Items Vol. 35 No. 1-2 (1981)

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VOLUME 35 • NUMBERS 1/2. June 1981 605 THIRD AVENUE. NEW YORK, N.Y. 10158

Behavior and Health: Mechanisms and Research Issues by David S. Krantz, David C. Glass, Richard Contrada, and Neal E. Miller*

THE SOCIAL AND BEHAVIORAL SCIENCES have become increasingly significant for problems of physical health. These disciplines have matured and expanded beyond the area of mental health to a far broader area called "behavioral medicine," which is concerned with behavioral factors in physical disease. At the same time, old disciplinary boundaries are being erased; behavioral and biomedical scientists alike are studying the joint influence of psychosocial and biological factors on somatic health and illness. Disease has been viewed by Western medicine as a biological phenomenon, that is, a product of specific agents or pathogens and bodily dysfunction . However, this biomedical model has not accounted for all illness states, nor has it explained selective susceptibility and the fact that certain diseases occur in some people but not in others. The need for a broader model of health and illness , encompassing psychological and social variables and their interaction with biological processes, has been jointly recognized by

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Behavior and Health: Mechanisms and Research IssuesDavid S. Krantz, David C. GlasJ, Richard Contrada, and Neal E. Miller Social Science in the National Science Foundation's Five-Year Outlook on Science and TechnologyRoberlll Bal,f/ad Miller Food and Famine in China-Lillian M. Li Authoritarianism and Dependency in East Asia-Edwin A, Winckler Current Activities at the Council -Research on the 19S0 census (p. 17) -Fellowships in employment and training (p. 17) -Mexican peasant rebellions (p. 17) -Property in the Near and Middle East (p. IS) -Korean religion and society (p. 19) -Transnational phenomena (p. 19) -Request for African research planning proposals (p. 20) -Joint Committee on African Studies: Review of the field (p. 20) -The use of personal testimony (p. 20) -Social and affective development during childhood (p.21) Newly-issued Council Publications Fellowships and Grants Recent Council Publications: A Selection

* David S. Krantz is an assistant professor of medical psychology at the Uniformed Services University of the Health Sciences (Bethesda, Maryland). David C. Glass is a professor of psychology and Richard Contrada is a research associate at the Graduate Center, City University of New York. Neal E. Miller is a professor of psychology at the Rockefeller University. This article is adapted from a report commissioned by the Council for the National Science Foundation's second Five-Year Outlook on Science and Technology. The preparation of the longer version was supported by NSF contract No. PRA-8017924. The Council's contribution to the Five-Year Outlook is described by Roberta Balstad Miller in the next article.

the biomedical community (Engel 1977) and by behavioral scientists (e.g., Miller 1976; Matarazzo 1980). In the United States at the turn of the century, the greatest contributors to morbidity and mortality were the infectious diseases. Today, the leading causes of mortality are chronic diseases, including the cardiovascular disorders and cancer. These disease states are caused by a confluence of social, environmental, behavioral, and biological factors (I nstitute of Medicine 1978; United States ... 1979). The processes and mechanisms linking behavior to physical illness of various kinds may be grouped into three broad categories. We will describe these mechanisms below, provide some examples of their action, and briefly allude to progress made by behavioral and social scientists in these areas.

Direct psychophysiological effects The first category involves alterations in tissue function via neuroendocrine and other physiological responses to psychosocial stimuli. This mechanism encompasses bodily changes without the intervention of external agents such as cigarette smoking or dietary risk factors, although the two sets of variables may produce interactive effects (e.g., stress and smoking might increase, synergistically, the risk of coronary heart disease). Central to this process is the concept of stress, which was originally described by Hans Selye (1956) as a nonspecific response of the body to external demands that are placed upon it. According to Selye, the stress response proceeds in a characteristic thr~e足 stage pattern which involves a variety of physiological systems (neural, hormonal, and metabolic) in complex interrelation with each other. The term "stress" is also used in a psychological sense (Cox 1978; Lazarus 1966) to refer to an internal state of the individual who is perceiving threats to physical and/or psychic well-being. This broader use of the term places emphasis on the organism's perception and evaluation of potentially harmful stimuli, and considers the perception of threat to arise from a comparison between the demands imposed upon the individual and his felt ability to cope with these demands. A perceived imbalance in this mechanism gives rise to the experience of stress and to the stress response, which may be physiological and/or behavioral in nature. Physiological responses to stress include neural and endocrine activity, which, in turn, can influence a wide range of bodily processes including metabolic rate, cardiovascular and automatic nervous system 2

functioning, and altered immune reactions (Levi 1979; Mason 1971). Short-term stress responses include hormonal and cardiovascular reactions (e.g., increased heart rate, higher blood pressure), which may precipitate clinical disorders (e.g., stroke, cardiac instabilities and pain syndromes, psychosomatic symptoms) in predisposed individuals. If stimulation becomes pronounced, prolonged, or repetitive, the result may be chronic dysfunction in one or more systems (e.g., gastrointestinal, cardiovascular). Research on psychosocial variables related to the pathogenesis of cardiovascular disorders provides a good example of direct psychophysiological effects in the etiology of disease. The best combinations of the standard biological risk factors fail to identify most new cases of coronary heart disease Oenkins 1971). Some variable or set of variables appears to be missing from the predictive equation. This limitation in knowledge has led to a broadened search for influences and mechanisms contributing to coronary risk; it now includes social indicators such as socioeconomic status and social mobility, and psychological factors such as anxiety and neuroticism, psychological stress, and overt patterns of behavior. Perhaps the most thoroughly investigated psychosocial risk factor for coronary heart disease (CHD) is the Type A behavior pattern (Rosenman and Friedman 1974). Type A (or Pattern A) is characterized by extreme competitiveness and achievement striving, a strong sense of time urgency and impatience, hostility, and agressiveness. The relative absence of these traits is designated as Type B. The Type A concept does not refer simply to the conditions that elicit Pattern A behavior, nor to the responses per se, nor to some hypothetical personality trait that produces them. It refers, instead, to a set of behaviors that occur in susceptible individuals in appropriately stressful and/or challenging conditions. Pattern A is, therefore, the outcome of a person-situation interaction. It is not a typology, but a behavior pattern, which is displayed in varying degrees, at one time or another, by everyone. The major impetus for research validating this hypothesis comes from work initiated by cardiologists Meyer Friedman and Ray Rosenman only two decades ago. Although several studies have documented an association between Pattern A and CHD, the most convincing evidence comes from the WCGS, or Western Collaborative Group Study (Rosenman et al. 1975). In this prospective, doubleblind study, more than 3,000 initially healthy men, 39 to 59 years of age, were assessed for a comprehensive array of social, dietary, biochemical, clinical, and behavioral variables. An eight and one-half year VOLUME




follow-up showed that subjects exhibiting Type A behavior at the study's inception were about twice as likely as Type B individuals to develop coronary heart disease (i.e., angina pectoris or myocardial infarction). This two-fold differential in risk remained when statistical procedures were used to control for the influence of other risk factors such as cigarette smoking, serum cholesterol, and high blood pressure. This research also has linked Pattern A to sudden cardiac death (Friedman et al. 1973) and recurrent heart attack. Pathophysi<;>logical mechanisms linking stress and behavior Pattern A to CHD have been explored. Although the pathogenesis of coronary disease is not completely understood, several factors are believed to playa major contributing role. These include a variety of physiological and biochemical states which may enhance coronary risk by influencing the initiation and progression of atherosclerosis and/or by precipitating clinical CHD (Herd 1978; Ross and Glomset 1976). Many of these physiological states have been observed in experimental studies of psychological stress. For example, hemodynamic effects such as elevated heart rate and blood pressure, and biochemical changes such as increased levels of serum cholesterol, are produced in animals under prolonged or severe stress (Schneiderman 1978). Potentially pathogenic states have been observed in studies of psychological stress in healthy humans. For example, life stressors such as occupational pressure have been shown to produce biochemical changes such as elevated levels of serum cholesterol (Friedman et al. 1958). Other research has demonstrated an association of increased heart rate and blood pressure with stressors such as the performance of mental arithmetic, harassment, and threat of electric shock. Still other studies report that the stresses of automobile driving, public speaking, and discussion of emotionally-charged topics provoke ventricular arrhythmia (Herd 1978). A notable feature of the foregoing research is the measurement of physiological reactivity in response to stress, as distinct from the observation of basal or resting levels of physiological variables. These changes in functioning, which are not detected by basal risk-factor measurement, are believed to yield a better index of the pathogenic processes involved in coronary disease. Activation of the sympatheticadrenal medullary system (SAM) may have a special significance in mediating stress-related pathophysiological changes. Particularly culpable in this regard is secretion of the catecholamines, epinephrine and norepinephrine, which are believed JUNE 1981

to induce many of the pathogenic states associated with psychological stress. These include increased blood pressure and heart rate, elevation of blood lipids, acceleration of the rate of damage to the inner layers of the coronary arteries over time, and provocation of ventricular arrhythmias, believed to lead to sudden death. The same pathophysiological stress and coronary disease may apply, a fortiori, to Type A individuals, thereby accounting, in part, for their enhanced coronary risk. Research has shown greater urinary catecholamine secretion during the working day and greater cardiovascular (e.g., blood pressure, heart rate) responses to competition and challenge among Type As compared to Type Bs (Rosenman and Friedman 1974). Recent studies by Glass et al. (1980) also have demonstrated higher elevations (increases) in plasma catecholamines and blood pressure among Type A individuals in situations of hostile competition.

Health-impairing habits and life styles A second means by which behavior leads to physical illness occurs when individuals engage in habits and styles of life that are damaging to health. Personal habits playa critical role in the development of many serious diseases, as amply documented by the recent Surgeon General's reports on smoking and health, and health promotion and disease prevention. Cigarette smoking is probably the most salient behavior in this category, for it has been implicated as a risk factor for three leading causes of death in the United States--coronary heart disease, cancer, and stroke. However, poor diet, lack of exercise, excessive alcohol consumption, and poor hygienic practices also have been linked to disease outcomes. These habits may be deeply rooted in cultural practices or initiated by social influences (e.g., smoking to obtain peer group approval). They may be maintained as part of an achievement-oriented life style, as well as by the interaction of biological and behavioral mechanisms of addiction. Therefore, a major focus of behavioral medicine research has been on the role of sociocultural systems, life styles! and psychophysiological processes in the etiology and pathogenesis of the chronic diseases. Considerable attention also has been directed toward the development of techniques to modify those behaviors that constitute risk factors for illnesses. Cigarette smoking can be viewed as the product of a multistage process that begins with initial experimentation with cigarettes and leads to the acquisition 3

of a habit and/or addictive process (Pomerleau 1979). Data suggest that even limited adolescent experimentation with smoking may lead to habitual smoking (Leventhal and Cleary 1980). Psychosocial factors related to initiation of smoking include social pressure from peers; imitation of adult behavior; adolescent rebellion and antisocial tendencies; and personality factors such as extraversion-a biologically-based dimension related to arousal or simulation-seeking. A social learning explanation of smoking initiation (Bandura 1977) assumes that the habit is acquired through imitation and social reinforcement, typically under the influence of peer pressure, media stereotypes, etc. Several recent projects have obtained encouraging results by employing sociopsychological techniques of communication and attitude change to detep smoking in adolescents. A pioneering effort in the area, the Houston Project, is a three-year longitudinal study (Evans et al. 1980). This project created persuasive films and posters to teach young teens (grades 7-9) about peer and media pressures to smoke, and about effective techniques for resisting pressures. Tobacco has the capacity to elicit many of the defining characteristics of an addictive process, and there has been recent biobehavioral research on the complex interplay of psychological and pharmacological processes leading to smoking behavior. For example, a nicotine-regulation hypothesis asserts that heavy smokers adjust their smoking rate to keep nicotine at a roughly constant level, and that the rate of smoking depends on the rate of nicotine excretion and breakdown by the body. The rate of nicotine excretion depends, in part, on the acid-base balance (pH) of the urine, which, in turn, can be altered by psychological stress or anxiety. Thus, it is argued that the links between psychological processes, the craving for cigarettes, and increased smoking are mediated by a physiological addiction mechanism involving the pH of urine (Schachter et al. 1977). A series of programmatic studies (Schachter et al. 1977) has provided support for this hypothesis.

Reactions to illness and the sick role A third process through which behavior leads to physical illness occurs when individuals minimize the significance of symptoms, delay in seeking medical care, or fail to comply with treatment and rehabilitation regimens. One prominent example is the sizeable number of heart attack patients who procrastinate in seeking help, thereby endangering their chances of 4

survival. These actions are representative of a larger area of study concerned with the way people react to the experience of organ dysfunction (illness behavior), as well as to the experience of being in the role of a sick person (patienthood). To succeed, medical therapies require that the patient follows the physician's advise, but an extensive literature reports disturbingly low rates of compliance with health and medical care regimens (Sackett and Haynes 1976). Accordingly, there has been considerable research on social and psychological processes involved in patients' reactions to pain and illness, tl?e decision to seek medical care, and medical compliance. A good deal of attention has been given to isolating factors that influence or predict compliance (Becker 1979; Sackett and Haynes 1976). Surprisingly, common demographic variables such as age, sex, marital, and socioeconomic status have little independent influence. The crux of the problem is often poor doctor-patient communication, rather than the patient's behavior alone. Two sets of variables deriving from the physician-patient encounter-satisfaction with care and comprehension of treatment regimen-appear to effect compliance. Aspects of the doctor-patient relationship determine satisfaction, and satisfaction determines the degree to which medical advice is accepted. For example, a study of a pediatric setting (Korsch and Negrete 1972) found that a major source of mothers' dissatisfaction was the failure of physicians to answer questions and provide clear explanations of illness. More than 80 per cent of those who thought the physician had been understanding were satisfied, as compared to only one-third of those who did not feel that the doctor tried to understand their problems. If mothers were dissatisfied with the communicator (i.e., the doctor) or the content of the consultation, they were less likely to comply with the physician'S advice. A second aspect of the compliance problem is the patient's ability to comprehend and recall details of the treatment regimen. Much of the failure to follow doctor's orders is due to genuine problems in understanding and remembering what is told (Ley and Spelman 1967). Often, the material presented by the doctor is too difficult to understand, the treatment regimen itself is overly complicated, or patients hold misconceptions about illness or human physiology which lead to confusion. The crucial challenge for medical compliance, as with the modification of other health-impairing behaviors, is to maintain people on prescribed regimens for sustained periods. The problem is illustrated by the remarkably similar relapse rates among subjects VOLUME




treated in programs aimed at weight reduction, smoking cessation, and reduction of alcohol consumption (Hunt et al. 1979). Two-thirds of such patients abandon the regimen and backslide by the end of three months, and only about one-quarter of the individuals maintain changed behavior at the end of a one-year period. Most of the research on medical compliance has been designed to solve practitioners' everyday clinical problems, rather than to develop a comprehensive theory that may apply across a brocrd range of medical situations, illnesses, and behaviors. However, one conceptual approach that has received some support in explaining medically-related behaviors (including compliance) is the Health Belief Model. This model centers on the patient's views about the appropriate paths of action in the presence of health disturbances, perceptions of barriers to action, and subjective interpretations of symptoms (Becker 1979). Still more effective approaches are needed, which encompass the physician-patient communication process and suggest ways of making the rewards of long-term medical compliance more salient to patients.

