative 0heor5, 7nteractionism, and Social
Action 0heor5.
Functionalist paradigm
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7ndividuals and groups struggle to gain autonom5 in the face of the control of others. 0he5
also e*pend efforts to gain control over others. Such activities are a fundamental tendenc5 of
political life. Struggles for autonom5 are the results of conflicts and cleavages. 0hese struggles are
often successful and in turn the5 result in tendencies toard pluralism. ;ecause conflicts and
cleavages are u6i9uitous the5 result in tendencies toard pluralism.
A regime that has hegemon5 can prevent the development of a pluralistic social and
political order 65 preventing the pu6lic manifestation of conflicts and cleavages that result in the
suppression of autonom5. oever, to the e*tent that the 6arriers to organi8ed oppositions are
loered, the political and social life reflects the corresponding degree of thrust toard autonom5
and pluralism. 7n pol5archies @ here these 6arriers are loest, 65 definition @ su6s5stems en=o5
comparative autonom5 and su6se9uentl5 organi8ational pluralism 6ecome distinguishing feature of
the social and political order. A high degree of pluralism is a necessar5 condition, an essential
characteristic, and a conse9uence of a democratic regime.
7t is useful to distinguish 6eteen the meanings of different terminologies hich are used
in this conte*t. 0he term >conflictive pluralism? is used to refer to the num6er and pattern of
relativel5 lasting cleavages hich must 6e considered in order to characteri8e conflicts among a
given group of persons. Conflictive pluralism should 6e distinguished from strict 6ipolarit5, hich
is a relativel5 rare cleavage pattern compared to the pu6lic, political conflicts ithin those
countries of the orld that have relativel5 lo 6arriers to the pu6lic e*pression of conflict. 0he
term >organi8ational pluralism? is used to refer to the num6er and autonom5 of organi8ations that
must 6e considered in order to characteri8e conflicts among a given group of persons. Ghen
organi8ations are greater in num6er and have greater autonom5, other things 6eing e9ual,
organi8ational pluralism is greater. S5stems that allo their important units or su6s5stems to en=o5
""
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a significant degree of autonom5 are called pluralistic, or at least pluralistic in this respect.
Causes of Organizational Pluralism: 0he degree of organi8ational pluralism that e*ists
ithin the political s5stem of a countr5 can 6e mainl5 e*plained 65+ "/ the amount of latent
conflictive pluralism: #/ the nature of the socioeconomic order: '/ the nature of the political
regime: -/ the concrete structure of the political institutions. 0hese four factors are
interdependent and their relationships are comple*.
Conflictive pluralism+ 7n most countries there are different lines of cleavage, and the
totalit5 of these cleavage lines has produced a pattern of conflictive pluralism, not 6ipolarit5.
;ipolarit5 along a cleavage line 6ased on social class can e*ist onl5 in highl5 homogeneous
countries @ e.g., Ne Healand or Finland @ here other differences @ such as language, religion,
race, or ethnicit5 @ are not sufficientl5 present to confound the effects of differences in social
class. Countries that are highl5 homogeneous are a6le to fairl5 easil5 deal ith conflicts arising
from class cleavages. 0herefore, in such countries, the pattern that emerges is not e*treme
polari8ation and its conse9uent acute antagonisms, 6ut a moderate 6ipolarit5 ithin a fairl5
consensual political environment.
A deeper and more e*tensive e*planation is needed to satisfactoril5 account for the
poerful thrust toard conflictive pluralism hich is currentl5 e*hi6ited in almost all countries in
the orld, and certainl5 in countries in the later stages of economic development. Such an
e*planation ould 6e founded on the idea that the creation of strong identifications and
attachments e*tends much outside the narro 6ase of concrete human e*periences in small,
specific, and idios5ncratic cluster of human 6eings ith hom ever5one is most intimatel5
associated during the important occasions of their lives.
0he amount of latent conflict aaiting e*pression after the 6arriers to oppositions are
"#
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loered is not the same in ever5 countr5. 0he evidence from studies of specific countries and from
cross&countr5 data shos that there e*ist significant variations in the amount of conflictive
pluralism among countries ith similar regimes, particularl5 among pol5archies, and ithin the
same countr5 over long periods of time.
0he socio&economic order+ 7t is reasona6le to ask the folloing 9uestion. Gould a high
degree of organi8ational pluralism vanish in an economic order here the principal means of
production ere sociall5, rather than privatel5, oned @ i.e., in a socialist economic orderI A
idel5&held vie ansers such 9uestions affirmativel5. oever, such a vie is unam6iguousl5
false. 0his is 6ecause it rests upon a theoretical confusion that regards onership e9uivalent to
control. ;oth the advocates of capitalism and their socialist critics share such a vie.
0his vie, hich makes an egregious error, is 6ased on simple&minded concepts, and
arrives at tragic results. 0his is 6ecause the evidence has conclusivel5 demonstrated that
onership is not a sufficient condition for control. 0his perspective implies that capitalism in 6oth
theor5 and practice inaugurated a s5stem of decentrali8ed control over economic organi8ations
that ere highl5 autonomous from the central government and one another. Socialism entails
social onership of economic enterprises. Jnless socialism must 6e centrali8ed, then a socialist
econom5 can 6e highl5 decentrali8ed and therefore 6e pluralistic. 0hat is, a socialist government
might grant a high degree of autonom5 to enterprises in order to achieve internal controls far
more democratic than have ever e*isted either under capitalism or in centrali8ed socialist s5stems,
such as the Soviet Jnion. No socialist government @ and no government, in general @ ould
eliminate all e*ternal controls, hether 65 markets, the government of the state, or 6oth.
0herefore, a decentrali8ed socialist order might generate as much, and even more, organi8ational
pluralism as has e*isted in an5 non&socialist order. 0he crucial alternatives, for 6oth the political
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and the economic order, are related to control, not onership.
egime+ A highl5 hegemonic regime can prevent the manifestation of cleavages in the
political life of a countr5 in hich there is a remarka6le degree of diversit5 among its people ith
respect to various characteristics+ language, religion, ideolog5, region, ethnic group, national
identification, race, etc. Such a regime can consist of a small set of unified rulers, and can mo6ili8e
all political resources for its on use. 7t can maintain a strict hierarchical 6ureaucrac5, and it can
den5 its citi8ens access to an5 political resources. Jnder a highl5 hegemonic regime, no pu6lic
conflict ould 6e o6served, and the underl5ing tendenc5 toards conflictive pluralism ould
remain latent.
7f the 6arriers to oppositions are graduall5 reduced, then autonomous organi8ations ould
6e formed, some of hich ould seek to advance the claims of the politicall5 latent groups and
su6cultures. 0he more the 6arriers to the formation of organi8ation and participation are reduced,
the greater ould 6e the num6er of autonomous organi8ation. ver time, a limit ould 6e
reached, and a more sta6le pattern ould emerge.
0he nature of the regime is closel5 related to the e*tent of organi8ational pluralism.
7ndeed, in the modern orld, one of the most characteristic differences among regimes is the
e*tent to hich the oppositions are permitted to organi8e, e*press themselves, and participate in
political life against the conduct of the government of the state. 7t is in this relation that the term
>pol5arch5? is used to refer to a regime in hich the right to participate in political life is 6roadl5
e*tended, and the institutional guarantees to oppositions are strong, and the 6arriers to
oppositions are lo. And the term >hegemonic? is used to refer to a regime in hich the
institutional guarantees are eak or a6sent, and the 6arriers to oppositions are high.
rgani8ational pluralism acts as 6oth cause and effect of the li6erali8ation and democrati8ation of
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hegemonic regimes.
7n particular, pol5arch5 is characteri8ed 65 high level of institutional guarantees and 6road
inclusiveness hich are associated ith organi8ational pluralism. 0he important conditions for the
groth of organi8ations, particularl5 political organi8ations, are+ the guarantees of the right to
form and =oin organi8ations: freedom of e*pression: the right to vote: the right of political leaders
to compete pu6licl5 for support, especiall5 in elections: and the e*istence of alternative sources of
information. 0hese conditions not onl5 increase the incentives for forming political organi8ations,
6ut also reduce the costs of doing so. 7f a countr5 has a regime that is pol5archal then it ill
e*hi6it more conflictive and organi8ational pluralism than if its regime is hegemonic.
Concrete political institutions+ Although the concrete political institutions of a countr5 are
partl5 determined 65 the nature of the regime and the e*tent of conflictive pluralism, the5 can
independentl5 affect the num6er and autonom5 of organi8ations in the countr5. 0hese effects are
most pronounced in pol5archies, among hich there are vast variations in their political
institutions. 0hree most significant variations are as follos. First, multipart5 s5stems increase the
num6er and the autonom5 of political parties. Second, in some pol5archies, such as Sit8erland
and the Jnited States, constitutional norms and political practices e*tensivel5 partition
governmental authorit5 through 6oth federalism and separation of poers. 0hese lead to an
increase in the num6er and autonom5 of political organi8ations. 7n some other pol5archies, such as
Ne Healand and ;ritain, there is a unitar5 governance s5stem, and the parliamentar5
government. 0hese lead to a considera6l5 greater concentration of governmental authorit5 and
correspondingl5 less organi8ational pluralism among political organi8ations. Finall5, the num6er
and the autonom5 of organi8ations can increase 65 institutions such as >consociational
democrac5,? as practiced in the Netherlands, and >corporate pluralism? or >democratic
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corporatism,? as practiced in Nora5 and Seden. ;ecause each of these three sources of
variation can idel5 var5 independentl5 of the others, and 6ecause the concrete institutions of a
particular countr5 also change due to other sources of variation @ even among countries ith
similar regimes, such as pol5archies @ differences in concrete political institutions result in vast
variations in the specific form of organi8ational pluralism that take shape in different countries.
III. Interpretive Paradigm
0he interpretive paradigm assumes that social realit5 is the result of the su6=ective
interpretations of individuals. 7t sees the social orld as a process hich is created 65 individuals.
Social realit5, insofar as it e*ists outside the consciousness of an5 individual, is regarded as 6eing
a netork of assumptions and intersu6=ectivel5 shared meanings. 0his assumption leads to the
6elief that there are shared multiple realities hich are sustained and changed. esearchers
recogni8e their role ithin the phenomenon under investigation. 0heir frame of reference is one of
participant, as opposed to o6server. 0he goal of the interpretive researchers is to find the orders
that prevail ithin the phenomenon under consideration: hoever, the5 are not o6=ective.
0he interpretive paradigm is concerned ith understanding the orld as it is, at the level
of su6=ective e*perience. 7t seeks e*planations ithin the realm of individual consciousness and
su6=ectivit5. 7ts anal5sis of the social orld produces sociolog5 of regulation. 7ts vies are
underritten 65 the assumptions that the social orld is cohesive, ordered, and integrated.
7nterpretive sociologists seek to understand the source of social realit5. 0he5 often delve
into the depth of human consciousness and su6=ectivit5 in their 9uest for the meanings in social
life. 0he5 re=ect the use of mathematics and 6iological analogies in learning a6out the societ5 and
"$
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their approach places emphasis on understanding the social orld from the vantage point of the
individuals ho are actuall5 engaged in social activities.
0he interpretive paradigm vies the functionalist position as unsatisfactor5 for to
reasons. First, human values affect the process of scientific en9uir5. 0hat is, scientific method is
not value&free, since the frame of reference of the scientific o6server determines the a5 in hich
scientific knoledge is o6tained. Second, in cultural sciences the su6=ect matter is spiritual in
nature. 0hat is, human 6eings cannot 6e studied 65 the methods of the natural sciences, hich aim
to esta6lish general las. 7n the cultural sphere human 6eings are perceived as free. An
understanding of their lives and actions can 6e o6tained 65 the intuition of the total holes, hich
is 6ound to 6reak don 65 atomistic anal5sis of functionalist paradigm.
Cultural phenomena are seen as the e*ternal manifestations of inner e*perience. 0he
cultural sciences, therefore, need to appl5 anal5tical methods 6ased on >understanding:? through
hich the scientist can seek to understand human 6eings, their minds, and their feelings, and the
a5 these are e*pressed in their outard actions. 0he notion of >understanding? is a defining
characteristic of all theories located ithin this paradigm.
0he interpretive paradigm 6elieves that science is 6ased on >taken for granted?
assumptions: and, like an5 other social practice, must 6e understood ithin a specific conte*t.
0herefore, it cannot generate o6=ective and value&free knoledge. Scientific knoledge is sociall5
constructed and sociall5 sustained: its significance and meaning can onl5 6e understood ithin its
immediate social conte*t.
0he interpretive paradigm regards mainstream academic theorists as 6elonging to a small
and self&sustaining communit5, hich 6elieves that social realit5 e*ists in a concrete orld. 0he5
")
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theori8e a6out concepts hich have little significance to people outside the communit5, hich
practices social theor5, and the limited communit5 hich social theorists ma5 attempt to serve.
Mainstream academic theorists tend to treat their su6=ect of stud5 as a hard, concrete and
tangi6le empirical phenomenon hich e*ists >out there? in the >real orld.? 7nterpretive
researchers are opposed to such structural a6solution. 0he5 emphasi8e that the social orld is no
more than the su6=ective construction of individual human 6eings ho create and sustain a social
orld of intersu6=ectivel5 shared meaning, hich is in a continuous process of reaffirmation or
change. 0herefore, there are no universall5 valid rules of science. 7nterpretive research ena6les
scientists to e*amine human 6ehavior together ith ethical, cultural, political, and social issues.
7n 1*hi6it ", the interpretive paradigm occupies the south&est 9uadrant. Schools of
thought ithin this paradigm can 6e located on the o6=ective&su6=ective continuum. From left to
right the5 are+ Solipsism, Phenomenolog5, Phenomenological Sociolog5, and ermeneutics.
7nterpretive paradigm6ringing the state 6ack in? is related to the arguments a6out the autonom5
and the capacities of states as actors tr5ing to reali8e polic5 goals. 0he >state autonom5?
conceives the state as an organi8ation that claims control over territories and people: and
formulates goals and pursues them even though the5 do not reflect the demands or interests of
social groups, classes, or societ5. Such independent formulation of goals makes the state an
important actor. 0he >state capacities? refers to the a6ilit5 of the state to implement official goals,
especiall5 in the face of the opposition of poerful social groups, or in the face of adverse socio&
economic circumstances.
States follo different reasons and methods in formulating and pursuing their on goals.
For this literature see Beert8 "2("/, art8 "2/, Kat8enstein "2))/, Krasner "2(-/, Poggi "2)(/, Skocpol"2)2/, Stepan "2)(/, 0ill5 "2)/, and Geiss "22(/. 0his section is 6ased on Skocpol "2(/.
"(
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0he position of states ithin transnational structures and international flos of communication
can lead state officials to follo transformative strategies even hen eight5 social forces are
indifferent or resistant to such strategies. Similarl5, the need of states to maintain control and
order can prompt states to initiate reforms and even simple repression. Among state officials,
those are more likel5 to act that have formed organi8ationall5 coherent collectivities @ especiall5
collectivities of career officials ho are relativel5 free from ties to dominant socio&economic
interests @ and can formulate and pursue ne state strategies in times of crisis. Similarl5,
collectivities of state officials can interpret esta6lished pu6lic policies in specific a5s and act
relativel5 continuousl5 over long periods of time.
0he folloing factors can e*plain the states< autonomous actions+ the international role of
states, the challenging role of states in maintaining domestic order, and the organi8ational
resources at the disposal of the collectivities of state officials. 0he com6ination of these factors
can e*plain e*treme instances of autonomous state actions+ in some historical circumstances,
strategic elites use militar5 force to take over the national state, and then appl5 6ureaucratic levers
to enforce reformist or revolutionar5 changes from a6ove.
State elites in Eatin America installed >e*clusionar5? or >inclusionar5? corporatist regimes.
A crucial factor in the e*planation of such actions is the formation of a strategicall5&located cadre
of officials ho ere privileged ith the folloing to 9ualities+ "/ great organi8ational strength
inside and through prevailing state organi8ations: and #/ a unified ideolog5 a6out the desira6ilit5
and possi6ilit5 of using state intervention to ensure political order and national economic
development. 0he main factor 6ehind ;ra8ile*clusionar5? corporatist coup in "2$- and Peruinclusionar5? corporatist coup in "2$( as the prior sociali8ation of ne militar5 professionals.
0hese ere the cohort of career militar5 officers hose training schools taught them techni9ues
"2
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and ideas of national economic planning and counter&insurgenc5, in addition to traditional militar5
skills. Su6se9uentl5, this cohort of militar5 professionals installed corporatist regimes in the face
of perceived crises of 6oth political order and national economic development. 0hese militar5
professionals used the state poer to counter threats to national order coming from non&dominant
classes and groups. 0he5 also used the state poer to implement socio&economic reforms and
national industriali8ation, hich the5 sa as necessar5 for improved international standing.
A set of historical cases @ 4apan
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Prussia in "(%$&"("-, ussia in the "($%s, and ;ra8il after "2$-. oever, su6stantive structural
changes, including the dispossession of a dominant class, ma5 6e undertaken 65 the staterevolution from a6ove.? 0his supports the notion of the relative autonom5 of the state,
hich can 6e used in the anal5sis of the possi6le socio&political conse9uences of various societal
and historical configurations of state and class poer.
0he foregoing cases deal in somehat similar terms ith e*traordinar5 instances of state
autonom5 @ instances of non&constitutionall5&ruling officials using the state to direct politics and
restructure societ5. Some other cases deal ith instances of state autonom5 hen making pu6lic
polic5 in li6eral democratic and constitutional polities, such as ;ritain, Seden, and the Jnited
States. 0he anal5ses of these cases points to the same 6asic anal5tical factors @ the stateshegemon5? in civil societ5 is at the core of the
functioning of the capitalist s5stem. ;ourgeois >hegemon5? refers to the ideological predominance
of 6ourgeois values and norms over the su6ordinate classes. More specificall5, 6ourgeois
>hegemon5? is the 6ourgeois order, and has the 6ourgeois a5 of life and thought dominant in its
core. ;ourgeois >hegemon5? diffuses one concept of realit5 throughout societ5, in all its
institutional and private manifestations: and 6ourgeois spirit informs all taste, moralit5, customs,
religious and political principles, and social relations, particularl5 in their intellectual and moral
connotations.
7n the science of politics, the concept of 6ourgeois hegemon5 should 6e elevated to a
predominant place hen anal58ing the civil societ5. 0his places much emphasis on the role of the
superstructure in perpetuating classes and preventing the development of orking class
consciousness. 0he state undertakes part of the function of promoting a single 6ourgeois/
concept of realit5, and, therefore, the state pla5s an e*tensive role in perpetuating the e*isting
class÷d societ5. 0he mass of orkers, in developing their class consciousness, face three
o6stacles+ "/ the lack of understanding of their position in the economic process prevents
orkers from comprehending their class role: #/ the >private? institutions of societ5, such as
religion, prevents the orking class from self&reali8ation: and '/ the state
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0he concept of >civil societ5? 6elongs to the superstructure. 0he superstructure can 6e
regarded as having to >levels.? ne of them can 6e called >civil societ5,? hich is, the ensem6le
of organisms commonl5 referred to as >private.? 0he other one can 6e called >political societ5? or
>the state.? 0hese to levels are involved in+ "/ the function of >hegemon5? that is e*ercised 65
the dominant group throughout societ5: and #/ the function of >direct domination? or command
that is e*ercised through the state and =uridical government.
0he concept of >civil societ5? is the ke5 in understanding capitalist development. 0he
superstructure, includes civil societ5, and represents the active and positive factor in historical
development. 7t is the totalit5 of ideological and cultural relations, the spiritual and intellectual
life, and the political e*pression of those relations. 0he superstructure is the focus of anal5sis, not
the structure.
0he crucial concept of hegemon5 derives its importance from the historical e*perience of
7tal5 in the "2#%s. 7n 0urin, the orking class had a significant degree of class consciousness and
revolutionar5 activit5, 6ut the 0urin movement of "2"2&"2#% had relativel5 little support in the
rest of 7tal5. 7t as the 6ourgeois reaction, i.e., Mussolini
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0he concept of hegemon5 uncovers the nature of 6ourgeois rule @ and indeed of an5
previous social order. 7t emphasi8es that the dominant social s5stemconception of the orld? hich 6elongs to the
rulers. 0he philosoph5 of the ruling class is simplified and emerges as >common sense.? 0his is the
philosoph5 of the masses, ho accept the moralit5, the customs, and the institutionali8ed 6ehavior
of the societ5 the5 live in. 0hen, the pro6lem for the orking class parties is to find out ho the
ruling class has proceeded to o6tain the consent of the su6ordinate classes: and then, to find a5s
in hich the orking class should proceed to overthro the old social order and replace it ith a
ne one, hich 6rings universal freedom.
0o relationships should 6e emphasi8ed+ "/ the primac5 of the ideological
superstructures over the economic structure: and #/ the primac5 of civil societ5 consensus/ over
political societ5 force/. 0he superstructure @ rather than economic structure @ represents the
active and positive factor in historical development. 0he orking class parties should focus on
ideological and cultural relations, spiritual and intellectual life, and the political e*pression of
those relations.
0he su6ordinate classes< consent to the capitalist production cannot 6e e*plained 65 either
the force of the state, or the logic of capitalist production. 7nstead, this consent can 6e e*plained
65 the poer of consciousness and ideolog5. 7t is important to note that, in the ver5 consciousness
that consents to the relations of capitalist societ5 there e*ist the foundations of a strateg5 for
gaining the active consent of the masses through their self&organi8ation through the civil societ5
and all the hegemonic apparatuses @ i.e., factor5, school, and famil5.
#(
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0he concept of hegemon5 has to principal components. 0he first component consists of
a process in civil societ5 here65 a fraction of the dominant class uses its moral and intellectual
leadership to e*ercise control over other allied fractions of the dominant class. 0he leading
fraction uses its poer and a6ilit5 to articulate the interest of the allied fractions. 0he dominant
fraction does not impose its ideolog5 upon the allied fractions. 7nstead, it uses a pedagogic and
politicall5 transformative process here65 the dominant fraction articulates a set of principles
6ased on common elements of the orldvies and interests of allied fractions. egemon5 is not a
cohesive force and is rife ith contradictions and su6=ect to struggle.
0he second component consists of the relationship 6eteen the dominant and dominated
classes. egemon5 is o6tained hen the dominant class succeeds in using its political, moral, and
intellectual leadership to esta6lish its vie of the orld as all&inclusive and universal, hich also
shapes the interests and needs of su6ordinate groups. 0his consent relationship is not static. 7t
moves on a constantl5&shifting terrain in order to cope ith the changing nature of historical
circumstances: and the demands and refle*ive actions of human 6eings.
egemon5 in societ5 can 6e regarded as the comple* of institutions, ideologies, practices,
and agents @ e.g. intellectuals @ that comprise the dominant culture of values. 0his >apparatus? of
hegemon5 6ecomes unified onl5 in relation to a class. egemon5 unifies itself as an apparatus and
6ecomes constituted 65 the class that mediates multiple su6s5stems+ the school apparatus @loer
and higher education @ the cultural apparatus @ the museums and the li6raries @ the organi8ation
of information, the frameork of life, ur6anism, and the remnants of the previous mode of
production @ i.e., the church and its intellectuals. 0he apparatus of hegemon5 is directl5 related to
the class struggle. 0he institutions that form the hegemonic apparatus have meaning onl5 in the
conte*t of the class struggle 6ecause the dominant class e*pands its poer and control in the civil
#2
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societ5 through these same institutions. 0he institutions are not for >purel5? administrative and
technological purposes, 6ut the5 are infused ith political content, like the production s5stem.
Political content is incorporated 65 the dominant classes in order to e*pand their capacit5 to
reproduce their control over the direction of societal development. 7t is in the superstructure that
the e*tent and nature of this capacit5 take shape.
0he state as superstructure pla5s a primar5 role in understanding capitalist societ5. 0he
apparatus of hegemon5 is incorporated 6oth in the state and civil societ5. 0herefore, the state is
simultaneousl5 a primar5 instrument for the e*pansion of dominant&class poer, and a coercive
force @ political societ5 @ that makes su6ordinate groups eak and disorgani8ed. 0he general
notion of state corresponds to hegemon5 protected 65 coercion.
0he dominant class e*ercises hegemon5 through societ5: furthermore, the dominant class
e*ercises direct domination through the state and its =uridical government. 0he dominant class
gains consent to its rule through hegemon5 in the entire societ5: and e*ercises domination through
the use of the state
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on developing counter&hegemon5 in 6oth the civil societ5 and the state. 7n the creation and
development of counter&hegemon5, the hegemonic state apparatuses are confronted, or forced
into crisis. Similarl5, electoral victories 65 the Eeft generate 6oth counter&hegemon5 in 6oth the
state apparatuses and the civil societ5.
V. Radical tructuralist Paradigm
0he radical structuralist paradigm assumes that realit5 is o6=ective and concrete, as it is
rooted in the materialist vie of natural and social orld. 0he social orld, similar to the natural
orld, has an independent e*istence, that is, it e*ists outside the minds of human 6eings.
Sociologists aim at discovering and understanding the patterns and regularities hich characteri8e
the social orld. Scientists do not see an5 roles for themselves in the phenomenon under
investigation. 0he5 use scientific methods to find the order that prevails in the phenomenon. 0his
paradigm vies societ5 as a potentiall5 dominating force. Sociologists orking ithin this
paradigm have an o6=ectivist standpoint and are committed to radical change, emancipation, and
potentialit5. 7n their anal5sis the5 emphasi8e structural conflict, modes of domination,
contradiction, and deprivation. 0he5 anal58e the 6asic interrelationships ithin the total social
formation and emphasi8e the fact that radical change is inherent in the structure of societ5 and the
radical change takes place through political and economic crises. 0his radical change necessaril5
disrupts thestatus quoand replaces it 65 a radicall5 different social formation. 7t is through this
radical change that the emancipation of human 6eings from the social structure is materiali8ed.
For radical structuralists, an understanding of classes in societ5 is essential for
understanding the nature of knoledge. 0he5 argue that all knoledge is class specific. 0hat is, it
is determined 65 the place one occupies in the productive process. Knoledge is more than a
'"
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reflection of the material orld in thought. 7t is determined 65 onecorrect? knoledge from a class standpoint. 0he5 argue that the
dominated class is uni9uel5 positioned to o6tain an o6=ectivel5 >correct? knoledge of social
realit5 and its contradictions. 7t is the class ith the most direct and idest access to the process
of material transformation that ultimatel5 produces and reproduces that realit5.
adical structuralists< anal5sis indicates that the social scientist, as a producer of class&
6ased knoledge, is a part of the class struggle.
adical structuralists 6elieve truth is the hole, and emphasi8e the need to understand the
social order as a totalit5 rather than as a collection of small truths a6out various parts and aspects
of societ5. 0he financial empiricists are seen as rel5ing almost e*clusivel5 upon a num6er of
seemingl5 disparate, data&packed, pro6lem¢ered studies. Such studies, therefore, are irrelevant
e*ercises in mathematical methods.
0his paradigm is 6ased on four central notions. First, there is the notion of totalit5. All
theories address the total social formation. 0his notion emphasi8es that the parts reflect the
totalit5, not the totalit5 the parts.
Second, there is the notion of structure. 0he focus is upon the configurations of social
relationships, called structures, hich are treated as persistent and enduring concrete facilities.
'#
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0he third notion is that of contradiction. Structures, or social formations, contain
contradictor5 and antagonistic relationships ithin them hich act as seeds of their on deca5.
0he fourth notion is that of crisis. Contradictions ithin a given totalit5 reach a point at
hich the5 can no longer 6e contained. 0he resulting political, economic crises indicate the point
of transformation from one totalit5 to another, in hich one set of structures is replaced 65
another of a fundamentall5 different kind.
7n 1*hi6it ", the radical structuralist paradigm occupies the north&east 9uadrant. Schools
of thought ithin this paradigm can 6e located on the o6=ective&su6=ective continuum. From right
to left the5 are+ ussian Social 0heor5, Conflict 0heor5, and Contemporar5 Mediterranean
Mar*ism.
adical structuralist paradigmorder.? 0his poer, hich seemingl5 stands a6ove societ5, arose out
) For this literature see Aronoit8 and ;ratsis #%%#/, Bold, Eo, and Gright "2)/, irsch "2)(/, olloa5 andPicciotto "2)(/, 4essop "2(#, "22%/, Mili6and "2$, "2$2/, and Poulant8as "2)#/. 0his section is 6ased onEenin "2")/.
''
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of societ5, 6ut placed itself a6ove societ5, and increasingl5 alienated itself from societ5, is the
state.
0he state has a historical role and has a meaning. 0he state is 6oth a product and a
manifestation of the irreconcila6ilit5 of class antagonisms. 0he state arises 6ecause class
antagonism cannot 6e o6=ectivel5 reconciled. And, conversel5, the e*istence of the state illustrates
the e*istence of class antagonisms that are irreconcila6le.
0he 6ourgeois and particularl5 the pett5&6ourgeois ideologists are compelled 65
indisputa6le historical facts to accept that the state onl5 e*ists here class antagonisms and class
struggle e*ist. oever, the5 mistakenl5 6elieve that the state is an organ for the reconciliation of
classes. 0he5 do not recogni8e that the state could neither have arisen nor have maintained itself if
it ere possi6le to reconcile classes. 0he state does not reconcile classes. 7ndeed, the state is an
organ of class rule, and it is an organ for the oppression of one class 65 another. 0he state creates
and maintains >order,? hich legali8es and perpetuates this oppression 65 moderating class
conflicts. oever, the pett5&6ourgeois politicians mistakenl5 6elieve that >order? means the
reconciliation of classes and not the oppression of one class 65 another. 0he5 mistakenl5 6elieve
that alleviating the class conflict means reconciling classes and not depriving the oppressed classes
of their means and methods of struggle for overthroing the oppressors. 0he5 mistakenl5 6elieve
that the state >reconciles? classes, rather than 6elieving that the state is an organ of the rule of a
specific class hich cannot 6e reconciled ith the class opposite to it.
Since the state is an organ of class rule, since class antagonisms are irreconcila6le, since
the state is the product of the irreconcila6ilit5 of class antagonisms, and since the state is a poer
standing a6ove societ5 and increasingl5 alienating itself from it, then it clearl5 follos that the
'-
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li6eration of the oppressed class re9uires not onl5 a violent revolution, 6ut also the destruction of
the apparatus of state poer hich has 6een created and maintained 65 the ruling class.
7n contrast to the old gentile tri6al or clan/ order, the state territoriall5 divides its
su6=ects. 0his seemingl5 >natural? division emerged through a prolonged struggle against the old
generational organi8ation of tri6es. Furthermore, the state esta6lishes a pu6lic poer that no
longer directl5 coincides ith the population that used to organi8e itself as an armed force. 0his
pu6lic poer 6ecame necessar5 6ecause after the division of societ5 into classes the self&acting
armed&organi8ation of the population 6ecame impossi6le. 0his pu6lic poer, hich e*ists in ever5
state, consists not onl5 of armed men, 6ut also of material ad=uncts, prisons, and various
institutions of coercion, hich ere not even knon in an5 gentile clan/ societ5.
0his >poer,? hich is called the state, arises from societ5, 6ut places itself a6ove societ5,
and increasingl5 alienates itself from societ5. 0his poer has at its command special 6odies of
armed men having prisons, etc. 1mphasis should 6e placed on >special 6odies of armed men?
6ecause the pu6lic poer hich is a characteristic of ever5 state >does not directl5 coincide? ith
the armed population, i.e., ith its >self&acting armed organi8ation.? 0he arm5 and the police are
the ma=or instruments of state poer. From the viepoint of the 6ourgeois and pett5&6ourgeois
ideologists, ho have not e*perienced a revolution, the state cannot 6e otherise. 0he5 cannot
envision hat is a >self&acting armed organi8ation of the population.? 0he5 mistakenl5 6elieve that
the reason it 6ecame necessar5 to place special 6odies of armed men @ i.e., standing arm5 and
police @ a6ove societ5, and alienate themselves from societ5, is that social life gre more comple*
that led to the division of la6or. 0his seemingl5 >scientific? reasoning o6scures the important and
6asic fact that societ5 has 6een split into irreconcila6le antagonistic classes.
'
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7f societ5 ere not split into irreconcila6le antagonistic classes, it ould 6e possi6le for
societ5 to have the >self&acting armed organi8ation of the population,? hich ould 6e different
from the primitive organi8ation of a stick&ielding herd of monke5s, or of primitive men, or of
men united in clans, due to its comple*it5, its high technical level, and so on. Since societ5 has
6een split into irreconcila6le antagonistic classes, its >self&acting? arming ould result in an armed
struggle 6eteen them. 7n a class÷d societ5, the need for a state arises, and a special poer
is created, hich has special 6odies of armed men. 7n ever5 great revolution, the state apparatus is
destro5ed. 1ver5 great revolution is 6ased on class struggle. 1ver5 great revolution clearl5 shos,
on the one hand, ho the ruling class strives to maintain its on special 6odies of armed men: and
on the other hand, ho the oppressed class strives to create a ne organi8ation of armed men in
order to serve the e*ploited instead of the e*ploiters. 1ver5 great revolution shos the tension
6eteen >special? 6odies of armed men and the >self&acting armed organi8ation of the
population.?
0he state is an instrument used 65 the ruling class for the e*ploitation of the oppressed
class. 0he special pu6lic poer that stands a6ove societ5 re9uires ta*es and state loans for its on
maintenance. 0he state officials, ho have pu6ic poer and the right to lev5 ta*es, as organs of
societ5, stand a6ove societ5. 0he state officials are not satisfied ith the free, voluntar5 respect
that as given to the organs of the gentile clan/ constitution, even if the5 could gain it. Special
las are enacted that declare the sanctit5 and immunit5 of the officials. 0he police officer at the
loest rank has more authorit5 than the representative of the clan. oever, even the highest
militar5 officer ould env5 the elder of a clan ho as accorded the unrestrained respect of the
communit5.
'$
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As organs of state poer, the officials en=o5 a privileged position and place themselves
a6ove societ5. 0his is the case 6ecause the state emerged 6ased on the need to control class
antagonisms. More importantl5, the state emerged at the time of the conflict of these antagonistic
classes. As a result, the state is the state of the most poerful and economicall5 dominant class.
0he economicall5 dominant class through the use of the instrument of the state 6ecomes also the
politicall5 dominant class that holds don and e*ploits the oppressed class. 0he ancient and feudal
states ere organs used 65 the corresponding ruling class for the e*ploitation of the slaves and
serfs. Similarl5, the modern representative state is used as an instrument 65 capital for the
e*ploitation of age&la6or. ;5 a5 of e*ception, there are short periods in hich the arring
classes 6alance each otherdeveloped? these
methods of supporting and maintaining the poer of ealth in democratic repu6lics of all kinds.
0he poer of >ealth? is more guaranteed in a democratic repu6lic 6ecause it does not
depend on an5 flas either in the political machiner5 or in the political shell of capitalism. A
democratic repu6lic is the 6est possi6le fit as the political shell of capitalism. After capital gained
possession of this 6est political shell through the corruption of the officials and the alliance of the
government and the Stock 1*change/, it esta6lished its poer so securel5 and so firml5 such that
no change of persons, institutions, or parties in the 6ourgeois&democratic repu6lic could change it.
')
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Jniversal suffrage is an instrument of 6ourgeois rule. Jniversal suffrage is used to gauge the
maturit5 of the orking class. 0his is the role of universal suffrage in the 6ourgeois&democratic
repu6lic. ;ut, the pett5&6ourgeois democrats e*pect more from universal suffrage. 0he5
mistakenl5 6elieve in, and spread their mistaken 6elieves among the people, the notion that
universal suffrage in the 6ourgeois&democratic repu6lic is genuinel5 capa6le of revealing and
reali8ing hat the ma=orit5 of the orking people ants.
0he state ill >ither aa5.? 0he state ill not e*ist for ever. 0here have 6een societies
that did not have the state, and that did not have an5 idea a6out the state and the state poer. At a
certain stage of economic development, societ5 as necessaril5 split into classes, and as a result
of this split the creation of the state 6ecame a necessit5. Currentl5, societ5 is rapidl5 approaching a
stage in the development of production at hich the e*istence of class÷d societ5 not onl5
ill cease to 6e a necessit5, 6ut also ill hinder production. Ghen the proletariat sei8es the state
poer, it makes the means of production part of state propert5. Accordingl5, it a6olishes itself as
the proletariat, it a6olishes all class distinctions, it a6olishes class antagonisms, and it a6olishes the
6ourgeois state. After the proletariat sei8es the state poer, the state 6ecomes the real
representative of the hole of societ5, and at the same time the state renders itself unnecessar5.
0his is 6ecause+ "/ there is no longer an5 social class to 6e held in su6=ection, as class rule is
a6olished: and #/ there is no longer an5 need to hold in su6=ection the collisions and e*cesses that
arise from the individual struggle for e*istence amid the present market s5stem
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su6stituted 65 the administration of things, including the processes of production. 0he state is not
>a6olished,? 6ut the state >ithers aa5.?
VI. Conclusion
0his paper 6riefl5 discussed four vies e*pressed ith respect to the state. 0he
functionalist paradigm 6elieves that the nature of the state is closel5 related to the e*tent of
organi8ational pluralism. 0he interpretive paradigm 6elieves that the state is an actor ho tries to
reali8e its on polic5 goals. 0he radical humanist paradigm 6elieves that the state is used 65 the
ruling class to =ustif5 and maintain its dominance. 0he radical structuralist paradigm 6elieves that
the state, in a class÷d societ5, intervenes in order to keep the societ5 in >order.?
1ach paradigm is logicall5 coherent @ in terms of its underl5ing assumptions @ and
conceptuali8es and studies the phenomenon in a certain a5, and generates distinctive kinds of
insight and understanding. 0herefore different paradigms in com6ination provide a 6roader
understanding of the phenomenon under consideration. An understanding of different paradigms
leads to a 6etter understanding of the multi&faceted nature of the phenomenon.
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