Items Vol. 48 No. 1 (1994)

Page 1

( SOCIAL SCIENCE RESEARCH COUNCIL) Volume 48/ Number 1 / March 1994 •

Moments of Transformation The SSRC-MacArthur Foundation Program in International Peace and Security on the eve of its 10th anniversary by Robert Latham*

Since the end of World War II, Anglo-American cholar and policymaker alike have truggled to fa hion a focu ed and delimited con tellation of principle and ub tantive topic that addre ed what they under tood to be the mo t urgent i ue of the time: the national ecurity of tate dedicated to defending their home territorie and de ignated intere t abroad. Security, in effect, was een as a product of the trategic policymaldng proce of tate in the We t. To achieve national ecurity, policymaker had to locate and re pond to the trategic pre ure that operated in a ho tile and dangerou environment or thoughtle Iy put their national intere t and urvival at eriou ri k. Some cholar and policymaker uch a Arnold Wolfer and George Kennan understood that the earch for a firm definition of national ecurity wa a que tionable endeavor.) Indeed, there wa no pre-given map as to exactly what it was tate were securing and the que tion remained as to why trategic dynamic were treated a naturally occurring phenomena waiting to be di covered by clever observers, rather than the invention of the ob erver them elve . The va t majority of thinker dedicated to the emerging ecurity field worked under the as umption that the proper route to the knowledge

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relevant to nuclearized tate wa to approach ecurity a though it flowed from the production, deployment, and targeting of weapon y tern that were de igned to rna ter the international environment. How long could thi determined gaze into the unthinkable hold? The gaze, it would eem, could hold forever, but the world within which it wa ituated could not. Foreign and ecurity policie that often ended in tragedy (e.g., Vietnam), public impatience with an apparently cea ele piral of arm competition, the growing realization that there were threats other than military one (e.g., the environment), and a changing intellectual land cape within which it became po ible to challenge the underlying as umption of geopolitical "nece ity," were among the change that un ettled the ground upon which the narrow military-politico ecurity edifice had been erected. The election of Pre ident Reagan, who

• Robert Latham. a political ienti t. i a program officer for the Committee on Intern tiona! Peace and ecurity. Author's nott: Thanks are due to Peter Katzen tein and members of the SSRC taff for their helpful ugge tion in the preparation of thi anicle. I Arnold Wolfers. "National Security an Ambiguou Symbol." in Discord and Collaboration (Baltimore: John Hopkins Pre • 1962). pp. 147~; and George Kennan. Mmwirs. 1925-1950 (B ton: LIllIe. Brown and Co .• 1967). pp. 471-76.

CONTENTS OF TIDS ISSUE Moments of Tran form tion. Ro~rt lAtham Private Live • Public Policie • IVlodzimitn Okrasa 9 Pre idential Items: SSRC. Then and Now. David L. Ftathtrman 13

Rethinking European Studie • Ktnton IV. lVorct ttr Recent Council Publication Current Activitie at the Council ew Staff Appointment ldentitie • Norms. and National Security

23 27 31 31

seemed committed to a limited conception of security, only served to highlight how increasingly out of sync thi conception was with it social, political, economic, and intellectual environment.

A new agenda By the early 1980 , it was clear to many foundation , universitie , re earch institutes, individual scholars, and policy analy ts that there was a need for a new agenda for tudying security.2 Such an agenda would draw on intellectual approaches and topics that had not previously appeared relevant to the ecurity field. It was expected, however, that these new approache would remain of value to state policymak:ers who might otherwi e be left unprepared for a changing international environment. 3 The new agenda was marked by two e sential hifts. First, definitions of threats to security were expanded. Military threats, for in tance, have now come to include the aggre ion of domestic militias again t their own citizen . In the nonmilitary realm, threats might emerge from environmental degradation, the depletion of resource , and inequalitie in economic distribution. Furthermore, the scope of what and who is to be "secured" widened as the conceptual focu moved from "national" to "international" security. A second hift involved in shaping the new agenda concern how we explain ecurity outcomes and condition. By the early 1980s, orne individual cholars in the security field had opened up everal new approache to ecurity tudies, incorporating hi torical case tudie, political economic models, and innovative p ychological paradigm .4 More recently, a new wave of relevant factors now include the character of a tate' political regime and the pattern of ocial change experienced by a ociety, especially demographic hifts and economic develop1 It hould be pointed out that _ holars in the peace tudie field (and some in international relation more broadly), have been working for decade on i ue that we now understand to be part of the new security agenda . TIlese scholars were clearly left ou ide of the security field de ribed above and had little contact with policymakers. For a di u ion of !hi field see Beverly Neufeld, "The Marginali tion of Peace Research in International Relations," MiII~nniwn 22 (Summer 1993): 165-86. J See Kenneth Prewitt's review of these new call for change in thinking about security in " Security Studie and the Social Science . ~ in Social Science Research CounCil, " Annual R~port, /983- /984, pp. xiii-xxv. 4 1bese new approache are diSC\l sed in Stephen Walt, "TIle Renai sance of Security Studie ," /numational Studits Quart~"y 35 (June 1991 ): 211-40.


ment. Additional explanatory factors include forms of transnational relations, such as international civil ociety linkage based on religion, ideology, and ocial i sues (e.g ., di armament and the environment). Finally, also emerging as explanatory factors in the study of security outcomes are norm , culture, and identity-including national identity. A pioneer in promoting the e shifts, the John D. and Catherine T. MacArthur Foundation e tabli hed its Program on Peace and International Cooperation in 1984 under the direction of Ruth Adams . A one aspect of a multi-layered approach, the MacArthur Foundation funded the establi hment of the Program on International Peace and Security at the SSRC in 1984. Centered around its two-year di sertation and po tdoctoral fellow hip , the program was intended to help re hape the sub tance and practice of ecurity studie in the academy and among varlou profe ion (e.g., law and journalism) where individuals would benefit from an opportunity to do exten ive re earch on security-related topics. The task of re haping engendered a rather complex et of di tinct but interrelated goals. At the mo t basic level, the program has endeavored to expand the diversity of re earchers who might be counted as part of the security field, on the basis of nationality, gender, race, and ethnicity. Greater diversity with re pect to nationality, for in tance, has helped the hifting security agenda move away from being a ociated with any given state's "national ecurity." Indeed, the tudy of peace and ecurity can now be carried out on a much more transnational ba is. A second area of change within which the program has sought to serve as an agent is the actual ub tance of re earch. In the context of the new ecurity agenda and the end of the cold war, the program ha become a force guiding the identification, development, and integration of the changing sub tance of ecurity tudie . Since many of the newly emerging ecurity topic focus on the trategic, cultural, political, and ocial dimen ion of a particular region, the traditional strength of the SSRC in area studie ha proved e pecially appropriate. Perhaps the mo t complex sphere of change to which the program has sought to contribute bears on the very way that peace and security are tudied. One goal has been to engage the knowledge and experti e of area pecialists-and the insights of comparative analysis-in a sy tematic dialogue with ecurity scholars. The program has al 0 made a VOLUME



eriou commitment to expanding the range of di ciplines that might contribute to research in the field. Thi has meant drawing young cholars to ecurity-related re earch who e intellectual identity wa not a ociated with the ecurity field. Similarly, within any given re earch effort, the program has ought to timulate a multidi ciplinary approach incorporating paradigm , methods, and question that cut acro di ciplinary boundaries. The mo t direct mean for achieving the e ends ha been the program's requirement that fellows spend approximately one year gaining a new area of intellectual competence. An international relations specialist, for example, may elect to pursue a cour e of study in moral philo ophy. Such training can open up new per peetives, expand the skills applied to re earch, or even lead to shift in career path . Within this arne sphere, an additional aspect of the program's effort to promote change in ecurity tudie is its building of a research community among current fellows, former fellow, and tho e who have more generally participated in MacArthur Foundation programs. What could count a a ecurity re earch community before the 1980 had been a rather narrow et of foreign policy expert, strategic analysts, and cientist . Consi tent with its goal of achieving diversity in the field, the SSRC-MacArthur program recognized that young cholars from a wide range of field who had made a commitment to ecurity tudie at an early point in their careers would need orne mean of communication and exchange with one another and with enior cholars intere ted in their development. Annual fellows' conference , newsletters, ongoing re earch workshops, and other activitie have all been de igned to make this community a reality. In urn, the program' two-year fellow hip have been de igned to promote change in (1) who studie ecurity; (2) what it i that they study; and (3) how they go about tudying it. Clearly, if it is going to help identify, develop, and integrate re earch emerging within the new ecurity studies agenda, the program mu t help build a community of fellows that reflects change in all three dimen ions. The remainder of this article will be devoted to exploring the extent to which, on the eve of the 10th anniversary of the program, the background, work, and activitie of the 157 fellow have done o. Thi article repre ents a first tep in a more exten ive evaluation of the program and its impact initiated by the SSRC. MARCH


(1) Who studies security?

Citizenship: As mentioned above, the program has attempted to expand the ba e of scholars beyond the white, Anglo-American, males who have traditionally made ecurity their purview. Many of the voice that were beginning to challenge the narrowly defined approach to ecurity in the 1980s were tho e of individuals who did not fit the profile of the typical ecurity scholar and practitioner. For example, the antinuclear and human rights movements of the early 1980 had a strong ba e among women and were multinational in cope. There was a growing public awarene s that an informed concern with peace and security could not focus olely on the maximization of national security. Such an awareness could hardly be kept outside of the academy. Indeed, some cholars, uch as Jean Bethke El htain, had themselves made notable contribution to thinking on is ues of concern in the e movement .5 The program has ought to build on the e early movements and on the work of the e new voice . It has demonstrated that there exist a commitment to diversification in the security field as a sustained goal among funders, the SSRC, re earch centers, and enior cholars. Demon tration of uch a commitment reinforces the deci ions of cholars emerging from previously underrepre ented group to go into and remain in the ecurity tudie field. With this in mind, it can be said that the mo t important contribution the program can make regarding diversity i to demonstrate such a su tained commitment on a year-to-year basis. In this re peet, the program ha achieved orne notable result . The mo t robust of the e results is in regard to citizenhip, an important category for moving the field away from its Anglo-American bia . On the average, non-United States citizen have constituted 47 percent of each year's awardee. Since the inception of the program in 1985, there have been four years in which fellow who e citizen hip was other than U.S. con tituted more than 50 percent of the awardee pool (Figure 1, next page). While the We tern European region ha frequently con tituted the large t category of non-U.S. citizenship (a yearly average of 12 percent of the total pool of awardee ), the presence of

, See Jean Bethke E1 htain, "Women as Mirror and Other: Toward a 1lteory of Women, War and Femini m," Human;l;u ;n Soc;~t)' S (Winter/Spring 1982): 29-44. ITEM


SSRC-MacArthur Fellowships Citizenship, 1985-1993 1


o 07

06 05

O. 03 01

1985 111815 11167 11186 11169 1890 11191 11192 11193 Ava




Figure I

cltlzen from other regions of the world ha been ub tantial. On the average, 37 percent of the fellows in each year have been citizens of countrie out ide the United State and We tern Europe. E pecially prominent among the e region i Eastern Europe and the former Soviet Union, South and Ea t A ia, and Latin America (Figure 2, below). Gender: Hi torically, there have been few women among tho e who could be counted a ecurity peciali t . Indeed, the very male-centric character of ecurity policymaking and tudy ha been a central feature of much of femini t critici m. 6 It i evident that thi male-centricity remain omething to be contended with even today. In regard to policymaking, one recent tudy point out that "the DepartSee for example the seminal piece by Carol Cohn, "Sex and Death in the Rational World of Defense Intellectual ," Signal: Journal of Womt'n in Culfurt' and SoC'in)' 12 (December 1987): 687-718. 6

ments of State and Defen e have restricted and continue to restrict women' ability to fully participate in the foreign policy proce [empha i added] . "7 And in recent literature review of the changing land cape of ecurity tudie. the work of women cholar con titute only a small percentage of work cited. 8 Even in the international relation field as a whole, there i a great deal of room for growth. A of mid-1993, women made up only 22 percent of the membership of the primary profe ional organization in the international relation field, the International Studie A ociation. It hould further be noted that women make up approximately 19 percent of the total faculty of the mo t prevalent field among the program's fellow, i.e., political cience. Since the SSRC-MacArthur Program on International Peace and Security began, the percentage of fellows who are women has teadily climbed from 25 percent in 1985 to as high as 67 percent in 1991. The average percentage of fellow who are women acro all the year of the program's operation i 34 percent. For five years of the program the proportion of female fellow has been greater than 30 percent (Figure 3, below). Given the male-centric hi tory of the security field, the explicit commitment of the peace and ecurity program to bringing and keeping women in the field makes it an e pecially important force in helping to promote diver ity. As uch, it complements the work of a program e tablished with

7 Nancy E. McGlen and Meredith Reid Sarke , Womt'n in Fort'ign Policy: Tht' Insidus (New York: Routledge, 1993), p. 61. • See, for example, Walt , " Renai sance of Security Studie ."

SSRC-MacArthur Fellowships Gender, 1985-1993

SSRC-MacArthur Fellowships Citizenship, 1985-1993


ElXope (12.3")



Figure 2 4\ITEMS




Figure 3 VOLUME




the support of the Ford Foundation, Women in International Security, at the University of Maryland' Center for International and Security Studie . This program wa founded in 1987 and i de igned to expand the opportunitie for women working in the foreign and ecurity policy field through networking, infonnation di tribution, and workshop . Race and Ethnicity: The one area where the program' impact is Ie known i that of race and ethnicity. Thi tern from the simple fact that the infonnation on the racial and ethnic background of fellow wa not known until 1992. However, once it became po ible to identify the backgrounds of the fellows, it became evident that - in compari on to a relevant field uch as political cience-the program ha been compatible with the goal of field diversity. In 1992, 27 percent of fellow were non-white. In 1993 the total was 12 percent. Together, the e years average out to approximately 20 percent. In compari on, minorities made up approximately 10 percent of all political cience faculty. In urn, although data in the three area of diversity are uneven, the program has created a meaningful pace within which diversity in the ecurity tudie field has been, and continues to be, nurtured. Given the hi toric and longstanding conjunction of a narrow community of ecurity expert with a narrow conception of ecurity, the benefits of uch nurturing in tenn of the new ecurity agenda hould become increasingly apparent as time goe on.

(2) What is studied? Even if the program has contributed to the diversification of the ecurity field, the relevance of the program to a hifting ecurity agenda would be limited if it did not influence the exploration of new que tion , topic , and i ue. In other word , the program would have to e tabli h itself a a notable ite where junior cholars could articulate a new agenda for ecurity tudies. A in the ca e of diversity, thi mean that the program would upport change by howing a u tained commitment to new areas of re earch. However, the ta k i more complex than that of diversification, which e entially entails drawing and keeping new cholars in the field. That i , a deeper level of feedback between fellow and the program i called for. Bye tabli hing the MARCH


dimension of change ought in fellow ' research, the program could broadca t to young cholars and, more broadly, the cholarly community at large, the priority of locating new and innovative topic for the ecurity field. In order to offer any meaningful in ight into the success of the program along these line , it i fIrSt nece ary to addre the question of periodization. The program was conceived and launched in the early 1980 when superpower ten ion were high and arm control was an e pecially alient i ue. By 1990, a significant hift in the program took place. It was then that a second five-year grant cycle began, based on a regrant propo al that placed pecial emphasi on important landmarks in the new ecurity agenda, including the goal of moving analy i beyond the state level to encompas i ue uch as ethnic conflict and global economic condition . Thi new emphasi , to a large extent, reflected the winding down and ultimate end of the cold war. Thus, it make sense to evaluate the development of the program based on the 1990 divide. Evaluation of the ub tance of fellow ' re earch al 0 requires that we organize topics on a thematic basi in a fashion that allow for compari on aero the pre- and po t-l990 period . This may be accomplished through the following ix clu ter : • Military Security and Technology • The Dynamic of Regional Conflict • Diplomacy, International Ethic , and the Changing Statu of the State as an International Actor • Environmental I ue as a Source of Conflict • Nationali m and Ethnic Conflict • The Political Condition for Su tainable Development Beginning our evaluation with the pre-l990 period, it can be aid that, con i tent with the hi torical context of the program, the large t portion of topic (39 percent) prior to 1990 were in the Military Security and Technology clu ter. At fIrSt ight thi would eem to indicate that the fellow did not tran cend to any overwhelming degree the traditional focu of the ecurity field. But keeping in mind the econd dimen ion of the hift in the ecurity field di cus ed above-Le., new factors explaining ecurity outcome -a clo er examination how that ignificant innovation in topic i di cernable within the clu ter. Cognitive, ideological, economic, hi torical, and cultural factors were all brought in to explain ignificant dimen ion of military ecurity. ITEM


"The Sociology of Technology" by Nancy Brickhou e and "Cultural Determinant of International Security Behavior" by Terumasa Nakani hi were among the pre-l990 re earch projects in the Military Security and Technology clu ter. Out ide of thi more traditional clu ter, two others con tituted a significant portion of the pre-l990 group: The Dynamic of Regional Conflict (17 percent) and Diplomacy, International Ethics, and the Changing Statu of the State as an International Actor (eight percent). In the case of the former, the relatively trong intere t of fellow in thi area reflected an increasing rejection of the rather excluive focu on uperpower competition that had hi torically dominated the ecurity field. There wa a growing realization that conflict could emerge out of the political and ocial dynamic pecific to a region-a point we take very much for granted today. A final point to note regarding the pre-1990 group i that, through those project which fall into the Diplomacy clu ter, the program wa able to help bring to light, in the turbulent 1980 ,a et of i ue and que tion revolving around hi tory, ethics! philo ophy, changing political doctrine , dome tic politic , and international in titution . Although many of these topic had begun to become a part of the field of international relation , the link to the ecurity field at the time was at be t tenuou . In the ub tance of fellow ' re earch after 1990 there wa a clear reflection of the hifting terrain in the international ecurity environment of the late 1980 . Change in the ub tance of po t-1990 re earch topic emerged in three clu ters. Mo t ignificantly, there wa a teep decline in the number of fellow pur uing topic that would fall into the Military Security and Technology group, the core of the ecurity field prior to the emergence of the new ecurity agenda. The proportion fell from 39 to as little a three percent of fellow 'project in the preand po t-1990 egment re pectively. Focu on military ecurity wa e sentially di placed by a harp concern with nationali m and ethnic conflict. Thu , after 1990, the proportion of re earch project falling in the Nationali m and Ethnic Conflict category jumped from five to 30 percent. While thi hift obviou ly reflect the current in the changing international environment of the late 1980 ,i ue bearing on nationali m and ethnic conflict are till only in the proce of emerging as a primary focu of the ecurity field. In thi re pect, through its field 6 \ ITEMS

development function , the program can help to e tabli h orne of the broad re earch trategie in thi important area. Emerging a the third arena of change in the preto po t-1990 period i the clu ter of fellow ' project bearing on The Political Condition for Su tainable Development, which con titute 17 percent of the po t-1990 group. However, thi area defined up to eight percent of project in the pre-1990 cohort. Thi help confmn the ob ervation that even before 1990 the program ought to upport fellow who could demon trate innovative way of hifting the ecurity re earch agenda along both of the dimen ion e tabli hed above. In general, the fact that the exploration of relevant development i ue in the po t-1990 period has con tituted a more ub tantial 17 percent of po t-1990 projects-and that a new focu on nationali m and ethnicity has emergedindicate that there ha been a trackable hift of focu on ecurity i ue, many of which had already begun to emerge prior to 1990, rather than an extreme break in the program' direction in 1990. Indeed, the proportion of regional, environmental, and diplomacy/ethic project ha roughly tayed the arne between the two periods.

(3) How is security studied? In itself, the program' commitment to diver ity and the expan ion of topic and que tion within a newly emerging ecurity agenda till goe only part of the way in helping to develop the field of ecurity tudie . A third dimen ion of the program' effort to propel change in the ecurity field i the advancement of new way to approach re earch. There have been two facets to thi effort. One i the encouragement of cholar from a wide range of di cipline and in titutional contexts who are not ecurity peciali ts to pursue ecurity-related tudie . By expanding thi range, the program ha helped move the tudy of ecurity beyond tho e conventional ecurity program which were founded during the cold war, bringing fre h re earch method , approache , and paradigm to the field. The other facet i the con olidation of a community of young cholar who can identify and pur ue ecurity re earch theme that cut acro topic, di cipline , and individual re earch intere t . To thi end, the program has encouraged fellow to organize re earch work hop which offer productive avenue VOLUME

48 , NUMBER 1

for the common exploration of new way to tudy ecurity. Moving the ecurity field beyond conventional academic tronghold and, more importantly, the approache a ociated with them, ha first of all required that the program encourage applicant from a wide range of in titution . One mea ure of the ucce of the program along the e line has been the diver ity of in titution with which fellow were affiliated at the time of their award. So far, at the time of their award, fellow have been affiliated with 67 different in titutions, mo t of which do not hou e conventional ecurity program , including the Univer ity of Wi con in, Madi on, and the New School for Social Re earch. In addition, as many a one-third of the e in titutions are outside of the Anglo-American world. The other measure of success in broadening re earch beyond narrowly defined approache i the degree to which ecurity re earch i di eminated acro scholarly di cipline . On the average acro all the year of the program ince 1985, this di tribution h~ been quite wide (Figure 4, below). Oi cipline that historically did not typically produce cholar of ecurity, uch a ociology and anthropology, are well repre ented among the fellows. At frrst glance the preponderance of political cienti t among the fellow hip pool appears to indicate a prominent imbalance. However, this large proportion reflects the fact that the political cience field hou e the ubfield of international relations and comparative politic , both of which are likely career path for a young cholar intere ted in new approaches to the tudy of international peace and

SSRC-MacArthur Fellowships Academic Discipline, 1985-1993

PoI,tical Science (~ 3")

Figure 4 MARCH


ecurity. While, traditionally, ecurity cholars had often been international relation peciali t , they were generally affiliated with in titutions that housed conventional ecurity program . Thu , the fact that fellows come from a wide range of in titution indicate that security tudie ha been dis eminated to political cience departments which are likely to offer alternative approache to i ue of peace and ecurity. Indeed, by the 1980 , it was becoming increasingly clear that both subfields of political cience were undergoing ignificant change, a comparative politics began to take international factors eriou ly as force in determining dome tic outcome , and as international relations began to take domestic factors eriously a force determining international outcome . The econd facet of the program's effort to help expand how ecurity is tudied is the building of a community of young scholar dedicated to expanding their re earch agendas, method, and approache . Since 1989 the mo t alient tool offered by the program to aid fellow in achieving this ha been the re earch workshop mentioned above, which can be initiated by an SSRC fellow or any other recipient of funding through the MacArthur Foundation' Program on International Peace and Cooperation. So far there have been 32 different work hop . By the end of 1995, 45 such work hop are expected to have been supported.

"The advantage of networking are often taken to be self-evident but are worth repeating. It can take i 0lated cholars and introduce them to other with related intere ts, revive enthu ia m, increase awarene of cholarly debate and new thinking, promote collaboration among people from di parate background , and coordinate the advance of innovative and radical approache in the face of e tabli hment keptici m." Lawrence Freedman, in SSRC Program on International Peace and Security, Report 01/ Research Planning, September 1993.

For the mo t part, the ub tance of the work hop ha been focu ed on introducing new approache to the tudy of ecurity including "Multiculturali m and Tran nationali m" (initiated by Mohammed A. Bamyeh); "Conte ting Sovereignty" (Sohail Ha hmi and O. Beatrice Heu er); and the "Impact of Refugees on Food Security" (Karen Jacobsen). ITEMSI7

Topic have been situated both within and acro the ix re earch clu ters that compri e the individual projects of the program' fellow. Research work hop, disciplinary di emination, and in titutional diver ity all form a multifaceted effort to provide young scholars with a more dynamic environment within which to explore international peace and security i ue. When con idered together with the increa ing demographic diversity of re earchers and the exploration of new topic and que tion , they con titute a crucial dimen ion of the program.

Reshaping security studies Given the magnitude of change in the pa t decade in the international environment and in many ocietie acros the globe, it i highly unlikely that the ecurity field in the foreseeable future will take a form that resemble the one it took during the cold war. A the above discu ion indicate , the field has been opened up along a number of dimen ion. However, it i far from clear how long the field will remain open along methodological and ub tantive line . While we need not expect it to return to it cold war form, there are seriou grounds for anticipating that emerging ideas and method will oon become fo silized in a new paradigmatic con sen u as to what ecurity i and how it hould be tudied, based e pecially on the


dynamic of pecific field uch as political cience. A a likely re pon e to the type of period of conceptual openne and paradigm hift that are explored by Thoma Kuhn in hi work, The Structure of Scientific Revolutions (Chicago: Univer ity of Chicago Pre ,1970), paradigmatic clo ure i ba ed on a perceived need to "fix" what cholars believe are workable conceptual tool at a new intellectual plateau. The problem i that the pursuit of conceptual " tabilization" can occlude approache and que tion that do not fit the more narrowly ca ted concep ,and effectively di courage the continued proliferation of new ideas and method . We have already begun to see orne of thi type of clo ure in article in leading ecurity and foreign policy journal where culture and civilization are narrowly defined in term of geopolitical conflict, and nationali m a a ocial form i placed in the limited context of war-making. 9 The SSRC-MacArthur Program on International Peace and Security can erve a a u eful wedge in helping to keep the intellectual door open in the ecurity field. Moment of robu t intellectual openne in any field are rare-they ought to be • cheri hed a well a nurtured. 9 For a treatment of culture nd clvilizahon along these line see Samuel Huntington, "The CI h of Civilizati n 1" Fortign Affairs (Summer 1993): 22-49.




Private Lives, Public Policies Report of the Panel on Confidentiality and Data Access and its relevance for designing information systems in Central and Eastern Europe by Wlodzimierz Okrasa*

Introduction On November 18, 1993, the National Research CounciVSocial Science Re earch Council Panel on Confidentiality and Data Acce released its final report, Private Lives and Public Policies: Confidentiality and Accessibility of Government Statistics. 1 The panel was e tabli hed jointly by the SSRC and the Committee on National Stati tic of the National Research Council's Commis ion on Behavioral and Social Sciences and Education. 2 Its goal was to develop recommendation intended to aid federal tati tical agencie in their stewardship of data for policy decision and research, pecificaUy with re pect to three fundamental concern : (1) protecting the intere ts of data providers through procedures that insure privacy and confidentiality; (2) enhancing public confidence in the integrity of the data; and (3) facilitating the re pon ible di semination of data to users. 3 • Wlodzimierz Okrasa, sociologi t, served program director to the Committee on Confidentiality and Data Acce and the Committee on Economic Stability and Growth until December 31, 1993. He now works at the World Bank. The author wi he to thank David C. Major of the SSRC taff for hi helpful comments on a draft of thi article. I George T. Duncan, Thorn B. Jabine, and Virginia A. de Wolf, eds., Private Lives and Public Policies: Confidentiality and Accessibility of GOVUTllMnI Statistics, National Academy Pre , W hington D.C., 1993. 2 The panel members arc George Duncan, H. John Heinz ill School of Public Policy and Management, Carnegie Mellon University; Jame T. Bonnen, Department of Agricultural Economic , Michigan Stale Univerity; Joe S. Cecil, Research Divi ion, Federal Judicial Center; Martin H. David, Department of Economic , University of Wiscon in, Madison; Ruth R. Faden, Department of Health Policy and Management, The John Hopkin University; David H. Flaherty, Social Science Centre, University of Ontario; F. Thom Ju ter, Survey Research Center, University of Michigan, Ann Arbor, Gary T. Marx, Department of Urban Studies and Planning, M chusetts In titute of Technology; William M. Mason, Department of Sociology, University of California, Los Angele ; Donald B. Rubin, Department of Stati tic , Harvard University; Eleanor Singer, Center for the Social Science, Columbia University; and William H. Williams, Department of Mathematic and Stati tic , Hunter College, City University of New York. J Support for thi tudy w provided by the National Science FoundaMARCH


The aim of this article is two-fold. The ftrst i to present the major issues involved in the trade-off between confidentiality and data acce ,as well as the panel' major recommendation for dealing with the e i ue in the context of the highly decentralized U.S. statistical system. The boundarie of federal tati tical activitie are not clearly defined. The federal tatistical y tern it elf encompa e more than 70 federal agencies involved in collecting and di eminating information on different stati tical units (individual , hou ehold , farm , bu ines e , and governmental bodies) ba ed on data obtained through various activitie : cen use, surveys, admini trative reports, and experimental re earch with human subjects. To make their task manageable, the paneli t focused on major tati tical program of federal agencie , with the awarene that both the mi ion and the operational environments of individual agencie are 0 diverse that a earch for a single olution would not be appropriate. Neverthele ,they have demonstrated that it i po ible to enhance data acce without decrea ing data protection and to increa e data protection without dimini hing their acce ibility. Second, thi article con ider the validity and relevance of uch an in titution- pecific study for the completely different organizational context of the highly centralized tati tical sy tern of the formerly ociali t economie of Central and Eastern Europe. Special emphasi i placed on how uitable the panel's recommendation are for current work in the region that eeks to design an urgently needed framework within which to treat con trover ie urrounding the relation hip between data provider , data producer , and data u er . Confidentiality and acce sibility of data-matters that have been y tematically neglected by the state-monopolized tati tical in titution -con titute jointly two of the mo t important qualitie of the e relation hip : mutual tru t and collaboration. For this rea on, acce ibility and confidentiality are crucial to the functioning of the entire information sy tern, which, in turn, affect significantly the proce of building market and democracy in the ocietie undergoing tran ition. tion, the Bureau of the Census, the Bureau of Labor Stati tic the Internal Revenue Service's Stati tic of Income Divi ion, the National In titute on Aging, the National Center for Education S18ti tic , and other federal agencie through their contribution to the work of the Committee on National Stati tic . ITEMs/9

The panel's accomplishments The panel' work i one of the mo t comprehen ive endeavors in the hi tory of tudie on privacy, confidentiality, and data acce . It might al 0 be een as a manife tation of the ongoing concern for improving procedure and policie regarding the way in which data about individual -i.e., information on person rather than on organizational unit -are collected and di seminated. (See, for in tance, Items 43[3] for more on work hop organized by the Council that have addre ed a peets of information di clo ure practice ; see al 0 a pecial i ue of the Journal of Official Statistics [lOS, 1993:2] for an overview of the tate of the debate over confidentiality and data acce ,based on paper commi ioned by the panel.) The fact that intere t in confidentiality and data acce i 0 persi tent i a con equence of the very nature of these i ue; they derive from challenge to tati tical agencie brought about by continual change in the environment. Specifically, while both computing power and the analytical capabilitie of data users are ever expanding, there i a dimini hing willingne on the part of individual data providers to participate in tati tical urvey, thu lowering the completene and quality of the collected data. The increa ing expo ure of person and organization to a dizzying variety of information-gathering activitie not only represent an ever-larger claim on their time, but more importantly rai e fears about who will have acce to information about them. One rea on why the public increa ingly feel that it privacy i being eroded by the organization that develop and use microdata ba e i the fact that many tati tical agencie lack adequate legal authority to protect identifiable stati tical record from mandatory di clo ure for non- tati tical use. At the arne time, the linkage of data from different source , perceived by the public a a particular threat, increasingly attract both government and nongovernment data u ers, who have at their command ever greater technological advance . From the point of view of data u er , exi ting re triction on inter-agency haring of data-for in tance, the prohibition again t acce to uch admini trative record a Social Security earning report -prevent orne important analy e and lead to co tly duplication of certain tatistical program . Policy analy t and other nongovernmental users who receive maller and lO\lTEMS

smaller amounts of detailed information on individual unit from the tati tical agencie , e pecially in uch form a public-u e microdata file , feel that their ability to contribute to the understanding and re olution of ignificant economic and ocial problem i al 0 narrowed. The paneli t take for granted that tati tical agencie have legal and ethical re pon ibilitie toward the data ubject and data providers, a well as to data u er and to other agencie involved in the development of data ba e . Hence, their analy e and recommendation are guided by three principle of information: democratic accountability, con titutional empowerment, and individual autonomy. They have targeted their recommendation to four area : legi lation, admini trative policies, tati tical di closure limitation , and "ethical i ue." Their recommendation are addres ed primarily to stati tical agencie or to the Stati tical Policy Office of the Office of Management and Budget, but orne are directed a well to legi lative bodie and to nongovernmental u er .

Some problems and recommendations There i not enough room here to di cu the recommendations in detail. However, orne brief example may provide in ight into the general nature of the topic covered, while allowing for a demontration of certain key term . E tabli hing definition for uch term i another way in which the panel ha contributed to y tematic knowledge of data protection and u e. (I) In light of the fact, mentioned earlier, that many tati tical agencie lack the legal authority to protect identifiable tati tical record from mandatory di clo ure for non- tati tical u e, the panel propo e that the principle of functional eparation (a enunciated in 1977 by the Privacy Protection Study Comrni ion) be con istentlyemployed: "Data collected for re earch or tati tical purpo e hould not be made available for administrative action about a particular data ubject." (2) Becau e of the co t and exce ive burden on data providers implied by orne barriers to interagency haring of data, the panel ugge t that in peeific in tance (where it i ignificantly beneficial) data haring hould occur, given that protection of confidentiality i as ured. VOLUME


(3) The panel ex pre e concern about the consequence of the reduction in the amount of detailed data provided by statistical agencies to nongovernmental u er in tabulation and public-u e microdata file . To aid re earchers and policy analyst , the panel recommends the continuation and expansion of effort to provide more detailed data to u ers, and ugge ts that u ers do everything within their power to prevent di closure, under legal anction. (4) Given that privacy i being eroded by authorized organizations (e.g., through linkage of data from different ources), the panel ugge ts application of a multi-stage procedure: exploration of the po ibilitie for greater u e of administrative record ources, on condition that the consequences of participation in survey be con i tent with public opinion regarding informed con ent and related issues (e.g., on data sharing for tatistical purpo e ); and active solicitation of the view of advocacy groups concerned with privacy i ue. (5) Becau e of the publicly perceived threat from technological advances in computers and communications, the panel sugge t that all agencies be re pon ible for developing effective statistical disclosure limitation techniques for all forms of data dissemination. Thi hould be of particular concern with regard to the relea e of new public-u e microdata files. One more recommendation from the long list of tho e omitted here is worth mentioning, since it relate to the po sibility of establishing a uccessor body to the panel. It has been sugge ted that an independent federal advi ory body be created, charged with fo tering a climate of enhanced protection for all federal data about persons and re pon ible for data dis emination for re earch and tati tical purpo es.

Relevance of the panel's work to the statistics sector in Eastern Europe "You can't have a democratic society without having a good data ba e." This statement by Janet Norwood-former comrnis ioner of the Bureau of Labor Stati tics, who e remarks were taken by the authors of the report as a motto for one of its chapter - might erve as the credo of the information y terns policy in the Ea tern European countries in transition. Thi mean that question uch as how a country' s data system contributes to pur uing two MARCH


e ential goals of a democratic polity, accountability and the repre entation of diverse intere ts, hould be among the important targets of the efforts toward strengthening the infra tructure of the tatistic sector in the region. The panelists do not addre their recommendation to foreign statistical systems. Nevertheless, they have looked at the experience of other countries (Canada, Sweden, Germany, and France) in managing confidentiality and data acce que tions. Despite the fact that they have not, in particular, mentioned the role of stati tic in the proce s of reform in the formerly socialist economies, there are two reasons to read the report with a view to its relevance for the reforming nation of Eastern Europe. The flfSt is the similarity between the value adopted by the paneli ts and those pur ued by policy maker and by ocieties of the region, namely, a freedom that recognizes plurali m, and public decision-making based on representative democracy and a privately-owned, market-oriented economy. The second is the view, hared by both side , that there is no good decision without good information, and that the latter depends crucially upon whether or not there are legal and operational rule to protect identifiable tati tical records from mandatory disclo ure for non-statistical use. The tran ition to market and democracy in Eastern Europe i an "information-inten ive" proces . However, the lack of adequate information for orne policy i sues impedes the proce ,as does the uncertainty surrounding the availability and u ability of data. Thi ituation differs acro policy topic and countrie (ee, e.g., Okra a et al., 1992, for a di cu ion on the topic of poverty). Neglect of the is ue of confidentiality and data acce ,the key aspects of data collection and di emination, has contributed greatly to dysfunctionalitie in the information system in the previously centrallyplanned economies. Tho e i sue have only recently come under consideration in di cu ion of the quality and credibility of information. The problem is not onJy what mu t be done in order for data to be appropriate for market condition . Even more important-e peciaUy in the case of some countries with notoriou ly poor tali tical reputation -i the problem of u ers' (experts and the general public) "perceptual bias" rooted in u picion of previou ly dominant practice . From thi point of view, the relevance of the panel' work for other countries' tatistics ectors might be seen a a ITEMSl11

re earch i ue In It own right. There are al 0 important difference in the ociocultural characteri tic of the environment in which the trade-off between confidentiality and data acce i being con idered, uch as the contradiction between profe ional tandard and orne of the routine manners and attitude that developed in the tati tical tan under the former regime , and how the e might be re olved. It i increa ingly recognized that guarantee of confidentiality mu t become an e ential part of legi lation in Ea tern Europe, but al 0 that it will take years to convince re pondent that their an wer are indeed held in confidence (Blade, 1993). It hould be noted, however, that under the "old regime" confidentiality ha had a rather inverted meaning in compari on to that in the We t. Namely, the concept ha been linked with the policy of ecrecy about aggregated data tati tic rather than with the protection of individual' informational privacy. Owing to the lack of autonomy on the part of tati tical agencie (being part of tate admini tration), thi policy ha not faced any eriou trade-off between data protection and data acce . Sporadic appearance of problem of thi type have been re olved on an ad hoc basi . While the norm has alway been to exclude outsider -i.e., the general public and nongovernmental u ers-from tho e ource reserved for privileged in ider , the latter were al 0, however, carefully tratified by rule of eligibility (only rarely defined explicitly) within a vertical channel of information flow. At the arne time, increa d acce to data produced by the trong interplay of tati tic and politic rai e the problem of convincing user of the reliability and accuracy of data. Con equently. increased acce doe not by it elf lead to better use of information for the purpo e of policy analy i and formulation. So, confidentiality and acce ibility, which jointly affect the quality and u ability of the data produced, depend directly upon the relation hip between the three major player on the tati tical cene: data provider (individual and organization ), data producer (tati tical office ), and data u ers (including nongovernmental unit and the general public). A they re tructure their tati tical y tern , the reforming government , as i ted by international agencie , have focused primarily on their y tern ' "technological" capabilitie , including hardware and oftware upgrade , and on new program to meet the requirements of the move toward a demand-oriented 12\ITEMS

market economy, in which financial and monetary mea ure become more important than information focu ed on phy ical a pect , and norm for international collaboration. At the arne time, they have generally failed to recognize the fundamental importance of the relation hip among the abovementioned players for maintaining the wide range of principle and practice involved in the effective operation of any tati tical y tern. Therefore, given the panel' focu on the ethic of information and it emphasi on the legi lative a pect of tati tical activity, which encompas e all of the three major partie in the data proce ,it finding eem e pecially pertinent to the problem faced by reformer in the economie in tran ition. The panel' work might provide a u eful framework for dealing with the mo t urgent i ue in the re tructuring of tho e economie' tati tical y tern : i ue of making the actual policie and in titutional circum lance conducive to the enhancement of mutual tru t and re pect between tati tical agencie , data ubjects, and data u ers. Although it eem unreali tic to ugge t that the tall tiC ectors in Eastern Europe hould mimic tho e in the We t-e pecially in the mo t effective but al 0 mo t expensive form, " tati tical plurali m," which i unaffordable out ide the U. S. federal tati tical sy tern - there i a lot to be learned from the panel' accompli hment . Specifically, it focu on the in titutional a peet of the production and u e of "good data" might help to guide the effort of both dome tic and foreign organization a well a re earchers toward de igning information y tern appropriate for markets and democracy.

Rerere Blade, Dert:k. Comments on "Stati tic Has Changed in the Tran ition Countrie : How to Convince the Users?" by A. Rodocea, and L. Dumitrt: u, in Stati tics in Transition: Journal 01 th~ Polish Stati tical As aciation, Vol. I, o. 2, December 1993. "Confidentiality and Data Acce ." Journal 01 Official Statistics: An Intunational R~vi~w Publishtd by Statistics Canada, Vol. 9, No.2, 1993. Okrasa, Wlodzimierz, Timothy Smeeding, and Barbara TOrrt:y. " Poverty in Eastern Europe: Le ns for Cros 路national Income Comparisons from LIS," in Poli h Stati tical Association/Central Stati tical Office, Povtrty Mtasur~mtnt lor Economits in Transition in Easttrn EurofNan Countrits, Warsaw , 1992. Pearson, Robert W., George T . Duncan, and Thomas B. Jabine. " PursUit of Knowledge and Protection of Privacy: Confidentiality Versu Acce to Survey of U.S. Doctorate Recipients," Ittms , Vol. 43, No. 3, September 19 9. VOLUME



Presidential Items SSRC, Then and Now: A Commentary on a Recent Historical Analysis During it founding year ,leader of what was later called the Social Science Re earch Council entered into a Fau tian bargain with executives of capitali t philanthropy; in 0 doing, the Council exchanged a guarantee of core upport for ocial cience re earch for a partisan role on behalf of the conservative social control agenda of it patron. Con equently, during the 1920 and '30s, the Council et a programmatic cour e that under erved the intere t of academic, univer ity-ba ed ocial cientists and of its founding di ciplines. The rif t directors channeled SSRC's newly found re ource into "purposive cience" and " ocial technology" rather than into theory-driven or fundamental re earch. In today's nomenclature, mi ion-oriented or mi ion-directed re earchre earch into the olution of then threatening ocial problems like the northerly migration of rural Negroe , violent labor and racial strike , and deepening economic reces ion and popular malai edominated the Council's program nearly to the exclu ion of theoretical and methodological advancement per e; it al 0 contributed to inattention to what might be called a "populist" agenda of applied ocial re earch. The up hot of this Fau tian bargain was that the na cent ocial ciences in the United State -then almo t olely in the nurturing hand of the SSRCwere directed away from liberal and radical ocial critici m, away from attention to the exploitative side of American capitali m, and were complicit with the political agenda of corporate philanthropy. That agenda sought to preempt cri i and conflict for corporate and tate capitali m through diagno tic ocial re earch and cientific engineering. The foregoing hi torical synop i i the doubtable the is of an otherwi e valuable and highly provocative book by Donald Fi her, Fundamental Development of the Social Sciences: Rockefeller Philanthropy and the United States Social Science Research Council, publi hed in 1993 by the University of Michigan Pre s. The book is fa cinating and troubling, even annoying at time. Unlike Elbridge Sibley' Social Science Research Council: The First Fifty Years (Sibley, 1974), which cover imilar formative event , Fi her' analy i i not only highly MARCH


critical but also offers an in titutional analy is of the evolution of the social cience disciplines, the Council, and the foundation world during the inter-war period. Unfortunately, Fisher's analy i seems flawed and incomplete in key elements, undermining an otherwi every u eful recounting of hi torical event ,discu ions and choice by Council leaders, and coincidence of goal among philanthropic patrons of the rapidly professionalizing ocial cience , factors that together shaped the early SSRC. In addition, Fisher's conclu ions about the foundational years-if accepted without commentmay lead to rather inaccurate a umptions and attributions about the contemporary condition of the Council and the goals it currently pursues. Therefore, this e say i my effort to reflect on SSRC's founding as a basi for understanding its pre ent and historic mi sions on behalf of ocial cience re earch.

Three Observations about the Founding of SSRC and Its Early Years Fisher' account rai e que tion about the relation hip between theory-driven or "fundamental" re earch on the one hand, and, on the other, policyor "mi ion" -driven analysi by ocial cienti ts. It problematize how the SSRC can and hould po ition it elf at the interfaces of knowledge generation and it variou u e ; and it a ks hard que tion about the appropriate di tance the Council hould place between it elf and variou patron and clients of one or another political persua ion or parti an agenda. Before getting to the e que tions, I make three ob ervation about the founding of SSRC and it first two decades, ba ed both on Fi her' and Sibley' ummarie. A unique interdisciplinary forum dedicated to developing science about society One ob ervation i that SSRC might not have been founded in 1923-24 as a eparate entity from the American Council of Learned Societie (ACLS) or the National Re earch Council (NRC), were it not for ITEMS/13

happenstance, the conviction and ultimate collaboration of Beard ley Ruml and Charle E. Merriam, and the large e of the Laura Spelman Rockefeller Memorial which Ruml headed. The SSRC was the ucce or to the failed American Social Science As ociation, whose goal had been to complement and overcome the intellectual limits of di cipline-ba ed ocial cience, disciplinary overspecialization, and profe ional balkanization. Fi her attribute to SSRC an additional mi ion, namely, the fonnulation of a " cience of society," a " upradi cipline" of ocial cience modeled upon the achievements and approache of the natural cience . Merriam, pre ident of the American Political Science A ociation, pearheaded a mall cadre of economi t, ociologi ts, and hi torian intere ted in coordinating and organizing ocial re earch and advancing the use of cientific methods in the tudy of ociety. They decided against pur uing thi multidi ciplinary, cience-oriented agenda within the ACLS, even though their own individual di ciplinary as ociation were members of that Council. In tead, they founded the "Social Re earch Council" in 1923, and rather than applying for membership in the ACLS they explored the po ibilities of incorporation within the National Research Council (NRC), the operational arm of the National Academy of Science. At the time, p ychology and anthropology were the only behavioral cience admitted to the Academy and represented in the work of the NRC. However, incorporation was rejected by the NRC. A sub equent effort to collaborate with the NRC on a project about human migration, one of the very fir t initiative of the Social Research Council, failed when the agenda of the natural science-oriented leadership at NRC and the ocial cience project of the Council did not converge. By 1925, all seven of the founding di ciplinary a ociation had endorsed the Council a a eparate entity. The re t i hi tory ... but not quite. The Council' work could not proceed without funding, and in 1925 the Laura Spelman Rockefeller Memorial awarded the new Council nearly a half million dollars, over five years, to run a po tdoctoral fellow hip program to train ocial researchers in cientific method and to fund competitive grant in aid to individual inve tigator in the ocial cience. At that time, there wa no other ource of upport either from private or federal funding for ocial re earchers. Sub equently the Memorial-or, through various later transfonnation of Rockefeller philan14\ ITEMS

thropy, the Rockefeller Foundation-provided virtually all of the core admini trative upport of the Council in large block grants, as well a it project fund , through the inter-war period. Perhap the fledgling Council might have failed to thrive if Beard ley RumJ, twenty-six-year-old director of the Memorial and a University of Chicago Ph.D. in mea urement p ychology, had not been it advocate and found common cau e with Merriam. Actually, the tory might have gone another way. Ruml staunchly believed that the young ocial cience could mature into truly cientific project ; that when applied to the burgeoning et of ocial problem after World War I a new cience of society would guide infonned intervention to promote democratic order and ocial welfare; and that to do 0 the artificial boundarie between the cience and ocial cience and between the di cipline needed to be breached and penetrated. A of 1922 he had two million dollar per year to do 0 over a decade' time, but he wa impatient. RumJ wa uncertain that univer itie would facilitate the kind of change in cience and application that he ought. Indeed, as he looked at alternative , he was inclined to a k the ACLS to lead thi cau e, a uming that it would parallel the operation of the NRC in mobilizing natural and phy ical cienti ts around problemoriented project . Furthennore, he wa initially di inclined to ca t hi lot with Merriam's Council. But by November 1923 thing had changed, and Ruml wa upporting Merriam' pitch to join force with the NRC, had ugge ted that the Social Re earch Council add "Science" to it name, and by 1925 had tarted a teady flow of financial u tenance to SSRC. RumJ' view on the in trumental importance of "cientific" ocial cience to under tanding (and then ameliorating) ocial problem mirror trend in American philanthropy at the time. For example, John D. Rockefeller, Sr. urged hi colleague to be "con tandy in earch of finalitie -a earch for cau e, an attempt to cure evil at their ource" (Craver, 1986, cited in Cahan, 1991). And the Ru ell Sage Foundation contributed to advancing the then new technology of urvey re earch and ampiing, motivated by a "vision of public enlightenment through the relatively noncontroversial means of the ocial urvey" (Geiger, 1986, cited in Cahan, 1991). To that extent, indeed, Rockefeller philanthropy, and Ruml in particular, were not unique; they po e ed VOLUME



goals for ocial cience that were pervasive acro east coa t foundations. Therefore, and contrary to the inference drawn by Fi her, SSRC' agenda on behalf of the ocial science was not overly determined by ful orne patronage from Rockefeller per e (Bulmer, 1993).

A history of mission-oriented basic research Related to thi fir t aspect of SSRC' history is a econd ob ervation, namely, that in its frr t two decades the Council' program emphasized "purpoive science" and the pursuit of " ocial technology." By the do e of the 1920 , SSRC had received a five-year grant of unde ignated core support totalling $750,000 from the LSR Memorial. The Council's program committee, the Committee on-Problems and Policy (P&P) quickly e tabli hed 16 new committees (bringing the total to about 24), and among them the focu on contemporary problem-oriented i sues was tran parent: e.g., a Busine Re earch Committee, a Public Admini tration Committee, a Committee on Crime, and three advisory committee : Indu trial Relations, International Relation , and Interracial Relations. The e committees not only di cu ed re earch directions and data needs but they al 0 conducted re earch and advi ed government and foundation executives about program and policy. P&P, which authorized the formation of the e technical ta k force and scholarly advi ory group , spearheaded this deployment of academic experti e for the public welfare.路 "Problems and Policy" in P&P' name referred a much to ocial or contemporary ocietal problem and to the public policies to rectify them a it did to the problem of expanding and con olidating the ocial cience and to the policie governing the SSRC' intellectual and programmatic evolution. The prevailing attitude of SSRC, it leader on P&P and its principal pon or during the '20 and '30 was that the cutting edge of ocial cience were at the boundarie of the di ciplines and that pur uing their preeminent goal-a cience of ociety- could al 0 be consistent with developing fundamental concept , theorie , and method within the con tituent But not without controversy prompted by directors, uch as Walter V. Bingham, who que tioned the early preoccupation with what he perceived social welfare rather than with more b ie, scientific pursuits (see Sibley, 1977, p. 10). I



di ciplines. 2 What SSRC sought to do, with the wholehearted encouragement of its sole patron, was to u e contemporary ocial problem as a research laboratory. The laboratory would provide the te ting ground for theories and hypotheses and in the course of doing 0, generate new knowledge about fundamental features of human behavior and social institution . The generated cientific knowledge would provide the basis in facts and in legitimacy for informed policymaking. At this moment, the foundational support for SSRC and the social cience harbored no equivocation about the "potentials of relevance" of ba ic ocial re earch; and faith in science and in the benefits of ocial technology ro e to a high-water mark.

A history of coUaboration and liaison with government and the foundations A third related ob ervation is that in its early two decade , SSRC actively collaborated with the federal government in both Republican and Democratic admini trations, a well a with Rockefeller philanthropy. Shortly after entering the White Hou e in 1929, Herbert Hoover, a former engineer and advocate of cientific problem- olving, sought the advice of social cientists in de igning a rna ive study of major ocial policy i ues in the wake of the tock market cra h. Both the SSRC and the National Bureau of Economic Re earch took eparate lead, but the major ta k fell to SSRC and a "Pre ident' Re earch Committee on Social Trends," funded at the Council through a Rockefeller Foundation appropriation of $560,000. By 1933, the committee relea ed two ummary volume , Recent Social Trends ;n the United States, and 13 volume of appended re earch papers and data on topics such a population, racial and ethnic group, women, family, labor, con umption, lei ure, crime, health, education, public welfare, economic organization, and public admini tration and government. Going beyond a compilation of mere " ocial intelligence," the reports al 0 identified pecific governmental intervention - policie and programs-to address "uneven development" and

1 In fact, efforts by a Committee on Scientific Methods in the Social Science to promote methods of re arch that were common to the several discipline , predicated on notion of fundamental scientific procedure that eros ut them, failed for lack of ability to transcend di iplinary approache and entrenched regimen of training .


con equential ource of ocial tension; that i , to document and tudy uneven rate of change, inequality, and "cultural lag" within and among four key in titution : economy, church, family, and government. Further, the reports ugge ted that the SSRC organize a coalition of leaders in government, indu try, and private life, who together with ocial cienti t would continue to gather and interpret data on ocial problem and their olution . Such a national advi ory council, bridging government and it con tituencie on the one hand, and government, cience, and the economic and ocial order on the other, wa recommended amid a en e of growing alarm over ocial unre t and apparent peril to democratic proce that accompanied the Great Depre ion. The Social Trends report al 0 expo ed ba ic divi ion and apprehen ion at SSRC, within P&P pecifically, over the Council' proper in titutional role vi -a-vi government. A individual cholar, member of P&P faced the dilemma of wi hing to maintain intellectual autonomy, yet at the ame time eeking to contribute their kill and the unique in titutional capacitie of the SSRC to the larger public intere t. The Great Depre ion forced a fundamental reexamination of the degree of de irable eparation of public from private, and perforce it created an environment in America for unu ual, perhap even unprecedented, cooperation in peacetime. The cra h of 1929, the long rece ion and then deep depre ion and wide pread impoveri hment hook fundamental confidence in the free market a an organizer of public and private welfare. Call for governmental control of the bu ine cycle and for modulating the adver e impact of unemployment on individual and hou ehold gained legitimacy. Private citizen, whether in bu ine ,indu try, or education, were called to a higher plateau of public participation to ave the economy, the nation, even the State. And when Pre ident Roo evelt reque ted ocial cienti ts to help with a pect of the New Deal-and he explicitly recruited everal recent SSRC director into hi admini tration-mo t member of P&P re olved to do 0, recognizing the exceptional and controverial in titutional precedent being et for SSRC. The pecific role of SSRC during the New Deal were everal. However, two are e pecially noteworthy. With funding from private philanthropy, SSRC agreed to create a Committee on Commi ion of Inquiry on Public Problem . Modeled on the Briti h 16\1TEMS

Royal Commi ion with public hearing a well a analytical tudie, the e inquirie were carried out by panel of academic a well a non-academic, with the explicit approval of Pre ident Roo evelt. Mo t noteworthy wa a commi ion on national policy and international relation which looked into the detail of a federally controlled economy within the context of a growing international y tern of trade, banking, and monetary exchange. A econd commi ion, on public admini tration, delved into public opinion about the performance of official and bureaucracie . The latter commi ion dovetailed with the SSRC' own Public Admini tration Committee which, by 1935, carried out re earch on organizational effectivene and trove to develop public admini tration into a new field of academic experti e. Among it many pecific re earch project wa one of ignal importance: liai on with the newly appointed federal Social Security Board in de igning, implementing, and monitoring the performance of budding initiative like unemployment compen ation, emergency relief, old age ecurity, and other element of what wa later to become America' first ocial ecurity y tern. Thi was preceded by comparative tudie of already operational y tern in Europe. The e tudie paved the way for a econd Council initiative during the New Deal, carried out by a pecially appointed Committee on Social Security (initially called Economic Security) that functioned from 1935 to 1943. Again, P&P re ponded affirmatively to a reque t from the Rockefeller Foundation, which had ought advice on etting up it own program to promote economic ecurity from a broad cro - ection of citizen, relief worker in the field, admini trator of na cent a i tance program , bu ine and labor leader , and academic . Rockefeller concluded that, a a first priority, it hould ask SSRC to e tabli h a nonparti an, nongovernmental board to coordinate cientific re earch on the dimen ion of ocial ecurity-not ju t economicand to offer informed advice to governmental and nongovernmental agencie eeking to u e ocial and economic data to plan and monitor the effectivene of the newly emerging ocial ecurity y tern. In agreeing, P&P aw value in bridging the re earch and policy communitie with a two-way flow of information. A Robert T. Crane, executive director of the Council, put it in May 1935: Thi bridge hould serve in the one direction a mean of fumi hing official with exi ling knowledge and with potential VOLUME




source of new knowledge. whether related to long-range basic problem or to more immediate pre ing hort-range que tion ; and hould serve in the other direction as a mean of focu ing research teadily upon one of the continuing problem of modem society. It hould serve at once to give research a socially useful direction and give the re uhs of research socially useful circulation. (Cited in Fi her, 1993: 146-47)

Today, we might read Crane' word a advocating "mi ion-oriented ba ic re earch," or, in the terminology of Robert K. Merton, basic re earch with high potential of relevance to a mi ion-oriented pon or or nonacademic u er of cientific knowledge (Merton and Mo ,1985). Intere tingly, the SSRC committee con i ted of both academic and nonacademics, including repre entative of labor, bu ine ,and public admini tration practice. Like the Public Admini tration Committee, the Committee on Social Security worked clo ely with the federal Social Security Board as it re earch arm, a it were. Among it many contribution to ba ic re earch was a et of key tudie of trend in the national labor market and the development of concept and mea urement of regional market. In tum, the e tudie recommended reformulation of practice at the Cen u Bureau in clas ifying employment and unemployment, occupational title, and wage and alary information. De pite the cientific and practical benefits of SSRC' extraordinary record of carrying out mi ionoriented ba ic re earch combined with public ervice to government and private philanthropy, by the clo e of the Council' econd decade and the outbreak of World War II, P&P wi hed to take tock of its pa t and prepare for a new future. The Council hired Loui Wirth, a ociologi t at the Univer ity of Chicago, to carry out an external evaluation of it program and contribution . According to Fi her' hi tory, P&P accepted mo t of Wirth' recommendation for redirection back to SSRC' ba ic mi ion. Thi entailed an abandonment of "human engineering" re earch in favor of the foundational commitment to advancing the cientific ba i of ocial cience. While the Council committee were enjoined by P&P to addre the olution of ocial problem , they were to do so within the confine of cience and a ocial cienti ts rather than a agent of government. Wirth identified SSRC' unique capability with intellectual leader hip. Rather than undertaking re earch them elve ,it committee were recommi _ MARCH


ioned by P&P to evaluate, coordinate, and facilitate re earch direction acro s the ocial cience; to plan and lead in the development of potentially new cro -di ciplinary field ; to pre cribe and oversee the educational preparation and retraining of succe ive generation of re earch workers through the admini _ tration of fellow hip and grant -in-aid; and to ee to the e tabli hment and trengthening of re earch infra tructure , including library and archival collection , databa e , and general di ernination of ocial cience knowledge. Finally, P&P did not give up it in titutional liai on with other cholarly and cientific in titution , e.g., the ACLS for work in history and other related humanitie , and the NRC for link to the non ocial cience. And P&P did wi h to continue erving the need of other external agencie whether in the foundation or government but only 0 long as the e activitie remained within cientific guideline. Perhap more than any ignificant change of direction, the e tatement of organizational purpo e ignaled the maturity and elf-confidence of SSRC. On the eve of America' involvement in World War n, another moment when ocial cience re earchers were called to extraordinary public ervice, the leadership of the Council correctly characterized it as the central forum of ocial cience in the United State . It believed SSRC de erved independence from it pon or , and P&P felt empowered and ju tified, by the demon trated accompli hment of ocial cienti t over two decade , in championing the ocial value of their ba ic re earch.

Continuities with Historic Priorities and Practices But Donald Fi her' neo-Marxi t critique i not 0 anguine about SSRC' cientific and intellectual leader hip during the inter-war year . Echoing idea adumbrated by Antonio Gram ci and Michel Foucault-how materiali t intere t (wealth) can di tort idea and "pure" cholar hip, Fi her accu e SSRC of elling out academic ocial cience to the applied intere t of con ervative capitali t elite who, like the Rockefellers through their corporate philanthropy, ought to develop a cientific ocial technology aimed for ocial control. A coopted SSRC did not sieze moment like the Great Depre ion to fully criticize the failure of the tatu quo, of capitali m in ITEMS/I7

particular, and to provide intellectual direction for a ociali t olution; in tead, it fo tered a re tructuring of American capitali m, for example, during Roo evelt's New Deal. It would be ea y to di mis Fi her's intepretation as a parti an lament, or, as one reviewer phrases it, "overdeterminist." The reviewer, Martin Bulmer (1993), points out that the origin of SSRC owed a much to rapid profe ionalization of the di cipline as to the goal of SSRC' patron in developing a cience of society; the flow of influence between Ruml and Merriam, for example, wa not merely one-way. Further, and a Bulmer note , the early 20th-century foundation were hardly apologists for "the tate"; indeed, prior to the New Deal, governmental intervention into broad welfare i ues were treated with great public keptici m, giving ri e to the ameliorative agendas of private philanthropy. Finally, Fi her may have overstated SSRC' diversionary impact on the early development of ocial science in America. Bulmer tate that Fi her provides no conclu ive demon tration of SSRC's marked influence on the practice of ocial cience. Had Bulmer al 0 read Sibley' intellectual and programmatic hi tory of the Council (which i not cited by Fi her), that influence would have been better documented. But beneath all thi i an important et of i ue that run to the very nature of SSRC as an in titution and to it mi ion. SSRC wa created to be a bridging, boundary- panning cientific organization. A uch, it ha alway occupied an ambiguou but indi pen ible mediating niche in the matrix of univer itie , foundation , national re earch council and advanced tudy center , the di cipline and their a ociation, and government. SSRC "belong " to none of the e set or cla e of organization ; it function like none of them and yet it po e e attribute of mo t if not all the e entitie . It taff and governance committee , like P&P, tend to form their long-term profe ional reference group primarily around the e other organization ,perhap e pecially the di cipline and the universitie . And all the e interfacing organization bring to SSRC their own agendas, as doe SSRC, of course, in liai ing and cooperating with them. Indeed, it i in liai ing, cooperating, and negotiating among the everal intere ts of the e organization that SSRC has, over its entire 70 year , carved it unique niche and proffered it unique service. Small wonder, then, that critic like Fi her hould accu e it of having "ca t its J8\ITEM

lot with the foundation," "abandoned the di cipline ," "become too cozy with government," and "been con umed by eliti t academic re earch." But in doing 0, such critic al 0 overlook the ineluctable multi-dimensional problematique of SSRC, given the kind of organization it i and the matrix of it highly varied in titutional relation hip that are vital both to its funding and it effectivene in bridging boundarie . De pite the flaw and deficiencie in Fi her' critique, it doe ugge t very legitimate que tion , generic evaluative standard , about the direction of SSRC's program and the commitments that it choices reflect. Fir t, doe the program lead the advancement of ocial cience theory and method ? Second, does the program avoid unwarranted and persi tent bias from political or parti an intere ts? Third, and recognizing the inevitable dependence upon public and private, dome tic and foreign patron for it funding, i SSRC able to exerci e sufficient autonomy and attain its goal ? I clo e thi e ay by applying the e que tion to our program on per i tent urban poverty that ha been in the hand of the Council' Committee for Re earch ince 1988. The program on the Urban Undercla illu trate a genre of re earch planning and training opportunitie for tudent and po tdoctoral cholars that i rather imilar to the work of variou SSRC committee of the Oepre ion and New Deal era. Thi example offers another opportunity to ee the Council in action, not through Fi her's hi toricallen , but through contemporary pri m that reflect and refract current-and pa t-in titutional realitie . Indeed, I would ugge t that had Fi her looked backward from the pre ent, he might have contructed a very different interpretation of SSRC' formative years-for 0 great are the continuitie .

Persistent Urban Poverty: Applying the Three Evaluative Questions (I) Does mission-oriented basic research develop new knowledge? Almo t from the out et, the Committee for Re earch on the Urban Undercla became embroiled in cholarly debates about ocial cla in America: "Doe America have a cla y tern?" What i an "undercla "and doe the term, u eful enough perhap for journali t , have realworld, cientific identifiability? And if cientifically VOLUME




u eful, doe it refer analytically to a et of replicable conditions - perhap a syndrome of characteri tic about place, group, and ocioeconomic tatu e -or, by contrast doe it refer de criptively to the particular plight of African American re idents of impoveri hed, crime-ridden, inner cities of the United State and their children? One of the major contribution of the committee to urban re earch, and to the analy i of the American tratification y tern, wa in taking on the e key que tion ,a illu trated in Chri topher Jencks and Paul Peter on, The Urban Underclass (Brooking, 1991).3 However, the academic debate per i ted over whether an undercla exi t , who faJl into it (and when they do, if they ever e cape), and the applicability of the term to poor Latino or Native American as well a to impoveri hed African American . Michael Katz, a hi torian on the committee (a well as it archivi t) and analy t of decade-long re earch on thi topic, (The "Underclass" Debate: Views from History, Princeton Univer ity Pre ,1993) sugge t that the running debate was really about different form or experiences of persi tent poverty in the pa t 20 to 30 year . In reality, persi tent urban poverty of the 1990 reflect driving force of relatively recent, e entially different, and highly complicated origin . Katz point to the germinal in ight of William Juliu Wil on of the committee. In the 1980 Wil on redirected re earch from the victim-centered, "culture of de pair" of the truly di advantaged toward broader economic and ocial current affecting citie . The impacted, per i tently poor, according to Wil on, were the re ult of the increa ingly rapid migration of low- kill, low-wage job from the central city and the re ulting concentration and ocial i olation of the unemployed - perhap even the unemployable -left behind. Building upon the hift away from person- or culture-centered explanation of poverty, over the past ix year the committee identified a range of relatively new transforming force, orne global in cope, operating on the U.S. economy a a whole during the ) The Committee was chaired initially by Peterson , a political scienti t at Harvard, and later by Peter Hall , a Briti h geographer. Other members of the committee included Jencks. Marta Tienda, John Ogbu, Ruth M inga, Michael Katz, Bany Blue tone , Sheldon Danziger, William J . Wilson, Lawrence Aber, Jame H. John n, Jr., Jame P. Smith, and John Kasarda . Council taff to the committee included Martha Gephart, Robert Pearson, Raquel Pinderhughe , Alice O 'Connor, Richard Peterson and Greg Brooks. MARCH


1980 and '90 but focu ed inten ively on citie . For example, deindu trialization and deconcentration of goods production, global economic re tructuring, and international migration of capital and labor are a few of the e force which continue to re hape the locu and concentration of poverty, the demography of who i per istently poor, and the matrix of driving force that analy t can identify to explain the "what," "where," and "who" of persi tent poverty in the 1990 when contra ted to an wers, ay, in the 1960 . Finally, in continuing re earch being carried out in three eparate working group of the committee ( tudying, re pectively, labor markets, crime and drug networks, and child and youth development), we are learning how much the phy ical locale and ocial ecology of place mediate the probabilitie of group and individual being and taying poor.4 Thi re earch further tran form the focu of theory toward micro-contextual factor, e.g., to explain why in different hou ehold within a neighborhood, neighborhood within a city, or major citie like New York, Detroit, Chicago, and Lo Angele ,the arne con tellation of economic and ocial factor do not alway lead to the arne likelihood of job Ie ne , falling prey to or engaging in crime or violence, or of failure to thrive through childhood and adolescence. And commen urately, a the analytical importance of context-be it hi tory or place or group-became greater for theory building, the demand for more ophi ticated multi-level analytical method increased. The working group al 0 ought complementaritie between qualitative and quantitative method of data collection and analy i . Indeed, the Council copon ored a tate-of-the-art working conference on ethnographic technique for analy t of human development (together with Richard Je or, chair of a MacArthur Foundation re earch network) for which the SSRC poverty re earch provided example . In urn, the contribution of the Committee for Re earch on the Urban Undercla to the corpu of ba ic re earch literature in ocial tratification and urban ociology, labor and welfare economic, social demography, cultural and urban anthropology, and developmental p ychology are clear. The "technical problem" of persistent poverty have proven to

4 For example, Puerto Rican poverty renec different contributing factors than among black in part becau of different ecological factors, but employer and lender di rimination against dark kin color i a con tant o


provide a rich vein for new theory and method in ocial cience. In addition, an as ociated fellow hip program, focused nonexclu ively on young minority cholar , and research training work hops for undergraduate , increa ed the numbers and diver ity in the pool of urban re earchers and broadened the range of i ue a sociated with Council-spon ored poverty research. (2) Has the program avoided political or partisan bias? Ironically, the very ame Rockefeller Foundation of Profe sor Fi her' analy i was the major pon or of the Council' program of re earch and training on persi tent poverty ince 1988. ~ The program po se sed anything but a con ervative, ocial control orientation. If there wa a "parti an" bia , it tended to reflect the overall liberal political per uasion of academic ocial cientist and the progre ive, activi t orientation of the foundation . Members of the Urban Undercla Committee shied away from what might be termed "con ervative" political perspective on the roots and remedies of per i tent poverty. In any case, policie and practice of the bu ine e and bank of central citie , together with federal, tate and local regulation of them, came under critical review. For example, while federal Social Security and related benefits were applauded for effectively eliminating nearly all poverty among the elderly, other federal and local policies and program sometime were a much the problem a the olution. For example, municipal and federal government disinve ted in citie during the 1980 and '90 from witting or unwitting practice in urban renewal and in public hou ing policie , to "redlining" exclu ion from mortgage loan and di crimination by lender and employer . The e practice and policie accelerated the racial and ethnic egregation of American citie -created "hyper egregation," a Dougla Ma sey and colleague of the committee have phra ed it. Analyse by the committee document how the e policie have contributed to the de truction of community life and undermined the intricate network of elf-help in titution : the churche , the neighborhood cooperative • and the web of informal mutual exchange between friend that in prior

, In faime ,that beg the que tion of Iran fonnation WIthin the foundation itself in the interim. Still, the po ibilitie of uch Iran fonna¡ tions in leaderohip, internal politic , and the mi i n for the foundation set by i tru tee, d their implicati n for hi the i about the power of elite in the United State eluded Fi her' purview. 2O\lTEMS

decade u tained a certain re ilience among the urban poor and near-poor. One can only peculate if under a different. perhap more ocially activist federal adrnini tration private foundation like Rockefeller would have been Ie inclined to inve t their re ource into re earch on persi tent poverty-and into under tanding the reason behind the ri e of income inequality in the U.S. during the 1980 -than during the Republican pre idency of George Bu h. Private philanthropy often has filled the gap during political moment when "big. activist government" wa feared or thought to be inappropriate, as was the case, incidently, during the founding decade of SSRC. And at least during the 20th century, the large t foundations uch a Rockefeller and Ford, if they have manife ted a parti an leaning, have been more "progre ive" than "con ervative"; if anything, they have not pursued a " ocial control agenda" or cast their lot with federal policie . In any event, the program on urban poverty at Rockefeller (directed initially by Jame Gib on) worked clo ely with taff at SSRC and never interfered with the committee' cholarly direction . (3) Has liaison and cooperation with the foundations and government compromised autonomy? Rockefeller provided core funding to the Council' committee but other foundation upported projects and other activitie ; the e included the Ford Foundation, the Foundation for Child Development, the Ru ell Sage Foundation, the William T. Grant Foundation, the Harry Frank Guggenheim Foundation, and the Smith Richard on Foundation. Multiource support buffers the influence of even a principal funder, in mo tin tance ; and increa ingly nearly all SSRC initiatives are multiply spon ored. In the case of the Undercla Committee' work, both Rockefeller and Ford encouraged attention to the program and policy relevance of re earch, but neither pon or encouraged a particular format or policy agenda. In November 1993 the Council and Rockefeller co pon ored a policy conference in Washington, D.C., "Per i tent Urban Poverty: Integrating Re earch, Policy and Practice." It a embled urban re earchers (including but not limited to the committee), policymakers in the new adrnini tration of Pre ident Bill Clinton, and community-ba ed program practitioners to di cu what had been learned about persi tent poverty a a re ult of re earch and experiVOLUME

48, NUMBER 1

ence in the field. Background paper were prepared for the conference, but not only by re earcher . The idea wa to commi ion ynoptic review from the variou per pective of policy, practice, and re earch; and u ing them a a tarting point for di cu ion, to identify at the conference points of con en u , to clarify points of contention and perplexing dilemma , to reveal new approache or trategie being tried, and the be t ca e or practice that ugge t po ible avenue toward ucce rather than only intervention that have not worked. The follow-up to thi conference-really a fir t tep toward new trategie to make re earch more relevant to policy and program and to u e policy and practical experience a timuli for new direction in ba ic re earch-i till being formulated. But already orne link are being forged with national policy forum . The Council ha been a ked by the A i tant Secretary for Re earch and Planning in the Department of Hou ing and Urban Development, Michael A. Stegman (formerly profe or of urban planning at the Univer ity of North Carolina, Chapel Hill) to organize a erie of re earch roundtable for hi office and taff. Both HUD and the Ford Foundation are providing financial upport. The e roundtable are intended to provide HUD with information that can help hape an urban report and policy agenda that Pre ident Clinton may pre ent to Congre in 1994, as well a to inform HUD ecretary Henry Ci nero on policy i ue he ha identified. Among the topic for the eminar (one of which Secretary Ci nero him elf attended) are "fo tering neighborhood change and community empowerment," and "family elf- ufficiency and community economic development." SSRC' ta k, among other, i to tran late the e policy rubric into the cholarly and practical experti e of re earcher in univer itie , in community-ba ed program, and (in the first year of Clinton' admini tration) in variou government agencie . What ha emerged througb the liai on with HUD i a valuable bridging function for SSRC in con trocting a tripartite forum of practitioner , policymaker , and re earchers along the line of the "two-way bridge" of communication between academic and practical experti e ,a envi ioned in the 1930 by SSRC pre ident Crane. In the mo t recent decade, however, it ha been rare for community-ba ed practitioners and high-level policymakers to get together to di cu what i working and what i not and the role of information in getting to the root of problem and MARCH


evaluating intervention . It aloha been difficult for taff from the re pective Cabinet departments like Labor, Education, and Hou ing to compare note, let alone con ider any coordinated re earch-ba ed planning effort. The SSRC-organized roundtable may offer an important fir t tep toward con tructing that forum. From the SSRC' per pective, the re earch community may al 0 be beneficiarie of thi tripartite alliance, provided one accepts the view that beginning with concrete problem does not preclude advancement of ba ic cience. Judging from the work and entailed activitie of the SSRC program on persi tent urban poverty, I would ay the liai on introduce far Ie a "di tortion" on ocial cience than Profe or Fi her feared. And SSRC' autonomy in choo ing participant for the forums has been unchallenged.

Whose Council Is It, After All? Behind all the Council' pecific program choice lurk a fundamental que tion, one that Donald Fi her' book place in tark relief again t SSRC' early history: "Who e Council i it, after all?" Who e intere ts doe SSRC erve and hould it erve? For now I leave thi inci ive que tioning for debate. SSRC's mi ion i to build bridge intellectual and cientific one -into the future. Thi i ri ky bu ine and, if we are doing our job right, bound to rai e keptici m and debate. Our job, among other ,i to bring the be t ocial cience to bear on the mo t vexing problem facing nation and people of the world. And in 0 doing, to challenge the adequacie - to reveal the inadequacie - in our way of thinking, method of doing, and framework of explaining a cholar and cienti t . Thi i mi ion-oriented ba ic re earch, and thi i both the hi tory and the future of SSRC. - David L. Featherman Refi


Bulmer. Martin. "Venture in Patronage." Sci~nu 262. 1993. pp. 259-260. Cahan. Emily D. "Science. Practice and Gender Role In Early American Child Psychology." In F. Ke sell. M. Born lein. and A. Sameroff. eds .• Cont~mporary Constructions of th~ Child: Es ays in Honor of William K~s ~n. Hillsdale. NJ: Lawrence Erlbaum. 1991. pp. 225-249. Craver. E. "Patronage and the Direction of Research in Economic: The Rockefeller Foundation in Europe. 1924-1938." Min~na 24. 1986. pp. 205-222.


Fu~ntallhv~/op~nt ofth~ Social Sci~nus: Rocufdltr Philanthropy and th~ Unit~d Stat~s Social Sci~nc~ R~uarch Council. Ann Arbor: University of Michigan Pre ,1993. Geiger, Roger L. To Advanu Know/~dg~: Th~ Growth of AlMrican R~uarch Univ~rs;tiu: 1900-1940. New York: Oxford University Pre ,1986. Jencks, Chri topher, and Paul E. Peterson, ed . The Urban Undue/ass. Washington, D.C.: Brooking In titution, 1991. Katz, Michael B., ed. Th~ "Und~rclass" D~bat~: Vi~s from History . Princeton, NJ.: Princeton University Pre s. 1993. Merton, Robert K., and J. M . "Basic Reseasch and Its Potentials of

Fisher, Donald.




Mount Sinai Journal of M~dicin~ S2 , 1985, pp.


Sibley, Elbridge. Social Sci~nu R~uarch Council: Th~ First Fifty New York: Social Science Research Council, 1974.

Y~ars .

Note: Reader are invited to re pond to this "Presidential Item " article. A election of reader ' comments will be published in a sub equent i sue.





Rethinking European Studies by Kenton W. Worcester* In a report publi hed by the Social Science Re earch Council, a group of ix di tingui hed cholars argued that the ongoing tran fonnation of European ociety, politic, and culture "impel u to reexamine the tructure and direction of We tern indu trial ociety." The report found that the old map of tate, society, and economy no longer work, and We tern indu trial societie feel themselve embarked without guidepo t or compasse on journey whose way tation and de tination are no longer familiar .. . The terrain has changed; and the map , which had only a very rough and perhap puriou fit with the old tate of affairs, have not been redrawn to take account of the new landscape of the contemporary indu trial world.

Their report, "New Per pective for the Study of We tern Europe," wa publi hed in Items in September 1975. The author were founding member of the American Council of Learned Societie (ACLS)SSRC Joint Committee on We tern Europe. I A the above quotation indicate , concern about the reach and applicability of ocial- cientific approache to We tern Europe ha long played an important role in timulating cutting-edge re earch on the region. Following the publication of the report, the newlyfonned committee pon ored a ucce ion of edited

books-Organized Interests in Western Europe (1981), Order and Conflict in Contemporary Capitalism (1984) and Changing Boundaries of the Political (1987) - that endeavored to y tematically reexamine the dominant "guidepo t " or paradigm of the field . The e influential volume u ed hi torical and comparative ca e tudies a well a theoretical e ay to chart the "new land cape of the contemporary indu trial world." Although the focu of the e text wa on development in the area of political economy, political ociology, and industrial relation, the in ight and theorie that emerged were infonned by the work of hi torian , economi t , and others. Many area peciali t are now asking whether the current ituation call for an even harper reexamination of pa t approache . With the collap e of the • Kenton W. Worce ter, a political scienti t, i the program director of the Joint Committee on We tern Europe and the Berlin Program for Advanced German and European Studie . I The ix authors were Suzanne Berger, Gerald Feldman, Gudrnund Heme , Joseph LaPalombara, Philippe Schmitter, and Allan Silver. MARCH


Soviet Union and the Soviet bloc, the unification of the two Gennanys, and the turbulent movement toward a multifaceted European Community, we are witne ing a historic transfonnation of the interrelation hip of nation- tate . Other key feature of the po t-cold war era are connected to the on laught of global market force, uch a the relocation and reorganization of manufacturing, the decline of indu trial trade unioni m, the persi tence of rna unemployment, and the ero ion of the European welfare tate. Another important trend i the ri e of racial violence and the con olidation of anti-immigrant force in extremist political parties. Each of the e development offer novel challenge for dome tic and regional political actor, haping and con training the option available to the e actor a they confront a di tre ingly unfamiliar ocial and political environment. Furthennore, they rai e difficult que tion about the creation of new line of ocial and economic demarcation and the fundamental tran fonnation of We tern indu trial ocietie. Several of the e trend were evident prior to the geopolitical earthquake of 1989-1990, however. The author of the 1975 report identified three broad area where significant breaks with po twar pattern had taken place and where international collaborative re earch efforts were needed: popular di affection with public in titution ; a decline in the effectivene of partie and intere t group ; and the cia h of cultural value along generational and ociological line . Each of the e continue to be of major importance in the remaking of contemporary Europe. Even by the mid-1970 it wa apparent that the conventional picture of We tern Europe a a collection of table, cohe ive, and homogeneou ocietie wa badly in need of revi ion. As the ix authors noted with orne alarm, "the 'equilibrium tate' of We tern European ocieties appears to have become one of pennanent in tability." The theme of tructural in tability, and the belief that "we may have exhau ted the utility of the ource of our po twar cholarship on Europe and need a new beginning," as the 1975 report ugge ted, i recurrent in the contemporary literature. A we move further from the era of po twar pro perity, the perception of a gap between old assumption and current complexitie become ever greater. Founded, a we have een, out of a en e that the theorie of the field had to be challenged and revi ed in the wake of major ocial and political upheaval , the Joint ITEM


Committee on We tern Europe ha recently pur ued a number of collaborative re earch projects that attempt to trace the emergence of a new, po t-cold war Europe. These include a project on the European Community and European integration; a project on European identity and it intellectual roots; and a project on the changing ba e of collective action and ocial olidarity in the New Europe. The committee has al 0 pon ored a Subcommittee on Southern Europe that i examining the nature and con equence of democratic tran ition and con olidation in Greece, Italy, Portugal, and Spain. One of the tated aim of this project i to integrate the tudy of the e countries into the main tream of ocial cience, and of European tudie. The e project are largely concerned with developments in the we tern half of Europe. But the one central, unavoidable clu ter of is ue for cholars of Western Europe ha to do with how far east "Europe" extend, whether cold war line of demarcation remain relevant to the tudy of the region, and what new approache or topographies are mo t u eful to tudie that are concerned with emerging trend and dynamic . While the panregional i ue may not have been particularly germane in 1975, it ha ub tantial implication for contemporary re earch on a wide range of topic , from inter- tate relation to tran national phenomena uch a the flow of good , ervice , people, and capital acro cold war borders. In recognition of the importance of thi i ue, the ACLS and SSRC formed a Pan-Europe Working Group in 1992 to con ider whether and to what degree a pan-European re earch agenda exi t and how the Council could be t go about promoting uch an agenda. With the participation of peciali ts in We tern Europe, Ea tern Europe, and the former Soviet Union, thi group ha begun to identify re earch topic that might require the cooperation of peciali t in the different region . The mere exi tence of uch a group ha highlighted the i ue of how unit of analy i ("We tern Europe," "Ea tern Europe," and 0 on) implicitly provide a framework for re earch by "defining the range of ignificant relational network ," a one re earcher has noted. 2 The breakup of the Soviet bloc and the tran ition to market capitali m in central Europe po e intere ting 2 Ravi Arvind Palat. " Building Castle on Crumbling Foundations: Excavating the Future of Area SlUdie in a P t·American World ... Unpubli he<! paper. p. II.


challenge not only for individual cholar, but for univer ity center of European tudie, which have commonly been divided along ea t-we t line. A one ob erver ha argued, the e center have tended to replicate the "very divi ion of Europe that Stalini m and the cold war produced." As a re ult of this strict bifurcation of cholastic re pon ibility, "We tern European program eldom gave attention to Ea tern Europe-except in the gui e of 'the other,' while Soviet and Ea tern Europe program u ually focu ed on the Soviet threat, leaving the va t wath of land between Germany and Ru ia terra incognita and underplaying the European pa t when Europe wa conceived more broadly by European."3

European studies after 1989 It was with the e i ue in mind that the SSRC and the German Marshall Fund of the United State commi ioned Sidney Tarrow of Cornell University to produce a report that would identify trends and rai e i ue of importance to the future of European tudie in U.S. higher education. Profe or Tarrow' report, Rebirth or Stagnation? European Studies after 1989, wa publi hed in June 1993 and has circulated widely among cholars, foundation officer, and university admini trators working on the region. A econd edition of the report i being prepared. 4 The report i primarily concerned with the intellectual and programmatic implications of the tumultuou event of the recent period for the study of Europe in the United State . It al 0 offer a number of recommendation for enhancing the quality of the teaching and re earch on European topic . The report' finding are ba ed on a wealth of interviews and other primary and econdary material . A twelve-member advi ory committee provided advice and coun eJ.S The report find that We tern Europe, Ea tern J Sidney Tarrow. "Europe. Old and New and the Challenge 10 European SlUdie ." Op-ed. forthcoming in Chronicle of Higher Educa· tion . • For a copy. write to the We tern Europe program. SSRC. 60S Third Avenue. ew York . NY. 10158. , The members of the Advi ry Group were Jack Biel iak. Indiana Umverslty; George Bre lauer. University of California. Berkeley; Barry Eichengreen. University of California. Berkeley: Donald Hancock. Vanderbilt University; Peter Lange. Duke University; Philip Nord. Princeton University; Deborah Milenkovitch. Barnard College; J ne Schneider. The Graduate Center. City University of New York; Gale Stoke • Rice University; Wolfgang Streeck. University of Wiscon in. Madi n; Ivan Szelenyi. University of California. Los Angele ; and Katherine Verdery. The John Hop ins University.





Europe, and the European Community have all generated increa ed level of intere t in the pa t five or 0 year . A one new paper account of the report noted, however, thi i a "growing but underfunded area truggling to meet tudent demand . . ."6 Neither univer itie nor the federal government, Tarrow maintain , have been willing to a ign additional re ource for language preparation, library facilitie , or for providing ba ic hi torical in truction to undergraduate and graduate tudent . In the face of con iderable pre ure on time and re ource , few graduate tudent can afford to combine area experti e with di ciplinary training. While a few center of European tudie may be well-e tabli hed and well funded, mo t are underfunded and in many ca e exhibit a problematic relation hip with the major di cipline . "The mo t worrying gap," Tarrow note , "wa found in the funding of graduate training-the main gateway to the future of European tudie and to maintaining our knowledge about Europe." Overall funding for graduate and po t-graduate fellow hip ha declined ignificantly in the pa t two decade . In addition, the field of European tudie wa founded by a generation of cholar who were either born in Europe or received much of their training in the region. "With the pa age of that generation from the cene and the retirement of the po twar generation of American leader who had a direct experience of Europe, there i a palpable gap in European experti e in America today." Tarrow al 0 expre e concern that the inevitable intere t in applied re earch and in tant analy i may come at the expen e of "inve tment in uch ba ic kill a language, deep local knowledge about foreign countrie , new theorie about how the ocial, political or economic world work ... " Inve tment in language training, predi ertation fellow hip , ummer re earch work hop , and exchange program with center of re earch in Europe hold out the promi e of "a more infonned citizenry and a broader fund of knowledge that policymaker can draw upon when they face cri e like the current one in the fonner Soviet Union and Yugo lavia. 'But uch inve tment may be hard to come by in a funding environment that privilege immediate, practicable re ult from funding recipient . 6 Claire Sanders. "Defining the State of Europe." TimLS HigMr Education Supp/~mLnt. Augu t 6. 1993. backpage feature.



The report emphasize the po ibilitie, as well as the challenge ,for tudent of the region. Although the report "i not in any en e an agenda for re earch," Tarrow identifie four broad areas for interdi ciplinary inve tigation-the political and economic con equence of European integration; ethnic and regional fragmentation; democracy and civil ociety; and the dynamic of privatization and economic refonn. "Recent change in Europe," Tarrow write, "have timulated debate among ocial cienti t concerned with area uch a integration and fragmentation, collective identity, turbulence and in titution-building." Re earch on the e i ue "offer the po ibility of building a tronger corpu of ocial cience re earch by u ing area- pecific and comparative data to build, te t and refine theory."

Internationalizing European studies A major the i of Rebirth or Stagnation? i that thi may be an e pecially propitou time to bring international per pective to bear on the tudy of Europe. In particular, the report emphasize the importance of fo tering re earch that cut acro east-we t barrier, and of creating trong international linkage between U.S. -based academic and others working on the region. In thi re pect the report c10 ely dovetail with the SSRC' own effort to "internationalize" the ACLS-SSRC area program by introducing tran national and cro -regional comparion into the ub tantive work of the area committee , and by bringing more cholars who are ba ed out ide of the United State onto the e committee . Another approach to internationalizing the tudy of Europe locate Europe within the context of global economic trend and the development of international market for good, ervice, labor, and capital. For the pa t two decade , Europeani ts have recognized the importance of the new literature on international political economy and it relevance to the tudy of dome tic political coalition ,pattern of ocial tratification, and 0 on. The new wave of cholarly intere t in tran national force and global interdependence underscore the importance of the complex interaction of "dome tic" and "international" phere and of moving beyond an exclu ive focu on individual nation- tate, which may have been seen at one time a elf-defining and elf-con tituting. The notion of internationalizing European tudie encomITEM


pa e, but goe beyond, the literature analyzing the role of leader of the European Community and other key figure in the context of international diplomacy, the We tern alliance, or the "international community. " But the new environment of tran national force and global interdependence al 0 under cores the degree to which the region of Europe are an intrinsic part of a dauntingly complex web of interaction with other ocietie , economie , and world-region . It i at the very least worth asking whether the dynamic of politic, ociety, economic, and culture in Europe are ub tantially conditioned by the region's relationhip with the re t of the world. A valuable intellectual rationale for European tudie may, therefore, have to do with understanding the implication of a "common pace" per pective for developments in the region. Thi empha i on the international embeddedne of European politic, ociety, economic , and culture recognize the importance of, but goe well beyond, the major challenge of ituating the major state of We tern Europe in relation to the ebb and flow of global economic. The notion of "common pace"u ed here to connote the region' hi toric and ongoing relation hip with former colonial po eion , neighboring region , tran national labor and commodity market, and 0 on-highlights the reciprocity of people, idea , capital, public policie , and the wide t po ible range of tran national and cro -regional phenomena. Thi approach call attention to the long-term impact of empire, coloniali m, lavery, and decolonialization on individual European ocietie . In addition, it accentuate what might be termed the pan-European agenda: the importance of tie between We tern, Central, and Ea tern Europe which are thought to be critical to the future of the region. Finally, it under core the importance of moving beyond national compari on to focu ing on the tran mi ion of policie acro and within nation and region . Thi "common pace" approach owe omething to the in ight of cultural tudie, which ha tre ed the importance of proce e of cultural cro -fertilization


that tran cend or move acro nation and region . In thi context, an intriguing perspective on the internationalization of the tudy of Europe ha been offered by the work of Edward Said. Said' work ha long been engaged with the limitation of area-ba ed tudie which effectively eque ter pecific region from all others. Drawing on theme developed in earlier work , Said in i ts in hi mo t recent book that "to ignore or otherwi e di count the overlapping experience of We terners and Oriental, the interdependence of cultural terrain in which colonizer and colonized co-exi ted and battled each other through projection a well as rival geographie , narrative , and hi torie ,i to mis what i e ential about the world in the past century."7 Hi empha i on the "interdependence of cultural terrain" provide a u eful counter-perspective to view that de cribe Europe a a cohe ive ocio-cultural unit, or that ugge t that the line of influence between the o-called "first," " econd," and "third" world are unidirectional or unilinear in nature. A both the 1975 and 1993 SSRC report have empha ized, the op)'Ortunitie and challenge facing re earchers in thi field are con iderable. Internationalization, in all of its many varietie , offers an exciting context for moving U.S.-based re earch forward and for overturning outmoded a umption about the region. Even as the multiple cri e of the 1970 encouraged cholars to revamp their theorie and launch new re earch project , the geopolitical hock wave of the late 1980 and early 1990 demand that we inve tigate once more the fundamental hypothe e and pre uppo ition of the field of European tudie .

7 Edward Said, Cultur~ and ImfNrialism (Knopf, 1993). • An analogous argument i advanced by Paul Gilroy, a profe r of sociology at Goldsmith ' College, University of London, in hi recent book Th~ Black Atlantic: Mod~rnity and Doub/~ Consciousn~ss (Harvard University, 1993). While Gilroy's book-which was publi lied at the same time that R~bi"h or Stagnation? appeared-i nOl directly concerned with politic or economic of contemporary Europe, its emph i on the complex relation hip of the African-diasporic experience to European modernity may neverthele provide a rich point of entry into the tudy of po t-cold war Europe.





Recent Council Publications Ideas and Foreign Policy: Beliefs, Institutions and Political Change, edited by Judith Gold tein and Robert O. Keohane. A volume in the Cornell Studie in Political Economy erie , edited by Peter J. Katzentein . Spon ored by the Committee on Foreign Policy Studie . Ithaca: Cornell Univer ity Pre , 1993. 308 page . Do people 'belief help to explain foreign policy deci ion , or i political activity better under tood as the elf-intere ted behavior of key actor ? Thi volume demon trate how idea can hape policy, even when participant are motivated by rational elf-intere t. Following an introduction that outline a new framework for the role of idea in foreign policymaking, ca e tudie are preented that te t thi approach. Taken-a a whole, the e ay e tabli h that world view , principled belief , and cau al belief help agent to re olve uncertainty and to coordinate their behavior. Once in titutionalized, the e idea continue to guide action. The function of ideas a "road map " that reduce uncertainty i examined in chapter on human right, decolonization, the creation of ociali t economie in China and Ea tern Europe, and the po twar Anglo-American economic ettlement. Di cu ion of parliamentary idea in 17th-century England and of the Single European Act illu trate the role of idea in re olving problem of coordination . The proce by MARCH


which idea are in titutionalized i further explored in chapters on the Peace of We tphalia and on German and Japane e effort to cope with contemporary terrori m. Judith Gold tein i a ociate profe or of political cience at Stanford University. Robert O. Keohane i Stanfield Profe or of International Peace at Harvard Univer ity.

Postwar Japan as Hi tory, edited by Andrew Gordon. Sponored by the Joint Committee on Japane e Studie and the Japan Foundation. Berkeley: Univer ity of California Pre ,1993. 496 + xii page. Few tudie of Japan' catapult to world economic power have looked at the 45 year of po twar Japan though the len of hi tory. Contributors to thi volume move beyond a view of the period a a mere prelude to a fixed "pre ent" moment of con ervative political rule, or a an inevitable equence of event that ju tifie the current ocial and economic tructure. In tead, they de cribe an ongoing hi torical proce marked by unexpected change, uch a Japan' extraordinary economic growth, and unanticipated continuitie, uch a the endurance of Liberal Democratic Party rule, ugge ting that further unexpected development are likely a well. The authors examine three related theme of po twar history. Fir t, they explore the conte ted character of the pa t five decade, during which a variety of outcome eemed po ible.

Second, they analyze the emergence of the con ervative hegemony of the po twar era, which had both political and cultural dimen ion . The third i ue i the matter of difference in po twar Japan, which the author approach from two direction . Many de cription of contemporary Japan tre the homogeneity of the ociety, but the e e ays de cribe a heterogeneity of experience, value, and group intere t in po twar hi tory. At the arne time, they trace the emergence of a powerful ideology and related policie that have denied difference and that have pre ented Japan a a harmoniou middle-cia ociety. Andrew Gordon i profe or of hi tory at Duke University.

Mexico in Search of Security, edited by Bruce Michael Bagley and Sergio Aguayo Quezada. [Engli h-Ianguage ver ion of En busca de La seguridad perdida, publi hed in 1990 by Siglo Veintiuno Editore , Mexico.] Sponored by the Committee on International Peace and Security. Miami: University of Miami North-South Center, 1993. 367 + ix page . "National ecurity" i a powerful and often ambiguou political concept with a long and troubled hi tory in the Americas. In Mexico, the term has been little u ed. Until recently, empha i ha been placed in tead on notion of overeignty and national independence. Recent development and problem , however, uch a the di covery of ITEMS127

oil, tunnoil in Central America, drug trafficking, border i ue with the United State , and a desire within the Mexican military for a clearer definition of its function and re pon ibilitie have directed attention to the concept. In thi volume, a group of peciali ts discu the meaning of national security, it evolution in Mexico, and the po ible element of Mexico's future security agenda. Bruce Michael Bagley i associate dean and profe or of international tudie at the Graduate School of International Studie , University of Miami. Sergio Aguayo Quezada is profe or of international relations at the Center for International studies of EI Colegio de Mexico and pre ident of the Mexican Academy of Human Rights.

Ordering the World: Approaches to State and Society in Sung Dynasty China, edited by Robert P. Hyrne and Conrad Schirokauer. Studie on China, 16. Sponsored by the Joint Committee on Chine e Studies. Berkeley: University of California Pre ,1993. 437 + xiv page. The e e ay examine the relation of ociety and the tate or, more broadly, the place of political action in ociety and in the hi tory of Sung China. Connection between intellectual change and ociopolitical change are a con i tent focu ; attitude toward hi tory and problem of authority are a recurrent concern. The authors ugge t new kind of continuity betweellj the di parate intellectual world of northern and outhern Sung China. Their 28\ITEMS

findings have implication for the understanding of the neoConfucian movement in Sung hi tory and of the Sung in the history of Chinese ideas about politic and ocial action. Robert P. Hyrne i profe or of Chine e hi tory at Columbia University. Conrad Schirokauer is profe sor emeritus of history at the City College of the City University of New York.

"Economic Liberalization and Democratization: Explorations of the Linkages," edited by

Chinese Families in the PostMao Era, edited by Deborah

This collection of nine e ay by distinguished cholars from Europe, Latin America and the United State urvey a range of tradition in We tern ocial theory that have been brought to bear in con ideration of the interaction between economic liberalization and democratization in different ettings. While the e ays are primarily analytical, there i a clear preoccupation with the complex interaction between economic liberalization and the con olidation of political democracy in contemporary Latin America and Ea tern Europe. Indeed, a explained in Whitehead' introduction, thi topic is the focu of a multi-pha e JCLAS- pon ored project, funded principally by the United State In titute of Peace and the Pew Charitable Tru t . The pre ent volume repre ents an initial effort to take tock of the theoretical i ue that will be examined empirically in ub equent tage of the project. Several i ue recur throughout much of the volume. For example, in eparate contribution , economi t Paul Streeten, John William on and Luiz Carlo Bre er Pereira con ider the role of the tate in market-oriented

Davis and Stevan Harrell. Studie on China, 17. Spon ored by the Joint Committee on Chine e Studies. Berkeley: University of California Pre ,1993. 420 pages. How have the momentou policy hifts that followed the death of Mao Zedong changed familie in China? What are the effects of the decollectivization of agriculture, the encouragement of limited private enterpri e, and the world' tricte t birth-control policy? Eleven ociologi ts and anthropologi t explore the e and other que tion in thi volume. The e say concern both urban and rural communitie and di cu different type of familie , both intellectual and working-cla . They how that there i no ingle trend in Chine e family organization today, but rather a mo aic of form and trategie that mu t be een in the light of particular local condition . Deborah Davis i profe or and chair of the Department of Sociology at Yale University. Stevan Harrell i profe or of anthropology and director of the Arts and Science Honors Program at the Univer ity of Washington.

Laurence Whitehead. Special i ue of World Development, 21(8), Augu t 1993. Sponsored by the Joint Committee on Latin American Studies (JCLAS), with support from the United State In titute of Peace, the Pew Charitable Tru ts, and the John D. and Catherine T. MacArthur Foundation.





economie . Though their per pective vary con iderably, there i triking agreement on the de irability of a trong tate in order to regulate market outcomes. The implication i that tate reform, rather than tate reduction per e, mu t con titute a priority of reformer in contemporary Latin America and Ea tern Europe. Similarly, e ay by Guillermo O'Donnell and by Nick Manning explore the ramification of contemporary proce e of political and economic tran ition for extending the practice of citizen hip beyond elite to include broader ector of the population. Neither author i anquine about the ucce of the e endeavors. Indeed, they identify an array of economic, political and ociological ob tacle to the exten ion of citizen hip. Whitehead' concluding e ay offer a preliminary ynthe is of social cientific thinking about



reform of the tate and regulation of the market, and ugge t a erie of que tion that merit the empirical attention of re earcher in the year ahead. Laurence Whitehead i profe or of politic at Nuffield College, Oxford Univer ity.

Also Noted:

Private Lives and Public Policies: Confidentiality and Acce ibility of Government Statistics, by George T. Duncan, Thoma B. Jabine, and Virginia A. de Wolf. A report by the Panel on Confidentiality and Data Acce jointly pon ored by the SSRC and the Committee on National Stati tic of the National Re earch Council. Wa hington, D.C.: National Academy Pre , 1993. 274 + ix page. [For a di cu ion of thi report and it

implication, ee the article on page 9 by Wlodzimierz Okrasa.] "The Structure and Behavior of Economic Organizations: Theoretical and Empirical Perspectives," gue t ed . Avner BenNer, Jo ef C. Brada, and Egon Neuberger. Special i ue of the Journal of Comparative Economics, 17 (2), June 1993. Paper from a September 1992 conference which wa partially upported by the Joint Committee on Ea tern Europe. Transformation der Wirtschaftssysteme in Ostmitteleuropa/fransforming Economic Systems in East Central Europe, edited by Roland Schonfeld. Paper from a 1991 conference pon ored by the Joint Committee on Ea tern Europe and the SUdo teuropa-Ge ell chaft. Munich: SUdo teuropa-Ge ell chaft, 1993. 211 page.


Current Activities at the Council New Staff Appointment Sheri H. Rani has been named as the new program officer for the Council' East A ian programs. She will be particularly re ponsible for the day-to-day operations of the Abe Fellow hip program and for additional activitie related to East Asia. M . Rani received her M.A. (1983) from Columbia University in international affairs, with pecialtie in security tudie and Ea t A ia, and was a Rotary Graduate Fellow in Japan (1983-85). Her undergraduate training wa at Smith College. Prior to coming to the Council, Ms. Rani served a as ociate director of the. Center on Japane e Economy and Bu ine at Columbia University' Graduate School of Bu ine . She previou ly worked a a re earcher with the Japan Economic In titute in Wa hington, D.C. and has al 0 been affiliated with variou bu ine and research organization dealing with Japan. M . Rani ' re earch intere t include international political economy, U.S. trade policy, and U.S.-Japan relation. Her recent

30\ ITEM

publication have concerned competitiveness issue between the United State and Japan. She is currently preparing a tudy on the tate of American and Japane e managerial competitivene in the emiconductor, pharmaceutical, and automobile indu trie .

Identities, Norms, and National Security The Committee on International Peace and Security pon ored a three-day re earch planning workshop, January. 14-16, on Identities, Norms , and Security at the University of Minne ota, Minneapoli . Thi wa the econd of three work hop meeting organized by Peter J . Katzen tein , Cornell University, de igned to explore the impact of norm and identitie on the national ecurity of tate . Seeking to move beyond the traditional concern of the ecurity field with i ue uch as the balance of military force and great power competition, the work hop probed the extent to which culture and norm hape important ecurity outcome ,

including international intervention, alliance politic , the non-u e of weapon , the collap e of the Soviet Union, and the po t-World War n demilitarization of Germany and Japan. Workshop participant included ocial and political theori ts, and peciali ts on the Middle Ea t, We tern Europe, the former Soviet Union, and China. The di cipline repre ented included political cience, ociology and anthropology. The papers pre ented to the work hop by participants focu ed on the impact of norm and culture either in broad global proce e or pecific country case . A further et of papers was de igned to review the variou way in which the work hop papers as e ed the origin and con equence of norm and identity. Additionally, faculty and tudent at the Univer ity of Minne ota erved a paper di cu ants and, more generally, a e ed the intellectual direction of the workshop. A third and final meeting i cheduled for the fall of 1994 at Stanford University. A volume of workshop paper i expected to be publi hed after the final meeting.





FAX (212) 370·7896

Th~ Council "'a incorporat~d in th~ Stat~ of Illinois, DeamMr 27, 1924, for th~ purpos~ of admncing r~uarch in th~ social sci~nas . NongO~'unm~ntal and int~rd;sciplinary in natur~. th~ Council appoints committus of scholars ",hieh suk to achi~ ...~ th~ Council's purpou through th~ g~n~ration of n~'" id~a and tM training of cllolars. Th~ acti...iti~s of th~ Council ar~ support~d primarily by grants from pri foundations and go ...~rnm~nt ag~nci~s.

Dirutor , 1993-94: PA LB. BALTES, Max Planck In titute for Human Development and Education (Berlin); ROBERT H. BATES, Duke University; LAWRE E D. BoBO. University of Califomia, Los Angele ; ROBERT M. COE ,Nonhwe tem University; WILLIAM CRO 0 ,University of Wi on in, Madi n; DAVID L. FEATHERMA • Social Science Research Council; ALBERT FISHLOW, University of California, Berkeley; Su A HANSON, Clark University; BARBARA HEY • ew York University; NAGAYO HOMMA, Tokyo Woman' Chri tian University; JOEL SHERZER, University of Texas, Au tin; BURTON H. SI GER, Yale University: MARTA TIE DA. University of Chicago; KE ETH W. WACHTER, University of California, Berkeley; AN ETTE B. WEI ER, ew Yon. University; ROBERT B. ZAJO C. Unive ity of Michigan, Ann Arbor.



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