A brief outlook for the future An important priority for research in the next five years is the integration of behavioral and biomedical knowledge in a way that elucidates the mechanisms underlying the interplay among behavior, physiological processes, and somatic dysfunctions. Accordingly, the key issues for biobehavioral inquiry include further study of features of the behavioral context and of the individual (e.g., coping styles, biological predispositions, availability of social supports), which may determine the outcome of exposure to stressful events. Also required are further studies of psychophysiological mechanisms that mediate behavior-disease linkages, particularly those involving neuroendocrine and immune responses. Other priorities are the development and evaluation of techniques to produce sustained changes in behavioral risk factors. This includes research on mechanisms of smoking addiction and withdrawal, and prevention of health-impairing habits. The important area of medical compliance requires more theoretically-based research taking into account doctor-patient communication and the cognitive-motivational factors that sustain adherence to treatment regimens. (1) A focus on mechanisms linking behavior and health is required in order to translate historical and epidemiological descriptors, such as age, personalJUNE 1981

ity, genetics, or nutritional history, into psychophysiological processes than can be modified or altered (Schwartz et al. 1979). To influence medical practice, behavioral and social science research must identify modifiable variables involved not only in the etiology of disease, but also in the progression of illness after symptoms have appeared. (2) The complexities involved in integrating behavioral and biomedical knowledge will require multifaceted research strategies. What is needed is a continual interplay between laboratory and field methodologies. This interplay may take several forms. For example, an effect can be established as reliable with controlled laboratory experimentation, where causal links can be inferred. The generality of the relationship can then be established in subsequent research in natural settings, e.g., the home or workplace (cf. Cohen et al. 1980). Similarly, by first conducting field studies, it is possible to isolate important dimensions of a particular research area. At that point, laboratory studies may be useful to rule out alternative explanations often inherent in naturalistic research. (3) Primary prevention (i.e., before disease develops) of health impairing habits, and the promotion of healthy life styles for people of all ages are costeffective approaches to health. In the long term, the potential costs in lives and dollars of treating disease are likely to outweigh the costs of preventing unhealthful habits. Social learning approaches to smoking prevention have yielded promising results in the ' Houston school-based intervention (Evans et al. 1980). Further work with children and adolescents might expose other habits to social learning interventions. More systematic research with adults is also needed. The workplace has proven to be a promising setting for such efforts. People spend considerable time at work, and many employers sponsor such programs because of the benefits that accrue from healthier employees. (4) The biobehavioral approach to somatic health and illness is, by definition, an interdisciplinary venture. It requires the contributions of researchers representing a variety of skills and perspectives. Provision needs to be made for training investigators in the integrative skills necessary for continued progress in the scientific study of behavior and health. This will involve a broadening of the expertise of investigators in the behavioral and biomedical sciences, as well as increased collaborative efforts. 0


References Bandura, A. 1977 Social Learning Theory. Englewood Cliffs, New Jersey: Prentice-Hall. Becker, M. H. 1979 "Understanding Patient Compliance: The Contributions of Attitudes and Other Psychological Factors," in S . .I. Cohen, editor, New Directions in Patient Compliance. Lexington, Massachusetts: D. C. Heath and Co. Cohen, S. et al. 1980 "Physiological, Motivational, and Cognitive Effects of Aircraft Noise on Children," American Psychologist, 35 (3):231- 243. Cox, T. 1978 Stress. Baltimore: University Park Press. Engel, G. L. 1977 "The Need for a New Medical Model: A Challenge for Biomedicine," Science, 196:129-136. Evans, R. 1. et al. 1980 "Social Modeling Films to Deter Smoking in Adolescents: Results of a Three-Year Field Investigation." Unpublished manuscript, Department of Psychology, University of Houston. Friedman, M. et al. 1958 "Changes in the Serum Cholesterol and Blood-Clotting Time in Men Subjected to Cyclic Variation of Occupational Stress," Circulation, 17 :872-861. Friedman, M. et al. 1973 "Instantaneous and Sudden Death: Clinical and Pathological Differentiation in Coronary Artery Disease," Journal of the American Medical Association, 225: 13191328. Glass, D. C. et al. 1980 "Effect of Harassment and Competition upon Cardiovascular and Plasma Catecholamine Responses in Type A and Type B Individuals," Psychophysiology, 17:453-463. Herd, A . .I. 1978 "Physiological Correlates of Coronary-Prone Behavior," in T. M. Dembroski, S. M. Weiss,J. L. Sheields, S. G. Haynes, and M. Feinleib, editors, Coronary-Prone Behavior. New York: Springer-Verlag. Hunt, W. A. et al. 1979 "Associative Learning, Habit and Health Behavior," Journal of Behavioral Medicine, 2 (2): 111-124. Institute of Medicine 1978 Perspectives on Health Promotion and Disease Prevention in the United States. Report to the National Academy of Sciences. Jenkins, C. D. 1971 "Psychologic and Social Precursors of Coronary Disease," New England Joul7lal of Medicine, 284:244-255; 307-317. Kor~ch, B., and Negrete, V. 1972 "Doctor-Patient Communication," Scientific American, 227 (2):66--78. Lazarus, A. S. 1966 Psychological Stress and the Coping Process. New York: McGraw Hill. Leventhal, H., and Cleary, P. D. 1980 "The Smoking Problem: A Review of Research and Theory in Behavioral Risk Modification," Psychological Bulletin, 88:370-405. Levi, L. 1979 "Psychosocial Factors in Preventive Medicine," Surgeon General's Background Papers for Healthy People Report. U.S.


Department of Health, Education, and Welfare. USPHS Publication No. 79-55011A. Washington, D.C.: U.S. Government Printing Office. Ley, P. and Spelman, M. S. 1967 Communicating with the Patient. London: Staples Press. Mason, J. W. 1971 "A Re-evaluation of the Concept of 'Nonspecificity' in Stress Theory," Journal of Psychiatric Research, 8:323-333. Matarazzo, .I. D. 1980 "Behavioral Health and Behavioral Medicine: Frontiers for a New Health Psychology," American Psychologist. 35(9):807-817. Miller, N. E. 1976 "Behavioral Medicine as a New Frontier: Opportunities and Dangers," in S. M. Weiss, editor, Proceedings of the National Heart and Lung Institute Working Conference on Health Behavior. DHEW Publication No. (NIH) 76-868. Washington, D.C.: U.S. Government Printing Oftice. Pomerleau. O. F. 1979 "Why People Smoke: Current Psychobiological Models," in P. Davidson and S. M. Davidson, editors, Behavioral Medicine: Changing Health Life Styles. New York: Brunner-Mazel. Rosenman, R. H. et al. 1975 "Coronary Heart Disease in the Western Collaborative Group Study: Final Follow-up Experience of 8Y:! Years," Journal of the American Medical Association, 233:872-877. Rosenman, R. H., and Friedman, M. 1974 "Neurogenic Factors in Pathogenesis of Coronary Heart Disease," Medical Clinics of North America, 58:269-279. Ross. R., and Glomset, J. A. 1976 "The Pathogenesis of Atherosclerosis," New England Joul7lal of Medicine, 295:369377,420-425. Sackett, D. L., and Haynes. R. E. 1976 Compliance with Therapeutic Regimens. Baltimore: Johns Hopkins University Press. Schachter, S. et al. 1977 "Studies of the I nteraction of Psychological and Pharmacological Determinants of Smoking," Journal of Experimental Psychology: General, 106 (1):3-40. Schneiderman, N. 1978 "Animal Models Relating Behavioral Stress and Cardiovascular Pathology," in T. M. Dembroski, S. M. Weiss, J. L. Shields, S. G. Haynes, and M. Feinleib, editors, Coronary-Prone Be/Ulvior. New York: Springer-Verlag. Schwartz, G. E. et al. 1979 "Behavioral Medicine Approaches to Hypertension: An Integrative Analysis of Theory and Research," Journal of Behavioral Medicine, 2 (4):311-364. Selye, H. 1956 The Stress of Life. New York: McGraw-HilI. U.S. Department of Health, Education, and Welfare 1979Healthy People: A Report of the Surgeon General on Health Promotion and Di~ease Prevention. USPHS Publication No. 70-55071. Washington, D.C.: U.S. Government Printing Oftice.





Social Science in the National Science Foundation's Five- Year Outlook on Science and Technology by Roberta Balstad Miller*

this committee, five topics were selected which reflect major inte))ectual currents in social and behavioral research. They include (I) the relationships between behavior and physical health; (2) influences on the social and emotional development of children; (3) changing perspectives on individual development over the entire life course; (4) the statistical measurement of social change; and (5) recent advances in survey techniques and analysis. Scholars were commissioned to prepare each of these papers, and a review panel of senior scholars in the field was appointed for each paper to consult with the authors on the scope and direction of the essay and to review the essay when it was completed. In addition to the papers on promising research areas in the social and behavioral sciences, a sixth paper was prepared which discusses the significance of social and behavioral research for society. The choice of topics for these essays reflects the view that the social and behavioral sciences can contribute most directly to national issues by providing an understanding of the way society functions and how it changes. Investigations of fundamental questions about human behavior and social processes provide the data, theories, concepts, and methods that lead to informed decision making in both public and private sectors. Moreover, those aspects of the social sciences specifically designed to evaluate public programs or examine social problems derive methodological rigor and theoretical insights from research efforts conducted throughout the social sciences. Five essays cannot, of course, represent all of the diverse approaches and major advances in the social and behavioral sciences. That these essays provide only a partial assessment of the varieties of social and behavioral res~arch is freely acknowledged and, indeed, is fully appropriate within the scope of the Congressional intentions for the Outlook. No single Outlook wiH encompass all the subjects falling within the general topic of science and technology; successive . Outlooks, however, can be expected to provide more complete coverage of major research areas over '" The author, a historian currently on leave from the Council, time. serves on the staff of the Council's office in Washington, D.C. She The fo))owing are brief descriptions of each essay also served as the staff for the Council project described in this on the social and behavioral sciences. article.

WHEN THE CONGRESS ESTABLISHED the Office of Science and Technology Policy (OSTP) in 1976, it requested that OSTP prepare a Five-Year Outlook on Science and Technology. Responsibility for preparing the Outlook was subsequently transferred to the National Science Foundation. The first Outlook was published in May 1980; a second is currently being prepared. According to the enabling legislation, the Five-Year Outlook has two purposes. The first is to inform the Congress of emerging areas of scientific and technological research that promise to iUu minate problems of national significance. The second purpose is to identify those research topics and conditions that facilitate innovative research and that warrant special attention during the next five years. These two objectives have been met in part by the preparation of background essays on research in science and . technology. For the second Outlook, the National Academy of Sciences prepared 17 essays emphasizing research in the natural sciences and technology; the American Association for the Advancement of Science prepared a set of essays on the contributions of science and technology to national and international policy problems; and the Council prepared essays on promising research areas in the social and behavioral sciences. The essays are currently being prepared for publication by the National Science Foundation, scheduled for November 1981. They wiH be made available for scholarly use after they have been submitted to the Congress. To oversee the preparation of the essays on the social and behavioral sciences, a steering committee was appointed consisting of Kenneth Prewitt, president of the Council; Robert McC. Adams, University of Chicago, chairman of the Committee ori Basic Research in the Behavioral and Social Sciences, Assembly of Behavioral and Social Sciences, National Research Council; and Gardner Lindzey, director, Center for Advanced Study in the Behavioral Sciences (Stanford, California). Under the guidance of




Behavior and Health Prepared by David S. Krantz, Uniformed Services University of the Health Sciences; David C. Glass, Graduate Center, City University of New York; Richard Contrada, Graduate Center, City University of New York; and Neal E. Miller, Rockefeller University, the essay on behavior and health, summarized elsewhere in this issue, reviews recent research on the implications of individual behavior patterns for health and physical disease. This topic was chosen for inclusion in the Five-Year Outlook because it draws on the research traditions of both the biomedical and the social sciences and because it illustrates the promise of research that occurs at the intersection of the

social sciences and other disciplines. Not only does this research extend our knowledge of the physical ramifications of human behavior patterns, it is also crucially important to public policies in the area of health care and to the health care profession. Members of the review panel for this essay were David A. Hamburg, Harvard University; Gardner Lindzey, Center for Advanced Study in the Behavioral Sciences; Gilbert Omenn, Woodrow Wilson School of Public and International Affairs, Princeton University; Henry W. Riecken, National Library of Medicine; and Matilda White Riley, National Institute on Aging.

"Ideally we should like to go out into the world with a coherent theory of human behavior and a fool-proof machine for measuring the effects brought about by our precisely specified causes. But usually our theories are stated only in broad and general terms. We often have only approximate ideas about causality. Our ability to measure effects is limited by the extraneous variability in our measurements brought about not only by the process of sampling but also by the standardization decisions made in any particular case. Our ability to measure effects is also limited by people's insistence on acting like human beings-refusing sometimes to answer our questions, insisting sometimes on their own interpretations of meanings rather than the ones we have in mind .... " -Judith M. Tanur*

* "Advances in Method{for Large Scale

Surveys and Experiments," 1981 , page 7.

Advances in Methods for Large Scale Surveys and Experiments Prepared by Judith M. Tanur, State University of New York, Stony Brook, this topic was selected for inclusion in the Five-Year Outlook both because of the government's substantial investment in statistics and survey research and because of the importance of this work for government policy and the allocation of government resources. Equally important, the design, collection, and analysis of large scale social surveys is an area of considerable technical and methodological advance in recent years. This essay summarizes these advances and places them in the perspective of our

ability to decrease both sampling and nonsampling variability. It also examines the uses of administrative records in data analysis and the special problems posed by longitudinal surveys. Members of the review panel for this essay were Richard A. Berk, University of California, Santa Barbara; Norman M. Bradburn, National Opinion Research Center, University of Chicago; Stephen E. Fienberg, Carnegie-Mellon University; and William H. Kruskal, University of Chicago.

"Life-span orientations in the social and behavioral sciences have practical as well as academic significance. This view of constancies and changes in behavior and development across the whole of life is debunking stereotypes about the aged, adults, and adolescents and children. It is questioning the longstanding assumption that age is a reliable predictor of behavior. It calls attention to the variability across persons in the temporal course and consequences of biological, psychological. social, and historical events. It emphasizes the malleability of personality and behavior in persons of all ages. And, it underscores how changes in the societal and cultural contexts continually alter the situations in which successive generations and cohorts live out their lives. Research guided by this mode of thinking is beginning to accumulate a base of findings that ultimately might be applied to social problems and public policy. Meanwhile, the life-span approach is altering the frameworks within which issues of public concern are cast and discussed." -David L. Featherman* * "The Life-Span Perspective in Social Science Research," 1981, page 69. 8





The Life-Span Perspective in Social Science Research Prepared by David L. Featherman, University of Wisconsin, this essay on the life-span perspective describes a general approach to research on individual development and social change rather than a welldefined substantive area. Scholarly research in this area illustrates how social and behavioral research can be both cumulative and cross-disciplinary, for contributions to the life-span approach have come from a number of disciplines, particularly history, psychology, sociology, and economics. Underlying this approach is the view that human development continues throughout the life course and that individual char-

acteristics and statuses are not fixed, but continue to change over time regardless of age. This essay describes the evolution of the concept and examines current research in social stratification, social mobility, psychometric intelligence, and family history to illustrate the usefulness of the life-span perspective for investigations of human development. Members of the review panel for this essay were Paul B. Baltes, Max Planck Institute for Human Development (Berlin); Orville G. Brim, Jr., Foundation for Child Development (New York); and Glen H. Elder, Jr., Cornell University.

"A major consequence of granting priority to federal [rather than local] statistics is that the description of social trends at the national level tends to focus perceptions on problems and their resolution as national ones; such a description underplays the fact that these problems arise, and often can be resolved, in local areas by local authorities. Decentralized governing structures can be undermined and their options restricted if they lack the information necessary to assess local variations and problems. Even where local governments develop such information, they are often severely hampered in acquiring information about comparable units that would assist in their definition and resolution." -Albert J. Reiss, Jr.* '" "The Statistical Measurement of Social Change;' 1981, page 45.

Statistical Measurement of Social Change The use and analysis of statistical data in social such as the changing divorce rate, that have previresearch are discussed in an essay by Albert J. Reiss, ously been misinterpreted. In particular, it considers Jr., Yale University, on the statistical measurement of ways in which the measurement of social change is social change. It builds upon and extends a research affected by the analytical approaches employed, by tradition that dates back to the report of the Com- changes in the concepts being measured, and by the mittee on Recent Social Trends established by Presi- accuracy of prior assumptions about the shape of dent Herbert Hoover in 1929. Research in this area future change. Members of the review panel for this essay were represents a long-term collaboration and commonality of interests between the government and social James A. Davis, Harvard University; and William M. scientists. The essay reexamines several social trends, Mason, University of Michigan.

"If a young .child is offered the choice of a desired toy now or several such toys a week from now, the child will most likely take the one toy now. When he grows, he will most likely choose the larger reward even though it requires waiting. The movitation to postpone immediate gratification for future gain has long held a central place in Western social theory. It is viewed as essential to the Protestant Ethic and to saving and investing, and therefore as an individually adaptive and socially functional response in modern capitalist society. Since Freud, the ability to tolerate delay of gratification also has been viewed as basic to the transition from a state of being dominated by one's impulses to a state in which reality prevails, and therefore as a significant milestone in healthy ego development. I t is tile one ego function extensively researched with children." -Martin L. Hoffman* '" "Social and Emotional Development in Children," 1981, page 41.




Social and Emotional Development in Children Prepared by Martin L. Hoffman, Graduate Center, City University of New York, this essay describes research on children's growth and development. Research in the past, however, has g~nerally concentrated on intellectual or cognitive development. Recent research on social and emotional development recognizes that intellectual growth is only one aspect of the development of children and it is itself affected by social and emotional development. The essay reviews research on the impact of parents and

family, peers, and television on children'S development and on the learning of cooperative and altruistic behavior. 路It considers such issues as how children acquire self-confidence, the motivation to help others, and knowledge of society's law, rules, and norms. Members of the review panel for this essay were Willard W. Hartup, University of Minnesota; Lois Wladis Hoffman, Univerity of Michigan; and Eleanor E. Maccoby, Stanford University.

"Social science, through its emphasis on social measurement and observation. helps bring systematic information to bear on difficult questions of judgment and choice. The social sciences, collectively considered. are among the great observational sciences of mankind. rivaling in scope, variety, and significance such other observational sciences as astronomy and geology. Advanced industrial nations are commonly described as information societies in reference to their systematically collected information about the human as well as the physical environment. Human actions and the meanings attached to them constitute the most dynamic and complex of all those environments in which markets trade. banks invest. businesses produce. governments govern, and families make plans for the future. Monitoring the ever-changing human environment is a task approached through a variety of tools and disciplines of the social sciences: economic indicators. demographic trends. national statistical systems. historical research. time-series analysis. input-output matrices. developmental psychology. area studies. and political geography are all examples." -Kenneth Prewitt*

* "A.f.(tJSing the Significance of Social Science

Research," 1981, pages 3-4.

Assessing the Significance of Social Science Research Prepared by Kenneth Prewitt, Social Science Re- processes. There are, in addition, practical applicasearch Council, the sixth essay discusses ways in which tions of social and behavioral research in public polsocial science research can be assessed in terms of icy, and a .flourishing private or commercial sector in national needs. These include the use of interpretive such area/i of social research as demographic proconstructs which explain and illuminate social phe- jections, personnel testing, economic forecasting, and nomena, the systematic development and acquisition others. The essay also examines trends in social sciof social data that can be brought to bear in decision ence research over the past 50 years, emphasizing the making in both the public and the private sectors, and ways that social scientists responded to the national 0 the identification of empirical regularities in social agenda.






Food and Famine in China by Lillian M. Li*

WITH CHINA'S POPULATION AT CLOSE TO ONE BILLION, the problem of its food supply is of critical importance not only for China itself but also for the entire international food system. China's food distribution system has been regarded as a model for developing countries, and its achievement in providing basic subsistence for its population has seemed all the more remarkable because of the frequency and magnitude of famines in its history. To date, however, food supply and famines in China have not been the object of systematic and intensive scholarship. Fortuitously, several young scholars, mostly historians, both in the United States and abroad, have begun independently to work on topics closely related to the subject of food. Accordingly, a three-week workshop on food and famine in Chinese history was sponsored by the Social Science Research Council and the American Council of Learned Societies, with funds provided by the Andrew W. Mellon Foundation. Held at the Fairbank Center for East Asian Research, Harvard University, from August 5 to 25, 1980, the workshop sought to address the questions of how China has fed its population throughout history and how food shortages and famines have affected the development of Chinese society. The workshop provided an opportunity for a group of young scholars to develop the topic of food and famine as a distinct field of inquiry within Chinese studies. The significance of famines in the development of Chinese history poses serious problems of interpretation. Both the causes of famines and their long-term consequences may have deeply influenced the development of Chinese society and culture, but in recent scholarship, almost no one has ventured to explore the possible connections between China's natural environment and the society that developed within it. It was a fundamental premise of the workshop that famines should be studied not as isolated events but as part of the social and economic fabric of the society. This objective requires a multidisciplinary approach. Unlike many topics within the social sciences, famine does not possess a discipline, methodology, or theoretical approach that has been developed crossculturally and could be applied to China. It is for this

* The author. a historian who teaches at Swarthmore College. organized and chaired the workshop. JUNE 1981

reason that the workshop was organized not simply to facilitate the exchange of research results and ideas among the participants but also to provide intensive instruction by scholars from several disciplines: anthropology, hydraulic engineering, geography, agricultural economics, demography, and sociology. These scholar-consultants were not necessarily specialists on famines, but they were asked to address the question of how the perspectives, methods, and models of their fields might be brought to bear on the subject of food supply and famine in China. Each consultant provided a reading list in advance and came to the workshop prepared to discuss the papers which had been presented. . The first consultant, G. William Skinner, an anthropologist at Stanford University, spoke on the application of his regional systems paradigm to the study of famines, with particular attention to marketing systems, regional systems and cycles, agrarian relations of production, the family, and demography. The second consultant, Jared L. Cohon, an engineer at the Johns Hopkins University, provided basic instruction in the principles of hydrology, types of water engineering works, and techniques of costbenefit analysis and multiobjective analysis in water management decision making. Following this, Vaclav Smil, a geographer at the University of Manitoba, gave a presentation on the uses of LANDSAT (satellite) imagery in the study of contemporary Chinese agriculture and water control. In addition, he discussed nutritional requirements and how to construct a food-balance sheet for China. Thomas B. Wiens, an economist at Mathtech, Inc., commented on Smil's presentation, and lectured on both the microeconomics of traditional peasant agriculture and the macroeconomics of agriculture, including such topics as population growth, taxes, land prices, and the credit market. He also presented some of the findings of his just-completed seven-month field study of triple cropping in a Chiangsu commune. In the third and final week of the workshop, Jane Menken of the Office of Population Research, Princeton University, discussed basic fertility and mortality measurements and rates, the biological determinants of fertility, and the construction of a mathematical model for estimating the effects of famine and mortality crises. She was assisted by Susan Watkins, a historical demographer from Yale UniverII

sity, who discussed basic demographic trends in European history. Menken and Watkins were followed by Charles Tilly, Center for Research on Social Organization, University of Michigan, who spoke on food supply, distribution, and population growth in European history, the role of the state in controlling grain distribution, and food riots. The results of this ambitious program of instruction were rich and varied. In the discussions, which attempted to relate empirical and historical materials presented by the participants to the models and concepts presented by the consultants, many issues emerged, some of which provided the basis for tentative conclusions; others in effect formed an agenda for future research. One area of central concern was the proper definition of and a typology of famines. The workshop concluded that a formal definition of famine as a phenomenon in which a shortage of food leads to a significant increase in mortality resulting from malnutrition and disease was not workable because of the problem of obtaining suitable mortality data for China. In addition, the narrow definition did not fully encompass the range of situations, causes, and effects presented at the workshop. A case in point would be situations in which crop failures did not lead to famine because of timely and efficient government intervention. The 1743-1744 drought in Chihli province, the subject of a paper by Roy S. Yim, was an agricultural crisis which did not result in loss of life because of the excellent famine relief program administered by the imperial government. Moreover, a formal definition of famine does not incorporate the various possible causes of famine or food shortage, which may be "natural," political, economic, or some combination of these. Among the famines discussed in the workshop papers, various types of causation were represented. The floods and subsequent famines in the Chiangnan area during the Sung dynasty, described by Mira Mihelich, and of Tungt'ing lake in the 18th century, described by Peter Perdue, were caused by excessive environmental manipulation: the reclamation of lakes and rivers rendered these regions more vulnerable to climatic fluctuations. Famines in Szechwan province in the 17th century, described by Robert Entenmann, were caused by military struggles between imperial armies and rebel forces under Chang Hsien-chung which destroyed much agricultural land. The famines of the Republican period (1911-1949), described by Franc;ois Godement, were also the result of military disruptions-of 20th century warlordism. The workshop concluded that more useful than a 12

definition of famine would be a four-stage model which could encompass a number of factors. In the first stage, the vulnerability of an area to crisis should be examined, including the region's ecology and economy, its risk-insurance strategies, and the size and distribution of its population. In the second stage, the precipitating crisis-floods, droughts, locusts, market failure, or wars-would be examined. In the third stage, the possible resolutions of the crisis should be studied. Depending on the scope and success of private or government intervention, various degrees of famine might result, or famine might be averted altogether. Finally, the long term consequences of the crisis should be examined: what, if any, changes in local population, resources, social structure, and so forth, resulted from this crisis? A second broad area of discussion at the workshop concerned the relationship between regional cycles and the dynastic, or national, cycle. Influenced by G. William Skinner's work on regional systems, several of the participants had chosen to study a region or macroregion of China. However, there was considerable discussion about whether regional developments and dynastic events were not, in fact, quite closely related. James Lee's study of the demographic history of southwest China from 1250-1850 seems to show the overarching importance of Yuan, Ming, and Ch'ing dynastic policies in determining the broad contours of agriculture, commerce, inflation, and population growth within which development of the southwest took place. On the other hand, the roughly similar patterns of land reclamation described by Mihelich and Perdue for different regions in different time periods suggests the independence of different regional cycles. Skinner's presentation implicitly spoke to a weakness of the present state of research: the lack of a sufficiently broad time span for studying developments. Most of the current work represented at the workshop, although focused on particular regions, dealt with particular events or years rather than with long-term changes. The third and largest area of discussion at the workshop concerned the institutions and practices by which the central government throughout Chinese history acted to prevent or to control famines. One way was water control, especially river conservancy. Lillian M. Li's paper on the Hai river basin discussed how attempts in 1801 and again in 1917 by the central government to prevent flooding in one region were complicated by financial limitations, bureaucratic corruption, and progressive environmental deterioration. James Nickum's work on water management organization in the People's Republic of China demVOLUME




onstrated the ongoing and, indeed increased, preoccupation of the central government with hydraulic control. In fact, the Chinese attention to water management prompted one auditor, an Indian specialist, to observe that the Chinese seem to have "hydromania." A second way in which the state sought to prevent or control famines was by promoting various types of granaries, some local and some run by the state itself. Such granaries go back to ancient times and exist to the present day. An ongoing topic during the workshop was the actual effectiveness of such granaries in price stabilization, famine control, and famine relief. The work of David Buck, PierreEtienne Will, and R. Bin Wong on granaries in the mid-Ch'ing dynasty, roughly the 18th century, suggests that the state granary system was reasonably effective in mitigating the effect of limited shifts in food supply, but by the 19th century, granary reserves had fallen sharply and were largely ineffective during the major famines of that era. Jean Oi's work on local granaries in the People's Republic of China shows that they continue to be the object of political conflict and competition. A third and closely related way in which the government intervened in food crises was through famine relief. Both Li's paper and that of Roy S. Vim show that the imperial court was capable of mounting very successful famine relief campaigns in the high Ch'ing, when its interests were directly threatened, but as government resources diminished in the late 19th and early 20th century, famine relief activities fell increasingly to the private sector, which included foreign missionaries, and were concentrated increasingly in the coastal treaty ports. A fourth major form of government intervention was through migration policies. From the earliest imperial times, the central government promoted migration, both for border defense and for agricultural development. James Lee's paper shows the cumulative impact of such policies through six centuries. During the Ch'ing dynasty (1644-1911), the period with which we are the most familiar, active sponsorship of the settlement of previously sparsely-inhabited parts of the country is said to have been responsible for a large increase in agricultural production. Such long-distance and permanent migrations, together with the short-term, unplanned, emergency migrations, suggest that the Chinese population was surprisingly mobile, considering the relatively primitive transportation network. In addition to these major topics which were at least partially addressed, the workshop also touched on other areas which it felt unable to provide much empirical evidence but which should be identified for JUNE


future research. One area in which we felt conspicuously inadequate was demography. In part this is because of the generally poor demographic data provided by Chinese historical sources-poor in comparison to European and Japanese records on households, fertility, nuptiality, and mortality. Although it is possible for some periods and regions to obtain approximations of aggregate trends, information about local population history is scarce. Moreover, we do not have a very clear idea of the effect of famines, or the threat of famines, on family and village life. How might patterns of child-bearing and childrearing be affected by such threats? How might these patterns be class-differentiated? Further, how did the occurrence of famine affect the patterns of agricultural technology, cropping, land tenure, social stratification, and leadership within villages or communities? Not surprisingly, the study of food and famine in Chinese history yields a much clearer picture at the macrolevel than the microlevel. I t is both the size of China and its long tradition of centralized empire and bureaucracy that define the study of food and famine in China, and distinguish it from the food history of other cultures. Studies of food and famine in European and Indian history have suggested that food crises changed in character as economies developed. Michelle B. McAlpin's work on India shows that with the development of a railway network in the 19th century, food crises changed from being "true famines" (when there is an absolute shortage of food) to a "lack of purchasing power" (when the price of food is too high). In China, such an evolution has not taken place, and traditional famines had always an "economic" element as well as a "natural" one. In a similar vein, building on work done by Charles and Louise Tilly, R. Bin Wong's research on food riots in Hunan province in the last two centuries suggests certain similarities to food riots in 18th century Europe-but the differences between the two may have been more critical than their similarities. As Wong points out, one salient difference was the attitudes toward commerce in Europe and China. In the 18th century in Europe, "a new market mentality with new ideas on prices, money, and interest develops. Accompanying the new mentality is a new market structure supported by centralizing states. . . . In China there is no new market mentality, no new marketing structures, no decisive centralizing trend in state power." The stages of European food history did not seem to have their counterparts in the Chinese experience. First, in China, for most of the last 2,000 years, there 13

has been a strong centralized state. Second, while there was an expanded interregional grain trade in the 18th century, it did not lead to a major transformation of the national market structure in the 19th and 20th centuries. The relationship between increasing food crises in the 20th century and political unrest must be seen in this context. Facile associations of the two phenomena, attributing a causal value to the former, abound in writings about China ("Chinese peasants rebelled because they were hungry"), but have yet to be demonstrated in a systematic and scholarly fashion. Clearly, the investigation of food and famine must involve a consideration of the whole range of interrelated social, economic, and political issues.

Mira Ann Mihelich, Haverford College, "Troubled Waters: Water Control, Population Pressure and Food Supply in Chiangnan During the Sung Dynasty" James E. Nickum, University of California, Berkeley. "Water Management Organization in the People's Republic of China" Jean C. Oi, University of Michigan, "The Politics of Local Grain Reserves in the Socialist Chinese Villages" Peter C. Perdue, Massachusetts Institute of Technology, "Official Goals and Local Interests: Water Control in the Tung-t'ing Lake Region in the Ch'ing Period" Vaclav Smil, University of Manitoba, "China's Food: Availability, Requirements, Composition and Prospects" Pierre-Etienne Will, Ecole des Hautes Etudes en Sciences Sociales (Paris). "Some Comments on the Strengths & Weaknesses of the Mid-Qing Granary System" R. Bin Wong, Harvard University, "Food Distribution Crises: Markets, Granaries and Food Riots in the Qing Period" Roy S. Yim, University of Hong Kong, "The Imperial The following are the papers presented at the Management of the Agrarian Crisis in EighteenthCentury Chihli" workshop: David Buck, University of Wisconsin-Milwaukee, "Imperially Inspired Philanthrophy in the Qing: The Case of The consultants who attended were Jared L. .Granaries in the Early Eighteenth Century" Robert Eric Entenmann, Harvard University, "Human and Cohon, the Johns Hopkins University; Michelle B. Natural Causes of Demographic Decline in Sichuan, McAlpin, Tufts University; Jane Menken, Office of 1640-1690" Population Research, Princeton University; G. Fran~ois Godement. Institut National des Langues et Civilization Orientales (Paris), "Famine in the Warlord William Skinner, Stanford University; Vaclav Smil, Age: The 1928-1930 Crisis in North China" University of Manitoba; Charles Tilly, Center for ReJames Lee. University of Chicago, "Population Growth and search on Social Organization, University of MichiRegional Development in Southwest China: 1250-1850" Lillian M. Li, Swarthmore College, "Flood Control and gan; and Thomas B. Wiens, Mathtech, Inc. (Bethesda. Maryland). 0 Famine Relief in the Hai Ho Basin: 1801 and 1917"

Authoritarianism and Dependency in East Asia by Edwin A. Winckler* Two relatively new approaches to com- . parative development are the "world-' system" and the "authoritarian-regime" paradigms. The world-system paradigm (see bibliography, below) represents at least three basic claims. First, the correct unit for analyzing societal development is the global political economy, not individual countries. Second, the global political economy is a stratification system with a top (the industrialized "core"), a middle (the newly-industrialized "semiperiphery") and a bottom (the industrializing "periphery"). Third, the transnational classes defined by global stratification crosscut national societies, superseding

• The authOl', a political scientist. is at both the Department of Sociology and the East Asian Institute. Columbia University.


intranational classes as the relevant context for analyzing the actions of organizations and individuals. Unresolved analytical issues currently being explored include the relations between political and economic dynamics within the world system, the long term historical development of the system, differences in its impact in different geographic regions of the world, and its interaction with the internal characteristics of particular states and societies. I nterest in the progressive strengthening of the global system of states and in the role of the state as a mediator between transnational and intranational society has lead naturally to interest in authoritarian regimes. The authoritarian-regime paradigm (see bibliography, below) also involves at least three basic claims. First, authoritarian political systems constitute a range of types distinct from democracies

on the one hand and totalitarian regimes on the other. Second, all types of authoritarian regimes display discernible but diffuse guiding ideologies, significant but limited institutional pluralism, and substantial but controlled popular mobilization. Third, bureaucratic-authoritarian regimes strengthen state control of both economy and populace, partly to manage economic development in the interest of an incumbent bourgois-technocratic elite, and partly to "demobilize" rival social groups. Current preoccupations include the processes through which authoritarian regimes emerge from or turn into democracy or totalitarianism or change from one type of authoritarian regime into another. Exploration of influences on political change has led naturally to interest in the relationship of particular varieties of authoritarian regimes to particular stages in the development of VOLUME




individual societies, to particular positions in the world system, and to particular stages in the evolution of the world system. I n order to test the relevance of these paradigms for East Asia, a workshop was held on December 18-20, 1980 at the East Asian Institute of Columbia University, under the sponsorship of the Council and the American Council of Learned Societies, with funds provided by the Andrew W. Mellon Foundation. The workshop was organized and chaired by Edwin A. Winckler, Columbia University, and was attended by six scholars who presented papers on Taiwan; eight other Asian specialists and eight comparativists without specific East Asian interests served as commentators and discussants. Some of the participants are actively developing one or both of these paradigms; others are not. The workshop confirmed, however, that these paradigms are among the livelier topics in American social science, suggesting new relevance for diverse Asian materials. The workshop also illustrated that East Asian societies differ from other geographic areas within the world system in ways that require modification of the existing comparative literature. Finally, it demonstrated that the two paradigms are gradually converging and that East Asian cases have a central role to play in this synthesis. This brief report cannot do justice to either the papers or the discussion; it simply attempts to indicate the currents of research and analysis involved. The opening third of the workshop dealt with the early phases of Taiwan's incorporation into the world system and its experience as a peripheral society, both colonial and postcolonial. Commentary by Johanna Meskill, Barnard College, and William Speidel, Charlotte, North Carolina, related Taiwan's social structure under traditional isolation and incipient lIlodernization to its frontier location between a declining Chinese world empire and a rising capitalist world system. Alice H. Amsden, Barnard College, and T. K. Tong, City College of New York, reaffirmed the influence of an endogenous historical legacy on economic and political development, both as an independent variable and as a mediator of exogenous influences. Christopher Chase-Dunn, the Johns Hopkins University, also emphasized that a sophisticated world-system theory should take the internal characteristics of societies into JUNE


account. Edwin Winckler agreed, but added that many of those external characteristics can be explained by internal influences in previous historical eras. A paper by Thomas Gold, Harvard University, saw the political and economic dependence of Taiwanese elites before, during, and after japanese rule as somewhat mitigated by a cultural affinity between the rulers and the ruled. Comments by Ezra Vogel, Harvard University, and Myron Cohen, Columbia University, highlighted the importance of japan to Taiwan both before and after 1945. Bruce Cumings, University of Washington, argued both that japan's role in the world system as a late-developing semiperipheral country explained its development of both Taiwan and South Korea, and that Korea's more central role in the japanese empire explained its harsher exploitation by japan. Papers by Richard E. Barrett, University of Illinois, and Denis F. Simon, National Foreign Assessment Center, explored the interplay of policy struggles within the governments of the United States and Nationalist China in the 194 Os and 1950s, emphasizing the relative autonomy of both states from economic interests in their respective societies. Barrett described the different policy goals of different U.S. agencies, Simon the successful U.S. insistence that the Nationalist government open industrial development to a private sector with significant participation by indigenous Taiwanese. Richard Rubinson, the johns Hopkins University, wondered whether postwar changes in Taiwan's relationship to the world system were accompanied by changes in the Nationalist state; Ralph Clough, Institute for Sino-Soviet Studies, George Washington University, replied that both changed significantly with the outbreak of the Korean War. The middle third of the workshop dealt with Taiwan's transition from a peripheral underdeveloped to a semi peripheral newly-industrialized society between the 1960s and the 1970s. Bruce Cumings argued that the striking postwar parallelism between Taiwan and South Korea in the timing of economic and political change pointed to common external influences . Richard Rubinson attributed the opportunity for Taiwan to develop more to "invitation" from the core than to its own initiative from the periphery, but added that the success of Taiwan's response remains to be explained. james Kurth, Swarthmore College, argued that

it was low-technology, Pacific-first, American industrialists (textiles, metal working) who invited Taiwan to develop as a protected market for trctde in the early 1950s. But it was high-technology, formerly Europe-first industrialists (computers, automobiles) who renewed the invitation in the mid-I96Os by investing in manufacturing in order to lower their costs of production. Robert Kaufman, Rutgers University, noted that world-system theory does not predict which countries will advance from peripheral to semi peripheral status and suggested that the leverage of particular peripheral countries with particular core countries may provide part of the explanation. A paper by Thomas Gold traced shifts in the triangular balance between the world system, the Nationalist state, and Taiwanese entrepreneurs. Peter Evans, Brown University, thought that on Taiwan, in comparison with Brazil, external actors are weaker, the state stronger, and the national bourgoisie about the same. Mrinal Datta-Chaudhuri, Institute for Advanced Study (Princeton, New jersey), argued that the different practices of different foreign trading companies in different Asian countrjes may have had a larger external impact in Asia than, say, differences in foreign investment. Christopher Chase-Dunn called for more sophisticated conceptualizations of dependency, pa rticu la rly trade. A paper by Susan Greenhalgh, Columbia University, argued the continuing strong role of fillnily organization in redistributing income within Taiwanese society. Hill Gates, Central Michig-,m University, noted indications that traditional social behavior may now be changing rapidly on Taiwan and questioned how strong the influence of family organization on economic distl"ibution would continue to be. Myron Cohen, however, saw family change as lagging behind economic change. Richard Rubinson said that ifthe influenceofthe famil yon income distribution is stronger on Taiwan than elsewhere, this itself needs explanation. The closing third of the workshop dealt with the characteristics of the emerging semiperipheral, newly-industl"ialized society on Taiwan. A paper by Denis Simon explained the potential role oftechnology transfer as a means to incre"dse Taiwan's leverage in external transactions. Peter Evans distinguished the types of organizations from whom, by whom, and to whom technology was being transferred,


suspecting that it was only large-scale firms that could fully absorb advanced foreign technology. A paper by Richard Barrett argued that the role of the Nationalist state in Taiwan's economy has increased as a concommitant of industrial deepening and infrastructure construction. James Kurth agreed that such changes might be significant but argued that under the rational-bureaucratic influence of late-developing Japan, late-late developing Taiwan and South Korea were "born" bureaucratic-authoritarian and have largely remained so. One paper by Edwin Winckler sketched the gradual convergence of the factional political struggle within the Natiomi.list state and the economic conflict within the Taiwanese elite, while another outlined the controlled incorporation of successive classes of Taiwan society into the authoritarian Nationalist political system. A paper by Bruce Jacobs, La Trobe University (Australia), and commentary by James Seymour, New York University, traced the historical roots of political opposition to the ruling Nationalist party, culminating in the upsurge and suppression of opposition activity in the late 1970s. James Kurth emphasized the mutually reinforcing combination on Taiwan of Chinese ideology, Japanese administration, and Leninist party organization. On the future potential for transition from authoritarianism to democracy, Juan Linz, Yale University, urged more attention to the formal structure of the Nationalist state and to its political rather than economic problems. Emily Ahern, the Johns Hopkins University, underlined the need for ethnographic studies of how power, democracy, and development are conceptualized in Chinese political culture. In addition, a problematique by Edwin Winckler surveyed the dimensions of the world-system and authoritarian-regime paradigms highlighted by the East Asian cases, recommending independent elaboration of political-military, socioeconomic, and historical-cultural logics and linkages. Comparative commentary by Theda Skocpol, Harvard University, argued that East Asian cases could contribute to existing theory either by exposing previously implicit assumptions or-more interestingly-by modifying old and adding new hypotheses. A wideranging paper by Susan Greenhalgh argued that East Asian cases should not be explained away as minor exceptions to existing theories, but r~ther should force


examination of such additional dimensions as regional geopolitical relations, the spatial distance between countries, and the temporal stage of development of the world system itself. The workshop revealed three areas that need additional research. First, synthesis of the world-system and authoritarian-rel"rime paradigms requires the integration of external events and internal developments. The concomitant of raising such broad issues is the problem of how to -encompass so many phenomena within manageable research prqjects. The one paper on South Korea, by Bruce Cumings, was the only one fully to integrate actual research on supranational institutions, national actors, and subnational forces. Some of the papers on Taiwan, although stressing the relevance of external events, stuck with the task of opening a discussion of neglected aspects of domestic development. Others tackled research on extranational inputs (mostly on the basis of recently declassified papers on U.S. AI D in the late 1940s), but in the process abandoned research on their intranational cou nterparts. Second, elaboration of the worldsystem and authoritarian-regime paradigms also requires more detailed modeling of the middle levels of both global and national society. Japan was underrepresented at the workshop; evidently American scholars have written little about the role of either Taiwan or South Korea in the Japanese economy, either before or after 1945. Even the sometimes excellent accounts of Japanese policy on Taiwan do not follow either politics or economy into the late 1930s and early 1940s. Also missing were the middle levels of Taiwan itself-systematic confrontation of (often externally induced) regional variation and systematic analysis of (often externally recruited) regional elites. Third, specification of the worldsystem and authoritarian-regime paradigms for the postwar period requires more attention to its formative years in the I 940s. Whatever economic and political foundation the Japanese had laid in the 1930s, presumably World War II caused significant changes in both economic and political policy and significant changes in both social and geographic mobility-among both elites and masses, in both Taiwan and Korea. Whatever the situation as of 1945, Taiwan evolved in response to rapidly changing external parameters (decolonization from . Japan,

reintegration with the mainland, disruption by civil war, and adaptation to evolving East Asian international relations) in the mid-I 940s. Whatever the baseline as of 1949, Taiwan was then swamped under a wave of mainlanders with their own different experience of the 1940s. Whatever the structural parameters of development over the next 30 years, arguably they were laid by the mid-1950s. Aside from its substantive content, the workshop was of interest for some of its organizational features. Focus on the world-system and authoritarian-regime paradigms enabled a mixed group to bypass disciplinary boundaries and address issues of common interest. Advance distribution of commissioned papers on workshop themes obviated author presentations, enabling the workshop to begin from critiques by comparativists and proceed to general discussion. An even balance between Taiwan, Asian, and global researchers stimulated genuinely comparative debate, unlike what occurs at conferences where nonsinologists are outnumbered twenty-to-one. The discussants were those proposed by the Taiwan paper writers themselves, who remain grateful for the comparativists' participation and were encouraged by their lively interest in the Taiwan case. The sinologists present work as much on the People's Republic and on comparative analysis as they do on Taiwan; all of them regret the continuing inexcusable compartmentalization between studies of Taiwan and the rest of China, and between studies of China and the rest of the world.

Bibliography Alfred Bergeson, editor, Studies of the Modern World-System. New York: Academic Press, 1980. David Collier, editor, The New Authoritarianism in Latin America. Princeton University Press, 1979. Peter Evans, Dependent Development: The Alliance of Multinational, State, and Local Capital in Brazil. Princeton University Press, 1979. Juan Linz, "Totalitarian and Authoritarian Regimes," in Political VOLUME




Science: Scope and Theory. Volume 7. Edited by Fred 1. Greenstein and Nelson W. Polsby. Reading, Massachusetts: Addison-Wesley, 1975. John W. Meyer and Michael T. Hannan, National Development and the World System: Educational, Economic, and Political Change, /950-/970. University of Chicago Press, 1979.

Francis Moulder, Japan, China, and the Modern World Economy. New York: Cambridge University Press, 1977. Political Economy of the World-System Annuals. Beverly Hills, California, 1978-81. Theda Skocpol, States and Social Revolutions. New York: Cambridge University Press, 1979.

Ellen Kay Trimberger, Revolution from Above: Military Bureaucrats and Development in Japan, Turkey, Egypt, and Peru. New Brunswick, New Jersey: Transaction Books, 1978. Immanuel Wallerstein, The Modern World-System. Volumes 1-2. New York: Academic Press, 1974, 1979.

Current Activities at the Council Research on the 1980 census In March 1981 the Council announced the appointment of a new National Committee for Research on the 1980 Census, sponsored by the Council, the Russell Sage Foundation, and the Alfred P. Sloan Foundation. The committee will be responsible for a three-to-five year program of research and publication, using the vast amount of information obtained during the 1980 Census of Population and Housing. The committee's activities will build on the results of previous projects that analyzed the results of the 1920, 1930, 1950, and 1960 censuses, and that led to the publication of over 50 books and monographs. The U.S. Bureau of the Census, which sponsored and collaborated in earlier prqjects, will also cooperate in the new venture. The committee plans to commission a series o(reports that will be based on analyses of the data from the 1980 and earlier censuses. Funding for the initial phase of the prqject is being provided by the Russell Sage and Sloan foundations. Additional support is being sought from both public and private sources. The chairman of the committee and its executive director is a demographer, Charles F. Westoff, professor of sociology and director of the Office of Population Research at Princeton University. Westoff was executive director of the Commission on Population Growth and the American Future (1970- 72), a national commission chaired by the late John D. Rockefeller, 3rd. The members of the committee are John S. Adams, University of Minnesota, geographer; Anthony Downs, The Brookings I nstitution (Washington, D.C.), economist; Leobardo Estrada, JUNE


University of California, Los Angeles, demographer; Reynolds Farley, University of Michigan, demographer; Victor R. Fuchs, Stanford University, economist; Bernard R. Gifford, Russell Sage Foundation (New York), policy analyst; Paul C. Glick, U.S. Bureau of the Census, demographer; Sidney Goldstein, Brown University, demographer; Charles V. Hamilton, Columbia University, political scientist; Tamara K. Hareven, Clark University, historian; Nathan Keyfitz, Harvard University, demographer; Cora B. Marrett, University of Wisconsin, sociologist; Robert K. Merton, Columbia University, sociologist; Frederick Mosteller, Harvard University, statistician; Isabel V. Sawhill, The Urban Institute (Washington, D.C.), economist; William H. Sewell, University of Wisconsin, sociologist; Michael S. Teitelbaum, Ford Foundation (New York), demographer; James R. Wetzel, U.S. Bureau of the Census, economist; and Raymond E. Wolfinger, University of California, Berkeley, political scientist. David L. Sills and Robert Parke will serve as staff to the committee.

Fellowships in employment and training The Committee on Dissertation Fellowships in Employment and Training was appointed in 1980 as a screening committee to administer a program formerly administered by the National Council on Employment Policy and prior to that by the Employment and Training Administration of the U.S. Department of Labor. Screening committee evaluation meetings held on November 24, 1980 and February 9, 1981 led to 12 dissertation

awards made to nine universities. The recipients of these awards, and their topics of study, are listed under "Fellowships and Grants" in this issue. The fellowship program is staffed by Robert Pearson and by Joseph B. Epstein, consultant. Information about the fellowship program may be obtained from: Dissertation Fellowships in Employ~ent and Training Social Science Research Council 1755 Massachusetts Avenue, N.W. Washington, D.C. 20026 In addition to sponsoring this awards competition, the Council is seeking to develop a research planning activity in the area of employment and the labor market. On May I, 1981 an all-day meeting was held on "Employment, Productivity, and the Unrecorded Economy," chaired by Frank P. Stafford, University of Michigan. This activity is staffed by Richard M. Scheffler.

Mexican peasant rebellions The Joint Committee on Latin American Studies' project on the comparative study of Mexican peasant rebellions is seeking to explain why and when peasants rebel, the forms that their uprisings take, and the outcomes. The method for achieving this goal is to bring together researchers who have studied specific instances of peasant rebellion in widely differing regional and historical settings. By highlighting and clarifying the most significant similarities and differences in the cases considered, the participants hope to develop an analytical framework which will be of use to students of peasant


movements in Latin America and other regions of the world. The prqject's lirst meeting took place February 27-March I. 1981. in Ixtapan de la Sal, Mexico; it was coordinated and chaired by Friedrich Katz. University of Chicago. Papers were presented in sessions defined by historical period (the colonial period. the 19th century, the 20th century); a linal session centered on two papers which sought to provide a comparative overview of peasant uprisings in the region. one discussing Mexico and the other Latin America and the Caribbean more generally. As participants discussed the papers. three central themes emerged. First, a common precondition of peasant rebellions in Mexico has been the intensifying commercialization of agriculture in the region. However, the forms that this commercialization assumed have varied greatly depending on the commodity being produced. the nature of the markets for which production was destined. and the historical moment during which the commercialization occurred. Participants argued the need for a close examination of the nature of commercialization in different settings and its relationship to broader economic trends at the national and international level. Second. there was agreement on the importance of documenting the forms of labor which prevailed in the region or time period. Comparison of the papers yielded striking differences in collective behavior among. for example. peones who were part of the permanent labor force of a large estancia. Indians who farmed lands which were the communal property of the village in which they lived. and migratory wage laborers. Finally, participants discussed the need to analyze state-society relations. This topic includes not only the relationship of peasants to the state which rules them. but also the relationship between elites. both local and national. and the institutions of government. A number of papers discussed rebellions that were actively fomented by regional elites who were in opposition to policies ilhposed by the national state. Indeed, uprisings promoted or condoned by local elites played a m~jor role in initiating the movement for national independence in 1810 and the later national revolution in 1910. In order to understand why elites would be willing to enlist peasants as allies against the state. and why peasants would be responsive to such appeals. it is essential to examine the


forms which the state assumed in different local contexts and the impacts of state policies on local societies and economies. Participants in the project will now undertake revisions of their case studies so as to address them directly to the comparative issues raised. A second meeting will be held in February 1982 at which the revised papers will be presented. following which they will be published as volumes in both English and Spanish. In addition to Mr. Katz, participants in the conference included Ulises Beltran, University of Chicago; Rilymond Buve. University of Leiden; John Coatsworth, University of Chicago; Richard Estrada, EI Paso. Texas; Enrique Florescano. National Institute of Anthropology and History (Mexico City); John M. Hart. University of Houston; Evelyn HuDeHart. Washington University; Romana Falcon de Meyer. El Colegio de Mexico; William Meyers, University ofOklahomil; Enrique Montalvo. University of Puebla; Herbert J. Nickel, University of Bayreuth; William Taylor, University of Colorado; Hans Werner Tobler, National Technical University (Zurich); John Tutino, University of California, Berkeley; Arturo Warman, National Autonomous University of Mexico; Robert Wasserstrom. Columbia University; and George Reid Andrews, staff.

Property in the Near and Middle East The Subcommittee on Law and Social Structure of the Joint Committee on the Near and Middle East sponsored a conference on property law and property rights at the Rockefeller Foundation Conference Center in Bellagio. Italy on November 29-December 3. 1980. Thirteen papers were presented by scholars from the disciplines of anthropology, civil engineering, history. law. political science. and sociology. The participants were from Egypt, France, Israel, Lebanon, Morocco, Sweden, Tunisia. the United Kingdom, and the United States. The conference was planned on the assumption that property. broadly defined, is so intimately related to social structure that its further examination would lead to a better understanding of the interaction of law and society. The first part of the conference centered on divergencies between traditional and contemporary concepts of property, on the divergencies between customary

law and statute law with respect to property, on the way property is perceived within political parties and movements. and on the way statute law has had to be acHusted so that forms of property which have recently been developed fall within its purview-all in the context of how they affect or are affected by social structure. The second part of the conference was devoted to an examination of state and foreign interventions affecting property lilw and property rights. Specific attention was paid to stilte ownership ilnd control of property. technology transfer. the effects of demographic policies. ilnd oil regulation ilnd oil revenue policies. Although laws do exist to provide for the holding and transfer of wC'dlth and lor the enforcement of property rights. it is genemlly recognized that human ingenuity exercised outside of or even against the norms of the formal legal system provides lor other means of realizing the same oqjectives. When disputes about land holdings, water distribution, tax rights. housing, or credit arise, there are formal and informill means to settle them. The final part of the conference was thus devoted to iI series of specific case studies of property and property rights giving particular emphasis to comparisons between what the law says and how it operates in practice, the problems created by divergencies between the two. and what, if ilnything, such divergencies reveal about the social structure. At the end of the conference. Laura Nader presented a summary of the m~jor discussions, gave an overall critique of the papers, and suggested a framework in which to present the papers to a wider audience in ,\ symposium volume. Following the conference. the subcommittee met and appointed Ann Elizabeth Mayer as editor. The participants at the conlerence were Habib Attia, Centre National de la Recherche Scientifique (Tunis); Charles Butterworth. University of Maryland; Steven Carlson, International Development Cooperation Agency (Tunis); Ali Dessouki, American University in Cairo; Thomas Gerholm. University of Stockholm; Abdullah Hammoundi. University Hassan II (Rabat); Milad Hanna, Ayn Shams University (Cairo); Pamela Johnson, International Development Cooperation Agency (Washington. D.C.); Samir Khalaf, American University of Beirut; Robert J. Lapham. National Research Council (Washington, D.C.); Remy Leveau, University of Paris; Abraham VOLUME




Marcus, University of Texas; Ann Elizabeth Mayer, University of Pennsylvania; Laura Nader, University of California, Berkeley; Amal Rassam, Queens College, City University of New York; Jeswald Salacuse, Southern Methodist University; Frank Stewart, Oxford University; Laurence Michalak, University of California, Berkeley, rapporteur; Rowland L. Mitchell, Jr., staff.

Korean religion and society Ritual practices and religious beliefs in Korea reflect, comment upon, and sanctify different orders of social organization: household, family, sex roles, lineage, community, and state-the basic elements of Korean social structure. The mi~jor religious traditions in Koreashamanism, Confucianism, Buddhism, and Christianity-have imparted to Koreans a revitalized world view consonant with the transformation of these social units and they have equally been the backbone of stability and deep-seated conservatism. The Korean interpretation of such universal experiences as birth, marriage, death, and affliction helps to form that which is Korean in Korean religious behavior. While the study of Korean religion has long been neglected in Western scholarship, among scholars in Korea the issue of indigenous belief and practice has inspired a great deal of research and debate as well as voluminous publication. From at least the inception of the Yi dynasty (1392-1910), significant policy changes and political struggles were articulated as debates over "proper" or "improper" ritual. The Yi dynasty Confucians put together a powerful religious-political structure that endured until the independent Korean kingdom's demise. The first national mass movement, the religiously inspired Tonghak Rebellion (1894-1896), precipitated Korea's long domination by foreign powers. Throughout dynastic times, religious issues could and did ignite tension between local populations and the national polity. The arrival of Roman Catholic missionaries in the 17th century, for example, sparked severe persecution by the government. More recently, government-sponsored New Community Movement activists have found themselves at loggerheads with local elders during "antisuperstition" campaigns. By the late 1970s, a group of younger JUNE


American scholars-including several former Peace Corps volunteers-had experienced extended contact with the Korean people and were developing new perspectives on Korean religion and society. New materials-both descriptive and analytical-were now beginning to appear in dissertations and in articles written for professional journals. At the same time, interest in new social science perspectives gained an audience on Korean campuses where some scholars had begun to apply these concepts in their own study of Korean religion. With the support of the Joint Committee on Korean Studies, Laurel Kendall, University of Hawaii, and Griffin Dix, University of Santa Clara, organized a conference that brought together 16 specialists-anthropologists, social historians, philosophers, and religious historians-on August 24-29, 1980. The oqjectives of the conference were to stimulate cross-disciplinary discussions on Korean religion, tempering each scholar's contribution with historical perspective and ethnographic breadth; to encourage dialogue between Korean and Western scholars; and to focus on significant points of comparison with China and Japan. Each participant was asked to prepare a paper on an aspect of Korean religious life analyzed in the context of Korean history or social organization. Discussion sessions concentrated on beliefs and rituals that demarcate kin groups and communities, neo-Confucian philosophy and its impact, village rites, household rituals, healing ceremonies, the meaning of death and mourning, male and female ritual roles, urban religious specialists, and the appeal of other religious options-Christianity and the new religions. It was acknowledged in the discussions that there were some serious omissions at the conference which would be high on any list for future study. The absence of a paper on Korean Buddhism was lamentable-how was Koryo society (918-1392) "Buddhist" in contrast to the successor Yi dynasty's "Confucianism"? And what corner of religious life does Buddhism hold in Korean society today? A thoroughgoing consideration of Korean Christianity, a proportionately larger movement in Korea than in either China or Japan, was also missing. The discussions suggested the need for crossdisciplinary consideration of Korean religion at various levels of theoretical abstraction. The power of "religious" con-

cepts, symbols, and acts does not lie solely in the traditional adaptation which elites fostered or solely in the supplements to these traditions which are more compatible with the life experiences of rural people, but rather, in their interconnectedness, their complementarity, and in the willingness of participants in religious systems to ignore discrepancies. The effects of religion and ritual are evident not only in the various traditional aspects of Korean social organization, but also in the mental framework which may still be brought to bear when an important social or temporal transition is made. In addition to the organizers, the participants in the conference included Kilsong Ch'oi, Keimyong University; Mark L. Cozin, Somerset County College; Martina Deuchler, University of Zurich; C. Paul Dredge, Northeastern University; Youngsook Kim Harvey, Chaminade University of Honolulu; Dawnhee Vim Janelli, Indiana University; Roger L. Janelli, Indiana University; Michael C. Kalton, Wichita State University; Jungyoung Lee, University of North Dakota; Kwang-kyu Lee, Seoul National University; Robert J. Smith, Cornell University; Brian A. Wilson, St. Norbert College; Arthur P. Wolf, Stanford University; and Barbara E. Young, University of Washington. Ronald Aqua served as staff.

Transnational phenomena Last year the Council undertook a review of its international program with the assistance of an ad hoc committee. One of the recommendations of that committee was that the Council expand the scope of its international program to give systematic attention to transnational phenomena. To explore possible research planning prqjects that might be undertaken to advance understanding of transnational phenomena and relationships, the Council convened a planning meeting on April 2-3, 1981. The participants were Albert Fishlow, Yale University, chairman; C. Frederick Bergsten, Carnegie Endowment (Washington, D.C.); James D. Caporaso, University of Denver; Michael W. Doyle, Princeton University; Peter Evans, Brown University; Gerald K. Helleiner, University of Toronto; Guillermo O'Donnell, Center for the Study of State and Society (Buenos Aires); Alan Richards, University of California, Santa Cruz; Hans Schmitt, International Monetary Fund m~jor


(Washington; D.C.); Sidney Verba. Harvard University; Louis T. Wells. Jr .• Harvard University; Aristide R. Zolberg. University of Chicago; Martha A. Gephart and Kenneth Prewitt. Social Science Research Council. Participants in the meeting noted that the advance of transnational phenomena during the past several decades. which has resulted in increasing economic and cultural interdependence. has been accompanied by the spread and intensification of nationalism in many parts of the world. The organization of production on a transnational basis by a small number of firms. for example. has led not to the obsolescence of the nation state. as had once been expected. but instead to its reassertion. particularly in host countries. Similarly. the increasing integration of financial markets has led not to monetary union but to greater flexibility of exchange rates among the major national currencies. These reassertions of state power have resulted in fundamental changes in interstate relations. as for example. in the fields of energy and monetary relations. and to complex readjustments among states. and between states and transnational enterprises. These transformations remain poorly understood and pose a major analytic challenge for both the researcher and the policy maker who seeks to understand .them and their impact on events and phenomena within nation states. The planning group concluded that there are three different but related ways of understanding the simultaneous advance of transnationalism and nationalism and their effects on international relations. One approach would analyze alternative theoretical paradigms which conceptualize global processes. Applying such models. one might examine in historical perspective the nature and spread of world capitalism; the international prqjection of the system of international enterprises and institutions; the expansion and globalization of labor markets; and the evolution of the nation state including its security and hegemony concerns. A second approach would examine the consequences of the international system for particular sets of actors. such as that group of newly industrialized or emerging semiperipheral states which are integrated into the world system. Such an analysis would evaluate similarities and differences among them and the nature and role of the state. including the interaction of domestic and


international political pressures within states and the relationship of that interaction to the evolution of state structures. A third approach would consider a series of institutional questions arising from the nature of interactions between global transnational processes and states. Such an approach would investigate patterns of elite networks and interactions that are emerging outside of international institutions. and the changing character of international institutions themselves. including evolving institutional forms which combine private and public elements. Planning is now going forward to organize prqjects which employ these approaches to conceptualize and study linkages between transnational processes and institutions and the national state.

Request for African Research Planning Proposals The Joint Committee on African Studies. which is sponsored by the Social Science Research Council and the American Council of Learned Societies. administers a program of activities designed to advance social scientific and humanistic research in and on sub-Saharan Africa. Through its research planning program of workshops and conferences. the committee seeks to bring together scholars from different areas of the world to synthesize empirical findings. to assess gaps in existing knowledge. to stimulate new research. and to contribute to the development of a diversity of theories that will increase our understanding of African societies and of human behavior more generally. The committee is particularly interested in prqjects which assess the impact of the global system and of transnational phenomena on African states and societies. and in prqjects which comparatively analyze phenomena that occur in different historical and cultural settings. I n order to encourage the development of innovative research planning projects. the committee has established an international competition that offers small grants for the support of preliminary phases of such projects. Individuals and groups of scholars may apply for grants of up to $3.000 to organize planning meetings. working groups. and workshops. Deadlines for submitting applications are February 1 and August 1 of each year. Guidelines are available from Martha A. Gephart at the Council.

Joint Committee on Afrkan Studies: Review of the field In order to stimulate a dialogue that will assess the state of social scientific and humanistic research on Africa. the Joint C..ommittee on African Studies has decided to commission papers. reviewing the state of research on particular topics. that will be presented in committeesponsored panels at the annual meetings of the Afi-ican Studies Association. The first series of panels will take place at the 1981 meeting of the Association that will be held in Bloomington. I ndiana from October 21-24. 1981. The committee has commissioned state of the art papers on four themes: (1) state and social processes; (2) Africa and the world economy; (3) belief and ideology; and (4) household and community. Scholars who have contributed to debates on these topics have been invited to prepare written responses to the commissioned papers. Together. they will serve as the basis for open discussion at special sessions that have been scheduled each afternoon_

The use of personal testimony One of the topics discussed at an October 1981 Council symposium on "The Humanities and the Social Sciences" (see [temf, December 1980. pages 54-57) was the nature of personal testimony. Both social scientists and humanists employ statements from individuals (e.g.• diaries. interviews. letters) as raw material for the analysis and interpretation of events. The ways of using stich statements vary considerably. depending upon a scholar's discipline and substantive interests. and each scholar must confront issues concerning both the testifier's reliability and the testimony's generalizability. While personal testimony is at the core of much scholarship. only infrequently has it been the subject of methodological inquiry. In what ways do approaches differ and how do these differences influence a scholar's conclusions? To explore these questions further. the Council sponsored a small interdisciplinary meeting on March 6. 1981 with scholars representing a wide range of disciplinary skills and substantive interests. The participants included Kai T. Erikson. sociology, Yale University; James W. Fernandez. anthropology, Princeton University; Paul Fussell. English literature. Rutgers University; Fred I. Greenstein, political VOLUME




science, Princeton University; A. Walton Litz, English literature, Princeton University: Norman N. Holland, English literature, State University of New York at Buffalo: John Padgett, sociology, Harvard University; Kenneth Prewitt, political science, Social Science Research Council: Peter B. Read, sociology, Social Science Research Council; Joan W. Scott, history, Brown University; and David L. Sills, sociology, Social Science Research Council. Each scholar described his or her use of personal testimony and considered its unique value as evidence and how conclusions are derived from a limited number of such testimonies. They detected in the work of others similar struggles with problems of testifier bias and inaccuracy, but were perhaps surprised to find that the principles employed to turn testimony into knowledge (or at least into tentative proposals about the world) are rarely formulated or expressed to others. In assessing the usefulness of personal testimony, participants concluded that the issue is not how to sift fact from fiction, but rather how to increase awareness of the perceptual and interpretive processes employed both by the narrator in reporting an event and the social scientist or humanist in analyzing and interpreting the narrator's statement. No single actor in the sequence that flows from event to final interpretation is free of assumptions, conceptualizations, biases, and inaccuracies, and each lends a unique form to the testimony or its use. There was a time when the factors filtering the "reality" of original events were considered damaging or confining; for example when Gordon W. Allport listed the factors that make "the case against personal documents" (The Use of Personal Documents in Psychological Science, Council Bulletin 49, 1942). He noted, for example, that oversimplifications and implicit or arbitrary conceptualizations can detract from the value of personal statements. There is now, however, an acceptance-perhaps even an advocacy-that these filtering processes are an inherent and meaningful part of any communication about the world. A scientist or humanist should not seek to eliminate the filters but rather be conscious of them and account for them as part of the research or creative process. Perhaps the most difficult aspect of this effort for scholars is bringing into consciousness their own formulaic principles for doing this. JUNE 1981

For most scholars, however, there is little self awareness of the rules they employ in using testimonial materials and little understanding of the principles employed by others. How does one decide which type of testimony materials are appropriate for a given purpose (letters, diaries, speeches, interviews, etc.)? How is the appropriate testifier selected? Are there different types of testifiers? When is a testimony best for learning about an individual, a specific social group, an historical period, or a social and psychological process? How does one identify and account for the biases and inaccuracies in personal testimony? What rules are employed to generalize from one case to many? This last issue, of the procedures for generating knowledge from a single case, captured the attention of the participants. They discussed a variety of approaches to generalizations that are employed by scholars including the summing of individual cases, the identification of modal patterns, rituals, artistic structures, and dynamic processes, and the analysis of linguistic usage. Participants noted that while many of these approaches are familiar to scholars engaged in work with personal testimony, they have not been systematically examined and compared as research methods. They concluded that research in both the humanities and the social sciences would benefit from such a comparison of techniques-to identify the commonalities, strengths, and limitations of each approach. They suggested a number of ways to encourage this new work; the Council staff is exploring these ideas for possible future attention.

Social and affective development during childhood The Committee on Social and Affective Development During Childhood is conducting a series of activities to encourage new developmental research that addresses the connections among social behavior, affect, and cognition. This new research requires a consideration of theory and findings from diverse disciplinary perspectives; the committee's activities during the past year reflect this interdisciplinary theme. Several meetings were held in which scholars were invited to inform the committee of recent research and to help plan future committee projects.

Seminar on affect and cognition. Within psychology, there has been renewed interest in the study of emotions. Some of this attention has built upon recent studies of cognition that point to ways in which cognition and affect necessarily interact and may be far less independent systems than some theories propose or some scholars espouse. The committee has long believed that childhood is an ideal period in which to study the emerging relationships between feelings and thoughts. It had sponsored two previous seminars on the topic and on January 24-25, 1981 convened a small group to review some of the m<uor issues and suggest ways in which the committee might encourage needed research. Participants in this meeting were Joseph J. Campos, University of Denver; Martin L. Hoffman, Graduate Center, City University of New York; Carroll E. Izard, University of Delaware; Richard S. Lazarus, University of California, Berkeley; Ulric !'II eisser, Cornell University; Robert Zajonc, University of Michigan; and Peter B. Read, staff. Previous committee consideration of affect and cognition had suggested the desirability of initiating a summer training institute on affect and cognition and much of this meeting was devoted to defining a structure and content for such a program. Participants concurred that there is a growing group of young scholars interested in the connections between affect and cognition and that a postgraduate, research-oriented institute would provide a valuable impetus for new work. While a coherent curriculum would be difficult to develop at this point, there is a common core of important issues and relevant research that would provide a meaningful focus for students and faculty in a summer institute. The committee is developing plans to seek support for such a training institute. In addition to plans for a training institute on affect and cognition, the committee intends to sponsor publication of a volume on affect and cognition (with an emphasis on development), to be edited by Mr. Izard, Jerome Kagan and Mr. Zajonc. Seminar on developmental psychopathology.

There is growing interest among developmental researchers and clinicians in the origins and life course of various abnormal behaviors, from such physiologically based disorders as Tourette's syndrome. to a range of psychological difficulties including depression. The committee be-


lieves that a more thorough knowledge of child development would result from research that builds upon insights derived from work within clinical settings. Furthermore, it believes that the treatment of childhood pathologies can be informed by research conducted with both normal and abnormal children. In both research and practice, the committee wishes to encourage a developmental perspective that considers continuities and changes across periods of the life cycle. As a first step towards the encouragement of new research on developmental psychopathology, the committee sponsored a small planning meeting on November 4-5, 1980. While there was some discussion of recent research on topics such as teenage suicide and the effects of television on aggression, the m~jor task of this group was to develop strategies for encouraging new communication and collaboration between the clinical and research worlds concerned with child development. While agreeing that these collaborative efforts are timely and desirable, they noted many obstacles to a coherent development of this emerging al'ea of study. Career lines and professional rewards are drastically different for researchers and clinicians. The content of training programs for clinical researchers and developmental psychologists varies considerably. just as there are numerous theoretical perspectives within developmental psychology, there are many therapeutic approaches within the clinical community. Attempts to unite researchers and clinicians to examine common issues in child development must account for and build upon these differences. Participants were of one mind, however, in wishing to encourage the growth of communication between clinicians and researchers who work with children. They suggested several activities for future work by the committee that would


contribute to the construction of new channels of communication and to the design of new developmental research on childhood disorders. The committee is planning a conference on childhood depression and is exploring the needs for professional training in developmental psychopathology. Participants in this meeting included Thomas M. Achenbach, University of Vermont College of Medicine; Donald Cohen, Yale University; Leonard D. Eron, University of Illinois, Chicago Circle; Norman Garmezy, University of Minnesota; William W. Hartup, University of Minnesota; Martin L. Hoffman, Graduate Center, City University of New York; Carroll E. Izard, University of Delaware; Michael Lewis, Educational Testing Ser\'ice (Princeton, New jersey); Peter B. Read, Social Science Research Council; Michael Rutter, Institute of Psychiatry, London; Sebastiano Santostefano, McLean Hospital, Belmont, Massachusetts; Alan Sroufe, University of Minnesota; Hussain Tuma, National Institute of Mental Health. Conference on conceptions of culture and its acquifition. The committee has for some time been interested in stimulating new research on the contribution of culture to early socialization. Culture, and its role in child development, has received little theoretical or empirical attention since cultural anthropologists began investigating the relationship of personality to culture in the I930s. There are few sources where researchers, wishing to incorporate a consideration of culture, can find a comprehensive discussion of various conceptions and relevant acquisitional processes. The committee has noted a renewed interest, however, among both anthropologists and psychologists, in the examination of culture and its relationship to socialization. Under the leadership of Robert A. LeVine and Richard A. Shweder it sponsored a con-

ference on "Conceptions of Culture and Its Acquisition" on May 8-10, 1981. This meeting provided the opportunity for leading researchers to address fundamental issues concerning the definition of culture and some implications of these conceptions for childhood socialization. The committee plans to publish a volume based on presentations and discussion at the conference. Papers were presented on the following topics: "Language Origins and the Nature of Culture" (Robbins Burling, University of Michigan); "Cultural Meaning Systems" (Roy G. D'Andrade, University of California, San Diego); "Varieties of Symbolic Approaches to the Analysis of Culture and Conduct" (Michael M. J. Fischer, Harvard University); "The Ethnographic Investilfcltion of Emotion" (Robert Levy, University of California, San Diego); "Towards an Anthropology of Self and Feeling" (Michelle Rosaldo, Stanford University); "Processes of Cultural Acquisition" (Bambi Schieffelin, University of Pennsylvania); "There's More to Thinking Than Reason and Evidence" (Richard A. Shweder, University of Chicago); and "The I mplications of Models of Culture for Language" (Michael Silverstein, University of Chicago). Scholars who were invited to discuss these papers included : jerome E. Bruner, Har\'ard University; Howard E. Gardner, Harvard University; Clifford Geertz, Institute for Advanced Study (Princeton, New jersey); jiirgen Habermas, Max Planck Institute (Sternberg); Paul Kay, University of California, Berkeley; Robert A. LeVine, Harvard University; David M. Schneider, University of Chicago; Catherine Snow, Harvard University; Robert Solomon, University of Texas; Melford E. Spiro, University of California, San Diego; Elliot Turiel, University of California, Berkeley; Zeno Vendler, University of California, San Diego.





Newly-issued Council Publications Japan Before Tokugawa: Political Consolidation and Economic Growth, 1500 to 1650, edited by john Whitney Hall, Nagahara Keiji, and Kozo Yamamura. Papers from a conference sponsored by the joint Committee on japanese Studies and the japan Society lor the Promotion of Science, held on Maui, Hawaii, August 28-September 2, 1977. Princeton University Press, 1981, xiv + 392 pages. The 1977 conference from which the essays in this book are derived was conceived of in part as parallel to a Coullcilsponsored conference on Muromachi japan held in Kyoto in 1973. It brought together equal numbers of japanese and American historians specialized in Sengoku to early Edo history. All but two of the papers were prepared by the japanese; these were in turn translated and adapted by the Americans, who in their own right are knowledgeable about the subject of the papers they were asked to translate. The result is a collection of essays recapitulating the major findings of postwar japanese scholarship in this area and making them available in English for the first time. The essays explore japan's transition from medieval (ChITsei) to early modern (Kinsei) society. During this time, regionallords (daimyo) first battled for local autonomy and then for national supremacy, and japanese society was greatly transformed in the process. The essays cover the following topics: how two great daimyo came into existence and held on to their extensive domains; two special aspects--house laws and regulation of trade-of daimyo rule; the political, social, and economic policies of Oda Nobunaga and Toyotomi Hideyoshi; the maturation of the bakuhan system under the Tokugawa shogunate; and the nature of urban and economic growth that accompanied the transformation of the political order from Chrrsei to Kinsei times. In addition to the editors, the contributors to the volume include Peter J. Arnesen, University of Michigan; Asao Naohiro, Kyoto University; Martin Collcutt, Princeton University; George Elison, Indiana University; Fujiki Hisashi, Rikkyo University; Susan B. Hanley, University of Washington; William B. Hauser, University of Rochester; Marius B. jansen, Princeton University; Katsumata Shizuo, University of Tokyo; Matsuoka Hisato, JUNE


Hiroshima University; james L. McClain, Brown University; Sasaki Gin'ya, Chuo University; Sasaki junnosuke, Hitotsubashi University; Ronald P. Toby, University of Illinois; Wakita Haruko, Tachibana Women's University (Kyoto); and Wakita Osamu, University of Osaka. Political Opposition and Local Politics in Japan, edited by Kurt Steiner, Ellis S. Krauss, and Scott C. Flanagan. Papers from a conference sponsored by the joint Committee on japanese Studies held in Wilmington Beach, North Carolina, june 24-27, 1976. Princeton University Press, 1980. x + 486 pages. japan's national government, and most of its local governments, have been in conservative hands for more than three decades. Recently, however, the strength of progressive opposition forces has been increasing at the local level. The contributors to this volume analyze this increasing opposition to determine whether it is a temporary phenomenon or portends permanent changes. In so doing, they contribute to theory building in the field of comparative local politics and, by focusing on japan, they broaden the scope of a field that has tended to concentrate only on Europe and the Third World. The book falls into three main sections. The first correlates electoral trends with demographic and socioeconomic changes as well as with attitudinal changes related to voting behavior. The second deals with the emergence and significance of citizens' movements against environmental pollution injapan. The third section considers progressive local administrations in terms of support mobilization and policy making. A case study augments each section. In addition to the editors, the contributors include Gary D. Allinson, University of Pittsburgh; Ronald Aqua, Social Science Research Council; jack G. Lewis, University of Illinois; Terry Edward MacDougall, Harvard University; Margaret A. McKean, Duke University; and Bradford L. Simcock, Miami University (Ohio).

.ÂŁnkanki no Nihon keizai bunseki (An Analysis of the japanese Economy During the I nterwar Period), edited by Takafusa Nakamura. Papers from a con-

ference sponsored by the Social Science Research Council and the japan Society for the Promotion of Science, held on Molokai, Hawaii, March 30-April 4, 1979. Tokyo: Yamakawa Shuppan Sha, 1981. v + 426 pages. 6,200 yen. This conference examined a number of aspects of the japanese economy between World Wars I and II (mid-19IOs to the 1930s), and in particular those economic elements which were critical in shaping Japan's path of industrialization on the one hand and in determining its involvement in World War II on the other. In the light of the internationalization of the Japanese economy during that period, international and comparative perspectives were given special emphasis. The volume is divided into sections featuring papers on macrostructural change, finance and investment, industrial change, management patterns, and labor force and agricultural change. In addition to the editor, the contributors to the volume include Tuvia Blumenthal, Ben Gurion University of the Negev; Peter Duus, Stanford University; Akira Hara, University of Tokyo; Hisao Koshihara, Yokohama National University; Matarii Miyamoto, Osaka University; Hidemasa Morikawa, Hosei University; Keiichiro Nakagawa, University of Tokyo; Ronald Napier, Harvard University; Shunsaku Nishikawa, Keio University; Konosuke Odaka, Hitotsubashi University; Hugh T. Patrick, Yale University; Kazuo Sato, State University of New York at Buffalo; and Hiroaki Yamazaki, University of Tokyo.


Korean Family and Kinship Studies Guide, by Hesung Chun Koh. Developed and published with the support of the Joint Committee on Korean Studies. New Haven: Human Relations Area Files, 1980. 568 pages. $150.00. This guide is the third bibliographic resource on Korea produced using the Automated Bibliographic System of the Human Relations Area Files. It consists of five main parts. Part I presents abbreviated citations of more than 700 entries arranged by ~jor historical time periods. Part II includes six analytical subject indexes, two of which are coordinated, tabular indexes on su~ject, time, and place. Part I I I consists of two kinds of


data quality control tabular indexes: an author profile index and a research design and method index. Part IV offers an author and title index, while Part V provides a complete profile of each document, including annotation and analysis. Following these five main parts, three sections of reference materials complete the book. The first is an appendix that includes additional citations which have not yet been analyzed. Then appears a list of references to the journals cited. And finally, there is a list of references to other bibliographic reviews which were used in compiling this bibliography. East Asian (Korean, Japanese, and Chinese) vernacular characters are incorporated when appropriate in the Culture Specific Subjects Index, the Geographic Location Index, the Author and Title Index, and the list of journals cited.

) Studies on Korea: A Scholar's Guide, edited by Han-Kyo Kim. Published with the support of the Joint Committee on Korean Studies. Honolulu: The University Press of Hawaii, 1980. xxii + 438 pages. This is a study guide for scholars interested in various topics relating to Korea. Its primary aim is to provide basic bibliographic information for researchers in the United States and elsewhere who may not have much background knowledge in Korean studies but who wish to read materials available in English or other Western languages on Korea. Its comprehensive coverage and the scholarly expel路tise of its contributors should also make this guide useful to researchers and specialists in Korean studies and to professional librarians. The 16 chapters in the guide correspond, for the most part, to traditional academic disciplines: archeology, history, philosophy and religion, language and linguistics, literature and folklore, artmusic-drama, education, geography, sociology and anthropology, economics, political science, law, and international relations. Additional chapters contain general bibliographic information as well as materials dealing with North Korean studies and Russian-language materials on Korea. Each chapter consists of two parts, an introductory essay and a bibliography. The essay attempts to present an outline, summary, or overview of a subject area along with an assessment of research in the area; the bibliography is subdivided by categories that vary ac-


cording to the nature of the materials or the current state of scholarship. The appendix contains a chronological list of the rulers of various Korean dynasties and other ruling entities. There is, in addition, an index comprising all of the bibliographic entries, arranged by author. In addition to the editor, the contributors include Don Adams, University of Pittsburgh; Vincent Brandt, formerly Harvard University; Yun Shik Chang, University of British Columbia; Kahkyung Cho, State University of New York, Buffalo; Yong-hoCh'oe, University of Hawaii; Joseph Sang-hoon Chung, Illinois Institute of Technology; George Ginsburgs, Rutgers University; Hugh H . W. Kang, University of Hawaii; Young Whan Kihl, Iowa State University; Chin Kim, California Western School of Law; C. I. Eugene Kim, Western Michigan University; Chin-W. Kim, University of Illinois; Byung Chul Koh, University of Illinois at Chicago Circle; Du-Hyun Lee, Seoul National University; Lena Kim Lee, formerly Seoul National University; Peter H. Lee, University of Hawaii; Young Ick Lew, Korea University; Ogg Li, University of Paris; Michael E. Macmillan, University of Hawaii; Shannon McCune, University of Florida; Seong Rae Park, Hankuk University of Foreign Studies; Richard Pearson, University of British Columbia; Bang-song Song, National Classical Music Institute; Seok Choong Song, Michigan State University; Jennifer Strom, University of Hawaii; and DaeSook Suh, University of Hawaii.


Causality and Classification in African Medicine and Health, edited by John M. Janzen and Gwyn Prins. Special issue of Social Science and Medicine, 15B:3 (August, 1981). A publication of the Joint Committee on African Studies. Exeter, Devon, England and Elmsford, New York: Pergamon Press. (Available from Pergamon Press, Maxwell House, Fairview Park, Elmsford, New York 10523). This volume is part of the continuing project on medicine and society in Africa sponsored by the Joint Committee on African Studies. The objective of the project is to stimulate the integr.lted study of health, illness, and therapy in Africa from a perspective which takes into account the lay person's view, the biological context, and the structure of therapeutic institutions. The present volume seeks to extend the focus of inquiry in African therapeutics

from disease and healing to include normative health systems; to examine the varying contexts within which alternative models of causation and classification are used; to identify and assess the political, social, and ideological forces which are modifying African medical systems; and to assess the implications of research for scholarship, for primary health care, and for planning health systems. The papers in the volume were originally presented at a committee-sponsored conference on "African Medical and Health Systems as Systems of Thought, Causality, and Taxonomy," held in June 1980 at Emmanuel College, Cambridge. They present alternative models for the study of African medical systems, case materials from recently completed field work which describe medical and health systems and processes by which those systems are modified, and material illustrating the utility of clinical perspectives in the study of causality and classification. The contributors to the volume are Gilles Bibeau, Laval University; D. H. J. Blom, M.D., Netherlands Institute for Preventive Health Care; Jean Comaroff, University of Chicago; Elizabeth Feierman, M.D., University of Wisconsin; Steven Feierman, University of Wisconsin; Bernard Greenwood, University of Cambridge; Cecil G. Helman, M.D., University College, London; John M. Janzen, University of Kansas; Violet Kimani, University of Nairobi; Murray Last, University College, London; Gilbert Lewis, University of Cambridge; Carol P. MacCormack, Ross Institute for Tropical Hygiene; .1. K. Mahaniah, National University of Zaire; Masamba ma Mpolo, World Council of Churches; V. Y. Mudimbe, National University of Zaire; Harriet Ngubane, British High Commissioner's Office, Swaziland; Gwyn Prins, Emmanuel College; Terence Ranger, University of Manchester; Christopher D. Roberts, University of Michigan; Nicole Sindzingre, School for Advanced Study in the Social Sciences, Paris; Kathryn V. Staiano, University of Kansas; Linda K. Sussman, Washington University; P. Stanley Yoder, University of California, Los Angeles; Allan Young, Case Western Reserve University; and Andras Zempleni, Ecole des Hautes Etudes en Sciences Sociales. (Paris).





Fellowships and Grants straints, family background, and other observable components on the demand for education and its substitutes CONTENTS Maneham Prywes, Ph.D. candidate in economics, Univer25 DOCTORAL RESEARCH IN EMPLOYMENT sity of Pennsylvania, for research on two production AND TRAINING function approaches to employment, productivity, and capacity utilization 25-28 INTERNATIOINAL DOCTORAL RESEARCH Susan Perles, Ph.D. candidate in economics, University of FELLOWSHIPS Pennsylvania, for research on the impact of CETA- PSE Africa, China, Japan, Korea, La;tin America and the on employment and local budgets Caribbean, the Near and Middle East, South Asia, David Berry, Ph.D. candidate in economics, University of Southeast Asia, Western Europe Wisconsin, for research on the effects of labor market 28-31 GRANTS FOR INTERNATIONAL POSTconditions on high school enrollment and completion DOCTORAL RESEARCH Lisa Marie Ehrlic, Ph.D. candidate in economics, UniverAfrica, China, Eastern Europe,japan, Latin America and sity of Pennsylvania, for research on women's occuthe Caribbean, the Near and Middle East, South Asia, pational choice, fertility behavior, and labor force deciSoutheast Asia sions Abdelmagid Mazen, Ph.D. candidate in management, Purdue University, for research on the vocational preferTHESE PAGES list the names, affiliations, and topics of the ences of employed women individuals who were awarded fellowships or grants by Christine A. Loucks, Ph.D. candidate in economics, Washington State University, for research on the effects of the Council committees in the most recent annual competioccupational licensing of pharmacists on interstate labor tions. The grant programs sponsored by the Council and migration the grant and fellowship programs for research in the Schoichi Ito, Ph.D. candidate in economics, University of social sciences and the humanities sponsored by the CounWashington, for research on the impact of the trade cil jointly with the American Council of Learned Societies union on on-the-job training (ACLS) are both reported here. The program for Research Sanford Morton, Ph.D. candidate in industrial administration, Carnegie-Mellon University, for research on the in Employment and Training is funded by the U.S. Deoptimality of strikes in labor negotiations partment of Labor. The international programs are supRuth Milkman, Ph.D. candidate in industrial relations, ported in part by a grant from the Ford Foundation and a University of California, Berkeley, for research on the matching grant from the National Endowment for the dynamics of job segregation by sex in the automobile, electrical, and steel industries in the 1940s Humanities. Additional funding for the China and for the Latin America and Caribbean programs is provided by the Lawrence R. Mishel, Ph.D. candidate in economics, University of Wisconsin, for research on the structural deAndrew W. Mellon Foundation and for the Japan postterminants of union bargaining power doctoral program by the japan- United States Friendship Marilyn K. Spencer, Ph.D. candidate in economics, UniverCommission. Unless it is specifically noted that a program sity of Arizona, for research on job search and the postis administered by the ACLS, the programs listed are adunemployment wages of Hispanics ministered by the Council. In the administration of its fellowship and grant programs, the Social Science Research Council does not dis- INTERNATIONAL DOCTORAL criminate on the basis of race, creed, color, national origin, RESEARCH FELLOWSHIPS sex, age, disability, or marital status. Awards for dissertation research abroad have been anThe programs change somewhat every year, and interested scholars should write to the Council for a copy of nounced by the area committees of the Social Science Research Council and the American Council of Learned the new brochure. Societies. These committees administer the program of International Doctoral Research Fellowships (formerly the Foreign Area Fellowship Program). The Screening ComDOCTORAL RESEARCH IN EMPLOYMENT AND TRAINING mittees are listed under the area lists. The Screening Committee for all five Asian programs consisted of Peter The Committee on Dissertation Fellowships in Employ- Bertocci, Frank Conlon, judith K. Ecklund, Susan Mann ment and Training-Rashi Fein, Paul S. Goodman, Hylan jones, William R. LaFleur, Richard P. Madson, James Lewis, Frank P. Stafford, Paula E. Stephan-at its first two Matisoff, Ellen Salem, and D. Eleanor Westney. quarterly meetings recommended to the Council that the following dissertation fellowship awards be made: AFRICA

Paul L. Schumann, Ph.D. candidate in economics, Cornell University, for research on the effects of financial conJUNE


The following dissertation fellowships were awarded by the Subcommittee on Fellowships and Grants for Africa-


Paul H. Riesman (chairman), Ray A. Kea, Bernth O. Lindfors, Paul M. Lubeck, and Peter Anyang' Nyong'o--at its meeting on March 12, 1981. It had been assisted by the Screening Committee-Sandra T. Barnes, Sylvia A. Boone, Frederick Cooper, Frederick Johnstone, and Michael G. Schatzberg. Keletso J. Atkins, Ph.D. candidate in history, University of Wisconsin, Madison, for research in South Africa on the evolution of the day labor system in rural and urban Natal Pamela A. R. Blakely, Ph.D. candidate in folklore, Indiana University, for research in Zaire on Hemba folklore genres in funeral events Linda L. Giles, Ph.D. candidate in anthropology, University of Texas, Austin, for research in Kenya and Tanzania on the Swahili Pepo cult Norma J. Kriger, Ph.D. candidate in political science, Massachusetts Institute of Technology, for research in Zimbabwe on the political economy of sanctions, 19651979 Thomas M. Painter, Ph.D. candidate in sociology, State University of New York, Binghamton, for research in Niger on seasonal labor migrations and rural transformation, ca. 1874 to ca. 1975 Christopher A. Waterman, Ph.D. candidate in anthropology, University of Illinois, for research in Nigeria on a comparative ethnography of the popular musical systems of Ibadan


Under the program sponsored by the Joint Committee on Japanese Studies, the Subcommittee on Grants for Research-J. Thomas Rimer (chairman), Harumi Befu, William B. Hauser, Akira Komai, SusanJ. Pharr, and Gary R. Saxonhouse-at its meeting on March 5-6, 1981 voted to make awards to the following individuals. Jeffrey E. Hanes, Ph.D. candidate in history, University of California, Berkeley, for research in Japan on city planning and urban reform in Osaka, 1905-1936 Norman D. Havens, Ph.D. candidate in religion, Princeton University, for research in Japan on the okagemairi, nationwide pilgrimages to the Ise Shrine during the Tokugawa period (ca. 1600-1868) Mari Noda, Ph.D. candidate in modern languages and linguistics, Cornell University, for research in Japan on the use of the extended predicate in the Japanese language


The following dissertation fellowships were awarded by the Joint Committee on Korean Studies--Chae-Jin Lee (chairman), Bruce Cumings, Martina Deuchler, Roger L. Janelli, Hee-Sung Keel, Young I. Lew, David R. McCann, and James B. Palais--at its meeting on February 26-27, 1981.


The following dissertation fellowships were awarded by the Subcommittee on Grants of the Joint Committee on Contemporary China-Martin K. Whyte (chairman). Thomas P. Bernstein, Cyril Birch, Joseph W. Esherick, James L. Watson, and Thomas B. Wiens-at its meeting on January 30-31, 1981. The subcommittee was assisted by Hok-Iam Chan, Susan Mann Jones, and Richard P. Madsen of the Screening Committee, and by David K. Jordan, William L. Parish, and Edwin A. Winckler.

Carter J. Eckert, Ph.D. candidate in history, University of Washington, for research in Korea on the role of capitalism in the political development of Korea Hahn-Sok Wang, Ph.D. candidate in anthropology, University of California, Los Angeles, for sociolinguistic research in a rural Korean community


The following fellowships were awarded by the Doctoral Research Fellowship Selection Committee for Latin America and the Caribbean-Allan Johnson (chairman), Jorge I. Dominguez, Frank R. Safford, Saul Sosnowski, and Lance Taylor-at its meeting on February 20, 1981. It had been assisted by the Screening Committee-Stephen J. Beckerman, Charles W. Bergquist, Stephen G. Bunker, Sara Castro-Klaren, Billie R. DeWalt, Merilee S. Grindle, Nora Hamilton, Beatriz R. Lavandera, and David Rock.

Edward L. Davis, Ph.D. candidate in history, University of California, Berkeley, for research in Tokyo, Kyoto, and Taiwan on Hung Mai and the social and cultural . history of southeast China in the 12th century Prasenjit Duara, Ph.D. candidate in history and East Asian languages, Harvard University, for research in Tokyo, Kyoto, and Taipei on politics and society in north Chinese villages, 1890-1940 Edward A. McCord, Ph.D. candidate in history, University of Michigan, for research in China on the provincial militarism of Hunan and Hubei in republican China, Maria de los Angeles Crummett, Ph.D. candidate in eco1911-1926 nomics, New School for Social Research, for research in Mexico on agrarian structure, subsistence production, James W. Stigler, Ph.D. candidate in developmental psychology, University of Michigan, for research in Taiwan and migration in the province of Aguascalientes on the development of cognitive skills and the relation- Ann E. Fairchild, Ph.D. candidate in anthropology, Cornell ships of culture, environment, and schooling in Taiwan University, for research in Peru on the role of longJames W. Tong, Ph.D. candidate in political science, Unidistance trade in the regional economy of Ayacucho versity of Michigan, for research in Tokyo, Kyoto, John D. French, Ph.D. candidate in history, Yale UniverTaipei, and China on correlates of rebellions in the Ming sity, for research in Brazil on industrial workers and dynasty, 1403- 1644 populist politics in Sao Paulo, 1945-1964 26





Dominique Irvine, Ph.D. candidate in anthropology, Stan- SOUTH ASIA ford University, for research in Ecuador on Quechua The following dissertation fellowships were awarded by subsistence strategies in lowland tropical rain forests John S. Isaacson, Ph.D. candidate in anthropology! Un!- the Joint Committee on South Asia-Myron Weiner versity of Illinois, for research in Ecuador on prehIstOriC (chairman), Michelle B. McAlpin, Barbara Metcalf, Ralph W. social systems in the T .u}ipe region . . .. Nicholas, Wendy D. O'Flaherty, John F. Richards, Norman Amparo Menendez-Carrion, Ph.D. can~ldate 10 pohtlcal T. Uphoff, and Joanna Williams-at its meeting on March science, School for Advanced InternatIonal StudIes, The 6-7, 1981. Johns Hopkins University, for research i~ Ecuador ~n the voting behavior of the urban poor 10 GuayaqUIl, 1952-1978 Juan R. Cole, Ph.D. candidate in Near East stu~ies, UniverGrazyna D. Nikonorow, Ph.D. candidate in sociology, Cosity of California, Los Angeles, for research 10 Lucknow lumbia University, for research in Brazil on the profesand London on the growth i~ North I~~ia, .176~ 1858, sion of journalism during the period 1964-1980 . of Twelver Shi'ism, an IslamIC sect orlglOatlOg 10 Iran Silvia Raw, Ph.D. candidate in economics, University of Nita Kumar, Ph.D. candidate in history, University of Massachusetts, for research in Brazil on the growth of Chicago, for research in India and London on urban state enterprises, 1964-1979 culture and the artisans of Banaras, 1880-1980 Thomas A. Reardon, Ph.D. candidate in agricultural and Gyan Prakash, Ph.D. candid~te in history, Uni,:ersity of resource economics, University of California, Berkeley, Pennsylvania, for research 10 London and IndIa on the for research in Peru on the terms of trade for Peruvian agrarian structure of Bihar, 1880-1930 agriculture . . . . Russell E. Smith, Ph.D. candidate 10 economICS, UOIverslty of Illinois for research in Brazil on the relationship between ~age policies and occupational wages in Brazil- SOUTHEAST ASIA ian manufacturing, 1964-1980 James M. Vreeland, Jr., Ph.D. candidate in anthropology, The following dissertation fellowships were awarded by University of Texas, for research in Peru on the rural the Joint Committee on Southeast Asia-James C. Scott weaving industry in coastal Peru (chairman), Alton Becker, David O. Dapice, Charles F. Keyes, Daniel S. Lev, Lim Teck Ghee, Michelle Rosaldo, and Alexander Woodside-at its meeting on March 26-28, 1981. NEAR AND MIDDLE EAST

The following dissertation fellowships were awarded by the Doctoral Research Fellowship Selection Committee for the Near and Middle East-Marilyn Waldman (chairman), Dale F. Eickelman, William Irons, Joel Migdal, and Peter von Sivers-at its meeting on March 14, 1981. It had been assisted by the Screening Committee-Michael Bonine, Michael C. Hillman, Brinkley Messick, and Jerome B. Weiner. Paul W. Blank, Ph.D. candidate in geography, University of Texas, for research in Egypt on the historical- geography of the transformation. of U ppe~ Egypt, 1~82- .1922 Julia A. Clancy, Ph.D. candIdate 10 hl~tory, l!~lverslty of California, Los Angeles, for research 10 TUOlSla on arms, land, and trade in Nefta, 1840-1880 Ruth F. Davis, Ph.D. candidate in ethnomusicology, Princeton University, for researc~ in Tu~i.sia ~n t~e Malouf and the renaissance of mUSIcal tradltlonahsm 10 Tunis from 1935 to the present Shahla Haeri, Ph.D. candidate in anthropology, University of California, Los Angeles, for research in Iran on mut'a marriage in contemporary I ran Irene J. Markoff, Ph.D. candidate in eth!l0musicology, University of Washington, for research 10 Turkey on conceptual systems underlying Turkish folk music John M. Sadowski, Ph.D. candidate in political scienc.e, University of California, Los. Angeles, for research. 10 Lebanon and Syria on the socIal bases of state formation in the Syrian Arab Republic, 1945-1970 . Lee Stru nm , Ph.D. candidate in anthropology, BrandeIS University, for research in Israel on the role of the school in the ethnic integration of students JUNE 1981

Nancy K. Florida, Ph.D. candidate in history, Cornell University, for research in central Java on perceptions of the past in mid-19th century .Java~es.e histor!cal literat~re Sidney R. Jones, Ph.D. candIdate 10 mternatlonal relatIOns, University of Pennsylvania, for research in rural Java on the impact of political patronage on traditional religious roles Maria-Elena Z. Lopez, Ph.D. candidate in anthropology, Harvard University, for research in the Philippines on the impact of relocation on Palawanon tribesmen John Pemberton IV, Ph.D. candidate in anthropology, Cornell University, for research in Java on perceptions of tradition and self in rural and urban wedding rituals Michael R. Rhum, Ph.D. candidate in anthropology, Harvard University, for research in northern Thailand on the religious system of the Thai Yuan Laurie Jo Sears, Ph.D. candidate in history, University of Wisconsin, for research in Java and the Netherlands on the impact of written texts and electronic technology on the Javanese shadow puppet theater Suzanne E. Siskel, Ph.D. candidate in anthropology, The John Hopkins University, for research in Indonesia on family life and social ethos in Madura


The following dissertation fellowships were awarded by the Doctoral Research Fellowship Selection Committee for Western Europe-Juan J. Linz (chairman), Gerald D. Feldman, J. Lionel Gossman, Joseph Lopreato, and Michael J. Pi ore-at its meeting on March 27, 1981 . It had been assisted by the Screening Committee-Robert J. Be27

zucha, Robert J. Flanagan, jan T. Gross, Susan Harding, Thomas W. Laqueur, and Timothy A. Tilton. William H. Apfel, Ph.D. candidate in history, Brown University, for research in the United Kingdom on poverty and discontent among rural laborers in Norfolk, England. 1800-1830 Noel D. Cary, Ph.D. candidate in history, University of California, Berkeley, for research in West Germany on the Catholic political psyche and the structure of German politics, 1900-1966 Carol A. Mershon Connor, Ph.D. candidate in political science, Yale University, for research in Italy on industrial conflict, state enterprise, and the political consequences of strikes against state-owned firms Nancy J. Curtin, Ph.D. candidate in history, University of Wisconsin, for research in the United Kingdom and Ireland on mobilization and social composition of the United Irishmen in Ulster, 1791-1798 Mark H. Lazerson, Ph.D. candidate in sociology, University of Wisconsin, for research in Italy on informalism and the implementation of the Italian Workers' Charter of 1970 Richard F. Maddox, Ph.D. candidate in anthropology, Stanford University, for research in Spain on religion, power, and polity in the Andalusian community of Aracena jerry Z. Muller, Ph.D. candidate in history, Columbia University, for research in West Germany for a political and intellectual biography of Hans Freyer (1887-1969) jonas G. Pontusson, Ph.D. candidate in political science, University of California, Berkeley, for research in Sweden on class conflict and industrial adjustment Mary Ann Quinn, Ph.D. candidate in history, Cornell University, for research in France on property and justice in rural France, 1650-1850 Michael S. Roth, Ph.D. candidate in history, Princeton University, for research in France on the resurgence of French Hegelianism from the 1930s through the postwar period Antony E. Simpson, Ph.D. candidate in sociology, New York University, for research in the United Kingdom on detective operations and the origins of urban police agencies in London and Manchester Peter A. Swenson, Ph.D. candidate in political science, Yale University, for research in West Germany and Sweden on the development of the organizational structure of German and Swedish labor since 1965 Peter W. White, Ph.D. candidate in political science, Columbia University, for research in the United Kingdom on international monetary relations and the political economy of change in the international monetary regime, 1933-1936 Meta E. Zimmeck, Ph.D. candidate in history, State University of New York, Stony Brook, for research in the United Kingdom on the employment of women in the civil service, 1870-1925


The Subcommittee on Fellowships and Grants of the joint Committee on African Studies-Paul H. Riesman 28

(chairman), Ray A. Kea, Bernth O. Lindfors, Paul M. Lubeck, and Peter Anyang' Nyong'o-at its meeting on March 12, 1981 made awards to the followbg individuals: Stephen Baier, assistant professor of history and assistant director of the African Studies Center, Boston University, for research in France on responses to climatic, environmental, and economic change among the pastoral nomads of the Sahara and the Saharan fringe Thomas J. Biersteker, assistant professor of political science, Yale University, for research in Nigeria on indigenization and the Nigerian bourgeoisie Patrick Manning, instructor in history and economics, Canada College, for research in the United States on the political economy of African slavery T. Dunbar Moodie, professor of sociology, Hobart and William Smith Colleges, for research in South Africa on domination and resistance in South African gold mines Randall M. Packard, assistant professor of history, Tufts University, for research in Swaziland on the medical and sociocultural history of tuberculosis in Swaziland Richard L. Roberts, acting assistant professor of history, Stanford University, for research in Mali on the economic and social history of the Middle Niger Valley in the 19th and early 20th centuries CHINA

Research on Contemporary and Republican China The Subcommittee on Grants of the joint Committee on Contemporary China-Martin K. Whyte (chairman), Thomas P. Bernstein, Cyril Birch, joseph W. Esherick, james L. Watson, and Thomas B. Wiens-at its meeting on january 30-31, 1981 awarded grants to the following individuals: Alfred H. Bloom, associate professor of linguistics and psychology, Swarthmore College, for research in Taiwan and Hong Kong on linguistic impacts on the shaping of thought in China and the West Myron L. Cohen, professor of anthropology, Columbia University, for research in China on rural family organization Edward M. Gunn, assistant professor of Chinese literature, Cornell University, for research in Shanghai on problems of prose style in modern Chinese literature William L. Parish, associate professor of sociology, University of Chicago, for research in the United States on women, work, and marriage in rural China La.u rence A. Schneider, professor of history, State University of New York at Buffalo, for research in the United States on science and Chinese Communist culture, 1950-1965 Vera Schwarcz, assistant professor of history, Wesleyan University, for research in China on Zhang Shen-fu, a philosopher of enlightenment in 20th century China judith V. Strauch, associate professor of anthropology, Harvard University; for research in London and Hong Kong on the social relations of landlords and peasant . tenants in contemporary Hong Kong Christine P. Wong, assistant professor of economiCS, Mount Holyoke College, for research in China on rural industry and the choice of technology VOLUME




Mellon Program in Chinese Studies The Subcommittee on Grants of the Joint Committee on Contemporary China-Martin K. Whyte (chairman), Thomas P. Bernstein, Cyril Birch, Joseph W. Esherick, James L. Watson, and Thomas B. Wiens-at its meeting on January 30-31, 1981, reviewed grant applications for research and study on post-1911 China to the Mellon Program in Chinese Studies, and made awards to the following individuals: Michael L. Baron, lecturer in political science, Columbia University, for the study of modern Chinese, and for research in Beijing on Chinese interpretations of American policy and motives from 1945-1949 Kathleen J. Hartford, assistant professor of political science, Amherst College, for research at Harvard University on the economic aspects of agrarian change in Hebei province from 1900-1949, and for advanced training in agricultural economics Benedict Stavis, assistant professor of agricultural economics, Michigan State University, for research in the United States on rural development in China, and for advanced training in quantitative analysis Jonathan M. Unger, assistant professor of East Asian cultures, University of Kansas, for the study of modern Chinese in Taiwan EASTERN EUROPE

The Joint Committee on Eastern Europe (administered by the American Council of Learned Societies)-Dean S. Worth (chairman), Edward A. Hewett III, Barbara Jelavich, Kenneth Jowitt, William G. Lockwood, Harold B. Segel, and Piotr S. Wandycz-at its meeting on February 27-28, 1981 made awards to the following individuals: John Joseph Bukowczyk, assistant professor of history, Wayne State University, for research on ethnic enterprises in the Polish community of Brooklyn, 1910-1940 Istvan Deak, professor of history, Columbia University, for research on the history of the Habsburg monarchy, 1815-1918 Halina Filipowicz, Lawrence, Kansas, for research on the political, social, and cultural significance of recent developments in the Polish theater and paratheater Linda Sue Frey, associate professor of history, University of Montana, and Marsha Lee Frey, associate professor of history, Kansas State University, for research on Rcik6czi and the Maritime Powers Vlad Georgescu, visiting professor of history, Rutgers University, University College, Camden, for research on the history of Romanian political thought, 1369-1878 Michael F. Herzfeld, assistant professor of anthropology, Indiana University, for an anthropological study of sheep and goat stealing in Crete Gail Kligman, assistant professor of anthropology, U niversity of Chicago, for research on life cycle rituals in a Romanian village Christiane Zehl Romero, associate professor of German, Tufts University, for research on the life and works of Anna Seghers Dieter Sevin, associate professor of German, Vanderbilt JUNE 1981

University, for research on the search for identity in recent East German fiction Susan Buck Sutton, assistant professor of anthropology, Indiana University and Purdue University, for research on female work roles in Greek cities Ivan Svitak, professor of philosophy and political science, California State University, Chico, for research on Jan Masaryk's death John D. Treadway, assistant professor of history, University of Richmond, for research on Montenegro and Austria-Hungary, 1908-1914 JAPAN

Under the program sponsored by the Joint Committee on Japanese Studies, the Subcommittee on Grants for Research-J. Thomas Rimer (chairman), Harumi Befu, William B. Hauser, Akira Komai, Susan]. Pharr, and Gary R. Saxonhouse-at its meeting on March 6, 1981 awarded grants to the following individuals: Roger W. Bowen, assistant professor of government, Colby College, for research in Japan on rebellion and democracy in Taisho Japan Robert H. Brower, professor of Japanese, University of Michigan, for research in the United States on Fujiwara Teika (1162-1241), one of Japan's most, important classical critics and poets, and the Shinkokinshii, an imperial anthology of the 13th century Allan Grapard, assistant professor of Asian religions, for research in Japan on Kasuga, a major syncretic cult in medieval Japan Rarl H.' Kinmonth, assistant professor of history, University of California, Davis, for research in Japan on the lower middle class in modern Japanese history Ian Hideo Levy, assistant professor of East Asian studies, Princeton University, for research in Japan on the evolution of Japanese poetry in the eighth and ninth centuries Jeffrey P. Mass~ associate professor of history, Stanford University, for research in Japan on the decline of the Kamakura Bakufu (ca. 13th century) Masao Miyoshi, professor of English, University of California, Berkeley, for research in Japan on language and form in Japanese literature Donald T. Roden, associate professor of history, Rutgers University, for research in japan on changing conceptions of gender in modern Japan Kozo Yamamura, professor of economics and Asian studies, University of Washington, for research in Japan on the economic history of Japan, ca. 600-1600 LATIN AMERICA AND THE CARIBBEAN

The Joint Committee on Latin American StudiesAlbert Fishlow' (chairman), Martin Diskin, Richard R. Fagen, Enrique Florescano, Jean Franco, Guillermo O'Donnell, Hans-Jiirgen Puhle, Verena Stokke, and Francisco C. Weffort-at its meeting on March 30-31, 1981 awarded grants to the following individuals: Danilo Astori, executive secretary, Center for Interdisciplinary Research on Development (CIEDUR), Montevideo, for research in Uruguay on the development of the agrarian sector, 1974-1980 29

Horacio Boneo, researcher, Center for the Study of State and Society (CEDES), Buenos Aires, for research in Argentina on the Argentine bureaucracy since 1976 Vinicius Brant, program coordinator, Brazilian Center for Analysis and Planning (CEBRAP), Sao Paulo, for research in Brazil on labor movements in metropolitan Sao Paulo Manuel Burga, associate professor of history, National University of San Marcos, Lima, for research in Bolivia, France, and Peru on messianism and social conflict in the southern Andes, 1867-1923 Fernando Calderon, director, Center for the Study of Economic and Social Reality (CERES), La Paz, for research in Bolivia on processes of urbanization Jose Chiaramonte, researcher, National Autonomous University of Mexico, for research in Argentina on the social and economic structure of the province of Corrientes, 1810-1853 Shelton H. Davis, director, Anthropological Resource Center, Boston, for research in Guatemala on agrarian structure and the resurgence of ethnicity among the Indians of northwestern Guatemala Elizabeth Garrels, assistant professor of Spanish, Massachusetts Institute of Technology, for research in the United States on the portrayal of nonwhites, women, and children in Spanish American literature James B. Greenberg, assistant professor of anthropology, Indiana University, for research in Mexico and the United States on proletarian household economics and social networks in Agua Prieta, Sonora, and Douglas, Arizona Michael Hamerly, senior lecturer in Spanish and Latin American studies, The Hebrew University,Jerusalem, for research in Ecuador on the historical demography of Guayaquil, 1535-1950 • Alicia Hernandez, professor and researcher, EI Colegio de Mexico, for research in Mexico and the United States on the formation of the Constitutionalist army, 1913-1917 Barry Higman, senior lecturer in history, University of the West Indies, Kingston, for research in Jamaica on the changing structure of Jamaican plantation settlements during the 18th and 19th centuries Charles John Humphrey, lecturer in sociology, University of Liverpool, for research in Brazil on labor markets and the utilization of labor in Brazil's industrial sector Raul Jacob, researcher, Center for Interdisciplinary Research on Development (CIEDUR), Montevideo, for research in Uruguay On the development of the agrarian sector, 1916-1933 Jaime Klaczko, associate researcher, Center for Information and Study on Uruguay (CIESU), Montevideo, for research in Uruguay on state development policy, 1930-1942 Josefina Ludmer, Buenos Aires, for research in Argentina on the sociohistorical determinants of the Argentine literature of the frontier Florencia E. Mallon, assistant professor of history, Marquette University, for research in Peru on race, class, and the national question in the War of the Pacific, 18791895 Gary Puckrein, visiting fellow in history, Princeton University, for research in the United States on the development of the Barbadian plantation system, 1627-1700 Juan Rial Roade, associate researcher, Center for Information and Study on Uruguay (CIESU), Montevideo, for research in Uruguay on state development policy, 1943-1958 Steven E. Sanderson, assistant professor of political sci30

ence, University of Florida, for research in Mexico on recent transformations in Mexican agriculture . John D. Sheahan, professor of economics, WiIliams College. for research in England and Latin America on the tensions between national development goals and Latin America's role in the world economy Steve J. Stein, associate professor of history, State University of New York, Stony Brook, for research in Peru on the working class in Lima, 1900-1930 John Stephens, assistant professor of sociology, Brown University, for research in Jamaica on the prospects for a democratic transition to socialism Evelyne Huber Stephens. assistant professor of political science, College of the Holy Cross, for research in Jamaica on the prospects for a democratic transition to socialism Michael Taussig, associate professor of anthropology, University of Michigan, for research in Colombia on shamanism and the development of a modern market economy in southwestern Colombia Dale W. Tomich, assistant professor of sociology, State University of New York, Binghamton, for research in France on slavery and emancipation in Martinique, 1830-1870 Steven Topik, visiting professor of history, Federal Fluminense University, Rio de Janeiro, for research in Mexico on the economic role of the Porfirian state, 1888-1911 Juan Carlos Torre, researcher, Torcuato Di Tella Institute, Buenos Aires, for research in Argentina on the Argentine labor movement and the origins of Peronism, 1943-1946 Richard Townsend, research associate in art history, Yale University, for research in Mexico on the integration of society and nature in the ancient capital of Xochicalco Sebastiao Velasco e Cruz, project director, University Research Institute of Rio de Janeiro (IUPERJ), for research in Brazil on Brazilian entrepreneurs and the state Norman Whitten, professor of anthropology, University of Illinois, for research in Ecuador on conceptualizations of power in Amazonian Ecuador NEAR AND MIDDLE EAST

Under the program sponsored by the Joint Committee on the Near and Middle East. the Doctoral Fellowship Selection Committee for the Near and Middle EastMarilyn Waldman (chairman), Dale F. Eickelman, William Irons,Joel Migdal, and Peter von Sivers-at its meeting on March 14, 1981 awarded grants to the following individuals: Said A. Arjomand, assistant professor of sociology, State University of New York, Stony Brook, for research in the United States on religion, ideology, and politics in Iran, 1848-1980 Allan Christelow, lecturer in history, Bayero University, Kano, Nigeria, for research in Algeria on Muslim society, politics, and law in colonial municipalities, 1865-1945 Virginia R. Dominquez, assistant professor of anthropology, Duke University, for research in Israel on folk theories of Jewish social identity Michael C. HiIlman, associate professor of Persian and Middle Eastern studies, University of Texas, for research in Iran on the poetry of Forugh Farrokhzad (19351967) and its representativeness of the views of nonestablishment intellectuals during the period 1958 to 1977 VOLUME 35, NUMBERS 1/2

John F. Kolars, professor of geography, University of Michigan, for research in Turkey on peasants' views of Turkish development, 1900-1980 Jacob Lassner, professor of Near Eastern and Asian studies, Wayne State University, for research in Israel on the legitimation of the C Abbasid dynasty by postrevolution historians Judith E. Tucker, teaching fellow in history, Harvard University, for research in Egypt on peasant and lower-class urban women in Egypt, 1860-1914 SOUTH ASIA

The Joint Committee on South Asia-Myron Weiner (chairman), Michelle B. McAlpin, Barbara Metcalf, Ralph W. Nicholas, Wendy D. O'Flaherty, John F. Richards, Norman T. Uphoff, and Joanna Williams-at its meeting on March f)-7, 1981 awarded grants to the following individuals: Arjun Appadurai, assistant professor of anthropology, University of Pennsylvania, for research in London on a cultural model of peasant consumption decisions in rural Maharashtra, India P. K. Bardhan, professor of economics, University of California, Berkeley, for research on land, labor, and rural poverty in India John B. Carman, professor of comparative religion, Harvard Divinity School, for research on the Sanskrit and Tamil sources of the Sri Vaisnava tradition of South India Uoint with Vasudha Narayanan) David Lelyveld, associate professor of history and South Asian studies, University of Minnesota, for research on the standardization, adaptation, and diffusion of Urdu as a language of public communication since the 18th century Barbara Stoler Miller, professor of Oriental studies, Barnard College, Columbia University, for research on conflicting aesthetic, religious, and social values in Indian drama Charles Morrison, professor of anthropology, Michigan State University, for research on the contributions of colonial ethnography to colonial administration and the development of British anthropology Vasudha Narayanan, assistant professor of religious studies, DePaul University, for research on the Sanskrit and Tamil sources of the Sri Vaisnava tradition of South India Uoint with John B. Carman) Philip Oldenburg, research associate, Southern Asian Institute, Columbia University, for research on the pene. trati9n of government into the Indian countryside Akos Ostor, fellow, National Humanities Center, for making a series of anthropological films on Indian rituals B. K. Ramanujam, visiting research associate in education, Harvard University, for research on the Hindu person from a clinical psychotherapeutic perspective

JUNE 1981

Norman P. Ziegler, director of admissions, Rose Medical Center, Denver, Colorado, for research on an eightgeneration genealogy of Raj put warriors during the 15th to 17th centuries


The Joint Committee on Southeast Asia-James C. Scott (chairman), Alton Becker, David O. Dapice, Charles F. Keyes, Daniel S. Lev, Lim Teck Ghee, Michelle Z. Rosaldo, and Alexander Woodside-at its meeting on March 2f)-28, 1981 awarded grants to the following individuals: Peter F. Bell, associate professor of economics, State University of New York, Purchase, for research on the impact of American scholarship on the development of both the social sciences and public policy in Thailand Amy R. Catlin, teaching associate, Brown University, for research on the oral literature of the Laotian H mong David W. P. Elliott, assistant professor of government, Pomona College, for research on the revolutionary movement in a Meking delta province of Vietnam, 1945-1975 Chester F. Gorman, associate professor of anthropology, University of Pennsylvania, for completion of archeological site reports on the Ban Chiang excavations in northeast Thailand Karl L. Hutterer, associate curator, Museum of Anthropology, and associate professor of anthropology, University of Michigan, for research on the social organization of Southeast Asian bands and tribal societies and the interpretation of the archeological record of the region Ward Keeler, Ph.D. candidate, Committee on Social Thought, University of Chicago, for research on ritual forms of the Indonesian shadow puppet theater Norman G. Owen, assistant professor of history, University of Michigan, for research in the Philippines on the evolution of politics in the Bikol region, 1565-1940 Janet W. Salaff, associate professor of sociology, University of Toronto, for research in Singapore on state and family in the development of Singapore Carl A. Trocki, assistant professor of history, Thomas More College, for research in London on commodity prices and tax revenues in colonial Malaya James F. Warren, lecturer on Southeast Asian modern history, Murdoch University, for research in Singapore on the Jinrikisha industry, 1880-1940 Hiram W. Woodward, lecturer in the history of art, University of Michigan, for research in Thailand on the history of Thai art and architecture Mark R. Woodward, research associate, Department of Anthropology, University of Illinois, for research in Mandalay on religion and political legitimation in 19th century Burma


Recent Council Publications: A Selection mittee on Research on the Chinese Economy of the Joint Committee on Contemporary China, January 31-February 2, 1976. Cambridge, Massachusetts: Harvard University Press, 1980. vi + 347 pages. $30.00.

The Breakdown of Democratic Regimes, edited by JuanJ. Linz and Alfred Stepan. Published in connection with a conference partially sponsored by the Joint Committee on Latin American Studies, held in 1973 at Yale University. Baltimore: Johns Hopkins University Press, 1979. (Published in 1978 in four paperback volumes.)

The Chinese and the Japanese: Essays in Political and Cultural Interactions, edited by Akira Iriye. Papers from a conference sponsored by the Joint Commitee on Contemporary China held at Portsmouth, New Hampshire, June 24- 27, 1976. Princeton University Press, 1980. 368 pages. Hardbound, $25.00; paper, $9.95.

Capitalism and the State in U.S.-Latin American Relations, edited by Richard R. Fagen. Papers presented at a conference sponsored by the Joint Committee on Latin American Studies held at the Woodrow Wilson International Center for Scholars, Washington, D.C., March 27-31, 1978. Stanford University Press, 1979. 446 pages. Hardbound, $22.50; paper, $6.95.

Cognition and Categorization, edited by Eleanor Rosch and Barbara B. Lloyd. Papers based upon conferences held in 1974 and 1976, sponsored by the Committee on Cognitive Research. Hillsdale, New Jersey: Lawrence Erlbaum Associates, 1978. Distributed by the Halsted Press Division of John Wiley and Sons. viii + 328 pages.

China's Development Experience in Comparative Perspective, edited by Robert F. Dernberger. Papers from a conference sponsored by the Subcom-

Crises of Political Development in Europe and the United States, edited by Raymond Grew, Volume 9 in Studies in Political Development sponsored by the Committee on Comparative Politics of the Social Science Research Council. Princeton University Press, 1978. 433 pages. Hardbound, $27.50; paper, $6.95.

Elites in the Middle East, edited by I. William Zartman. A publication of the Joint Committee on the Near and Middle East. New York: Praeger Publishers, 1980. x + 252 pages. Cloth, $21.95.

The Entertainment Functions of Television, edited by Percy H. Tannenbaum. Papers based on a conference organized by the Committee on Television and Social Behavior, held in New York on October 24-25, 1975. Hillsdale, New Jersey: Lawrence Erlbaum Associates, 1980. ix + 262 pages. Cloth, $19.95.







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