( SOCIAL SCIENCE RESEARCH COUNCIL)

Volume 431Number 31September 1989 • 605 Third Avenue, New York, NY 10158

The June Fourth Movement in China by Frederic E. Wakeman, Jr. *

Like many U.S. Sinologi t who have pent everal years living in the People' Republic of China during the pa t decade of "openne "(kaifang). I have developed a fairly thick et of network of acquain­tance , colleague, tudent, official favor-giver and eeker , and friend among the intellectual elite of a

few major citie . In early January 1989, one of the e acquaintance came to vi it me in my room in a foreign faculty apartment hou e on a Beijing univer-ity campu . My vi itor-who wa in clo e touch

with orne of the reformi t think tank advi ing Zhao Ziyang and other government leader - eemingly had no pecial purpo e in mind, and our conversation meandered ca ually on about the late t review of the televi ion film, River Dirge (who e main author, Su Xiaokang, i pre ently high on the Ii t of the State Security Bureau' mo t-wanted), until I a ked about the tate of the economy. I To my urpri e, the vi itor mutely indicated the ceiling with a hake of the head, not only reminding me of the tandard "bug " in the woodwork, but al 0 tartling me into an awarene of how relaxed I had come to be about uch ecurity matter during the cour e of the 1980 .

It u ed to be, of cour e, that vi itor were hyper­con ciou of the Ii tening device uppo edly hidden in the tud of our hotel room and apartment hou e wall. But-I mu ed, a I walked my vi itor out to the main gate of the campu that January day-did the authoritie really have manpower enough to keep clo e urveillance over 0 many thou and of foreigner flocking into China? And why would a

ca ual que tion about the tate of the economy make my acquaintance 0 uncharacteri tically uptight?

Out in the open, where we could not be overheard, my vi itor de cribed the de pair preading through the rank of the young economi t who were trying to guide the leadership in implementing the reform . The parallel pricing y tern wa imply not working and eriou tagflation wa a threatening po ibility. Yet no one in the government, lea t of all the new prime mini ter Li Peng, eemed able to appreciate the gravity of the cri i . Moreover, the once-flouri hing rural economy wa faltering a infra tructure broke down. At the next harve t, the government would again be forced to hand out "IOU" chit in order to purcha e the farmer' grain. Drought in Central China were forcing million more unemployed

• Frederic E. Wakem n. Jr . • a hI torian. was pre ldent of the Coun il from July 19 6 until Augu t 19 9. He i the Haas Profe r of East A ian Studie at the University of California, Berkeley.

I Su Xi kang igned the May 17th document. "Our Urgent Appeal for the Current Situation." that wa broadc t on China Central Televl' ion. The appeal reque ted the authoritie to recognize the tudent

demonstrators members of a "patriOlic democracy movement."

• CONTENTS OF THIS ISSUE • The June Fourth Movement in

China. Frtduic E. lVauman , Jr . 57

Pursuit of Knowledge and Protection of Privacy. RolNrt W. Ptar on 65

Tht Amtrican Solditr 40 Years Later. John A. Clau tn 71

Current Activitie I the CouncIl 74 New Direct rs and Offi ers 74 Conference on Acce to

Slavic and Easl European Material in North American Llbrarie 74

Vietnamese Scholars Vi it the Untted State 74

Summer Work hop on Soviet Dome tic Pohtic and SocIety 75

Grants Received by the Council in 19 9 76

Recent Council Publications 77 ote 79

57

pea ant into the citie than wa nonnally the ca e thi time of year, well before the lunar new year' fe tival. But there wa little work for them in place like Beijing or Shanghai becau e five or ix million people in the building indu try had been laid off a major building project were halted by government fiat.

One could already ee-my friend aid, glancing up at the towering new headquarters of the Anned Police that loom over the we tern capital uburb of Haidian, dwarfing the universitie around it-what a threat thi could po e to public ecurity. Citie like Beijing were acquiring va t "refugee" or "vagabond" population mainly compo ed of hundred of thou and of young rural workers, often emi-literate male teenager , who tried to find hou ing in con truc­tion- ite hed and who ought job where they could through a y tern of labor contractor and building bo ' e . For month now the public ecurity authori­tie had been talking about the growing pate of di order and lawle ne ,and particularly of the increasing inclination of young tough to challenge police authority. A million rank-and-file-many of them fonner People' Liberation Anny oldier -had been added to the new Anned Police garri on that were being et up in major citie of China to back up the regular Public Security force already over­whelmed with regular police dutie .2

None of thi wa altogether new. There had been a imilar en e of urgency in 1983 when the police

were given the authority to conduct public execution of convicted criminal within twenty-four hour of entencing, and at lea t five thou and people were hot to death by Public Security officer over the

cour e of that year. What wa novel, however, was the po ibility for the first time of there being a linkage between thi ort of ocial di order and a democratic prote t movement launched by tudent.

The connection between intellectual and "city people," my friend in i ted, would not be intentional. But thi wa, after all, 1989: the fortieth anniver ary of the founding of the People' Republic, the eventieth anniversary of the May Fourth movement,

and the two-hundredth anniver ary of the French

11be central command of the People' Anned Police Troops w e tabll bed In Beijing In April 19 3. Approximately 500,000 of their

ter consi ted of PLA troop re igned in 19 2. (Laszlo Ladany, Th~ Communist Party of China and Marxi m. /92/- /9 5. A S~/f-Portrait.

Stanford: Hoover Pre ,1988, pp. 463, 497)

58\ITEM

Revolution. The accompli hment ince 1949 were at lea t bound to be mea ured again t the prorni e of the 1919 May Fourth movement with it tirring call for freedom from tyranny and national cientific progre . Ju t a Beijing University' tudent had marched on May Fourth in the name of "Mr. Democracy" and "Mr. Science," 0 might they march again in 1989 under imilar banners and with orne of the ame logan . The anniver ary of May

Fourth would urely not pas unmarked, my vi itor in i ted, and we could be certain that the pring to come wa going to be a "lively" (renao) political eason.

The word, renao, which al 0 mean "noi e and excitement," kept coming back to me in the week and month following my return to the United State .3 In early February. di ident a trophy ici t Fang Lizhi - who had told me at lunch ju t before my departure for ew York that the tudent were likely to take any opportunity they could find to expre their di content with the regime-was one of a group of intellectual who pon ored a conference on democracy and human right at the Friend hip Hotel in Beijing. It eemed inevitable that thi concern over human right would extend to the la t great efferve -cence of democratic agitation ten year earlier during the o-called "Beijing Spring" of 1979. And 0 it wa no urpri e on February 26 when 42 cholar ent a letter to the Central Committee of the Chine e

Communi t Party asking for the relea e of Wei Jing heng and other political pri oners, followed by the appearance of big-character po ters at Qinghua and Beijing Univer itie on March 1-3 that called for the di mantling of the Communi t Party, for oppo i­tion of autocracy and totalitariani m, and for a tudent campaign for democracy, freedom, and

human right . Utterly unexpected, however, wa the death of

fonner Party leader Hu Yaobang on April 15. Hu Yaobang had been di mi ed from hi po ition at the head of the Party two year earlier, reputedly becau e he had ugge ted that the time had come for Deng Xiaoping (then 82 years old) to enjoy hi un et years in retirement. Although he wa regarded with ambivalence when in office, Hu Yaobang appeared as

) According to Elizabeth Perry, who i conducting research on the labor movement in 2Oth-century Shanghai, many of the participan in demonstration in the·3O and ' told her that they had at fust joined in ju t to "/can r~nao " (see the noi and excitement).

VOLUME 43, NUMBER 3

the reformers' champion once di mi ed.4 Now, a the democracy movement inten ified, even Hu' death from a heart attack at a meeting with the Commi ioner of Education wa regarded with popular u picion. Rumor had it that Hu had flown into a rage when Premier Li Peng colded him at a meeting of the Political Bureau; others claimed that he had died after the first eizure when the Shanghai Party bo Jiang Zemin gave him one of hi own heart medicine pill . Whatever the real circum tance of hi death, Hu' pa ing afforded the oppo ition the opportunity it needed for the prote t movement to accelerate. In the day that followed between Hu' death and hi tate memorial ceremony on April 22, more than 60,000 tudent boycotted their cla e in Beijing, and for the fir t time the democratic prote t began to pread beyond the campu e and out ide of Beijing.

On April 18-19 there was a major demon tration out ide the "We t Flower Gate" on that ide of the Forbidden City where the leader hip re ide and where the Central Committee and State Council have their office . A Taiwane e reporter who wa at that demon tration told me that the prote ters were orderly-the tudent enforcing their own "police line" -but that omeone in the crowd of ten of thou and gathered around had begun to hout: "Down with the Communi t Party!" Whether or not that particular demon trator wa an agent provoca­teur, as orne later claimed, the incident was cau e enough for the police to force the Beijing Univer ity tudent there onto bu e in the early morning hours

of April 20 and take them back to their campu . Two day later, on April 22, when the government' leader left the Great Hall of the People after attending Hu' memorial rite , there were ten of thou and of tudent in Tian'anmen Square, hoping to confront Premier Li Peng with alit of their demand. When he refu ed to appear, they nearly broke into open riot.

Already, of cour e, Party leader were interpreting the e demon tration as an attack upon their ultimate authority. And that al 0 hould have come as no urpri e, given the lack of formal in trument of

mediation in the Chine e polity. Nearly any prote t, even evaluative critici m of the government' performance, could quickly e calate to a fundamental

4 Intellectual u d to change the inton ti n of Hu' given narne to make a pun: "Hu Needs·Help. "

SEPTEMBER 1989

que tioning of the regime' legitimacy. It wa crucial from the Party' perspective, therefore, to interpret the e events as the handiwork of a mall band of con pirators, a "tiny handful of people" who

... exploited tudent unre t to launch a planned, organized, and premeditated political turmoil, which later developed into a counter-revolutionary rebellion in Beijing, the capital . Their purpo was to overthrow the leadership of the Chine Communi t Party and ubvert the sociali t People' Republic of China.'"

By the evening of April 24, according to Chine e government report , the Standing Committee of the Political Bureau had decided-under Li Peng' direction - to characterize the tudent movement a an anti- ociali t attack upon the Party; and the following morning Deng Xiaoping him elf harply endorsed thi entence of political trea on, which wa publicly

promulgated on April 26 in the lead editorial in People's Daily.

The tudent' re pon e was in tantaneou . That arne day the newly formed Beijing Federation of

Autonomou Student Union in Universitie and College i ued it first formal directive, "Order Number I," which urged it member to organize a march to Tian'anmen Square on April 27 in upport of Communi m and the ociali t order while oppo ing bureaucracy, corruption, and pecial privilege .6 Thi wa ,needle to ay, a brilliant political deci ion. It not only lowered the take by ub tituting an evaluation of thi particular government' perfor­mance for a normative attack upon the Communi t Party and ociali t y tern as uch; the new logan al 0 guaranteed the upport of a wide tratum of the urban population uffering from rampant inflation, bribe-taking, and barely concealed economic exploitation.

At the ame time, the tudent them elve began to draw upon an amazingly eclectic repertory of political ymbol that came in part from Chine e tradition of

prote t (the billowing flag of upport that evoked the May Fourth movement and that had been etched in the popular mentality during the Cultural Revolution) and in part from global tradition of nonviolent re i tance to tyranny (Gandhi' pa ive re i tance in

, "Mayor Chen Xltong's Repon on Putting Down Anti-Government RiOl," China Daily. July 7. 199, p. 4. 1111 i the text of the Beijing mayor' repon to the Eighth Meeting of the Standing Committee of the Seventh National People' Congre on June 30, 1989.

6 The government I ter claimed that Fang Lizhi ugge ted the chan e . ("Mayor Chen Xitong's Repon," p. S)

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India, Martin Luther King' civil rights movement in the United State , Cora Aquino' "people power" in the Philippine ).7 The mo t effective of the e ge ture wa to be the tudent' hunger trike, which elicited nearly univer al ympathy.

The deci ion to hold a hunger trike was made on May 13, when the tudents knew that there would be worldwide televi ion coverage of Mikhail Gor­bachev' vi it to Beijing. That ame evening uch prominent intellectual as Yan Jiaqi (Re earch In titute of Political Science, Chine e Academy of Social Science ) and Su Shaozhi (former director of the Marxi m-Lenini m Mao Zedong Thought Re earch In titute, CASS) allied them elve openly with the fasting tudent in a big-character po ter entitled "We Can No Longer Remain Silent" and po ted along ide the tudent canteen on the Beijing University campu .

Three day later orne of the e ame intellectual announced the formation of a Beijing Union of Intellectual , the flf t uch autonomou ign of a civil ociety ince the 1940 . On May 17, after Zhao

Ziyang had told Secretary-General Gorbachev that Deng Xiaoping had actually been in paramount command of the Chine e government ince the Thirteenth ational Party Congre ,Yan Jiaqi' group publi hed a declaration that called for the re ignation of "Emperor" Deng Xiaoping, the " enile and fatuou autocrat" who had to approve all major deci ion in China. By the following day, when Beijing was flooded with torrential rain , the ten of thou and of fasting tudents in Tian'anmen Square were joined by 200,000 more tudent pouring into the capital from the province to join the prote t.

It wa an amazing cene, and one now that the entire world could ee on nightly network new or throughout the day on cable televi ion broadca t . Although the Central Televi ion Station in Beijing did not at fir t cover the event in the world' large t quare, Chine e tudents abroad-and e pecially in

the United State -u ed the media to create a truly interactive ynergy by u ing fac imile tran mi ion machine to end polaroid photograph of the fa ting tudent to their brethren at Tian'anmen. Communica­

tion were aloe tabli hed with demon trators in

7 1l1e nOli n of repenorie of collective prole t I Charle Tilly' . Jeffrey W trom has adumbrated these traditions In China In a recent Berkeley Ph.D. the i on twentieth-century tudent movemen in Shanghai .

60\ ITEMS

different citie in China: Xi'an, Chengdu, and Shanghai, among others. At the ame time, in pired by the trikers themselve ,well-organized tudent networks abroad gathered fund u ing computer­generated databa e from previou letter-writing campaign a year or two earlier.

All of thi would eventually lend orne credibility to Communi t Party propaganda organ ' theory of a unified va t con piracy, but the truth of the matter was much more complex-and much more intere t­ing. Wherea Ayatollah Khomeini' Iranian revolu­tion had been helped along by the modem tape ca ette plu televi ion coverage of the iege of the U.S. emba y, the Chine e tudent' democracy movement wa the flf t uch event to be facilitated in part by televi ion a well as the more recent elec­tronic network -open to anyone with a telephone line and a relatively inexpen ive fac imile tran receiver­of "FAX" owners.

At time , watching televi ion tran mi ion from the quare, and e pecially when the crackdown began, one wondered why the Chine e authoritie did not realize how much of an impact the e image were having on world opinion. Under martial law the Chine e government eventually clo ed down the network and cable tran mi ion -an act of repre ion that wa broadcast up to the very la t minute until the "plug was pulled" before the amazed eye of foreign viewer . But that came only after the rna acre took place. One Chine e paper reported that General Yang Shangkun, who replaced Zhao Ziyang a the head of the Central Military Commi ion, told one aide who warned him about the horrifying impact on global public opinion that "Our Party ha never paid much attention to foreigner waving their hand and kicking their leg about." But Chine e official later privately conceded a propaganda defeat, and one military officer told me that Yang Shangkun him elf had told a Chine e-American vi itor that the govern­ment had "paid a heavy price" in public relation for it retribution on June 3-7.

Before the rna acre, which very few people could pretend to have fore een, the tudent con ciou ly played to a global audience.9 The quare was their

• Zhao Ziyang took three day of ick leave on May 19 after refu ing to pre ide over or pe t a meeting that day of military and civilian official who decided to procl8Jm manlal law on the 20th.

9 One exception w • veteran Pany member who told me early on, and sadly, that "1lIe kids have never felt the power of the armed tate. I'm afraid they will uffer terribly."

VOLUME 43, NUMBER 3

tage, and their choice on May 20 to defend it after martial law wa declared at to a.m. elevated the conflict to a higher and much more perilou level. 10

Tian'anmen Square it elf became a eat of counter­government, where the tudents fonned bureau and mini trie , organized their own police and health ervice , and erected their banners and tent into

phy ically frail but ymbolically powerful tructure of moral authority.

The tudent ' policing force were more than a elf-con ciou mocking of the e tabli hment: they

actually conducted traffic while preventing unruly element from taking advantage of the rebellion to run riot and ecret policemen from in tigating provocative incident. But the tudent govemment­the Beijing Federation of Autonomou Student Union -al 0 rendered itself quite vulnerable by concentrating all of it ymbolic and phy ical re ource in thi ingle pot. 11

Student leaders were aware of thi vulnerability, of cour e, and they called upon Beijing' "city people" to defend their arena again t the regular police and military by conducting a general trike and topping troop movement . The re ult wa electrifying to ob ervers abroad, who witne ed for the first time ince the tudent prote t began in December 1986

the fonnation of an alliance between the e young intellectual and member of the working clas • government clerk , Party cadre , and even policemen and oldier among the martial law troop . According to the government' own official report:

On the eve of d c1aring martial law and in th first two day after it was declared, all major cro roads were blocked up. More than 220 bu were taken away and used roadbloc Tran portation came to a tandstill . Troop to enforce martial law were not able to arrive at their de ignated place . TIle headquarters of the Party Central Committee and the State Council continued to be urrounded. Speeche inciting people could be heard anywhere on the treet . Leafle preading ru­mo could be seen anywhere in the city. Demon tration , each involving thousand of people, took pI ce in ucce ion nd Beijing, our capital city, fell into total di rder and terror. 12

Time and again orderly crowd linked hand to hold

10 According 10 the government' condemnation, "One of the major lactic of the organizers and hemers of the turmoil after martial law w declared was to continue 10 lay on Tian 'anmen Square. They wanted to tum the uare into a 'center of the tudenl movemenl and the whole nation. ' •• ("Mayor Chen Xitong' Repon." p. 6)

II Thi POlDt w mentl ned in later interview by tuden in e ile uch Wuer Kailli and Shen Tong.

12 "Mayor Chen Xllong' Repon," p. 6 .

SEPTEMBER 19 9

back troop , pleading with the oldiers not to attack the people. A trong measure of courage wa no doubt upplied in many demon trators by the conviction, drummed in by years of propaganda, that the PLA wa indeed the people' army. And audi­ence abroad, remembering the Philippine revolution that overthrew Marco , dared to hope that the populace would prevail.

Such populi t dream even touched the mo t cynical China-watcher , who could not help but feel that orne kind of turning point had been reached in modem Chine e hi tory,,3 The e dream of a new political universe-of a new fonn of Chine e civic culture-were nouri hed by the American televi ion coverage of the dramatic political enactment on the quare which, to prominent new broadca ters

unfamiliar with China, evoked We tern democracy again t a backdrop of white-coated medical workers admini tering to the fami hed tudent. The a em­bling by teacher and tudent of the Central Art In titute of a large tyrofoam tatue of the "Godde of Democracy" that re embled the Statue of Liberty completed the illu ion, though many of the foreign ob ervers who actually talked to tudents in the quare remarked upon the vaguene of their defini­

tion of democracy. But the vaguene mattered little at thi point as

the authoritie repeatedly tried to get troop to the quare from among the everal hundred thou and oldiers now ringed around the city. 14 According to

one of the government' account, the "tunnoil" flamed into actual "rebellion" on the night of June 2 when an Armed Police jeep on loan to China Central Televi ion overturned by accident and killed three people.

Thi was of course a traffic accident, and the department concerned w already handling the case. However, a handful of elements deliberately linked thi accident with the martial law enforcement troop , planned a tion of entering the city. They pread a lot of rumors, claiming that it wa the troop , "pave-the-way" vehicle which ran over tudents on purpose, inciting people not clear about the facts. They tried to ize the three bodie and carry the coffin in a proce ion through the

Il Speech by Orville Schell. Council on Foreign Relation, May 31, 19 9. On thi same occ ion, however. Liu Biny n w much more me ured. pealing of the darlme thaI would fall before lighl could prevail.

I. The Chinese uthorilie now deny that me military UDI refu~ 10

obey orde 10 clear the uare, and they ridi ule ~ reign reports that the 27th and 3 th divi ion were al loggerhead . (Personal inlerview with the Clune Military Mi ion to the United Nali n • July 13. 19 9)

ITEMS/61

tree . The atmo phere w very ten for a while and the flame of the rebellion w thu ignited by them. 15

On the following night of June 2-3 more military convoy were blocked at important cro ing along Chang'an Avenue, their vehicle overturned and tire la hed. Infantrymen were topped and pinned down.

Throughout the day other confrontation were reported, with the authoritie claiming that rioters had eized ann and ammunition, while new report

de cribed police attack on demon trator with club and tear ga . By 5 p.m. on June 3-the government later claimed - the loud peakers of the Autonomou Union of Worker encampment at the outh end of Tian' anmen Square were in tructing the demon tra­tors to defend them elve with weapon when attacked. 16 The tudents meanwhile were continuing to in i t upon peaceful and pa ive re i tance, while trying to get the government troop at the north ide of the quare to accept orne of the weapon earlier eized from oldier and police. 17

At 10 p.m. the troop began to move into the city from all direction . Becau e the world' attention wa focu ed on the quare, it mi ed mo t of the initial killing a the tanks rolled down Fuxing Street behind oldier who fired indi criminately on either ide,

killing men, women, and children on the balconie of the apartment hou e along ide that boulevard. 18

There wa more laughter, we are told by tudent who have e caped abroad, in the Muxudi di trict we t of Tian'anmen. The quare it elf wa urrounded by ten of thou and of oldiers and Anned Police while loud peakers in i tently blared out order to the prote ter to clear the area. What happened next i only now lowly being recon tructed from the te timony and photograph of people who were there at the time. The government it elf claim that at 3:00 a.m. on the morning of June 4, after exten ive negotiation ,the tudent c1u tered at the foot of the Monument to the People' Heroe near the north end of the quare were allowed to withdraw voluntarily,

15 Th~ Jun~ Turbu/~nu in B~ijing . Beijing: New Star Publi hers, 1989, p. 41.

16 Th~ Jun~ Turbu/~nu in B~ijing, p. 43 . TIlere w a second·hand report of thi incitement by an American holar on the square at the time.

17 Pe nal interview with a Zhongguo shibao (China Tim~s) corre. pondent who w on the square then. TIle interview w conducted in

Taipei on July 2, 1989. I Eyewltne account by a person who later counted forty dead in the

local hosPital.

62\ITEMS

leaving the oldiers to clean up the debri . But reports from journali ts eized by the advancing troop (and freed later by the police), from others who fled to the outh end of the quare or up Chang'an Street to the Beijing hotel, from till others who managed to make their way into alley­way ,offer cattered glimp e of advancing personnel carriers, oldiers frring first into the air and then into the ground and finally directly at the prote tors, and even of machine gunners carefully tationed 0 that their bullet would mow down the prote ter without nicking the monument proper.

It i important to note that even though the televi ion camera continued to run on into the next day, neither their len e nor the journali t ' eye could actually ee into the quare proper. Mo t We tern journali ts' vantage point wa the outhwe t­ern comer of the old wing of the Beijing Hotel, which gave them an excellent view of the line of troop that had ealed off the eastern end of the quare acro Chang'an Street but which denied them

a glimp e of what wa going on behind the annored tank and troop carrier around the Monument to the People' Heroe. Even Taiwane e journali t who ventured out of the Beijing Hotel around the time the tudent were uppo edly leaving the Monument were

unable to walk farther than Nanchizi Street, which till kept them from looking into the quare itself. t9

Thi wa a critical gap in perspective, in ofar as eyewitne accounts publi hed later in the Hong Kong pre claimed to have een the martial law force bringing in body bag and carting away corp e in truck or helicopters to the crematoria at Babao han. Some even aid that they had een oldier burning prote ters' bodie right on Tian'anmen Square in a pyre near the Monument.

By mid-July (when hundred of foreign travel agent were let into otherwi e clo ed-off Tian-anmen Square "to revitalize the touri t indu try"), the Chine e authoritie were bru hing aside accounts of the "Tian'anmen rna acre" a "rumor pread by the Voice of America."2O

When we began to clear the square, there were not many people there. The troops marched from the Tian'anmen

19 Journali IS who tried to come back into the Beijing Hotel after 3:00 I.m. on the 4th had their cameras or film seized by plainclothe man guarding the entrance.

20 "Mayor Chen Xitong' Report," p. 6. For a picture of the touri t industry vi itors, see China Daily, July 13, 19 9, p. I.

VOLUME 43, NUMBER 3

Gatetower towards the Monument and left a path for the remaining tudents and other people in the square to pas through. After aU of them had left, the officers and soldiers checked the make hift tent one by one to see if there was anybody left. Only when they had made ure nobody had remained therein did they begin to demoli h with vehicle those tents and other ob tacle as well as the so-called Statue of Democracy .... No one was killed or run over by the army vehicle. "21

The authoritie did admit that by tander were "knocked down by vehicle " or "hit by stray bul­lets," and that altogether about 3,000 civilian were wounded and more than 200 killed, including 36 tu­

dents; but they deny that a rna acre ever took place, photograph of cru hed corp e notwithstanding.22

Other e tim ate are much higher, with one Hong Kong new paper claiming that it corre pondents had compiled alit of more than 10,000 mortalities from clinic and ho pital reports that they had gathered throughout the city for the period June 3-7.23

The extent of the killing will probably never be known with complete accuracy, e pecially if the authoritie did gather bodie and de troy them ecretly. But among young Chine e intellectuals

abroad there i a fierce and pa ionate determination to recover enough of tho e stati tic -and a many details of the tragedies behind them a pos ible-for a hi torical judgment ultimately to take place. Documentation center, orne of them ecret, are being e tabli hed to collect the e material in order to refute the rna ive coverup that the Chine e govern­ment' propaganda organ are conducting.

In ofar a dome tic audiences were concerned, the government' propaganda campaign was cleverly de igned to a ociate the prote t movement with four different factor : di ident intellectual in China, con pirator and troublemakers out ide the country, Zhao Ziyang and hi upporters in the government, and criminal or di orderly element in Beijing. The prime theme was "collaboration between forces at home and abroad."24

Political force outside the Chinese mainland and in foreign countrie had a hand in the turmoil from the very beginning. Hu Ping, Chen Jun, and Liu Xiaobo, members of the Chinese Alliance for Democracy which i a reactionary organization groomed by the Kuomintang, wrote" An Open Letter" from

21 Th~ Jun~ Turbu/~nc~ in B~ijing, pp. 1~11. 22 "Mayor Chen Xitong's Report," p. 6. 13 As reported in Zhongyang riOOo (C~n"al Daily), the official

Kuomintang new paper, on June 30, 1989. 14 "Mayor Chen Xitong's Report," p. 4.

SEPTEMBER 1989

New York to Chinese university tudents, urging them to "consolidate the organizational links e tabli hed in the tudent unre t and trive to carry out activitie effectively in the form of a trong mas body. "25

The linkage between the e political forces and the Secretary-General of the Party was e tabli hed circumstantially. Zhao Ziyang suppo edly rebuffed efforts by other enior leaders to adopt a clear-cut policy vi -a-vi the prote ter on April 23, going off to play golf instead. On May 4, after he returned from hi visit to North Korea, he told repre entatives of the A ian Development Bank that the prote tor were merely "a king u to correct mistake in our work." On May 16 he deliberately u ed the Gor­bachev meeting to divert criticism to Deng Xiaoping; after May 20th he visited the fa ting tudents and expre ed his regrets for having come "too late" to be of help.26

The connection between the protestors and "local hooligans, ruffians, and criminal" was slightly more credible, given the importance of the variou "dare-to-die corp" that prang up around the demon trations. During the night of June 2-3, motor- cooter band of supporter acted as couriers between Tian' anmen Square and the variou citizens' group holding the oldier at bay around distant intersection in the we tern and ea tern quarters of the city. The authorities later maintained that it wa the e band who carried out the mo t viciou attack on the PLA.

At Fuchengmen, the rioters hung the body of a soldier up on the balu trade of the overpas . At Chongwenmen, they threw one soldier down from the flyover and, pouring gasoline over the soldier, burned him to death. At a place near the Shoudu Cinema on We t Chang'an Avenue one PLA officer was beaten to death by rioters, who then gouged out hi eye and cut open hi belly. The body was hung over a blazing military vehicle. The rioters also killed one soldier, gouging out hi eyes, cutting off his genital, and throwing hi body into the moat. 27

The e gruesome accounts were intended to counter the spectacle of heavily armed troop , backed by treaded tanks and per onnel carriers, shooting automatic weapons at an unarmed populace that

25 "Mayor Chen Xitong's Report," p. 4. 16 Hu Qiaomu, pre iden! emeritu of the Chinese Academy of Social

Science, w vi i!ing New York at the same time that Zhao was in Korea. At lunch with Hu on April 25, I said that the Secretary-General mu t be relieved to be in Korea at thi time. Pre ideot Hu re ponded that Zhao could not in any case " hirk hi re pon ibilitie " for the ituation at home.

27 Th~ Jun~ Turbu/~nc~ in B~ijing, p. 47.

ITEMS/63

refu ed to believe at first that it was being fired upon by the People' Liberation Anny.

The account were al <> de igned to upport the government' contention that it had called in the troop to overcome a "counter-revolutionary" movement, initiated by that infamou "handful" of con pirators. Even now, throughout China intellectu­al and Party member are being required to declare where they tand by publicly endorsing thi account of Beijing' June Fourth movement. Privately, they tell each other that the Li Peng government can only last for another three or four year , while they fret about the ucce ion cri i bound to en ue when Deng Xiaoping "make hi final report to Marx. "

The mo t prevalent mood among urban intellectu­al ,it eem • i gloomy de pair about China' future. Report filtering back along the network of friend and acquaintance who now link many American ocial cienti t with colleague in the PRC peak of

64\ ITEMS

apprehen ion rather than defiance, as hundred of activi t are ecretly arre ted in the night and thou and more are intimidated by the threat of retaliation to come.

Meantime, the familiar mechani m of thought control are being applied once again to intellectual who may be required to pend two or three day a week tudying the recent political peeche of Deng Xiaoping, Li Peng, and Yang Shangkun. College eniors have been called back to their campu e to

give an accounting of them elve before being allowed to graduate. The quotas for incoming fre hmen at many key univer itie are aid to have been drastically cut. Like it or not, the regime i alienating an entire generation of intellectual from it modernizing endeavors. "I 10 t all my illu ion during the Cultural Revolution," one Chine e cholar-in-exile aid the other day. "Now 1 have 10 t

all of my hope." •

VOLUME 43. NUMBER 3

Pursuit of Knowledge and Protection of Privacy Confidentiality versus access to surveys of U.S. doctorate recipients

by Robert W. Pearson, George T. Duncan, and Thomas B. labine*

Each year ince 1957, tudent receiving their doctorate in engineering, cience, and the humanitie from U.S. universitie have been a ked to complete a que tionnaire that reque t information about ociodemographic characteri tic , education, and

po tgraduation plan . Thi urvey i called the Survey of Earned Doctorate (SED). Data from each year' SED are combined with information about graduate from U.S. universitie as far back a 1920 to compo e the Doctorate Record File (DRF). It i likely that mo t readers of Items completed uch a que tionnaire.

Beginning in 1973, a maller et of tho e complet­ing the e que tionnaire were a ked to provide, periodically, more detailed information about their careers in the Survey of Doctorate Record (SDR)-a biennial longitudinal urvey which ask principally about the re pondent ' employment.

In principle, the e data could be u ed to help an wer que tion about the career pattern of women and minority cienti t and engineers; the determi­nant of cholarly productivity during different period of cienti t ' careers; the extent to which the ob erved difference in the earning of male and female cienti t and engineers are a function of productivity difference or of di crimination; and the relation hip of different combination of re ource and per onnel policie with difference in the publication and patent record of cienti t and engineers . Unfortunately, many of the e que tion remain unan wered de pite people who are intere ted in them, ocial cienti t who are able and willing to pur ue them, and appropriate data and analytical

• Roben W. Perason a political scienti t , i taff iate at the Council. George T. Dun an i a profe r of tati IIC , Carnegie Mellon University, and chair of the work hop on which thi anicle i based. Thomas B. Jabine, a tati tician , i a con ullaRt to the Committee on National Stati tic . The anicle expre the view of its authors; these position are not nece wily those of the Council , the Committee on National Stati tic , the National Research Council, or of the wor ' hop

pon no.

SEPTEMBER 1989

technologie that are capable of contributing to the an wer .

Que tion like the e remain largely unan wered for everal reason . Fir t, important data have not been

made generally available to the ocial cientific community for analy i . Second, data that are available have not included detailed information about people or the in titution in which they work or where they received their training. Third, record collected by different agencie or by different data collection program have not been fully integrated or linked with each other. Underlying the e limitation i the important concern for protecting the confidenti­ality of the e data.

On November 3-5, 1988, the Council and the Committee on National Stati tic (CNSTAT) of the National Re earch Council convened a work hop to di cu how greater acce to the DRF and SDR could be provided without violating the confidential­ity of the e record . The meeting wa upported by the Divi ion of Science Re ource Studie of the National Science Foundation (NSF) with the coopera­tion of the Department of Agriculture, the Depart­ment of Education, the Department of Energy, the National Endowment for the Humanitie , the National In titute of Health, and the Office of Scientific and Engineering Personnel (OSEP) of the National Re earch Council. t

The work hop had two principal purpo e : (1) to

I Panicipants at thi workshop included: George T . Duncan, Carnegie Mellon University (chair); Mary Beli Ie , National Academy of Science ; Sue Berryman, Columbia University; George Boyce, National Academy of Science ; Barbara Bullman, National In titule of Health; Joseph Shelby Ceci l, Federal Judicial Center (W hinglon, D.C.); June Chewn­ing, Depanment of Energy; Con IaRce Citro, Commillee on National Stati tics; Jane Coulter. U.S. Depanment of AgricullUre; Susan Coyle, National Academy of Science ; Michael F. Crowley, National Science Foundation; Manin David, University of Wi on in; Charle Dicken , N tional Science Foundation; Leo Eiden, U.S. Depanment of Education; Alan Fechter. National Academy of Science ; Michael Finn , National Academy of Science ; David Aaheny . The University of We tern Ontano; Gerald Gate. US. Bureau of the Cen u ; Mary J . Golladay, National Science Foundation; Su n T. Hill, National Science Foundation; Thomas B. Jabine, Committee on National Stall tic ; Neal King ton, Educational Te ting Service (Princeton, NJ ); William Mason, University of Michigan; Roben Pearson, Social Science Research Council (SSRC); Beverly Poner, American In titule of Pby i (New York, NY); John A. Scopino, National Science Foundation; Charle R. herman, Nati nal Institute of Health; Eleanor Singer, Columbia University; Timothy M. Smeeding, Vanderbilt University; Miron L. Straf, Committee on National Stati tic ; Paula Stephan , Georgia State University; William L. Stewan,

ational Science Foundation; Jeffrey Thomas, National Endowment for the Humanitie ; Howard Tuckman , Memphi State University; and Jean Van ki , National Science Foundallon.

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con ider whether and how the pon oring agencie could provide greater acce to the Doctorate Record File (DRF) and the Survey of Doctorate Record (SDR) while meeting their legal and ethical re pon i­bilitie a tru tee of the e data program , and (2) to identify from thi "case tudy" important i ue to be inve tigated in a CNST A T/SSRC panel tudy de igned to addre the increasing ten ion throughout the federal tati tical y tern between confidentiality and data acce .2 Thi article draw heavily on the di cu ion at thi work hop.

The DRF and SDR: Uses and Access

Hi torically, micro file of the DRF and SDR have been made available to two principal group . (1) Since 1980, fully identified copie of the e file have been available on reque t to the five pon oring agencie . (2) The in titution from which re pondent receive their doctorate mayal 0 receive a complete record of tho e individual. In addition, OSEP and the pon oring agencie receive reque ts for micro data file a well a for analy e and tabulation from the data. According to OSEP record ,project taff prepared tabulation from the DRF for 18 reque t in 1988. There were five reque ts for data on baccalau­reate origin; three for data on the ource of upport for tudents attending different in titution ; two for time erie of tati tical profile of elect doctorate field ; and two for data on po tgraduation plan for new Ph.D. in variou field. Mi cellaneou reque ts were made for data on the di tribution of Ph.D.s by countrY of citizen hip and by the tate in which re pondent attended high chool, and for data on the time-to-degree by doctorate from Ea t A ia. Deci ion concerning the release of the e data have been made on a ca e-by-ca e ba i . Notice for the Privacy Act of 1974 de ignate the Director of the Divi ion of Science Re ource Studie a re pon ible for uch deci ion . To date, no micro data files from the SDR have been relea ed to out ide u er .

Example of data released from the e urvey to people and in titution beyond OSEP and the pon­oring agencie fall within two et of condition .

2 Another workshop w held on September 17- 19. 19 7. to consider whether research acce could be provided to a new wave of the longitu­dinal Retirement Hi tory Survey. which was then being con idered by the Nail nalln liMe on Aging. See Jabine and Pearson (19 8) for a report of the re ullS of that workshop.

66\ ITEM

Fir t, innocuou file have been released which in­clude only a mall fraction of the available informa­tion collected in each urvey. Second, in a very mall number of ca e , highly re tricted acce to more richly detailed micro data file has been provided.

The e re tricted condition, however, have: (1) added to the co ts and time of conducting re earch; (2) limited the cope of re earch (e.g., tudie of women and minority cienti t , and pecific type of in titution have been precluded or have been everely limited); and (3) denied other re earchers the

ability to replicate the finding of the e tudie . Re tricted acce arrangement -often difficult for analy ts-have become Ie attractive to re earcher becau e a growing number of journal in the ocial cience publi h only article who e re ults are

replicable and who e data, therefore, mu t be generally available to other re earchers.

The ability of the re earch community to have acce to data i increa ingly important in analy e of rich, but complex, data ets. In addition to the de irability of independent verification of re earch, multiple re earch on the ame data et or imilar analy e acro different data et ha contributed ub tantially to the under tanding of the relative trength and weakne e of alternative re earch

de ign and to the en itivity of re ults to different analytical technique and measurement strategie (Fraker and Maynard 1987; LaLonde 1986; Heckman and Robb 1985).

Re earch and policy communitie have benefited from being able to (re)analyze data that are already collected, and thereby to u e limited re earch re ource more efficiently. Thi can be illu trated, for example, in the u e of these data by NIH to monitor the effect of their grants program and - under extremely re tricted acce arrangements-to tudy the demographic and economic determinant of cientific productivity (Stephan and Levin 1988).

Unfortunately, the e re tricted acce arrangement have al 0 demon trated both the fru tration of conducting re earch under the e condition and the unrealized re earch and policy potential of more fully available data (Levin and Stephan 1988).

Factors that Constrain Access to Data

Three et of con traint limit the di tribution of detailed micro data file uch as the DRF and SDR. The e con traint are:

VOLUME 43. NUMBER 3

•

• Legal, e.g., how do exi ting regulation and legi lation affect the release of the e record for purpo e of re earch?

• Practical, e.g., what would happen to re pon e rate to future urvey if data were made more available to re earcher ?

• Ethical, e.g., what are the obligation of the data collectors to re pondent who may not have ex­plicitly agreed to have the e data linked to others nor to allow the e file to be u ed for re earch by ocial cienti t who are not employee of the

federal agencie that pon or the e urvey?

Legal Constraints3

The Privacy Act of 1974 (5 USC, 552) regulate the collection, management, and di clo ure of data from the DRF and SDR. The law require that agencie limit the di clo ure of identifiable informa­tion unle there is prior written con ent of the individual. Re traint on the di clo ure of information re t on a recognition of the right of individual to control the di emination of information about them elve . The Act read in part:

No agency hall disclose any [identifiable] record which i contained in a y tern of record by any mean of communica­tion to any person, or to another agency, except pursuant to a wrinen reque t by, or with the prior wrinen consent of, the individual to whom the record pertain ,unle the di do ure of the record would be [within the exception pecified in the tatute]. 552a(b)

There are, however, at lea t two important exception to the e provi ions that permit greater di clo ure and u e than i ugge ted by the above pa age. First, di clo ure i permitted "to a recipient who ha provided the agency with advance adequate written as urance that the record will be u ed olely as a tati tical re earch or reporting record, and the record is to be tran ferred in a form that i not individually identifiable" [552a(b)(5»). Office of Management and Budget (OMB) guidelines for the implementation of the Privacy Act interpret the phra e "individually identifiable" to include data from which one can rea onably deduce the identity of an individual. Second, disclo ure is al 0 permitted for a "routine u e," defined as "the u e of such record for a purpo e which is compatible with the purpose

3 Thi section draws heavily on material presented at the workshop by Joseph Shelby Cecil , Federal Judicial Center (W hington, D.C.).

SEPTEMBER 1989

for which it wa collected." The agency i required to publi h a notice of such routine u e in the Federal Regi ter and accept comment from the public for 30 day (although the agency is not bound to change its intended u e a a con equence of the e comment ).

The di cu sion and pre entation at the November 1988 work hop uggested that the legal conditions under which the e data may be made available were ufficient for providing acce to the e data for

re earch purpo e . The above exception to the di clo ure provi ion of the Act, a one work hop participant noted, provide an opening large enough to drive a truck through.

Practical Constraints

Two principal concern ari e under thi heading: (1) the effect on the re pon e rate of in titution and people if the file are made more broadly acce ible for re earch; and (2) pro pective di rup­tion to the data collection program that may ari e from a failure-perceived or real-to adequately protect the e data from inappropriate u e or u e that were not con ented to by re pondent . Thi econd concern i compounded by the exi tence of readily acce ible collateral information about univer itie and cienti t , which could be u ed deductively to di clo e the identity of many record on the e micro data file if they included uch information a the gender, race, and the in titution of the re pondent.

Response rates. Although the re pon e rate to the DRF and SDR in recent years have not declined, respon e rate to many other survey in the United State have. Arguments again t expanding the u e and acce to the DRF and SDR re t in part on belief about the potential decline in re pon e rate that might follow from broader acce . The e belief re t on the following assumptions: (1) the greater the number of people who have access to the e data, the more likely the confidentiality of the e record will be breached; (2) the willingne s to respond to the DRF and SDR rests largely on the belief that such breaches will not occur; and (3) this tru t i cemented by not permitting acce to the e records beyond the spon oring agencie . Some evidence, however, uggests that these beliefs-although correct in orne

instances-are not applicable with respect to the kind of information and likely uses to be made of these surveys. It is to this evidence we now turn.

An inadvertent passive waiver experiment. Fully

ITEMS/67

identifiable file of doctorate awarded on or after July 1, 1980, were first made available to the pon ors of the Survey of Earned Doctorate in 1981

(recall that the SED i u ed to con truct the Doctorate Record File). To reflect thi change, the confidenti­ality tatement for the SED wa modified in order to inform re pondent of thi change. However, everal univer itie unwittingly di tributed older que tionnaire form to their graduate which did not tate that identifiable file would be provided to pon oring agencie .

To rectify thi mi take, the National Re earch Council on four eparate occa ion wrote "old form" re pondent a letter that both informed them of the mi take and permitted them to prohibit their record from being relea ed to the pon oring agencie .4 In all, Ie than 0.5 percent of the approximately 6,000 people to whom the pa ive waiver con ent letter was addre ed reque ted that their record not be tran -ferred to the pon oring agencie .

Trends in response rates. Several change have been made over the year in the confidentiality tatement of the SED. The e change are often mall

adju tment in wording. But everal time the e tatements (and the practice they de cribe) have

changed ub tantially. For example, in 1982-83 an italicized parenthetical caveat wa introduced into the tatement: "Within the extent provided by law, all

information you provide will be treated a confiden­tial. . . ." One might a ume that the e change would have re ulted in a heightened concern about the confidentiality of the e data and a reduction in re pon e rate . Yet the proportion of re pondent an wering que tion on the SED ha not ub tantially changed following anyone of the e change (at lea t ince 1978, the fir t year for which data on re pon e

rate were provided to the work hop participant ). In urn, the available evidence ugge t that

re pon e rate would not appreciably decline a a con equence of permitting greater re earch acce to the data and informing re pondent of thi practice. Nonethele ,di ruption to data collection program remain po ible.

Disruptions to data collection programs. There i a concern that change in the condition of acce could lead to the di ruption of data collection program , even if only by a relatively mall number of people.

• Thi account was kmdly proVided to u by Susan Coyle in a memo­randum to Thomas Jabme . ovember 17. 19 .

68\ ITEMS

I ue of confidentiality, privacy, and informed con ent trike a major chord in liberal We tern tradition of individual freedom, choice, and the re pect for the autonomy of per on (Faden and Beauchamp 1986). When the e principle are-or when they are perceived to be-tran gre ed, prote t and oppo ition can re ult. Indeed, uch a reaction overwhelmed a major data collection program in Sweden during the mid-1980 - Project Metropoli­tan-which collected information from and about re pondent without due regard to ecuring their con ent, and which wa alleged to have provided inadequate protection again t omeone who ought to identify information about ample member (Daleniu 1988). In addition, cen u e cheduled for 1981 in the Netherland and 1983 in the Federal Republic of Germany had to be po tponed, in part due to prote ts ari ing from a concern for the manner in which individual record were to be protected from di clo-urerik .

Any change in the condition under which data are linked and/or made more widely available for econdary analy i will give ri e to a concern for

maintaining pledge of confidence. Fear about the potential di ruption of data collection program among federal agencie are real and difficult to a uage becau e they are hard to anticipate and, once they ari e, difficult to keep within the bound of reasoned di cu ion. Bureaucracie are inclined to con ervati m in the face of uncertaintie , e pecially when the law hold only the data collector re pon i­ble for violation of confidentiality, a i the ca e with mo t data collected and di tributed by federal agencie in the United State.

Obviou Iy, care mu t be taken in protecting the e record . Technique for doing o-even with the relea e of data for econdary analy i -appear to have been ucce ful to date. To our knowledge, no one ha ever publicly di clo ed the identity of an individual re pondent to any of the hundred of urvey to which acce ha been permitted during

the la t 30 year or o.

Ethical Constraints

It i becoming increasingly clear that one of the central que tion regarding acce and confidentiality of data focu e on the theory and application of the concept of informed con ent.

VOLUME 43, NUMBER 3

\ '"

In the pre ent context, i ue of informed con ent can be divided into three component :

(I) Expanding and revising the informed consent governing future surveys. Exi ting tatement provided to re pondent of the SED and SDR concerning the expected re earch u e of the e data are omewhat ambiguou , incomplete, or impreci e. Future urvey could modify their confidentiality tatement to be more pecific about intended

re earch u e and record linkage . Or pon oring agencie could a ign different cla e of acce (or confidentiality) for each of the urvey , que tion (e .g., releasing information on tudent indebtedne only under explicit con ent) .

(2) The use of existing data under a new consent agreement in which the data collector returns to respondents to "renegotiate" the old agreement. Similarly, pon or could return to re pondent , a they did in eeking to rectify the u e of "old form " ( ee above) to reque t their permi ion to expand the u e of the e data for re earch purpo e . An experi­ment to evaluate the con equence of thi trategy for the mature male cohort of the National Longitudinal Survey of Labor Market Experience of the Depart­ment of Labor i currently underway, and re ult are expected from thi tudy by the U.S. Bureau of the Cen u by the fall of 1989.

Both of the e trategie , however, involve orne difficult i ue. For example:

• The wording and length of uch tatements and form of con ent reque ted (e.g. , the active con ent of "Sign below if you allow x" or the pa ive con ent of "Unle you object in writing within 60 day , we will allow x") may have ub tantial, but a yet not adequately mea ured,

effect on re pon e rate . The choice of active or pa ive con ent procedure rai e difficult philo ophical and ethical i ue.

• Que tion concerning the ability of one per on to grant con ent for another (e.g., for a family member who may be incapacitated or dead) have not been re olved in the urvey context, although everal of the e i ue appear to have received

con ideration in re earch on medical ethic .

Although each of the e is ue require more tudy and di cu ion, a well a the development and implementation of guideline , the e problem appear largely tractable. The remaining i ue may be Ie o.

(3) The extended use of existing data under current

SEPTEMBER 1989

consent agreements. Several of the recommended exten ion of acce to the DRF in particular may be in conflict with the informed con ent that was provided by re pondent to the urvey between 1976 and 1980. A noted in Boruch and Kehr (1983), re pondent in 1976 were informed that " . . . the data are provided only in tati tical form and in grouping large enough to in ure that individual cannot be identified." Thi tatement would eem to preclude any relea e of micro data if .. tati tical form" i re tricted to mean tabular pre entation of aggregate tati tic .

In 1977 to 1980, re pondent were told: "Informa­tion will be released only in the form of tati tical ummarie or in a form through which it will be

impo ible to identify information about any particu­lar per on." Thi latter tatement would permit the relea e of orne micro data file , but only with very trict criteria for uppre ing data that might allow

identification of individual.

Towards Standards of Use

Devi ing tandard , definition , or guideline for the rea onable u e of data beyond tho e explicitly agreed upon i difficult. Some people argue that the re pondent to the e urvey would agree to the u e of the e data in the furtherance of our under tanding of i ue related to cientific career and productivity. (Indeed, orne re pondent may already take uch u e for granted.) The principle of permitting the u e of information a long a it eem rea onable that people would agree to uch a u e i found in the literature on the ethic of ocial cience re earch (Pinkard 1982). Permitting greater acce to uch data al 0 re t on an a e ment-often made only by tho e who collect and di tribute the data, however-that the benefit to ocial knowledge or to the de ign of program and

policie that would re ult from wider analy i of the e and augmented data et far outweigh any po ible harm that might re ult from broadened acce and linkage. Other note that, with a very few exception, the information collected in the e urvey i fairly innocuou . Their identification with any particular individual would not likely re ult in any harm to that per on.

To better in ure that di clo ure i not the purpo e or con equence of the relea e of micro data et or of the linkage of the e file to other data, ocial cienti ts might be required to hare with federal

ITEMS/69

tati tical officer the Iiabilitie for any uch di clo­ure. Beyond removing obviou identifier from uch

record, ocial cienti t may be required to enter into explicit agreement in which they con ent to the following pro cription :

• No individual record hall be identified; the data may not be u ed for commercial purpo e ; and the data hould not be u ed in way that know­ingly harm any ubject.

• Sanction will be applied again t re earcher or anyone who violate the e condition (e.g., civil fine , denial of future re earch upport).

• Acce will be provided a long a are earcher' u e of uch data i protected from admini trative, judicial, or legi lative inquiry and ubpoena.

Clearly, everal important que tion remain unan wered . The e que tion are likely to be a concern of the panel that i about to be appointed by the Council and CNST A T to con ider the e i ue A noted above, we have yet to work out detail concerning the form and proce e of informed con ent. Nor i it clear in all ca e whether re pon­dent would benefit from greater di clo ure. There ari e in thi latter context the un ettling po ibility that knowledge gained fr much re earch could harm cia e of people, if not the individual re pondent from tho e ocial categorie . •

Rererences

Boru h. Roben F .• and J. helby Cecil. As uring Ih~ Confid~ntiali~ of Social R~ ~arch Dala. Philadelphia: niversity of Penn ylvania Pre • 1979.

70\ITEM

Boruch, Roben F. , and W. Kehr. "On Use of the Doctorate Records File and the urvey of Doctorate Recipien : Privacy and Re arch Utility." Unpubh hed repon ubmined to the ational Science Foundation. 19 3.

Citro. Con lance F. , and Graham Kalton. editors. Sun~ying Ih~ Nalion's Sci~nti IS and Enginurs. W hington. D.C.: National Re arch Coun iI . 19 9.

Daleniu • Tore. "The Debate on Privacy and Survey in Sweden." Chanu, 1:43-47, 19 .

Faden. Ruth R .• and Tom L. Beau hamp. A HI lOry and Th~ory of Inform~d Con ~nl New York' Oxford University Pre . 19 6.

Fraker. Thomas. and Rebecca Maynard. "The Study of Compari n Group De ign for Evaluations of Employment-Related Programs." Th~ Journal of Human R~ ourus, 22: 194-227. 19 7.

Heckman. Jame J . dR. Robb. Jr. " Alt mative Methods for Evaluat­ing the Impact of Interventions." In J. J. Heckman and B. Singer. edito . Longiludinal Analy i of Labor MarUI Dala, pp. 15~246 .

ew York: Cambridge University Pre • 19 5. Jabine. Thom B .• and Roben W. Pe~n. " Longitudinal Retirement

Hi tory urvey Worksh p Final Repon." W hinglon. D.C.' Commit­tee on ati nal Stati ti • 19 .

lalonde. Roben. " Evaluating the Econometric Evaluahon of Training Prograsns With Experimental Data." Am~rican Economic R~~·i~ .... , 76(4):604-620. 19 6.

Levin. haron G . and Paula E. Stephan. "The Use of the SDR and DRF to Study Demographic and EconomiC Determinants of Sc,enllfic Productivity." Paper pre nted at C TAT/S RC Wo hop on Confidentiality of and Acce to Doct rate Records. November 3-5. 19 .

ational Re. arch Council. Prim c), and Confid~ntialil)' as Faclors in urv~)' R~spon ~. W hlngt n. D.C.: National Academy Pre ,1979.

Pinkard. Terry. "Inv i n of Privacy in Social Science Re arch ." In T. L. Beau hamp. R. R. Faden. R. J. Wallace. Jr .. and L. Walten., edit • Elh,call u~s in Social Sci~nc~ R~ ~arch. Baltimore: The John Hopkin Univ rsity Pre • 19 2.

Sing r. Elean r. " Informed Con nt: Consequence for Re pon Rate and Re ponse Quality In Social Survey ." Amuican Sociological Rr~'irli , 43:144-162, 1978.

tephan. Paula E., and haron G. Levin. " Demographic and Ec nomic Determinan of Scientifi Productivity." Unpubli hed repon. Georgia

tat University. 19 8.

VOLUME 43, NUMBER 3

The American Soldier 40 Years Later A famous series of Council volumes recalled

by John A. Clausen*

When the first two volume of the erie , Studies in Social Psychology in World War IJI-entitled The American Soldier-appeared in 1949, profe ional in the ocial cience had their first in-depth look at the product of perhap the rna t ambitiou effort yet made to apply modem re earch method to the tudy of individual and organizational behavior. Reviewers were poi ed to prai e or to deplore, based partly on their predilection for quantitative or qualitative re-earch and partly on what they thought ocial cien-

ti t hould have been doing within the military et­ting. 2 For a brief period, The American Soldier volume were ubject to much controversy; then, like old oldiers and old cientific publication , they grad­ually faded into the background. But the work till provide a base line for tudie of enli ted men and to a Ie er degree tudie of army organization, and the volume are apparently till of intere t to hi torian .

Many of u who participated in the re earch that re ulted in Studies in Social Psychology in World War IJ (hereafter referred to, as is now conventional, as The American Soldier or imply TAS) were unaware of the critical role that the Council played in

• John A. Clausen i profe r emeritu t the In titute of Human Development. University of California. Berkeley. He wa a member of the Council's Committee on Psychiatry and Social Science Research from 1952- 57. and served as chair of the Committee on Socialization and Social Structure from 1960-68. Mr. Clau n also served on the Council' board of directors from 1961~3 . He i a co-author of Mt!a urt!mt!nt and Prt!diction (Volume IV of Studit!s in Social Psychology in World War 11).

I Studit!s in Social Psychology in World War /I (Princeton. NJ: Princeton University Pre ). Vol. I: Samuel A. Stouffer. Edward A. Suchm n. Leland C. DeVinney. Shirley A. Star. and Robin M. Williams. Jr .• Tht! Amuican Soldiu: Adjustmt!nt During Army Lift! (1949). Vol. II : S. A. Stouffer. Anhur A. Lumsdaine . Marion H. Lumsdaine. R. M. Williams. Jr . • M. Brew ter Smith. Irving L. Jani • S. A. Star. and Leonard S. Cottrell. Jr .• Tht! Amt!rican Soldiu: Combat and Its AJtumath (1949). Vol. Ill : Carl I. Hovland. A. A. Lumsdaine. and Fred D. Sheffield. Expl!rimt!nts in Mass Communication (1949). Vol. IV: S. A. Stouffer. Loui Guttman . E. A. Suchman. Paul F. Lazarsfeld. S. A. Star. and John A. Clausen. Mt!(JJurt!mt!nt and Prt!diction (1950) .

2 TIle early book review are analyzed by Daniel Lemer in Robert K. Merton and Paul F. Lazarsfeld. editors. Continuitit!s in Social Rt!St!arch: Studit!s in tht! Scopl! and Mt!thod of "TIle American Soldier." Glencoe. IL: Free Pre • 1950. See also Smith (1984) for a di u ion of the early review and the argumen pro and con.

SEPTEMBER 1989

the creation of the United State Army' Re earch Branch, the recruitment of it taff, and the final arrangement that made po ible the production of a cholarly work from the great mas of data collected.

Becau e everal recent papers have dealt with the contribution of the e volume and their influence, good or bad, upon ub equent re earch and theory, I hall dwell Ie on a e ment and more on a

de cription of how the enterpri e came to be, in thi brief note celebrating the 40th anniver ary of the appearance of the first three volume .

In the late 1930 , one of the mo t active and influential of the Council' committee was that on ocial adju tment. It was a mall committee, consi t­

ing of only three per on , Erne t W. Burge , ociologi t, a chairman, p ychologi t A. T. Poffen­

berger, and Frederick 0 born, who wa an unu ual combination of ucce ful bu ine executive and tudent of population and eugenic . 0 born wa al 0

a tru tee of the Carnegie Corporation which contrib­uted fund to a number of the Council' activitie . The Committee on Social Adju tment operated through a erie of ubcommittee , one of which-on the Prediction of Social Adju tment-was chaired by Samuel A. Stouffer. Frederick 0 born wa well acquainted with Stouffer and appreciated the method­ological ophi tication and organizational kill that he had hown in a number of activitie . 0 born wa al 0 a clo e friend of hi Hud on River Valley neighbor, Franklin Delano Roo evelt. When, in 1941, it became apparent that the United State mu t expand it fighting force , Pre ident Roo evelt a ked o born to take re pon ibility for the Army' educa­tional, recreational, and welfare program. The newly commi ioned Brigadier General quickly recruited, first a can ultant and then as taff members, a number of men he had come to know and re pect through the Council.

How the Re earch Branch wa built up, and how it operated, are de cribed in Chapter 1 of Volume 1 of The American Soldier. Suffice it to ay that the network of can ultant and enior taff who had known each other through the Council wa enlarged by the addition of many of their former tudent. To my knowledge, no one among them had been a tudent of military affair , though a 1941 Council

bulletin (The Prediction of Personal Adjustment), to which everal contributed, had contained a "Memo­randum on Prediction and National Defen en (mo t probably written by Stouffer, but attributed to the

ITEMS171

whole ubcommittee). A a con ultant, Stouffer had had enough experience with government agencie to have con iderable understanding of the problem of carrying out, within a large bureaucracy, re earch that would not only be potentially u eful, but actually u ed. He had no illu ion that the Re earch Branch exi ted primarily to contribute to ocial cience. The purpo e of the Branch, in Stouffer' uccinct tatement, "wa to provide the Army command

quickly and accurately with fact about the attitude of oldier which, am ng other fact and inference, might be helpful in policy formulation" (Vol. I, page 5).

The great bulk of the roughly 200 urvey carried out during the course of the war were re pon ive to reque t for information by upper-level Army commander . A few were done in re pon e to reque t at the divi ional or ba e level. Much of the information obtained wa of very limited value for ocial cience but helped the Army command know

the perception and mi perception of enli ted per onnel and enabled it to look anew at policie that appeared to be eriou ly problematic . Summarie of orne of the early urvey were reported in graphic

form in 1942 in a publication called What the Soldier Thinks. After two i ue, the Army' Chief of Staff, General Mar hall, ordered that a monthly periodical be prepared and di tributed to officer throughout the Army. Although orne critic have tated that only one major policy deci ion (that regarding priori tie in demobilization, the o-called point y tern) wa based upon Re earch Branch tudie, there i rea on to believe that many of the finding reported in What the Soldier Thinks, which are ummarized in imple, readable tyle, had value for officers at variou command level .

When the war ended, Stouffer wa not content to let the matter re t with our merely having done omething u eful to the Army. It wa clear that he

had long been thinking about a more la ting contribu­tion; he wi hed to arrive at generalization that went beyond the immediate pr blem defined by the Army command. He hoped to codify uch evidence a we had accumulated about combat effectivene , relation hip among categorie of Army per onnel (by rank, branch of ervice. a ignmen in the field. race, etc.), the role of value and belief, the effectivene of educational approache and other ub tantive i ue. as well a methodological

development that derived from taff and con ultant

72\ITEM

effort. Again. General 0 born and the Council made uch an effort po ible. Although many member · of

the taff went back to their universitie or other job , a mall group remained in Wa hington with Stouffer for the better part of a year and a few others worked in univer ity etting to produce the book that were ketched out very oon after the urrender of Japan. It

would not have been po ible to do thi on the

What wa too novel. too contrary to tradition to have gained general a ceptance in our universitie or in indu -try. was accepted by the Army at the very time of it greate t pre ure for training and combat. The con. erva­ti m natural to profe ional men everywhere. and often parti ularly a cribed to the profe ional oldier. was broken down by the imaginative grasp of the abler leader . Throughout the Army there were officers to whom the. e new method of determining oldier attitude eemed to promi new and ounder premi e on which to

b e many of their deci ion .

Further. we made a remarkable di covery. The Army gave little weight to our personal opinion ; but when the e opinion were upported by factual tudie . the Army took them eriou Iy. For the fir·t time on uch a cale. the attempt to direct human behavior was. in part at Ie t. b ed on cientific evidence. If thi method could be developed and more widely u ed. it might provide further impetu for a great advance in the <>cial relation of man.

- FREDERICK 0 BORN. from the F reword to The Ameri­can Soldier: Adju (ment dur­ing Army Life (Studies in Social Psychology in World War II. Volume 1)

government payroll. but a grant from the Carnegie Corporation to the Council provided for the upport of taff and for publication arrangement . Donald Young. who had ju t become the full-time executive director of the Council, pre ided over the planning committee that coordinated the complex proce

Current ments of TAS

In the opening chapter of Volume I, Stouffer noted that the volume were written for three audience : the Armed Force, hi torian, and (main audience) ocial p ychologi ts and ociologi t . We do not know in detail how much u e the Armed Force made of TAS

VOLUME 43. NUMBER 3

after the war, but Robin William (1989) note that the book were u ed in the military acadernie where everal of the authors lectured after the war. A to

the u e of the volume by hi torian , I am aware of only one major analy i , that by Buck (1985) who aw the volume a "enormou 1y influential" but

faulted the Re earch Branch for having diverted attention away from the tudy of the effect of technology and for ub equent mi guided attempts by " ociologi ts and ocial p ychologi t to ground their empirical and applied re earch on ba ic theoretical principle ." Some military hi torian and other engaged in comparative re earch have examined the finding of The American Soldier and compared them with data on other annie in other period . The influence of the volume on ub equent ocial cience re earch on the military i certainly well e tabli hed. Mo ko (1976) as erted that

any di us ion of the common or enli ted oldier must u a benchmark the tudie of World War II reported in the volume of Th~ Anluican Soldi~r by Stouffer and hi sociate . Never before or ince have so many aspects of military life been so y tematically tudied .

In general, it i not fa hionable to cite empirical tudie from four decade ago, but if The American

Soldier i not alway cited, it has certainly provided a ub tantial portion of the cumulative knowledge on

which current ocial cienti t build. