Items Vol. 36 No. 1-2 (1982)

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VOLUME 36 • NUMBERS 1/2 • JUNE 1982 605 THIRD AVENUE. NEW YORK, N.Y. 10158

Bringing the State Back In A report on current comparative research on the relationship between states and social structures by Theda Skocpol*

THE EXPLANATORY IMPORTANCE of "the state" has been highlighted during the last decade in a variety of comparative and historical studies by social scientists from several disciplines and geographical area specialties. The topics of these studies have ranged from the roles of Latin American states in instituting comprehensive reforms from above to the activities of states in the advanced industrial democracies of Europe, the United States, and Japan in developing social programs and managing economic problems. No explicitly shared research agenda or general

* The author is an associate professor of sociology and political science at the University of Chicago. This article is adapted from a paper presented at a Council conference on "States and Social Structures: Research Implications of Current Theories," held at the Seven Springs Center, Mt. Kisco, New York, February 25-27, 1982. The conference was organized by the author and Peter Evans and Dietrich Rueschemeyer, both sociologists at Brown University. Other participants in the conference were Alice Amsden, Barnard College; Pierre Birnbaum, University of Paris I; Fred Block, University of Pennsylvania; Atilio Boron, National Autonomous University of Mexico; Richard R. Fagen, Stanford University; Albert O. Hirschman, Institute for Advanced Study (Princeton, New jersey); Ira Katznelson, University of Chicago; Stephan D. Krasner, Stanford University; Peter j. Katzenstein, Cornell University; Claus Offe, University of Bielefeld; Alessandro Pizzorno, Harvard University; Adam Przeworski, University of Chicago; Richard Rubinson, The johns Hopkins University; jose Serra, Brazilian Center for Analysis and Planning (CEBRAP), Sao Paulo; Kenneth Sharpe, Swarthmore College; Alfred Stepan, Yale University; Goran Therborn, University of Lund; and Charles Tilly, University of Michigan. Participating from the Council were Robert A. Gates, Martha A. Gephart, Brooke Larson, and Kenneth Prewitt.

theory has tied such diverse studies together, yet they have arrived at complementary arguments and strategies of analysis. States, or parts of states, have been identified in these studies as taking weighty, autonomous initiatives-going beyond the demands or interests of social groups-to promote social change, manage economic crises, or develop innovative public policies. The administrative and coercive organizations that form the core of any modern state have been identified as the likely generators of autonomous state initiatives and the varying organizational structures and resources of states have been probed in order to explain why and when states pursue their own strate-

CONTENTS OF THIS ISSUE I Bringing the State Back In - Theda Skocpol 8 The Prospects for Research in China by American Humanists and Social Scientists-Kenneth Prewitt 12 Responses to Recent Cuts in Federal Budgets for Statistics-Robert Parke 14 Federal Funding for the Social Sciences: An Updated Report-Roberta Balstad Miller 16 Council Personnel -New directors and officers -Resignation of Rowland L. Mitchell, Jr. 17 Current Activities at the Council - Research on the 1980 Census -Life-Course Perspectives on Human Development 18 Newly-issued Council Publications 20 Fellowships and Grants

gies and goals. Finally, much interest has centered on social functions of the state as an arena for class the differing abilities of states to realize policy goals struggles and as an instrument of class rule. 2 Indeed, and a number of concepts and research strategies the reluctance of pluralists and structural-functionhave been developed to address this issue through alists to speak of states, and the near-unwillingness case studies and cross-national comparisons focused of even most neo-Marxists to grant autonomous on state efforts to implement goals in particular policy substance to states, resonates with proclivities present areas. from the start in the modern social sciences. These The value of recent studies converging on common sciences emerged along with the industrial and democoncerns about states as both actors and organi- cratic revolutions of Western Europe in the 18th and zational structures can best be demonstrated by con- 19th centuries. Their founding theorists quite undercrete illustrations from the literature. But, first, it standably perceived the locus of societal dynamics to makes sense to underline the paradigmatic reorienta- be located not in outmoded monarchical and aristotion embodied in the phrase "bringing the state back cratic states but in civil society, variously understood .m. " as "the market," "the industrial division of labor," or "class relations." Founding theorists as politically opposed as Herbert Spencer and Karl Marx (who now, not entirely inappropriately, lie just across a lane Society-centered theories of politics and from one another in Highgate Cemetery, London) government agreed that industrial capitalism was triumphing over Not long ago, the dominant theories and research the military and territorial rivalries of states. For both agendas of the social sciences spoke of anything and of these theorists, 19th century British socioeconomic everything but "the state." This was true even- developments presaged the future for all counindeed especially-when politics was at issue. Cultural tries-and for the world as a whole. values, socialized personalities, clashing interest groups, conflicting or allying classes, and differentiating social systems-these were supposed to provide sufficient keys both to the political process Focusing on Britain and the United States and to political conflicts. "The state" was an oldfashioned concept, associated with dry and dusty As world history moved-via colonial conquests, legal-formalist studies of nationally particular con- two world wars, and various state-building revostitutional principles. The real dynamics of political lutions and anticolonial movements-from the Pax life could only be discerned by social scientists willing Britannica of the 19th century to the Pax Americana to look at societies and economies, sites of the pro- of the period after World War II, the Western social cesses or structures believed to be universally basic to sciences managed to keep their eyes averted from the politics and social change. In place of the state, social explanatory centrality of states as potent and autonscientists conceived of "government" as simply the omous organizational actors: It was not that such arena in which social classes, or economic interest phenomena as political authoritarianism or togroups, or normative social movements contended or talitarianism were ignored-just that the preferred allied with one another to influence the making of theoretical explanations were always in terms of ecopublic policy decisions. Interest centered on the nomic backwardness or the unfortunate persistence societal "inputs" to government, and on the socioeco- of non-Western "traditional" values. As long as nomic effects of governmental "outputs." Govern1 See, for example, David B. Truman, The Governmental Process, ment itself was not considered to be an independent 2nd edition (New York: Knopf, 1971; originally 1951); and the actor, and variations in governmental structures were series of books on political development written under the ausdeemed less significant than general functions shared pices of the Council's Committee on Comparative Politics (1954by the political systems of all societies. 1972), published by the Princeton University Press. Society-centered ways of explaining politics and 2 For some examples of recent neo-Marxist theorizing on the governmental activities were especially characteristic capitalist state, see Nicos Poulantzas, Political Power and Social of the pluralist and structural-functional theories Classes, translated by Timothy O'Hagen (London: New Left predominant in political science and sociology in the Books, 1973); Claus Offe, "Structural Problems of the Capitalist State," German Political Studies, volume I (1974); COran Therbom, United States during the 1950s and 1960s. 1 Yet even What Does the Ruling Class Do When It Rules? (London: New Left when rebellious "neo-Marxists" began to theorize Books, 1978); and Erik Olin Wright, Class, Crisis, and the State about "the capitalist state," they too emphasized the (London: New Left Books, 1978). 2





capitalist and liberal Britain, and then capitalist and liberal America, could plausibly be seen as the unchallengeable "lead societies," the Western social sciences could manage the feat of downplaying the explanatory centrality of states in their major theoretical paradigms. For the dominant social science paradigms were riveted on understanding modernization-its causes and direction. And in Britain and America-the "most modern" societies-industrialization seemed to be spontaneous, socioeconomic and cultural processes appeared to be the primary loci of change, and the decisions of governmental legislative bodies were apparently the basic stuff of politics. But by the 1970s, both Britain and the United States were unmistakably becoming beleaguered industrial economies in a world of competitive national states. It is probably not surprising that, at this juncture, it became theoretically fashionable to begin to speak of "the state" as an actor and as a societyshaping institutional structure. Indeed, social scientists are now willing to offer state-centered arguments about Britain and the United States themselves. Fittingly, many of these new arguments stress ways in which state actions and structures have distinctively shaped British and American national economic development and international economic policies. And some of them also ponder how the British and American states might fetter or facilitate current efforts at industrial regeneration in these countries. 3 In short, especially now that Britain and the United States seem much more like particular state-societies in an uncertain" competitive, and interdependent world of many such entities, a paradigmatic shift seems to be under way in the social sciences, a shift that involves a fundamental rethinking of the role of states in relation to societies and economies.

Revival of a Continental European perspective In the 19th century, social theorists oriented to the realities of social change on the European Continent 3 For some suggestive brief treatments, see the articles by Stephen Krasner and Stephen Blank in Peter Katzenstein (editor), Between Power and Plenty: Foreign Economic Policies of Advanced Industrial States (Madison: University of Wisconsin Press, 1978); Andrew Martin, "Political Constraints on Economic Strategies in Advanced Industrial Societies," Comparative Political Studies 10:3 (October 1977), pages 323-354; and Paul M. Sacks "State Structure and the Asymmetrical Society: An Approach to Public Policy in Britain," Comparative Politics 12:3 (April 1980), pages 349-376.



refused to accept the deemphasis of .the state characteristic of those founders of the modern social sciences who centered their thinking on Britain. German scholars, especially, insisted upon the institutional reality of the state and its continuing impact upon and within civil society. Now that comparative social scientists are similarly reemphasizing the importance of states, it is perhaps not surprising that there is renewed reliance upon the basic understanding of "the state" passed down to contemporary scholarship through the widely known writings of such major German scholars as Max Weber and Otto Hintze. 4 Max Weber argued that states are compulsory associations claiming control over territories and the people within them. Administrative, legal, and coercive organizations are the core of any state. These organizations are variably structured in different countries, and they may be embedded in one sort or another of a constitutional-representative system of parliamentary decision making and electoral contests for key executive and legislative posts. Nevertheless, as Alfred Stepan nicely puts it in a formulation that captures the biting edge of the Weberian perspective: "The state must be considered as more than the 'government.' It is the continuous administrative, legal, bureaucratic and coercive systems that attempt not only to structure relationships between civil society and public authority in a polity but also to structure many crucial relationships within civil society as well.":; Moreover, as Otto Hintze demonstrated, thinking of states as' organizations controlling territories leads us away from positing basic features common to all polities and leads us toward consideration of the varying ways in which state structures and actions are conditioned by historically changing transnational environments. These environments impinge upon individual states through geopolitical patterns of interstate domination and competition, through the communication of ideas and models of public policy, and through world-economic patterns of trade, division of productive activities, investment flows, and international finance. States necessarily stand at the intersections between domestic sociopolitical orders and the transnational structures within which they must maneuver for survival or advantage in relation 4 See Max Weber, Economy and Society, edited by Guenther Roth and Claus Wittich (New York: Bedminister Press, 1968, originally 1922) Volume 2, Chapter 9, and Volume 3, Chapters 10-13; and The Hirtorical Essays oj Otto Hintze, edited by Felix Gilbert (New York: Oxford University Press, 1975, originally 1897-1932). 5 Alfred Stepan, The State and Society: Peru in Comparative Perspective (Princeton University Press, 1978), page xii.


to other states. The modern state as we know it, and as Weber and Hintze conceptualized it, has always been, since its birth in European history, part of a system of competing states.

States as autonomous actors

crises of political order and of national economic development. The military professionals used state power to stave off or deflect threats to national order from subordinant classes and groups. They also used state power to implement socioeconomic reforms or plans for further national industrializationsomething they saw as a basic requisite for their country's improved international standing.

States conceived as organizations controlling territories and people may formulate and pursue goals that are not simply reflective of the demands or interCivil bureaucrats and European social policies ests of social groups, classes, or society. This is what is If Stepan deals with extraordinary instances of state usually meant by "state autonomy." Unless such independent goal formulation can be demonstrated and autonomy, in which nonconstitutionally-ruling explained, there is little need to talk about states as strategic elites have used the state as a whole to rediimportant actors. In recent comparative-historical rect and restructure society and politics, other scholscholarship on different kinds of topics in separate ars have teased out more circumscribed instances of parts of the world, collectivities of state officials are state autonomy in the histories of public policy makshown formulating and pursuing their own goals. ing in libe-ral-democratic, constitutionalist polities. Their efforts, moreover, are related to the order- For example, Hugh Heclo's Modern Social Politics keeping concerns of states, and to the linkages of in Britain and Sweden provides an intricate comstates into international systems of communication parative-historical account of the long-term deand competition. . velopment of unemployment insurance and policies of old-age assistance in these two nations. 7 Without being explicitly presented as such, Heclo's book is about autonomous state contributions to social policy Reformist military coups in Latin America making. The autonomous state actions Heclo highAn unusually comprehensive kind of autonomous lights are not all acts of coercion or domination; they state action is analyzed in Alfred Stepan's book, The are, instead, the intellectual activities of civil service State and Society: Peru in Comparative Perspective, which administrators engaged in diagnosing societal proboffers a causal explanation of attempts by state elites lems and framing policy alternatives to deal with in Latin America to install "inclusionary" or "exclu- them. According to Heclo, civil service administrators sionary" corporatist regimes. 6 A key element in Step- in both Britain and Sweden have consistently and an's explanation is the formation of a strategically substantively made more important contributions to located cadre of officials holding great power inside social policy development than have political parties and through existing state organizations, and also or interest groups. Socioeconomic conditions, espeenjoying a unified sense of ideological purpose about cially crises, have stimulated only sporadic demands the desirability of using state intervention to ensure from parties and interest groups, he argues. It has political order and promote national economic devel- been civil servants, drawing upon "administrative reopment. To account for Brazil's "exclusionary" cor- sources of information, analysis, and expertise," who poratist coup in 1964 and for Peru's "inclusionary" have framed the terms of new policy elaborations as corporatist coup in 1968, Stepan stresses the prior "corrective(s) less to social conditions as such and socialization of what he calls "new military profes- more to the perceived failings of previous policy" in sionals." These were career military officers who, to- terms of "the government bureaucracy's own concepgether, passed through training schools that taught tion of what it has been doing."s Heclo's evidence also techniques and ideas of national economic planning reveals that the autonomous bureaucratic shaping of and counterinsurgency, along with "traditional" mil- social policy has been greater in Sweden than in Brititary skills. Such new military professionals then in- ain. Sweden's premodern, centralized bureaucratic stalled corporatist regimes in response to perceived state was, from the start of industrialization and prior to the full liberalization and democratization of na6 Ibid. Chapters 3-4. See also Alfred Stepan, "The New Professionalism of Internal Warfare and Military Role Expansion," pages 47-65 in Alfred Stepan (editor), Authoritarian Brazil (New Haven: Yale University Press, 1973). 4

.. Hugh Heclo, Modern Social Politics in Britain and Sweden (New Haven: Yale University Press, 1974). "Ibid, pages 305-06, 303. VOLUME




tional politics, in a posItIon to take the initiative in to change and relatively impervious to short-term diagnosing social problems and proposing univer- manipulations. For example: Do state offices attract salistic solutions. and retain career-oriented incumbents with a wide Heclo says much less than he might about the influ- array of skills and keen motivation? The answer may ences shaping the timing and content of distinctive well depend upon historically evolved relationships state initiatives. But he does present evidence of the among elite educational institutions, state organisensitivity of civil administrators to the requisites for zations, and private enterprises that compete with the maintaining social and political order in the face of state for educated personnel. The best situation for cycles of industrial unemployment. And he also the state may be a regular flow of elite university points to the constant awareness of administrators of graduates-including many with sophisticated techforeign precedents and models of social policy. Heclo nical training-into official careers that are of such demonstrates, above all, that well-institutionalized high status as to keep the most ambitious and succollectivities of administrative officials can have per- cessful from moving on to posts outside the state. But vasive direct and indirect effects on the content and if this situation has not been historically established by development of major government policies. He shows the start of the industrial era, it is difficult indeed to how to locate and analyze autonomous state contri- undo alternative patterns that are less favorable to the state. butions to "normal" politics.

Can states achieve their goals? Finances as "the nerves of the state" Some comparative-historical scholars have not only investigated the underpinnings of autonomous state actions but have also tackled the still more challenging task of explaining the varying capacities of states to implement their policies. Of course, the explanation of such capacities is not entirely separable from the explanation of autonomous goal formulation by states, because state officials are most likely to try to do things that plausibly seem feasible. Nevertheless, not infrequently states pursue goals (whether their own, or those pressed upon them by powerful social groups) that are beyond their reach. Thus, the capacities of states to implement strategies and policies deserve close analysis. A stable administrative-military control of a given territory is a precondition for any state's ability to implement policies. Beyond this, loyal and skilled officials and plentiful financial resources are basic factors relevant to state effectiveness in attaining all sorts of goals. Not surprisingly, histories of state building zero in on exactly these universal sinews of state power. 9 It is clear that certain of these resources come to be rooted in institutional relationships that are slow

Factors determining a state's financial resources may sometimes be more manipulable over time. The amounts and forms of revenues and credit available to a state grow out of institutionally conditioned, yet historically shifting, political balances and bargains among states and between a state and social classes. Basic sets of facts to sort out in any study of state capacities involve the sources and amounts of state revenues and the degree of flexibility possible in their collection and deployment. Domestic institutional arrangements and international situations set difficult-to-change limits within which state elites must maneuver to extract taxes and obtain credit. Does a state depend on export taxes (e.g., from a scarce national resource, or from products vulnerable to sudden world-market fluctuations)? Does a non hegemonic state's geopolitical position allow it to reap the state-building benefits of military aid, or must it rely on international bankers or aid agencies which insist upon favoring private investments and restrict the domestic political options of the borrower state? What established authority does a state have to collect taxes, borrow, and invest in potentially profit9 See, for examples: Charles Tilly (editor), The Formation of N~ional States in Western EUT~ (Princeton University Press, 1975); able public enterprises; and how much "room" is Michael Mann, "State and Society, 1130-1815: An Analysis of there in the existing constitutional-political system to English State Finances," in Maurice Zeitlin (editor), Political Power change patterns of revenue collection unfavorable to and Social Theory (A Research Annual), Volume 1 (Greenwich, the state? Finally, what authority and organizational Connecticut: JAI Press, 1980), pages 165-208; and Stephen means does a state have to deploy whatever financial Skowronek, Building a New American State: The Expansion of Naresources it does enjoy? Are particular kinds of revetional Administrative Capacities, /877-1920 (Cambridge and New nues rigidly "earmarked" for special uses that cannot York: Cambridge University Press, 1982). JUNE



easily be altered by official decision makers?lo Can the state channel (and manipulate) flows of credit to particular enterprises and industrial sectors, or do established constitutional-political practices favor only aggregate categorical expenditures? All of these sorts of questions need to be asked in any study of state capacities; the answers to them, taken together, provide the best possible general insight into the direct or indirect leverage a state is likely to have for realizing any sort of goal it may pursue. For a state's means of raising and deploying financial resources tell us more than could any other single factor about its existing (and immediately potential) capacities to create or strengthen state organizations, to employ personnel, to coopt political support, to subsidize economic enterprises, and to fund social programs. "Financial means," are indeed, as the 16th century French jurist Jean Bodin said, "the nerves of the state."

Policy instruments for specific kinds of state efforts Basic questions about a state's territorial integrity, financial means, and staffing may be the place to start in any investigation of its capacities to realize goals, yet the most fruitful studies of state capacities tend to focus on particular policy areas. As Stephen Krasner puts it: "There is no reason to assume a priori that the pattern of strengths and weaknesses will be the same for all policies. One state may be unable to alter the structure of its medical system but be able to construct an efficient transportation network, while another can deal relatively easily with getting its citizens around but cannot get their illnesses cured."ll Many studies of the abilities of states to realize particular kinds of goals use the concept of "policy instrument" to refer to the relevant means that a state may have at its disposal. The nature and range of institutional mechanisms that state officials may conceivably be able to bring to bear on a given kind of problem must be specified through cross-national comparative research. For example, Susan and Norman Fainstein compare- the urban policies of northwest European nations to those of the United States. Accordingly, 10 See John A. Dunn, Jr., "The Importance of Being Earmarked: Transport Policy and Highway Finance in Great Britain and the United States," Comparative Studies in Society and History 20: 1 Oanuary 1978), pages 29-53. 11 Stephen D. Krasner, Defending the National Interest: Raw Materials Investments and U.S. Foreign Policy (Princeton University Press, 1978), page 58.


they are able to conclude that the U.S. national state lacks certain policy instruments for dealing with urban crises that are available to European statesinstruments such as central planning agencies, statecontrolled pools of investment capital, and directly administered national social welfare programs. 12 Analogously, Peter Katzenstein brings together a set of related studies of how six advanced-industrial capitalist countries manage the international trade, investment, and monetary involvements of their economies. 13 Katzenstein is able to draw fairly clear distinctions between the strategies open to states such as the Japanese and the French, which have policy instruments that enable them to intervene at the level of particular industrial sectors, and other states, such as Britain and the United States, which must rely upon aggregate macroeconomic manipulations. Once again, as in the Fainstein study, it is the juxtaposition of different nations' approaches to a given policy area that allows relevant policy instruments to be highlighted. Neither study, however, treats such "instruments" as the deliberate short-term creations of state officials. Both studies move out toward macrohistorical explorations of the broad institutional patterns of divergent national developments that determine why various countries now have--or do not have-policy instruments for dealing with particular problems or crises.

States in relation to societal actors Fully specified studies of state capacities not only entail examinations of the resources and instruments states may have for dealing with particular sorts of problems; they also necessarily look at more than states as such. They examine states in relation to particular kinds of socioeconomic and political environments, populated by actors with given interests and resources. One obvious use of a relational perspective is to investigate the power of states over domestic or transnational nonstate actors and structures, especially economically dominant ones. What capacities do states have to change the behavior or oppose the demands of such actors, or to transform recalcitrant structures? Answers lie not only in features of states themselves, but also in the 12 Susan S. and Norman I. Fainstein, "National Policy and Urban Development," Social Problems 26:2 (December 1978), pages 12~46. See especially pages 140-41. 13 Peter J. Katzenstein (editor), Between Power and Plenty: Foreign Economic Policies of Advanced Industrial States (Madison: University of Wisconsin Press, 1978).





balances of states' resources and situational advantages compared to those of nonstate actors. This sort of relational approach is used by Stephen Krasner in his exploratoon of the efforts of u.S. officials to implement foreign raw-materials policy in interactions with large corporations, whose preferences and established practices frequently ran counter to the state's definition of the "national interest."14 This is also the sort of approach used by Alfred Stepan to analyze Peruvian military leaders' relative successes and failures in using state power to change the patterns of foreign capital investments in their dependent country. IS Stepan does a brilliant job of developing a consistent set of causal hypotheses to explain the diverse outcomes across industrial sectors-i.e., sugar, oil, and manufacturing. For each sector, he examines regime characteristics-degree of commitment to clear policy goals, technical capacities, monitoring abilities, state-controlled investment resources, and the state's international position. He also examines the characteristics of existing investments and markets as they impinge upon the advantages to Peru and to foreign multinationals of any given further investments. The entire argument is too complex to reproduce here, but its significance extends well beyond the foreign investment issue area and the Peruvian case. By taking a self-consciously relational approach to the balances of resources that states and multinational corporations may bring to bear in their partially symbiotic and partially conflictual dealings with one another, Stepan has provided an important model for further studies of state capacities in many policy areas. Another relational approach to the study of state capacities appears in Peter Katzenstein's Between Power and Plenty, where (as was indicated above) the object of explanation is ultimately not state power over nonstate actors, but nations' strategies for managing "interdependence" within the world capitalist economy. One notion centrally invoked in the Katzenstein collection is that of a "policy network" embodying a patterned interrelationship between state and society within each domestic national structure. The idea is that the definition and implementation of foreign economic policies grows out of the nexus of state and society. Both state goals and the interests of powerful classes may influence policy orientations. And the implementation of policies is shaped not only by the policy instruments available to the state but also by the organized support it receives from key societal 14


Krasner, Naticmal Interest, especially Parts Two and Three. Stepan, State and Society, Chapter 7.



groups. Thus, national policies-for example, industrial reorganization-may be efficaciously implemented because a strong central state controls credit and can intervene within industrial sectors. Yet it may be of equal importance that industries are organized into disciplined associations路 willing to cooperate with the state. In short, a complete analysis requil"eS examinations of the organization and interests of the state, of the organization and interests of socioeconomic groups, and of the complementary as well as the conflicting relationships of state and societal actors. This is the sort of approach consistently used by the contributors to Power and Plenty to explain the foreign economic objectives of Britain, France, Germany, Italy, japan, and the United States, as well as to explain the capacities of their domestic political systems to implement existing or conceivable alternative policies.

Agendas for future comparative research Now that states are back at the center of attention in macroscopic studies of societal change and public policy making, there are new needs and possibilities for comparative research and theory. Since it is clear from existing studies that the organizational structures of states underpin the initiatives they take and their capacities to achieve policy goals, we need to know much more about the long-term development of states themselves. How are states built and reconstructed? What roles have been played by wars or major economic and political crises; and how do state agencies and activities develop in more normal times? What social, economic, and political factors influence patterns of official recruitment, the acquisition and deployment of state financial resources, and the establishment and use of specific policy instruments to address given kinds of problems faced by states and societies? We also need to know much more about the changing patterns of state-society relationships. How do states and socioeconomic groups affect one another's organization and goals? And how do conflicts and alliances between organized social or economic actors and state agencies affect the formulation and implementation of various kinds of public policies? Answers to questions such as these will necessarily develop through analytically sharply-focused comparative and historical studies. And it seems very likely that some of the most strategic findings will arise from the juxtaposition of research findings about very different geographical areas and historical time periods. On issues of state building or the state's 7

role in industrial development, for example, scholars looking at the contemporary Third World might have much to learn from, and say to, students of earlier eras in European and U.S. history. On other issues, such as the state's management of relationships to the world economy, contemporary comparisons of, say, very small or very large countries the world over may yield refreshing insights. And on matters such as the rise and development (and demise?) of Keynesian economic strategies, comparisons of European nations with the United States might be most appropriate. Exact comparative strategies are bound to depend upon the specific issues addressed. But it is clear that further scholarly dialogue will need to transcend parochial specialties based on time and geography in order to explain the processes by which states develop, formulate policies, and seek to implement them in domestic and international contexts.

Comparative, state-centered research along the above-suggested lines will have policy implicationsbut not of the short-term, how-to-do-it sort. Other sorts of social scientific research are better tailored to helping public officials decide what to do on a month-to-month basis. Yet given the fact that states are so obviously and inextricably involved in the economic development, social change, and politics of all contemporary nations, social scientists also need to address the broader and longer-term determinants of the state's role. The limits and the possibilities of public policy are profoundly influenced by historically developed state organizations and their structured relationships to domestic and international environments. Citizens, public officials, and social scientists alike therefore share an interest in better understanding states themselves both as actors and as organizational structures. 0

The Prospects for Research in China by American Humanists and Social Scientists: The Report of a Commission by Kenneth PTewitt*

1979 the Chinese Academy of Social Sciences (CASS) sent to the United States a delegation of leading humanistic and social science scholars. (The term "social science" in China embraces disciplines which in American scholarship fall under the parent terms of "humanities" and "social sciences.") This Chinese delegation conversed with IN THE SPRING OF

* The author, a political scientist, is president of the Council. H!! and Winfred P. Lehmann, University of Texas, served as cochairmen of the American Humanities and Social Science Planning Commission, whose visit to China was part of the 1981 exchange program of the Committee on Scholarly Communication with the People's Republic of China (CSCPRC). The CSCPRC is sponsored by the American Council of Learned Societies, the National Academy of Sciences, and the Social Science Research Council. The views expressed in this article as well as in the r~port of the Commission are those of the members and not necessarily those of its sponsoring organizations. Interested persons may obtain a copy of the Commission's report from the Publications Office, Social Science Research Council, 605 Third Avenue, New York, New York 10158, or from the National Academy Press Warehouse, National Academy of Sciences, 3180-B Bladensburg Road, N.E., Washington, D.C. 20018. Enclose $2.00 for postage and handling. 8

several hundred American scholars and academic administrators in research universities, libraries, academies, centers, and institutes. The Chinese repeatedly emphasized the importance of increasing the flow of scholars, books, and ideas between the United States and the People's Republic of China. American scholars responded enthusiastically to the prospect. One small part of this enthusiastic response developed into an American Humanities and Social Science Planning Commission. The Commission had in hand a generous invitation from Hu Quiaomu, president of the Chinese Academy of Social Sciences, to reciprocate the visit of the CASS delegation with a group of American scholars broadly representative of the humanistic and social science disciplines. The Commission went to China in early 1981 and subsequently prepared a report to the American academic community and to the funders of scholarly exchanges. 1 This article summarizes the major findings reported in much greater detail in the report. 1 Kenneth Prewitt (editor), Research Opportunities in China for American HumanisL~ and Social Scientists (New York: Social Science Research Council, 1982).





Twelve humanists and social scientists and one natural scientist formed the Commission. The membership was balanced between China specialists and scholars who had, at best, an amateur's knowledge of China. The non-China scholars included persons with experience in developing scholarly exchanges with Africa, Europe, Latin America, the Middle East, and Southeast Asia. The members were Daniel Aaron, Harvard University; Robert McC. Adams, University of Chicago; Mary Brown Bullock, Committee on Scholarly Communication with the People's Republic of China; Wm. Theodore de Bary, Columbia University; Albert Fishlow, Yale University; Clifford Geertz, Institute for Advanced Study (Princeton, New Jersey); John C. Jamieson, University of California, Berkeley; Winfred P. Lehmann, University of Texas (cochairman); Eleanor E. Maccoby, Stanford University; Michel C. Oksenberg, University of Michigan; Kenneth Prewitt, Social Science Research Council (cochairman); Walter Rosenblith, Massachusetts Institute of Technology; and Frederic E. Wakeman, Jr., University of California, Berkeley.

American objectives in the exchange program The case for an adequate understanding of China is too obvious to require elaboration. The Commission's focus was on the next step-the part which an exchange program can play in furthering this understanding. We were specifically concerned with the appropriate role of the humanistic and social science disciplines-:-that part of the nation's intellectual system which is responsible for comprehending the human experience. The Commission quickly came to the position that the great promise provided by the normalization of Sino-American relations is not likely to be realized without a much deeper understanding, each society of the other, than presently exists. Sustained scholarship-not only but certainly including the sort conducted by the humanities and the social sciences-will be necessary to this understanding. From an American perspective, scholarship requires an active research presence. This research presence can accompany but differs in important respects from the teaching, lecturing, training, and technique-transfering role which the Chinese are inviting Americans to play. It can also accompany, but again significantly differs from, an exchange program, which stresses friendship or a particular cluster of foreign policy goals. To rest an exchange program on "what we can give to the Chinese to help them JUNE


modernize" or on a "hands across the seas" sentiment would be to erode the core of what a scholarly exchange program provides: a contribution to a shared Sino-American capacity to understand the modern world, our respective roles in it, how it came to be, its intrinsic possibilities and likely limits, and thus to improve our ability diversely and separately to live in it. This premise led in turn to a strong emphasis by the Commission on sustaining and extending an American research presence as a central purpose of the overall exchange program. The program should serve the research and training needs of the humanists and social scientists who constitute the nation's China specialists: providing access to archives, materials, sites, and the life of the Chinese people, and upgrading language abilities by expanding the number of American scholars trained in Chinese languages. A successful program will also provide nonChina specialists those scholarly opportunities that will hasten the incorporation of China's experience, from ancient times to the present period, into the general study of the human condition. In emphasizing American scholarly interests, the Commission assumed that the exchange program will continue to cooperate with the Chinese as they develop their own humanities and social sciences. This objective is now receiving substantial funds and is being actively pursued, both by American programs in China and by the training of Chinese in American universities. This objective, up to a point, merits support on its own terms. But the Commission believes that cooperation with Chinese purposes should be pursued in the context of American objectives. Obviously, it is in the interests of American scholarship on China to have access to colleagues in China whose research and writings interpret their own society. And it is in the interests of American scholars to have colleagues with whom collaboration is possible. I t is not likely that meaningful collaboration can be realized until the Chinese develop a more accurate understanding of American society-including its intellectual traditions and academic practices-than they presently have. The Chinese, of course, recognize that their isolation from the West, and especially the disruption of the Cultural Revolution, left them with very dated knowledge of the United States, and, more often, stereotypes and images which derive from ideology and "mind-set" rather than from serious study. It is in our academic as well as national interest to assist them-by providing lecturers, curricular materials, books, and training-as they establish American studies programs and begin to train a new generation of American specialists. 9

There are obvious and legitimate purposes to be served by cooperating with the Chinese and their goals. Nevertheless, the Commission concluded that a failure to serve American scholarly interests will compromise and eventually undermine the very reasons for establishing an exchange program in the first place. The Commission realized the irony that, if fully achieved, American scholarly objectives would in some ways change the China Americans seek to study. A China that would permit open inquiry into its history or its communes or its bureaucratic practices would no longer be the China we know (or do not know) today. The American pressure to conduct independent research becomes an unwitting instrument of social change. For that reason, American scholars should not expect fully to attain their objectives. Furthermore, to design a program or to adopt objectives in order to "change China" is, in the judgment of the Commission, seriously misguided. Not misguided, however, would be a program designed to apply the best available American scholarship to an understanding of China.

Academic practice and policy in China The prospects for an American research presence in China depend not only on how we conceptualize and design the exchange program, but also on how well we understand the current context in China. Accordingly, in the center of the Commission's report there is an extended discussion of how the Chinese context shapes and limits scholarly opportunities (Chapter 4, "The Context for Realizing American Objectives"). Included is a review of the pre-1949 experiences in academic exchanges of both Chinese and Americans, a review from which the Commission drew what it believes is an important general lesson. Briefly, it mattered little, in terms of the success of various pre-1949 programs, whether the program favored the cosmopolitan or the provincial, the elite or the mass, the center or the periphery. What counted was the existence of a clear-cut policy on these fundamental issues. In a sense, the YMCA and Peking Union Medical College adopted quite different strategies, but both were successes because they addressed these issues forthrightly. Difficulties were predictable, even acceptable, because they were the logical consequence of conscious choice. The programs that failed were those which did not choose, but sought to serve all. 10

Also included in this chapter is a description of Chinese universities and reseal'ch institutes, which are characterized as generally being rigid, hierarchial, inbred, compartmentalized, and segmented. The academic community is marked by distinct generational layering: the Western-trained generaion, now mostly over 60 years old; the generation which began in the 1950s-many of whom were trained in the Soviet Union; then the faculty and researchers now in their 20s and 30s-the Cultural Revolution or "lost" generation; and finally, the new generation starting with the class of 1981, whose education had not been disrupted by political events. The generational layering of the Chinese academic community, its cellular nature, and the repeated, divisive campaigns which the regime has waged against academics over the past 30 years all influence the Commission's view of how to establish American relations with China's humanists and social scientists. Chinese scholars are a much bullied, fragmented, and weary group. They remain patriotic and willing to serve their country, but for the most part they wish to do so while minimizing personal risk. They also hope to enhance the prospects for a peaceful, more secure future for their families, particularly because in many instances their academic affiliations brought suffering to their families . The scars of the Cultural Revolution years have not yet healed; China still is a wounded society. It is likely to be many years under the best of circumstances before most disciplines attain the necessary level of national coherence and trust to sustain genuine intellectual interchange. Any institution with which Americans deal is likely to be faction-ridden, with each faction linked to a different external network of personal ties. Frequently, what appears to Americans as an agreement with a Chinese institution is viewed by Chinese as an agreement with a faction within the institution, crafted and implemented to benefit that faction. ' The Commission concluded on the basis of these observations that scholarship in China has before it an awesome set of tasks. At one level is the challenge to comprehend and articulate the Chinese path to socialist modernization. At another level is the job of designing and evaluating specific policies appropriate to the current modernization drive. The first task is somewhat analogous to the "founding period" in United States political history, when a group of intellectuals were challenged to think through the deeper theory of governance and economic development which became expressed in the political theory of the Constitution. The second task is somewhat VOLUME




analogous to the efforts of United States social science in the 1930 and again in the 1960s and 1970s tn become "policy sciences" for government's efforts to deal with economic and social development. Either task is difficult by itself; joining them is a high-risk venture. And powerful political interests in China are closely watching how intellectuals will conceptualize "the Chinese path to modernization" as well as how well their recommended policies are working. Especially visible are the Chinese sch31ars with whom the exchange program is being negotiated. Political vulnerability, then, is a deep and continuing part of the life of social scientists and humanists in China.

Chinese perspectives on a foreign research presence In considering American research opportunities, the Commission found it useful to identify the criteria which appear to determine whether a particular research project will be welcomed in China. The full report describes these criteria in some detail; here they can sim~ly be listed: (1) Conformity to Chinese bureacratic and scholarly practice (2) Isolation from the daily lives of the Chinese people (3) Availability of trained Chinese colleagues (4) Usefulness of the research to China (5) Ease of monitoring for possible national security implications (6) Reputation of the foreign scholar

fluency in the language where called for, but they must have some acquaintance with contemporary Chinese bureaucratic practice. They must be mentally prepared for the rigors of research in China. They should receive thorough or~entation briefings before departure, so that their expectations can be realistic. And they should be sensitive to various ethical and cultural issues of doing research in China. To seek a research presence in China means that great effort must be made to ensure that our researchers are aware of such issues. While the initial experience in this regard has generally been satisfactory to both sides, the Commission believes that increased attention is necessary. The national organizations and the universities engaged in scholarly exchanges should clarify the basic rules to which they expect scholars to adhere while conducting research in China. The Chinese are producing their own guidelines, but these may not cover all the considerations which a responsible American research presence should take into account.

Recommended response

The Commission found that a significant gap exists between what it believes an appropriate research presence in China should be and what the Chinese currently are willing and able to permit. How should the American academic community respond? Should it simply acquiesce and accommodate its research to Chinese restrictions? Or should it retaliate and urge confrontation? The Commission heard Americans The report examines each of these criteria from the advocate both accommodation and sharp confrontapoint of view of the Chinese bureaucracy-and finds tion. Advocates of accommodation stress the need to them quite reasonable from this point of view. respect Chinese national sovereignty, are satisfied Nevertheless, it concludes that the criteria provide an with progress to date, believe the Chinese are making unfortunately limiting framework upon which to good-faith efforts, and/or view research as but part of build a mutually beneficial, enduring exchange of the purpose of a stay in China. Advocates of conideas and scholars. From an American perspective, frontation believe the way to make progress with the the most important criterion for evaluating a research Chinese is to threaten retaliation. To do otherwise is proposal-its intellectual merit in advancing a rigor- to institutionalize arrangements which may permaous comprehension of China and in advancing a dis- nently foreclose research opportunities for certain ciplined theory-is missing. It urged strongly that all scholars, disciplines, and methodologies. Focusing on practical measures be taken, at this early but critical the openness of the United States to Chinese scholars stage of United States-China scholarly relations, to and the funding available to Chinese to study in the establish a balanced research presence in China, a United States, proponents of this view strongly resent presence in which topics and researchers are selected what they perceive as the imbalance or inequality of the current exchange programs. on the basis of standard scholarly criteria. The Commission examined the arguments for both Such a presence entails responsibilities as well. Not only should our scholars be excellent in their di~ci足 accomodation and confrontation in some detail-and pline and knowledgeable about China, with sufficient rejected both. It explored, instead, alternative strateJUNE



gies which will secure an American research presence while avoiding a "hard line" which would be difficult to implement and perhaps close research opportunities even further. The Commission concluded with recommendations for the most effective way to manage the increasingly diversified exchange program. In drafting its report, the Commission, was aware

that it will be read by friends and colleagues in China. This did not alter what it had to say, for it believed that the more candid each side is in presenting its concerns as well as its aspirations, the sooner will both sides move toward those conditions of openness without which a global scholarly community cannot exist. 0

Responses to Recent Cuts in Federal Budgets for Statistics by Robert Parke*

ferences in the way data systems treat population coverage, subject matter content, statistical definitions, data collection procedures, editing of returns, or the design of tabulations. Moreover, to compare results for one time with those for an earlier time, we must be able to assume a continuity of statistical practice and care in the documentation of revisions that is not often found outside the major federal statistical agencies. Comparability across time and across space depends upon the data being produced in a uniform way. Federal statistics furnish benchmark data to which other data are compared, and statistical and conceptual standards that are relied on in nearly all of our statistical information about the nature of American society and the changes taking place in it. Figures collected in private surveys are validated by comparing them to federal survey data; the federal population censuses and surveys provide the data.and models for the design of samples throughout the private sector; and concepts and definitions used in federal * The author, a sociologist-demographer, serves as director of data programs furnish the standard and the point of the Council's Center for Coorilination of Research on Social Indi- reference for statistical work at other levels of govcators, located in Washington, D.C. This article is based upon a ernment and in the private sector. Cutbacks and curportion of a statement submitted to the Subcommittee on Census tailments jeopardize the entire national system for and Population of the Committee on Post Office and Civil Ser- producing statistics. It is not just federally-produced vice, u.S. House of Representatives (Robert Garcia, N.Y., chairnumbers that are at stake; so are all those public and man), for its hearings on the impact of recent budget reductions on the utility and quality of federal statistics, March 16, 1982. Mr. private arrangements that rely on federal data and Parke's statement focused on the statistical measurement of so- federal statistical standards. Federal budget cuts have elicited a wide range of cial conditions and social change.

THE FEDERAL GOVERNMENT is the sponsor of the large, high quality surveys and censuses that provide reliable data on small areas and specific groups within the population and authoritative descriptions of changes in population, education, employment, and hundreds of other topics. The federal role is, of course, a reflection in part of the fact that the government has a broad range of program and policy concerns on which it needs information and the fact that it commands large resources. However, the basis of the federal role in statistics is broader than either its program involvements or its budget for statistics, both of which are now being constrained. The federal role in the production of statistical information is essential to the usefulness of the data. To use data for comparison, we must be able to compare data for New York and Buffalo (or for blacks and whites, for South and North, for rich and poor) with confidence that the differences reflect differences between New York and Buffalo, not dif-






Responses to Recent Cuts in Federal Budgets for Statistics (As of April 15, 1982) Examples of programs affected

Response (1) Cancelled surveys

Current Population Survey's supplement on mUltiple job holding; several industry wage surveys; early data on corporate income for national accounts; Statistics of Income of employee benefit plans; Family Budget program; 1982 National Travel Survey; Nationwide Personal Transportation Survey; planned Survey of Income and Program Participation (SIPP)

(2) Reduced frequency of observation

National Survey of Family Growth; National Medical Care Utilization and Expenditures Survey; National Longitudinal Survey of the High School Class of 1972; Health and Nutrition Examination Survey (national sample); Annual Hous- . ing Survey

(3) Reduced sample size

Health Interview Survey; Statistics of Income (from tax data); Annual Housing Survey; Consumer Expenditures Survey (rural sample . eliminated)

(4) Delayed implementation of revisions in survey samples to reflect changes in the population that occurred between the 1970 and 1980 censuses (5) Dropped plans to collect data crucial to the interpretation of survey results (6) Delayed revision of time series

Current Population Survey; Health Interview Survey; Consumer Expenditures Survey; Annual Housing Survey; National Crime Survey; Family Growth Survey

Transcript and admission test data for High School and Beyond Survey Export and import price indexes and producer price index; Consumer Price Index (rebasing to 1977 delayed)

(7) Delayed schedules for the issuance of data

1980 Census of Population and Housing; estimates of personal wealth

(8) Curtailed publication programs

Internal Revenue Service's Statistics of Income (all preliminary and most supplemental reports cancelled. basic tables reduced by half); publications of Economic Research Service, U.S. Department of Agriculture; publications of Income Survey Development Program

(9) Involuntary reductions in staff (10) Involuntary furloughs of staff



responses from the statistical agencies. Information about these responses is given in the ,accompanying box. The information is abstracted from materials supplied by the agencies to the author and to Katherine Wallman, director, Council of Professional Associations on Federal Statistics. Cuts in statistical budgets can be expected to affect research on the measurement of social conditions and social change in many of the same ways that they affect other uses of federal statistics. Reduced flow of information, reduced frequency of observation, reduced statistical reliability, and degredation of data quality impair all uses of the data. In addition, there are effects that fall particularly heavily on efforts to measure changes in social conditions. These include the reduced ability of researchers to maintain the integrity of time series; to trace changes occurring in a variety of subgroups and settings; and to capture the variation associated with the present time of unusually marked changes in the government, the economy, and the society. Finally, important national indicator data series are threatened not only because of cuts in the budgets of statistical agencies; they are also threatened because severe cuts in the funds available for social science research imperil key data-collection programs and the research institutions that conduct them. It is an unfortunate time to be without a forum for the expression of national statistical priorities and for the exercise of national statistical leadership. In the old Office of Statistical Standards, the government once had such a forum, and 路it badly needs one now. What remains of that office l lacks the staff, the leadership, and the mandate to do the job that is needed. Consequently, we lack a means for articulating statistical priorities, for dealing with needs of the statistical system, and for achieving an orderly adjustment to the constraints that are finally agreed upon. The present process of sudden adjustment, conceived at the agency or department level, is bound to produce results much inferior to those of an orderly transition that seeks national objectives; takes into account the relationships among programs; and insures that government statistical programs take full advantage of the advances in design, methods, and factual knowledge that have been achieved in the private sector in recent years. 0

Bureau of the Census Planned for Bureau of Labor Statistics; implemented briefly by the Bureau of the Census

1 The Statistical Policy Branch of the Office of Management and Budget, which was eliminated by a reorganization in May 1982. Its remaining functions have been assigned to a new Regulatory and Statistical Analysis Division, according to The Numbers News (Volume 6, Number 2, May 17, 1982), a supplement to American Demographics (June 1982).


Federal Funding for the Social Sciences: An Updated Report by Robel路ta Balstad Miller*

IT IS NOW MORE THAN A YEAR since the Reagan administration first proposed m<tior reductions in support for social and behavioral science research at the National Science Foundation. The initial response of social scientists to those budget proposals-and the support accorded social scientists by both natural scientists and members of Congress-was described in an article in the September 1981 issue of Items. 1 This article continues where the Prewitt-Sills article left off, summarizing the final NSF budget for social and behavioral science research for fiscal year 1982 (FY 1982) and describing the initial administration request and congressional activities for the FY 1983 budget. As noted in the Prewitt-Sills article, the administration's first budget requests in February and March 1981 included cuts of 75 per cent in the Foundation's Division of Social and Economic Science and only slightly less in the behavioral science budgets of the Division of Behavioral and Neural Sciences. Yet with strong endorsement for social science research, particularly from the leaders and members of two House subcommittees,2 the House of Representatives in July restored $40 million to NSF for Research and Related Activities. In its report on the legislation, the Appropriations Committee stated that this amount was to be divided among the three research directorates most severely affected by the budget cuts-one of which was the Directorate for Biological, Behavioral, and Social Sciences (BBS). At the same time, the Senate Appropriations Subcommittee on HUD-Independent Agencies recommended an appropriation for the National Science Foundation that was very close to the administration's request, but suggested reallocation within the NSF budget to restore BBS to its FY 1981 level. The ensuing conference between House and Senate left the Foundation's Research and Related Activities with an appropriation of $20 million more than the administration's request-a sum earmarked in part for the social and behavioral sciences.

* The author, a historian, is executive director of the Consortium of Social Science Associations, located at 1755 Massachusetts Avenue, N.W., Washington, D.C. 20036. She is currently on leave from her position as a staff associate at the Council's Center for Coordination of Research on Social Indicators. 14

By September 1981, therefore, both the House and the Senate had demonstrated support for increasing the BBS budget for social and behavioral science research. At that time, there was some evidence that even within the administration the social science cuts were considered excessive. In a second round ofbudget cuts at the end of September, the administration asked for additional 12 per cent reductions in federal budgets. The Office of Management and Budget (OMB) instructions to NSF, however, were that none of the 12 per cent cut was to be taken from the social and behavioral science research programs. Moreover, in early December, the White House Science Advisor, George A. Keyworth, a physicist, was quoted in the Washington Post as saying that the social science budget cuts at NSF displayed "poor judgement" (Washington Post, December 2, 1981) and that the budget for the next fiscal year would show a 50 per cent increase in this area. Dr. Keyworth's remarks and OMB's instructions to the Foundation demonstrated that the administration was not so monolithic on the question of severe cuts for the social and behavioral science research programs as it had appeared earlier in the year. The final FY 1982 budget for NSF included $11 million more for the sociallbehavioral science research programs than the original Reagan administration request. This restoration brought the budget for the Division of Social and Economic Science to $17.6 million and the various behavioral science programs in the Division of Behavioral and Neural Sciences to $11.3 million. Depending on the base, this can be seen as a 53 per cent increase from the administration's initial budget request or a 38 per cent decrease from the budget for social science research in FY 1980. Either way, the social sciences were better funded and politically somewhat stronger at the end of the first I Kenneth Prewitt and David L. Sills, "Federal Funding for the Social Sciences: Threats and Responses," Itemf, 35(3) :33-47 (September 1981). 2 The House Subcommittee on Science, Research and Technology, led by Chairman Doug Walgren (Democrat-Pennsylvania), and ranking minority member Margaret Heckler (Republican-Massachusetts), and the House Approp,路iations Subcommittee on HUD-Independent Agencies, led by Chairman Edward P. Boland (Democrat-Massachusetts) and ranking minority member Bill Green (Republican-New York).





year of the Reagan administration than they were at its beginning. These gains for social and behavioral science in the FY 1982 budget were essential for the support of a number of major research and data collection programs by the Foundation. They were also, as became subsequently clear, the basis for the FY 1983 budget for social and behavioral science research at the Foundation. The budget released to the Congress in February 1982 gave NSF Research and Related Activities an overall increase of 8.8 per cent. The Division of Social and Economic Science, however, was scheduled for a nominal increase (about one per cent) and the behavioral science programs in the Division of Behavioral and Neural Sciences for an increase of about three per cent. The same formula of Congressional testimony and visits, well-timed letters, and phone calls was employed once more to induce the Congress to increase the budgets for social and behavioral science research over the administration requests. It is still too early in the FY 1983 budget process to predict the final shape of the NSF research budget, but the budget actions taken by the Congress thus far are very favorable. The House Committee on Science and Technology, the authorizing committee for NSF, voted to increase the authorization for social and behavioral science research to its FY 1980 level-$I7.6 million over the administration request. Strong support for the restoration was provided by Congressman Doug Walgren (Democrat-Pennsylvania), chairman of the Subcommittee on Science, Research and Technology. Mr. Walgren was backed by all the Democrats on the Science and Technology Committee and by two Republicans, Representative Claudine Schneider (Republican- Rhode Island) and Representative Jim Dunn (Republican- Michigan). In the Senate there was also support for an NSF authorization that restored funding for social and behavioral science research. In late April, the Committee on Labor and Human Resources (Chairman Orrin Hatch, Republican- Utah) approved an amendment to the administration's budget for NSF adding $5 million for social and behavioral science research. Although the amendment was proposed by Senator Edward Kennedy (Democrat- Massachusetts) and was supported by Democratic members of the committee, it received critical support from Republicans Lowell Weicker (Republican-Connecticut) and Robert Stafford (Republican- Vermont) and was accepted by a 14-2 vote in the committee. Before the NSF budget for FY 1983 is finally determined, the House and Senate Committee recomJUNE


mendations must be approved on the floor of both the House and the Senate, and differences between the two authorizations must be resolved by a conference committee. The same process must be followed for the appropriation . What is clear, even at this stage in the process, is that in a year of exceptionally tight budgets, the Congress has shown a willingness to increase federal support for social science research-a position that has been taken hy both Democrats and Republicans. Economic and political events may still intervene in the budget process and force back the gains social scientists have already made in the Congress this year. The fact of our increased political support will not change, however, and any budget reversals this year may well be restored next year. 1n terms of both social science research budgets and political support, social scientists are in a better position this year than they were last year. There are a number of factors which account for this apparent reversal. Certainly the severity of the initial Reagan budget cuts led to welcome support for social science research among natural scientists and members of Congress. Second, the social sciences have organized and worked together to restore the budgets cut by the administration-not a common occurrence in the past. The Consortium of Social Science Associations (COSSA),3 created by the social and hehavioral science disciplinary associations to coordinate a political response to the budget cuts, gave focus to both political efforts (grass roots and Washington lobbying) and substantive education (testimony, seminars, and briefings). Initially established for ;t three-month period, COSSA is continuing its efforts this year and is working to obtain support on a more permanent basis. 0 3 The ten social science associations that are members of COSSA are the American Anthropological Association. the American Economic Association. the American Historical Association. the American Political Science Association. the American Psychological Association. the American Sociological Association. the American Statistical Association. the Association of American Geo/:,'Taphers. the Association of American Law Schools, and the Linguistic Society of America. In addition. COSSA currently has 13 affiliated associations: the American Association for Public Opinion Research. the American Educational Research Association. the Cornell Institute for Social and Economic Research. the Eastern Sociological Society. the Evaluation Research Society. the History of Science Society. the Law and Society Association. the Northeastern Anthropological Association. the Social Science History Association, the Society for American Archaeology, the Society for Psychological Anthropology. the Society for the Scientific Study of Religion. and the Southwestern Social Science Association.


Council Personnel New directors and officers

Resignation of Rowland L. Mitchell, Jr.

The Council's board of directors, at its meeting on May 14, 1982, elected seven directors. Newly-elected directors-at-large to serve three-year terms are Howard E. Gardner, psychology, Veterans Administration Hospital (Boston), and Robert W. Kates, geography, Clark University. William Julius Wilson, sociology, University of Chicago, was reelected to a second three-year term as a director-at-large. Also newlyelected to board membership were two new directors from professional associations: Hugh T. Patrick, Yale University, American Economic Association, was elected to serve a three-year term, and Stephen M. Stigler, University of Chicago, American Statistical Association, was elected to serve a two-year term to complete the term of Vincent P. Barabba, Eastman Kodak Company, who has resigned. Reelected to serve three-year terms from professional associations were Eleanor E. Maccoby, Stanford University, American Psychological Association, and Immanuel Wallerstein, State University of New York, Binghamton, American Sociological Association. Other continuing directors are Stephen E. Fienberg, statistics, Carnegie-Mellon University; Charles O. Jones, University of Virginia, American Political Science Association; Michael Kammen, Cornell University, American Historical Association; Robert A. LeVine, Harvard University, American Anthropological Association; Gardner Lindzey, psychology, Center for Advanced Study in the Behavioral Sciences; Marc L. Nerlove, economics, Northwestern University; Kenneth Prewitt, political science, Social Science Research Council; Murray L. Schwartz, law, University of California, Los Angeles; Donna E. Shalala, political science, Hunter College, City University of New York; and Sidney Verba, political science, Harvard University. The board also elected the Council's officers for 1982- 83: Robert A. LeVine was reelected as chairman; Eleanor E. Maccoby was reelected as vicechairman; Stephen E. Fienberg was reelected as secretary; and Donna E. Shalala was reelected as treasurer.

The board of directors of the Social Science Research Council, at its annual meeting on May 14, 1982, noted with regret the resignation from the staff of Rowland L. Mitchell,Jr. on March 1, 1982, after 22 years of loyal service as a staff associate. Mr. Mitchell resigned from the Council staff to become a fundraising consultant. The board voted unanimously to express to Mr. Mitchell the gratitude of the Council for his many contributions to the life and committees of the Council, and particularly for his skillful management of the Research Training Fellowship Program, which Mr. Mitchell staffed during his entire tenure at the Council. For several decades, these Research Training Fellowships played an important role in the nurturing of particularly talented young social scientists. Mr. Mitchell came to the Council in 1960 from the Massachusetts Institute of Technology, where he had been an assistant professor of history in the Department of Humanities. He had received both a B.A. and a Ph.D. in history from Yale University, and he had previously taught history at Yale and at the University of Michigan. During his 22 years at the Council, Mr. Mitchell served without interruption as staff to the Committee on Social Science Personnel, which selected individuals to be Council Research Training Fellows, and to the Joint Committee on the Near and Middle East, sponsored jointly by the Council and the American Council of Learned Societies. For a 12-year period he served as staff to the Joint Committee on African Studies and for shorter periods he was staff to the Committee on Learning and the Educational Process, the Committee on Afro-American Societies and Cultur~s, and numerous committees administering grants and fellowships.






Current Activities at the Council Research on the 1980 Census This interdisciplinary committee was appointed in 1980 in order to 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 major goal ofthe project is to develop a broad plan for the utilization of the data from the 1980 census for scholarly/scientific purposes, a plan that will include the commissioning of a series of research projects. These projects in turn will lead to publications-scholarly books for the most part-that will serve as authoritative descriptions of major aspects of American society, exploiting the area detail, the information about subgroups in the population, and the extended time series which characterize census data. Thus far, the following projects have been commissioned: John S. Adams, University of Minnesota, "Housing"; Suzanne M. Bianchi and Daphne G. Spain, U.S. Bureau of the Census, "Women"; Calvin L. Beale, U.S. Department of Agriculture, and Glen V. Fuguitt, University of Wisconsin, "Rural and Small Town America"; Frank D. Bean, University of Texas, and Marta Tienda, University of Wisconsin, "The Hispanic Population"; Reynolds Farley and Walter R. Allen, University of Michigan, "Black/White Differences"; William H. Frey, University of Wisconsin, and Alden Speare, Jr., Brown University, "Regional and Metropolitan Growth and Decline"; Stanley Lieberson, University of Arizona, "Ethnic and Racial Groups"; Larry Long, U.S. Bureau of the Census, "Geographical Mobility and Migration"; James Sweet and Larry Bumpass, University of Wisconsin, "Families and Households"; and Michael J. White, Princeton University, "The Demographic Structure of Neighborhoods." The staff of the Bureau of the Census is also preparing a volume to be called "A Profile of the American Population." In addition, William Alonso and Paul Starr, both of Harvard University, have been commissioned to organize and chair a conference on the census as a social, political, and economic institution (alternative working titles: the politics of national statistics; the politics of numbers). The conference will be held in the spring of 1983 and a volume based upon the JUNE


papers presented will be edited by Messrs. Alonso and Starr. In June 1982, a workshop for project directors will be held at the Center for Demography and Ecology at the University of Wisconsin. Chaired by H. H. Winsborough of the University of Wisconsin, the workshop is intended to provide an opportunity for the project directors to plan their analysis procedures by learning both from each other and from technically-trained people. Some form of centralized data processing is expected to emerge from the workshop. .Charles F. Westoff, Princeton University, serves as chairman of the committee. The other members of the committee are John S. Adams, University of Minnesota; Anthony Downs, The Brookings Institution (Washington, D.C.); Leobardo Estrada, University of California, Los Angeles; Reynolds Farley, University of Michigan; Victor R. Fuchs, Stanford University; Bernard R. Gifford, University of Rochester; Paul C. Glick, U.S. Bureau of the Census (retired); Sidney Goldstein, Brown University; Tamara K. Hareven, Clark University; Nathan Keyfitz, Harvard University; Cora B. Marrett, University of Wisconsin; Robert K. Merton, Columbia University; Frederick Mosteller, Harvard University; Isabel V. Sawhill, The Urban Institute (Washington, D.C.); William H. Sewell, University of Wisconsin; Michael S. Teitelbaum, Carnegie Endowment for International Peace; James R. Wetzel, U.S. Bureau of the Census; and Raymond E. Wolfinger, University of California, Berkeley. David L. Sills and Robert Parke serve as staff. This interdisciplinary committee is sponsored jointly with the Russell Sage Foundation and the Alfred P. Sloan Foundation, in cooperation with the U.S. Bureau of the Census. Major funding has been obtained from these two foundations and from lhe Ford Foundation; additional funding i, being sought.

Life-Course Perspectives on Human Development A primary concern of this committee has been to facilitate the maximum utilization of existing longitudinal data sets and to uncover the yet-to-be-utilized richness of such data for life-course research. Accordingly, a second workshop designed to facilitate life-course research with the

University of Michigan's Panel Study of Income Dynamics (PSI D) was held on November 21-24, 1981, at the Belmont Conference Center in Elkridge, Maryland. The first workshop had been held in June 1980, at the University of Michigan, to inform users of the data set's potential for life-course research and to consider various problems specific to life-span analysis of the available data. About half of the participants in the second workshop were involved in the first; all participants in the workshop were invited on the basis of applications submitted to the Council and reviewed by a subgroup of the committee. The workshop was unique in its focus on a singular set of data, and their use across a diverse range of substantive concerns. The agenda consisted of presented papers of life-course oriented research with the PSID, specific discussions of each presentation, and general discussions of common problems of data access, management, and analysis. Presentations and participants included Paula Smith Avioli, Rutgers University, "The Employment Decision of Married Mothers of Infants"; Sheila Kishler Bennett, Bryn Mawr College, and Pamela J . Perun, Wellesley College, "Consequences of the Timing of Children for Retirement Planning"; Albert Chevan, and Gordon F. Sutton, University of Massachusetts, "Methodology for Application of Multiple IncrementDecrement Life Table Models to Data from the PSID"; Richard J. Harris, University of Southern California, and John J. Hedderson, University of Texas, "Economic Trends, Population Composition, and the Life Course: Implications for Income Inequality"; Sandra L. Hofferth, The Urban Institute (Washington, D.C.), "Trends in the Family Structure and Living Arrangements of Children: A Cohort Approach"; Margie E. Lachman, Brandeis University, "Personal Efficacy in Middle and Old Age: Differential and Normative Patterns of Change"; Angela V. Lane and Ivar Berg, University of Pennsylvania, "Job Search and Job Stability"; Jeffrey K. Liker, Cornell University, and Gregory J. Duncan, University of Michigan, "Modeling Change: Evaluating Alternative Formulations"; Sara S. McLanahan, University of Wisconsin, Madison, and Aage B. S~rensen, University of Wisconsin, "Life Events and Psychological Well-Being Over the Life


Course"; Phyllis Moen, Cornell University, "Continuities and Discontinuities in Women's Labor Force Activity"; A. Wade Smith, Arizona State University, "Temporal Aspects of Marital Disorganization : A Time-Series Model of Marital Disruption"; Ken R. Smith, Cornell Unh'ersity, "An Event-History Analysis of Work and Disahility Careers"; and Michael J. White, Princeton University, and Amy Tsui and

Mariah Evans, University of Chicago,路 "Longitudinal Trends in U.S. Household Structure." Discussants included Glen H. Elder, Jr., Cornell University; David 1.. Feathe"man, Unive"sity of Wisconsin; Melissa Hardy, Florida State University; Dennis P. Hogan, University of Chicago; James N. Morgan, University of Michigan; and Aage B. S~rensen, University of

Wisconsin. Mr. Elder chai"ed the meeting. Ronald P. Abeles, National Institute on Aging; Andrew J. Chedin, The Johns Hopkins University; and Paul Costa, Haltimore (;erontology Center, National Institute on Aging, participated as observers. Mary Kay F,llconer, Florida State University, served as rapporteur and Lonnie R. Sherrod attended as staff.

Newly-issued Council Publications Research Opportunities in China for American Humanists and Social Scientists, edited by Kenneth Prewitt. New York : Social Science Research Council, 1982. xiv + 68 pages. Paper, $2.00 for postage and handling. This is the report of the Humanities and Social Science Planning Commission, whose visit to China was part of the 1981 exchange program of the Committee on Scholarly Communication with the People's Republic of China (CSCPRC). The CSCPRC is sponsored by the American Council of Learned Societies, the National Academy of Sciences, and the Social Science Research Council. A summary of the Commission's report appears in this issue of Items, pages 8-12. An Inventory of Longitudinal Studies of Middle and Old Age, by Susan Migdal, Ronald P. Abeles, and Lonnie R. Sherrod. Sponsored by the Committee on LifeCour!>e Perspectives on Human Development. !'lew York : Social Science Research Council, 19R1. v + 101 pages. Paper, $2.00 to cover postag-e and handling-. The Committee on Life-Course Perspectives wa~ appointed by the Council in 1977 to hring a life-coUl' ~e approach to research on middle and old age-as a successor 10 the Committee on Work and Per~onality in the Middle Years (1972-79).

The life-course approach contains a number of significant implications for the methodology and analysis of research. In particular, it is necessary to concentrate more forcefully on the analysis of change by means oflongitudinal research and the consideration of multiple cohorts in order 18

to disentangle individual development from historical change. Recognizing the central role of research strategy in the life-course approach, the committee has devoted considerable attention to longitudinal studies of human development. As part of this activity, an inventory of longitudinal investigations of middle and old age has been assembled by the committee, its consultants, and the staff. The information in that inventory is summarized in the hope that it will serve to facilitate the maximum utilization of existing longitudinal data by making investigators aware of the potential for secondary analyses, for restudying existing samples, fOl' collaborative research, and for the comparison of findings from different samples. Additionally, investigators and funders may, through the inventory, become aware of cases where studies exhibit a potential for continuation-through the addition of cohorts or generat ions, continued follow-up of the sample, and so forth. The inventory reflects the central premises of the life-cou rse perspective on the later years of life by including studies that (1) have a primary focus on individuals in middle or old age (studies of younger population~ that were followed into middle age or beyond are also included): (2) are prospectively longitudinal in the sense of repeatedly following the same individuals for more than two testing occasions (or have plans to become prospectively longitudinal through additional follow-ups) or although not prospectively longitudinal, allow for longitudinal information on middle and old age through a life history approach (e.g., retrospective reports) or a cross-

sequential or cohort-sequential approach; and (3) are currently ongoing or, if inactive, have plans for reactivation ~o that the data are or could potentially he available for secondary analyses. For both active and inactive studies, a principal investigator must also be accessible to interested researchers. The inventOl'y encompasses studies that are worldwide, although the majority are U .S.-based (49 out of a total of 73). Information on the studies has been summarized according to the following categories: (I) name of study; (2) principal investigator(s) and address; (3) primary disciplinary affiliation(s); (4) basic sample characteristics; (5) number and timing of testing waves; (6) major tests, instruments, and measures employed; (7) major topics of measurement and analysis; and (8) future plans for data collection and analysis if such information was available. The studies are listed in alphabetical order, with one to two pages of information per study. An index of principal investigators and a subject index are provided at the end of the inventory.

Women in the Middle Years: Current Knowledge and Directions for Research and Policy, edited by Janet Z. Giele. Sponso"ed by the former Committee on Work and Personality in the Middle Years (1972-79). New York: WileyI nterscience, 1982. xiii + 283 pages. Cloth, $29.95. The Committee on Work and Personality in the Middle Years (1972-79) was appointed by the Council to examine the miuor life challenges and important personality changes of adulthood-at a time VOLUME




when the common view was that the middle years were a stahle period of life. Recognizing that the experience of women was frequently underrepresented in studies 01 work and adulthood and that work was emphasized over leisure and family life, the committee sponsored a year-long seminar Oanuary 1977- Spring 1978) at Brandeis University, organized by Janet Giele to study the relationships among wOl'k, personality, and the quality of life as experienced by adult women in their middle years. Although a fair amount of work had been done on the origins of life satisfaction for men, the results of these studies were not always applicable to women. For example, the concept of career trajectory was not meaningful to the housewife who reentered the work force in mid life or the professional who had no steady job because of family moves. The seminar brought together persons with a major research interest in careers, work, and achievement; family responsibility and friendship; and the biographicalor clinical description and understanding of adult personality including the biomedical aspects of aging. Its deliberations examined the central events in women's adult lives, the variations that depend on individual differences, and the social and cultural circumstances of women's midlife years. The present volume was stimulated by the study group's desire to record what is distinctive in the life events and development of women in the middle years. As such, the first four chapters are devoted to the major dimensions of women's midlife experience: work roles and work histories; psychological issues; health, sexuality, and the physical aspects of midlife changes; and social roles . In the foreword, Orville G. Brim, Jr., Foundation for Child Development (New York), describes the seminar's contribution to the progress of the committee, which he chaired. Chapters 1 through 4 focus on particular aspects of women's lives. "Women in Adulthood: Unanswered Questions," is by Janet Giele; "Women and Health: The Social Dimensions of Biomedical Data" is by Constance A. Nathanson and Gerda Lorenz, The Johns Hopkins University; "Adult Development and Women's Development: Arrangements for a Marriage," is by Carold Gilligan, Harvard University; and "Women's Work and Family Roles" is by Janet Giele. A fifth chapter, "Women in the German DemoJUNE


cratic Republic: Impact of Culture and Policy," by Joan Ecklein, Boston State College, describes women's adult devel opment in a \ocialist nation where the utopian social policies desired hy American feminists have been instituted. A concluding chapter by Janet Giele, "Future Research and Policy Questions," summarizes and integrates suggestions for needed research and policy reforms that surfaced not only in the volume but in the wider literature and discussion of women in the middle years. An appendix prepared by Tony C. Antonucci, University of Michigan, lists primary source materials lor fUJ ther study.

Measuring Emotions in Infants and Children, edited by Carroll E. Izard. Based on seminars sponsored by the Committee on Social and Affective Development During Childhood, held in Princeton, New Jersey, in November 1978 and May 1979. Camhridge Studies in Social and Emotional Development. New York: Cambridge University Press, 1982. x + 347 pages. $29.50. In recent years, there has been a resurgence of interest among developmental researchers in the study of emotions. A major obstacle to this empirical research, in comparison, for example, with the study of perception or cognition, has been the lack of adequate techniques to measure the expression of affects. This volume discusses a wide variety of approaches to the investigation of emotions, including techniques that assess heart rate, endocrine activity, facial expressions, vocal expressions, gaze behavior, and body movements . Both the editor and one of the contributors (Gary E. Schwartz) argue that although researchers may employ measures of affect at only one level of analysis, affects ought to be viewed from a system perspective which recognizes that they possess neu roph ysiological, bioch emica I, behavioral- expressive, and subjectiveexperiential components. Mr. Izard's introductory chapter and three concluding commentaries discuss some of the unresolved conceptual and theoretical issues in the study of emotions. The volume provides a resource for investigators who wish to conduct research on emotions in infancy and childhood. Techniques are described in detail and sufficient references are noted for the reader to locate the specified instruments and techniques.

Contrihutors to the volu me include William R. Charlesworth, University of Minnesota; Bella M. DePaulo, Uni\'ersity of Virginia; Linda M. Dougherty, Uni\ersity of Southern California ; Ralph V. Exline, Uni\'ersity of Delaware; David W. Gerbing, Baylor University; Janice L. Hastrup, University of North Carolina ; ~artin L. Hoffman, University of Michigan; Carroll E. Izard, University of Delaware; Jerome Kagan, Hal'v,lI'd University; William E. Kotsch, Vanderbilt University; Michael Lewis, Educational Testing Ser\'ice (Princeton, New Jersey); Kathleen C. l.ight, University of North Cal'Olina; (;eorge Mandler, University of California, San Diego; John W. Mason, Veterans Administration Medical Center (West Haven, Connecticut); Linda Michalson , Educational Testing Service (Princeton, ;-.Jew Jersey); Paul A. Obrist, University o f North Carolina; Robert Rosenthal, H.IJ'\'ard Uni versity; Klaus R. Scherer, University of Giessen; Gary E. Schwartz, Y.lIe Un iversity; l.ynne E. Schwartz, Vanderhilt University; Katherine H . Tennes, University of Colorado.

Court and Bakufu in Japan: Essays in Kamakura History, edited by Jeffrey P. Mass. Papers from a conference sponsored by the Joint Committee on Japanese Studies. New Haven and l.ondon : Yale University Press, 1982. xviii + 324 pages, $18.00. The Kamakura age (1180-1333) is commonly known as the era of Japan's first warrior government. But in actuality the period was distinguished by the coexistence of two centers of authority-the Bakufu military government at Kamakura and the civilian court at Kyot<r-and by the gradual ascendancy of the new warrior regime over the courtier system. Accurate knowledge of this changing relationship is fundamental to an understanding of premodern Japanese history. This book contains eleven original papers on aspects of the political, social, and institutional history of the Kamakura period ; the papers were first pt"esented at a conference sponsored by the Joint Committee on Japanese Studies in 1979. The first four papers focus on the court, dealing with the evolution of the Bakufu from a dependent organ of the imperial government at Kyoto, the administration 19

of law at Kyoto, the shifting financial fortunes of one temple, and the maintenance of imperial authority in the province of Sm. The papers in part two center on the military, analyzing the nature and structure of the Bakufu-and in particular the Hop family and its cautious aggrandizement of power within the

Bakufu regime. The place of Zen Buddhism in Kamakura society is also treated. In addition to the editor, Jeffrey P. Mass, Stanford University, contributors to the volume are Peter J. Arnesen, University of Michigan; Martin Collcutt, Princeton University; Andrew Goble,

Stanford University; John W. Hall, Yale University; Lorraine F. Harrington, Stanford University; G. Cameron Hurst III, University of Kansas; Cornelius J . Kiley, Villanova University; Joan R. Piggott, Stanford University; Takeuchi 路 Rizo, Waseda University (emeritus); and H . Paul Varley, Columbia University.

Fellowships and Grants CONTENTS 20 DOCTORAL DISSERTATION RESEARCH IN EMPLOYMENT AND TRAINING 21 INTERNATIONAL DOCTORAL RESEARCH FELLOWSHIPS Africa, Chi1Ul, Japan, Korea, Latin America and the Caribbean, the Near and Middle East, Sooth Asia, Southeast Asia, Western Europe 23 GRANTS FOR INTERNATIONAL POSTDOCTORAL RESEARCH Africa, Chi1Ul, Eastern Europe, Japan, Korea, Latin America and the Caribbean, the Near and Middle East, South Asia, Sootheast Asia

THESE PAGES list the names, affiliations, and topics of the individuals who were awarded fellowships or grants by Council committees in the most recent annual competitions. The grant programs sponsored by the Council and the grant and fellowship programs for research in the social sciences and the humanities sponsored by the Council jointly with the American Council of Learned Societies (ACLS) are both reported here. The program for Research in Employment and Training is funded by the U.S. Department of Labor. The international programs are supported in part by a grant from the Ford Foundation and a matching grant from the National Endowment for the Humanities. Additional funding for the China and for the Latin American and Caribbean programs is provided by the Andrew W. Mellon Foundation and for the japan postdoctoral program by the japan- United States Friendship Commission. Unless it is specifically noted that a program is administered by the ACLS, the programs listed are administered by the Council. In the administration of its fellowship and grant programs, the Social Science Research Council does not discriminate on the basis of age, color, creed, disability, marital status, national origin, or sex. The programs change somewhat every year, and interested scholars should write to the Council for a copy of the new brochure. 20

DOCTORAL DISSERTATION RESEARCH IN EMPLOYMENT AND TRAINING The Committee on Dissertation Fellowships in Employment and Training-Rashi Fein, Paul S. Goodman, Hylan Lewis, Frank P. Stafford, Paula E. Stephan-has recommended, and the Council has awarded, the following dissertation fellowships since june 1981: Stephen M. Colarelli, Ph.D. candidate in psychology, New York University, for research on methods of acquiring job information, on subsequent reactions to the job, and on job tenure Harry J. Holzer, Ph.D. candidate in economics, Harvard University, for research on black youth unemployment and the determinants of its duration Vandra L. Huber, Ph.D. candidate in administrative and behavioral studies, Indiana University, for research on effects of performance appraisal under varying conditions of feedback and goal setting on employee performance George Jakubson, Ph.D. candidate in economics, University o(Wisconsin, for research on labor turnover and a decomposition of gross union wage differentials into individual, job change, and unionism effects Peter Kuhn, Ph.D. candidate in economics, Harvard U niversity, for research on job tenure and the benefits of unionization Michael V. Leonesio, Ph.D. candidate in economics, Cornell University, for research on in-kind transfers and labor supply Marian Lewis, Ph.D. candidate in economics, University of Wisconsin, for research on a microeconomic analysis of wage-indexed contracts Cheryl L. Maranto, Ph.D. candidate in industrial relations, Michigan State University, for research on the effects of unions on returns to human capital investments Cornelia J. Motheral, Ph.D. candidate in economics, George Washington University, for research on a new measure of unemployment, based on family hardship and its relationship to wage inflation Margaret Ann Neale, Ph.D. candidate in management, University of Texas, for research on a decision-making perspective on negotiation and arbitration Marcia Parmerlee, Ph.D. candidate in administrative and behavioral studies, Indiana University, for research on a laboratory investigation of realistic job previews VOLUME




Wendy L. Rayack, Ph.D. candidate in economics, University of Wisconsin, for research on the distributed impact of recessions by family income class Bill D. Rickman, Ph.D. candidate in economics, Oklahoma State University, for research on the effects of changes in economic activity on the earnings of "prime age" civilian men and women in selected SMSAs for selected major occupational groups David B. Robertson, Ph.D. candidate in political science, Indiana University, for research on an explanation of the formation and adoption of labor market policy in the United States Lee o. Sanborn, Ph.D. candidate in psychology, University of Houston, for research on a model of worker innovation Geraldine Santoro, Ph.D. candidate in anthropology, Columbia University, for research on perceptions of the hazards of underground uranium mining julio Sasaki, Ph.D. candidate in psychology, Bowling Green State University, for research on the roles of observation and memory in performance evaluation Laura Shill Schrager, Ph.D. candidate in sociology, Princeton University, for research on economic constraints, work environment, and sociopolitical factors in promoting strikes


The following dissertation research fellowships were awarded by the joint Committee on African Studies-john M. janzen (chairman), jane I. Guyer, Allen F. Isaacman, Bennetta jules-Rosette, Thandika Mkandawire, V.Y. Mudimbe, Peter Anyang' Nyong'o, Harold Scheub, and Michael J. Watts-at its meeting on March 3-5, 1982. It had been assisted by the Screening Committee-Sandra T. Barnes, Sylvia A. Boone, Frederick Cooper, Frederick johnstone, and Michael G. Schatzberg. Andrew H. Apter, Ph.D. candidate in anthropology, Yale University, for research in Nigeria o.n a comparative study of Orisa worship in two Yoruba communities james G. Ferguson, Ph.D. candidate in anthropology, Harvard University, for research in Lesotho on an integrated rural development project james L. Giblin, Ph.D. candidate in history, University of Wisconsin, for research in Tanzania on a history of commodity production in Handeni district Ndobegang M. Mbapndah, Ph.D. candidate in history, Boston University, for research in Cameroon on Grassfield chiefs and politics john S. Morrison, Ph.D. candidate in political science, University of Wisconsin, for research in Zimbabwe on state policy involvement in the tobacco sector, 1979 to the present Charles D. Piot, Ph.D. candidate in anthropology, University of Virginia, for research in Togo on labor and social forms in northern Togo Louise j. Sperling, Ph.D. candidate in anthropology, McGill Umversity, for research in Kenya on the domestic economy of Samburu pastoralists Ann B. Stahl, Ph.D. candidate in anthropology, University of California, Berkeley, for research in Ghana on subJUNE


sistence and settlement patterns of the Kintampo culture, 1400-900 B.C. Ronald Weitzer, Ph.D. candidate in sociology, University of California, Berkeley, for research in Zimbabwe on human rights, law, and the state during the colonial period CHINA

Five dissertation research fellowships were awarded by the joint Committee on Chinese Studies-Michel C. Oksen berg (acting chairman), Cyril Birch, Hok-Iam Chan, Wm. Theodore de Bary, Robert F. Dernberger, jack L. Dull, Albert Feuerwerker, David N. Keightley, Victor H. Li, Evelyn S. Rawski, G. William Skinner, and Frederic E. Wakeman, jr.-at its meeting on March 19--20, 1982. The fellowships were awarded on the recommendation of the committee's Subcommittee on Grants-jack L. Dull (chairman), judith Berling, Nicholas Lardy, jonathan D. Spence, james L. Watson, Allen S. Whiting, and Anthony C. Yu. Mark Allee, Ph.D. candidate in history, University of Pennsylvania, for research in Taiwan on law and society in 19th century Tanshui and Hsinchu Carl Crook, Ph.D. candidate in history, Stanford University, for research in China on rural development in Szechwan, 1890-1949 Albert A. Dalia, Ph.D. candidate in history, University of Hawaii, for research in Taipei on the emergence of T'ang Buddhism Nina Halpern, Ph.D. candidate in political science, University of Michigan, for research in China on the role of professional economists in policy making in China since 1949 Daniel R. Kelliher, Ph.D. candidate in political science, Yale University, for research in China and Hongkong on technology and social change in rural China Pitman B. Potter, Ph.D. candidate in political science, University of Washington, for research in China, Hongkong, and the United States on jurisprudential bases for the current legalization campaign in China Roger C. Thompson, Ph.D. candidate in history, Yale University, for research in Taipei, Peking, and Nanking on the elected councils of the late Qing dynasty JAPAN

Under the program sponsored by the joint Committee on japanese Studies, tPe Subcommittee on Grants for Research-J. Thomas Rimer (chairman), Susan B. Hanley, G. Cameron Hurst III, Susan J. Pharr, and Gary R. Saxonhouse-at its meeting on February 18, 1982 voted to make dissertation research awards to the following individuals: Walter D. Edwards, Ph.D. candidate in anthropology, Cornell University, for research in japan on contemporary japanese weddings Takashi Fujitani, Ph.D. candidate in history, University of California, Berkeley, for research in japan on popular Shin Buddhism and politics in japan, 1830-1875 Andrew E. Goble, Ph.D. candidate in history, Stanford University, for research in japan on court authority and the Kemmu restoration, 1333-1336 21

stituencies, policies, and ideology in legitimizing an authoritarian regime John Manuel Monteiro, Ph.D. candidate in history, University of Chicago, for research in Brazil on economy and society in 17th century Sao Paulo David L. Runsten, Ph.D. candidate in agricultural economics, University of California, Berkeley, for research in Mexico on the effects of private agro-industry on peasant producers in the region of the Bajio William F. Waters, Ph.D. candidate in rural sociology, Cornell University, for research in Ecuador on the use of agricultural technology, rural labor, land, and energy in the central sierra region Linda]. Wilcox, Ph.D. candidate in agricultural economics, University of California, Berkeley, for research in KOREA Mexico on the impact of agro-industrial growth on migration and employment patterns in the Bajio The following dissertation research fellowship was awarded by the Joint Committee on Korean Studies- Eliza Willis, Ph.D. candidate in government, University of Texas, for research in Brazil on the role of the National Chae-jin Lee (chairman), Bruce Cumings, Martina DeuchEconomic Development Bank (BNDE) in Brazilian deler, Roger L. Janelli, Hee-Sung Keel, Hagen Koo, David R. velopment McCann, and S. Robert Ramsey-at its meeting on Febru- Jose Zevallos, Ph.D. candidate in development studies, University of Wisconsin, for research in Ecuador on oil, ary 26-27, 1982: state agricultural policies, and the impact of these policies on agricultural growth and rural inequality Sung-woo Kim, Ph.D. candidate in architecture, University of Michigan, for research in Korea on early Buddhist architecture and the design and evolution of mountain temples NEAR AND MIDDLE EAST

Joan R. Piggot, Ph.D. candidate in history, Stanford University, for research in Japan on the history of Todaiji and its evolution from a state-supported religious center to a small independent religious institution Charles]. Quinn, Jr., Ph.D. candidate in Far Eastern languages and literatures, University of Michigan, for research in Japan on cohesion and text processing in The Tale of Genji Sarah M. Strong, Ph.D. candidate in modern foreign languages, Colby College, for research in Japan on the poetry of Miyazawa Kenji (1896-1933)


The following fellowships were awarded by the Doctoral Research Fellowship Selection Committee for Latin America and the Caribbean-Jorge I. Dominguez (chairman), John Coatsworth, Sylvia Ann Hewlett, Grant Jones, and Saul Sosnowski-at its meeting on February 26, 1982. It had been assisted by the Screening CommitteeBruce Bagley, Stephen J. Beckerman, Stephen G. Bunker, Sara Castro-Klaf(!n, Nora Hamilton, Gilbert M. Joseph, David Rock, Susan C. M. Scrimshaw, and Margarita Suiier. Harriet E. Manelis Klein served as a consultant to the committee. Diego Abente, Ph.D. candidate in political science, University of New Mexico, for research in Venezuela on economic decision making in a democratic regime Juan Agustin Allende, Ph.D. candidate in political science, University of North Carolina, for research in Chile on the politics of policy making in the Chilean Copper Corporation (CODELCO), 1955-1981 Sonia Alvarez, Ph.D. candidate in political science, Yale University, for research in Brazil and Nicaragua on a comparison of working-class women's movements and responses of the state Cathy L. Costin, Ph.D. candidate in anthropology, University of California, Los Angeles, for research in Peru on pre-Hispanic ceramic production in the Yanamarca Valley Maria Teresa Koreck, Ph.D. candidate in anthropology, University of Chicago, for research in Mexico for an ethnographic history of a community in northern Mexico during the Revolution Scott G. Michael, Ph.D. candidate in political science, Yale University, for research in Chile on the role of con-


The following fellowships were awarded by the Doctoral Research Fellowship Selection Committee for the Near and Middle East-Marilyn Waldman (chairman), Daniel Bates, William Irons, Joel Migdal, and Peter von Sivers-at its meeting on March 11, 1982. David D. Commins, Ph.D. candidate in history, University of Michigan, for research in Lebanon on the Islamic Liberation Party Vincent]. Cornell, Ph.D. candidate in Islamic studies, University of California, Los Angeles, for research in Morocco on al-Jazuli and the Jazuliyya Jill Crystal, Ph.D. candidate in government, Harvard University, for research in Kuwait, Bahrain, Qatar, Oman, and the Arab Emirates on patterns of state building in the Persian Gulf Shaun E. Marmon, Ph.D. candidate in Near Eastern studies, Princeton University, for research in Austria, Egypt, and Turkey for a social history of the Mamluk Empire John A. Shoup, Ph.D. candidate in anthropology, Washington University, for research in Syria and Jordan on the Hima land use system Delores M. Walters, Ph.D. candidate in anthropology, New York University, for research in the Yemen Arab Republic on social and self images among the Akhdam of North Yemen


The following dissertation research fellowships were awarded by the Joint Committee on South Asia-Myron Weiner (chairman), Pranab Bardhan, Ralph W. Nicholas, Wendy D. O'Flaherty, John F. Richards, Norman T. Uphoff, and Joanna Williams-at its meeting on February 25-26, 1982: VOLUME




Patricia Lyons Eldred, Ph.D. candidate in anthropology, University of Wisconsin, for research on dietary preferences and practices in mother-infant nutrition in village Nepal William F. Fisher, Ph.D. candidate in anthropology, Columbia University, for research on trading networks in central Nepal Charles Hallisey, Ph.D. candidate in the history of religion, University of Chicago, for research on the nature of religious experience in medieval Sri Lanka Richard Kohn, Ph.D. candidate in South Asian studies, University of Wisconsin, for research in Nepal on Sherpa Buddhist ritual Anne T. Sweetser, Ph.D. candidate in anthropology and Middle Eastern studies, Harvard University, for research in London on plural medical systems in Pakistan


The following dissertation research fellowships were awarded by the Joint Committee on Southeast Asia-James C. Scott (chairman), Alton Becker, David O. Dapice, Mary R. Hollnsteiner, Charles F. Keyes, Daniel S. Lev, Lim Teck Ghee, and Alexander Woodside-at its meeting on April 3-5, 1982: Maribeth Erb, Ph.D. candidate in anthropology, State University of New York, Stony Brook, for research in Indonesia on descent, alliance, and culture in central Flores Kenneth M. George, Ph.D. candidate in anthropology, University of Michigan, for research in Indonesia on identity and oral biography among the southern Toradja Gordon McGranahan, Ph.D. candidate in development studies, University of Wisconsin, for research In Indonesia on biomass energy shortages in Java Dede Oetomo, Ph.D. candidate in modern languages and linguistics, Cornell University, for research in Indonesia on language and cultural identity among the Chinese of Pasuruan Vicente L. Rafael, Ph.D. candidate in history, Cornell University, for research in the Philippines on religious conversion during the first 100 years of Spanish colonization Mary M. Steedly, Ph.D. candidate in anthropology, University of Michigan, for research in Indonesia on transformations of traditional Batak medicine in urban Medan Shuske Yagi, Ph.D. candidate in anthropology, University of Washington, for research in Thailand on a contemporary urban religious movement

on the places TlYJales of Henri IV and the urban development of Paris, 1600--1610 Laird S. Boswell, Ph.D. candidate in history, University of California, Berkeley, for research in France on rural communism, 1920--1939 Jonathan A. Boyarin, Ph.D. candidate in anthropology, New School for Social Research, for research in France on contemporary Jewish Landsmanshaftn in Paris William Clark, Ph.D. candidate in history, University of California, Los Angeles, for research in West Germany on philology, physics, and metaphysics as Wissenschaften, 1780--1850 Marilyn R. Cohen, Ph.D. candidate in anthropology, New School for Social Research, for research in Ireland and the United Kingdom on the proletarianization of women in the Ulster linen industry Michael Dintenfass, Ph.D. candidate in history, Columbia University, for research in the United Kingdom on the financing and reorganization of British cotton and shipbuilding industries, 1928-1939 Maria Kousis, Ph.D. candidate in sociology, University of Michigan, for research in Greece on the social effects of economic development in two Macedonian towns Peter Mandler, Ph.D. ca'n didate in history, Harvard University, for research in the United Kingdom on ~risto足 cratic liberalism and social reform in early Victorian England Jihyang Park, Ph.D. candidate in history, State University of New York, Stony Brook, for research in the United Kingdom on class conflict and conciliation through profit sharing, 1880--1910 ' Peter D. Sahlins, Ph.D. candidate in history, Princeton University, for research in France and Spain on political boundaries and cultural change in the Catalan Cerdan ya, 1659-- 1880 Andrew R. Sarvis, Ph.D. candidate in history, University of Illinois, for research in West Germany on the Krefeld silk entrepreneurs Ronald C. Sawyer, Ph.D. candidate in the history of science, University of Wisconsin, for research in the United Kingdom on health and disease in 17th century England Jacqueline L. Urla, Ph.D. candidate in anthropology, University of California, Berkeley, for research in Spain on the social, economic, and political dimensions of language use in a Basque town


The following fellowships were awarded by the Doctoral Research Fellowship Selection Committee for Western The Joint Committee on African Studies-John M. JanEurope-Juan J. Linz (chairman), Gerald D. Feldman, J. zen (chairman), Jane I. Guyer, Allen F. Isaacman, Bennetta Lionel Gossman, H. Hugh Heclo, and Sydel F. Jules-Rosette, Thandika Mkandawire, V. Y. Mudimbe, Silverman-at its meeting on March 11, 1982. It had been Peter Anyang' Nyong'o, Harold Scheub, and Michael J. assisted by the Screening Committee-Jan E. Goldstein, Watts-at its meeting on March ~5, 1982 made awards to Jan T. Gross, Thomas W. Laqueur, Timothy A. Tilton, the following individuals: Katherine M. Verdery, and Steven B. Webb. Robert H. Bates, professor of political science, California Institute of Technology, for research in Kenya on the Hilary M. Bailon, Ph.D. candidate in architecture, Massapolitical economy of cash crops chusetts Institute of Technology, for research in France JUNE



Frederick Cooper, associate professor of history, Harvard University, for research in the United Kingdom on a reanalysis of the labor problem in British and French Africa, 1935- 1950 John E. Higginson, assistant professor of history, Pomona College, for research in Zaire, Zambia, Tanzania, and Zimbabwe on African workers and the Union Miniere du Haut-Katanga John Markakis, professor of African studies, University of Crete, for research in Sudan, Somalia, Djibouti, and Kenya on the material and social factors underlying the rise of conflicting nationalisms in the Horn of Africa Maxwell K. Owusu, professor of anthropology and research scientist, University of Michigan, for research in the United States and Ghana on the impact of literacy and wealth on traditional Ghanaian political institutions Ibrahim N. Shariff, associate professor of Africana studies, Rutgers University, for research in the United Kingdom, Germany, Kenya, and the United Arab Emirates on indigenous conceptions of the functions of poetry in Swahili societies


The Joint Committee on Chinese Studies-Michel C. Oksenberg (acting chairman), Cyril Birch, Hok-Iam Chan, Wm. Theodore de Bary, Robert F. Dernberger, Jack L. Dull, Albert Feuerwerker, David N. Keightley, Victor H. Li, Evelyn S. Rawski, G. William Skinner, Frederic E. Wakeman, Jr.-at its meeting on March 19-20, 1982 awarded grants to the following individuals in the categories indicated, with the assistance of the committee's Subcommittee on Grants:

Research on Contemporary and Republican China

Parks M. Coble, associate profe路ssor of history, University of Nebraska, for research in the United States on Japanese imperialism as a domestic issue in Nationalist China, 1931-1937 Arthur M. Kleinman, professor of psychiatry and behavioral sciences, University of Washington, for research in China on the cultural meanings and social uses of somatization among Chinese James E. Townsend, professor of political science, University of Washington, for research in the United States on the origins and evolution of contemporary Chinese nationalism and the Chinese Revolution Anne O. Yue-Hashimoto, assistant professor of Asian languages and literature, University of Washington, for research in the United States on the Leizhou dialect of southern Chinese Research on Pre-J911 China (ACLS-administered)

James ]. Y. Liu, professor of Chinese, Stanford University, for research in the United States on poetry based on paradoxical uses of language Tsu-lin Mei, professor of Chinese, Cornell University, for research in the United States on the dati ng of eady Chinese short stories through the use of li ng uistic evidence Donald j. Munro, professor of philosophy, University of Michigan, for research in the United States and China on human nature and ethical values in Sung Confucianism Willard j. Peterson, associate professor of East Asian studies, Princeton University, for research in the United States on 16th and 17th century Chinese knowledge of the physical world Jeffrey K. Riegel, assistant professor of Oriental languages, University of California, Berkeley, for research in the United Kingdom on the I-Ching and other portent texts Morris Rossabi, associate professor of history, CaseWestern Reserve University, for research in the United States on a biography of Khubilai Khan Benjamin Schwartz, professor of history, Harvard University, for research in the United States on the emergence and range of ancient Chinese thought

Mellon Program ill Chinese Studiesfor Reuarch and Advanced Studies (ACLS-administered)

Gail E. Henderson, Ph.D. candidate in sociology, University of Michigan for advanced study in public health at the University of North Carolina Emily Honig, Ph.D. candidate in history, Stanford University, for research in the United States on women cotton mill workers in Shanghai, 1919-1980 Jeffrey C. Kinkley, assistant professor of East Asian studies, St. John 's University, for research in the United States on a biography of Shen Congwen, a contemporary Chinese novelist William R. Lavely, Ph.D. candidate in sociology, University of Michigan, for research in the United States on fertility and contraception in rural Szechwan Michael Nylan, Princeton, New Jersey, for research in the United States on a study of Yang Hsiung's T'ai hsilan ching, an early prototype of the I-Ching Stuart H. Sargent, assistant professor of Hebrew and East Asian languages, University of Maryland, for research in the United States on the linguistic dating and stylistic analysis of lIth century poems John R. Shepherd, School of Law, University of California, Berkeley, for research in Taiwan on the plains abodgines and Chinese settlers in 17th and 18th century Taiwan

Mellon Prog;mm in Chinese Studie.l'for Summer Language Training (ACLS-administered)

The Subcommittee on Summer Language Grants-Cyril Birch, Jack L. Dull, and David N. Keightley-recommended the following for summer language training at the Inte r-University Program in Chinese Studies in Taipei:

Hans H. A. Bielenstein, professor of history, Columbia University, for research in Peking on historical demography Myron L. Cohen, professor of anthropology, Columbia Raoul Birnbaum, assistant professor of Asian relations, University Cornell University, for research in 路New York, London, John F. Copper, associate professor of international relaand Paris on celestial deities in Chinese Buddhism tions, Southwestern University






David Pollack, assistant professor of Chinese and japanese literature, University of Rochester Axel Schuessler, associate professor of history, Wartburg College Van jay Symons, assistant professor of history, Augustana College Peter Van Ness, associate professor of international relations, University of Denver


The joint Committee on Eastern Europe (administered by the American Council of Learned Societies)-Harold B. Segel (chairman), jane L. Curry, Edward A. Hewett, Barbara jelavich, Kenneth jowitt, and William G. Lockwood-at its meeting on March 5, 1982 made awards to the following individuals: Vi~toria

Peter J. Arnesen, assistant professor of history, University of Michigan, for research in japan on the warriors of Aki province and the struggle for local power in medieval japan, 1182- 1520 Herschel I. Grossman and William S. Haraf, assistant professors of economics, Brown University, for research in the United States on the relation between monetary policy and aggregate economic activity injapan, focusing on the Spring Labor Offensive Helen Hardacre, assistant professor of religion, Princeton University, for research in japan on the religion of japan's Korean minority and the preservation of Korean ethnic identity William B. Hauser, associate professor of history, University of Rochester, for research in japan on the city of Osaka in economic, social, and administrative transition, 1600-1900 .. Karen C. Holden, project asson ate, Department of Economics, University of Wisconsin, for research in japan and the United States on the effect of mandatory retirement age provisions on retirement in japan and the United States M.. jill Kleinberg, research anthropologist, University of California, Los Angeles, for research in japan on work concepts and work behavior among employees of a japanese multinational corporation james L. McClain, assistant professor of history, Brown University, for research in japan on the castle town of Kanazawa in the 19th century William H. McCullough, professor of Oriental languages, University of California, Berkeley, for research in the United States on the aristocratic family in the mid-Heian period (900- 1100) janet A. Walker, associate professor o r comparative literature, Rutgers University, for research in japan on Futabatei Shimei's novel, Ukigumo ("The Floating Clouds")

F. Brown, lecturer in history, University of Washmgton, for research on Romanian liberalism and its place in the European liberal movement Herman Freudenberger, professor of economic history, Tulane University, for research on technological transfers from England to the Habsburg monarchy, 1760-1830 Marilyn S. Fries, assistant professor of Germanic languages, Yale University, for research on the dialectical humanism of Christa Wolf jan T. Gross, assistant professor of sociology, Yale University, for research on Soviet rule in Poland, 1939-1941 Pedro Ramet, visiting lecturer in political science, University of California, Santa Barbara, for research on the Catholic Church in Communist Yugoslavia Mitchell S. Ratner, postdoctoral fellow in anthropology, Harvard University, for research on adolescent transition in the Romanian village of Bai~oara Robin Remington, professor of political science, University of Mi~souri, for research on the functions of Yugoslav nonahgnment and the Warsaw Treaty Organization's KOREA thi rd decade The joint Committee on Korean Studies-Chae-jin Lee Richard路L. Rudolph, professor of history, University of Minnesota, for research on peasant households and (chairman), Bruce Cumings, Martina Deuchler, Roger L. proto-industrialization in Central Europe janelli, Hee-Sung Keel, Hagen Koo, David R. McCann, Gale Stokes, professor of history, Rice University, for re- and S. Robert Ramsey-voted at its meeting on February search on the early years of the Serbian Radical Party Istvan Szent-Miklosy, research associate, Institute on East 26-27, 1982 to award grants to the following individuals: Central Europe, Columbia University, for research on anti-Nazi and anti-Communist resistance in the Hunga- Vipan Chandra, assistant professor of history, Wheaton College, for research in the United States and Korea on rian independence movement, 1943-1947 nationalism and reform in late 19th century Korea Piotr S. Wandycz, professor of history, Vale University, for research on the twilight of French Eastern alliances, Wonmo Dong, associate professor of political science, Southern Methodist University, for research in the 1926-1936 United States on imperial japan in Korea, 1910-1945, and the politics of social change Laurel M. Kendall, visiting assistant professor of East Asian languages and cultures, University of Kansas, for research in Korea on working women and weddings JAPAN Sung-bae Park, assistant professor of religious studies, Under the program sponsored by the joint Committee State University of New York, Stony Brook, for research in Korea, japan, and the United States on the harmonion japanese Studies, the Subcommittee on Grants for zation pattern in Korean Buddhism Research-j. Thomas Rimer (chairman), Susan B. Hanley, Richard L. Pearson, professor of anthropology, University G. Cameron Hurst III, Susan J. Pharr, and Gary R. of British Columbia, for research in Canada on the Saxonhouse-at its meeting on February 18, 1982 awarded archeology of the ancient kingdoms of Silla and grants to the following individuals: Kaya from the 2nd century A.D. to the 7th century JUNE



Jose Gabriel Palma, assistant director of development studies, University of Cambridge, for research in Chile The Joint Committee on Latin American Studieson the transition from an export to an importsubstitution economy, 1914-1935 Richard R. Fagen (chairman), Charles W. Bergquist, Martin Diskin, Enrique Florescano, Jean Franco, Manuel An- Louis A. Perez, Jr., professor of history, University of South Florida, for research in Cuba on the social, ecotonio Garreton, Verena Stokke, Rosemary Thorp, and nomic, and political aspects of the modernization of Francisco C. Weffort-at its meeting on March 25-27, sugar production in Cuba, 1878-1921 1982 awarded grants to the following individuals: Carlos P11la, researcher, Center for Research and Educational Development (CIDE), Santiago, for research in Jose Barran, Montevideo, Uruguay, for research in Chile on changes in the aspirations and patterns of conUruguay on the role of the state and state relations with sumerism in the Chilean popular sectors since 1973 the dominant classes in Uruguayan development, Mario Rapoport, adjunct professor, University of BeI1916-1930 grano, Buenos Aires, for research in Argentina and the Lourdes Beneria, associate professor of economics, RutUnited States on national political influences on the degers University, for research in Mexico on domestic velopment of U.S.-Argentine relations, 1945-1955 piece work among working-class women and its Iris Martha Roldan, researcher, Research Center for significance as a form of industrial wage labor Women's Studies (CEI M), Cuernavaca, for research in Ruth Cardoso, assistant professor of anthropology, UniMexico on the entry of women into the urban labor force versity of Sao Paulo, for research in Brazil on the process and its impact on the status of women in the household of political mobilization in three low-income neighbor- Hilda Sabato, researcher, Program of Studies in American hoods on the periphery of Sao Paulo Economic and Social History (PEHESA), Buenos Aires, Mauricio David, professor of international relations, Cathfor research in Argentina on political participation olic University, Rio de Janeiro, for research in Brazil on among the popular sectors in Buenos Aires, 1862-1896 the impact of Brazil's external financial relations on its Lars Schoultz, associate professor of political science, U ninational development versity of North Carolina, for research in the United Carmen Diana Deere, assistant professor of economics, States on contemporary conflicts over the formation of University of Massachusetts, for research in Nicaragua United States policy toward Latin America on the participation of women in agrarian cooperatives, William C. Smith, adjunct professor of political science, 1979-1982 Federal University of Minas Gerais, Brazil, for research Rene Dreifuss, adjunct professor of political science, Fedin the United States and Brazil on the emergence of a eral University of Minas Gerais, Brazil, for research in new transnational entrepreneurial elite in the Americas the United States and Brazil on the emergence of a new (joint with Rene Dreifuss) transnational entrepreneurial elite in the Americas (joint Barbara Stallings, assistant professor of political science, with William C. Smith) University of Wisconsin, for research in Peru and the James C. Dunkerley, research fellow, University of LiverUnited States on a Peruvian case study of the effects of pool, for research in Bolivia on the impact of the 1952 United States private bank loans to Latin America Bolivian revolution on the labor movement Jean Stubbs, visiting fellow, Institute of Development David P. Geggus, research fellow, U nivel'sity of SouthStudies, University of Sussex, for research in Cuba and ampton, for research in the United States on the slave the United Kingdom on the changing role of women in rebellion and slave society in the Grand' Anse region of the rural labor force in 20th century Cuba Haiti, 1770-1804 Enrique Tandeter, associate researcher, Center for the William A. Gibson, assistant professor of economics, UniStudy of State and Society (CEDES), Buenos Aires, for versity of Massachusetts, for research in Nicaragua !In research in Bolivia on the deterioration of the silver the macroeconomic implications of terms-of-trade pohcy mining economy and the agrarian crisis in Alto Peru on the distribution of income during the first decade of the 19th century Michael Grow, lecturer, Department of History, George Eric J. Van Young, assistant professor of history, UniverWashington University, for research in the Umted States sity of Texas, for research in Mexico and Spain for a for a photo-essay on Latin American social history dursocial history of the early Mexican movement for indeing the age of the export economy, 1870-1914 pendence from Spain, 1810-1815 Jerome S. Handler, professor of anthropology, Southe~n Gilberto Vasconcellos, journalist, for research in Brazil on Illinois University, for research in Barbados on the SOCIal regional differences in the development of Brazilian and cultural history of the slave population on Barbasociology, as shown in the contrast between the works of dian sugar plantations Gilberto Freyre and Sao Paulo sociologists Harriet E. Manelis Klein, associate professor of a.nthrop<!l- Pilar Vergara, associate researcher, Latin American Facogy, Montclair State College, for res~arch m. Brapl, ulty of the Social Sciences (FLACSO), Santiago, for reParaguay, and Argentina on a typolOgical classIfication search in Chile on changes in the politics and ideology of of the Indian languages of the Gran Chaco the military government, 1979-1981 Stephan A. Kowalewski, assistant professor of anthropol- Barbara Weinstein, assistant professor of history, Vanderogy, University of Georgia, for research in Mexico on the bilt University, for research in Brazil on the influence of regional settlement patterns and ethnohistory of the vocational training programs on the political consciousOaxaca Valley since the Spanish conquest ness of working-class Brazilians, 1945-1964 Tomas Moulian, researcher, Latin American Faculty of the Social Sciences (FLACSO), Santiago, for research in Chile on the history of ideology and political protest of NEAR AND MIDDLE EAST the Chilean left Benjamin Nahum, Montevideo, Uruguay, for research in The Selection Committee for Postdoctoral Grants for the Uruguay on the formation of the institutional and political structure of the modern state in Uruguay, 1900-1916 Near and Middle East-Marilyn Waldman (chairman), LATIN AMERICA AND THE CARIBBEAN






William Irons, Joel Migdal, and Peter von Sivers-at its James G. Manor, assistant professor of politics, University of Leicester, for comparative research on political meeting on March 12, 1982 awarded grants to the followchange in India and China ing individuals: McKim Marriott, professor of anthropology, University of Asher Arian, professor of political science, Tel Aviv UniChicago, for research on Hindu perceptions of the social versity, for research in the United States on electoral world behavior in four Israeli elections, 1969-81 Myron J. Aronoff, professor of political science, Rutgers Barbara Daly Metcalf, assistant professor of history, University of Pennsylvania, for research on Islamic medicine University, for research in Israel and the United States in colonial Delhi on political and cultural change in Israel Daniel G. Bates, associate professor of anthropology, Sherry B. Ortner, associate professor of anthropology, University of Michigan, for an interpretive history of Hunter College, City University of New York, for reSherpa Buddhism search in Turkey and the United States on the social Bryan Pfaffenberger, assistant professor of sociology and consequences of agricultural development anthropology, Knox Colle~e, for research in Sri Lanka Rene A. Bravmann, professor of art hIstory, University of on the role of pilgrimage In a polyethnic society Washington, for research in Morocco, Upper Volta, France, and the United States on Islamic spirits and an A. K. Ramanujan, professor of South Asian languages and civilizations, University of Chicago, for research on oral African sensibility in trans-Saharan perspective tales from Kannada, India Donna R. Divine, associate professor of government, Smith Richard Schechner, professor of performance studies, College, for research in Israel and the United States on New York University, for research on a popular religious political, social, and cultural changes in Palestine, festival in India 1839-1948 David D. Shulman, senior lecturer in Indian studies, The Jerrold D. Green, assistant professor of political science, Hebrew University ofJerusalem, for research in WisconUniversity of Michigan, for research in Egypt on mass sin on the history and cultural roles of the Tirupati bureaucratic recruitment and public policy implementaTemple in South India tion Lee A. Siegel, associate professor of religion, University of John R. Maier, associate professor of English, State UniHawaii, for research in London on the comic tradition in versity of New York, College at Brockport, for research Indian cultural history in Syria on two Aleppo writers, Walid Ikhlassi and Lucy C. Stout, associate, Centre for South Asian Studies, George Sali m University of Cambridge, for research on Muslim family Richard C. Martin, associate professor of religious studies, law in South Asia Arizona State University, for research in the United States and Egypt on understanding the Qur'an in text Richard D. Saran, Ann Arbor, Michigan, for research toward the development of a computer-assisted file and and in context retrieval system of Indian transcriptions (joint with Peter Granda and Thomas R. Trautmann) Thomas R. Trautmann, professor of history, University of Michigan, for research toward the development of a SOl'TH ASIA computer-assisted file and retrieval system of Indian inscriptions (joint with Peter Granda and Richard D. The Joint Committee on South Asia-Myron Weiner Saran) (chairman), Pranab Bardhan, Ralph W. Nicholas, Wendy D. O'Flaherty, John F. Richards, Norman T. Uphoff, and Joanna Williams-at its meeting on February 2~26, 1982 awarded grants to the following individuals: SOUTHEAST ASIA

Paul R. Brass, professor of political science, University of The Joint Committee on Southeast Asia-James C, Scott Washington, for research in London towards a restudy (chairman), Alton Becker, David O. Dapice, Mary R. of local power in contemporary north Indian politics Hollnsteiner, Charles F. Keyes, Daniel S. Lev, Lim Teck James B. Brow, assistant professor of anthropology, University of Texas, for research in Sri Lanka on ideology Ghee, and Alexander Woodside-at its meeting on April and agricultural practices in Anurandhapura District 3-5, 1982 awarded grants to the following individuals: John W. Cell, professor of history, Duke University, for research in London towards a biography of a British Jean-Paul Dumont, associate professor of anthropology, University of Washington, for research in Spain and the colonial administrator, Lord Malcolm Hailey Philippines on the religious ethnohistory of a Philippine E. Valentine Daniel, assistant professor of anthropology, province University of Washington, for research in Sri Lanka on Gillian P. Hart, assistant professor of economics, Boston the ethnohistory of Tamil plantation workers Peter Granda, Ph.D. candidate history, University of University, for comparative research in Java and Michigan, for research toward the development of a Bangladesh on processes of agrarian change (jointly supported by the Joint Committee on South Asia) computer-assisted file and retrieval system of Indian inscriptions (joint with Thomas R. Trautmann and Susan McKinnon, Ph.D. candidate in anthropology, UniRichard D. Saran) versity of Chicago, for research on enmity and death on Gillian P. Hart, assistant professor of economics, Boston the Tanimbar Islands of eastern Indonesia University, for comparative research in Bangladesh and Gareth Porter, fellow, Indochina Project, Center for InterJava on processes of agrarian change (jointly supported national Policy, Washington, D.C., for research on Vietby the Joint Committee on Southeast Asia) nam's foreign policy, 194~ 1979 Richard Kurin, assistant professor of anthropology, South- William G. Roff, professor of history, Columbia University, for a social, intellectual, and institutional history of Islam ern Illinois University, for research on Islamization and in Southeast Asia ~ ethnic identity among the Nunari of Pakistan JUNE



Ann, Stoler, researcher, Laboratoire d'Anthropologie, L'Ecole des Halites Etudes en Sciences Sociales, Paris, for research in Indonesia, China, and the Netherlands on radical unionism in Sumatra, 1945-1965 Joh~ S, Strong, assistant professor of philosophy and religIOn, Bates College, for research in Thailand and Japan on the Thai legend and cult of the Buddhist saint Upagupta Michiko Takaki, associate professor of anthropology, University of Massachusetts, for research on ecological, so-

cial, and cultural processes among the Kalinga of northern Luzon; Philippines Valerio Valeri, associate professor of anthropology, University of Chicago, for research in Indonesia on shamanism in Seram Mark R. Woodward, research associate in anthropology University of Illinois, for research in London on Bur~ mese Buddhist art and its depiction of Anglo- Burmese relations




YORK, N.Y. 10158

the State oj J1/lIIoi.I", Decelllhel 27, 1924, Jo r the purpose oj (u/vallcillg re.learch


the social


Directol"l, 1911 1-82: VINCt:NT P. BAIUIIJlA, Eastman Kodak Company; STEI'IIEN E. FIENJlER( ;, Carnegie- Mellon niversity; CI.IFFORD <';EERTZ, Institute for Acl\-anced Study; CHARLES O . jONE~, Unh'ersity of Vil-ginia ; MICHA El. KAMMEN, Cornell University ; ROIIERT A. LEVINE, Harvard Universil Y; t;/\RDNt:R LINDZEY, Cemer for Acl\anced Study in the Behavioral Sciences; ELEANOR E. M,\c COJlY, Stanford Unh'ersity; MARc L. NEKL()" E, :-.Iorthwestern University; DWJ( a'\T H . PERKIN!>, Harvard UniversilY; KENNETH PREWITT, Socia l Science Research Council; Ml路KR.~Y L. SCIIWARTZ, Uni\ ersity of California, Los Angeles; DONNA E. SIJ.~J..\I .~ , Hunter College, City Unive rsity of New York; SJIlNEY VERIIA, Harvard University ; hIM \Nl'EL W 路\ I. LER~TEII\', State University of New York, Binghamton; FINIS R. WELCH, University of California, Los :\ngel e~ ; WIJ IH M jt'l.It路s WILmN, Univer~ity of Chic,lgo. Office1:\" alld Shifj: KEN NHfI PREWIlT, Presidellt ; DAVID L. SILLS, ExeClltille Associate; RONALJ> :\Qll \, ROJIERT:\ . ( ;ATES, M,\KTIf -\ A. t ;EI'II ARr, BROOKE LARSON, ROBERTA BALHAD MILLER (on leave), ROBERT PARKE, ROBERT W. PEARSON , PETER B. READ, RICHARD C. ROCKWEI.L, SOPHIE SA, LONNIE R. SHERROD, DAVID L. SZANTON ; RONALD j . PELECK, Controller.






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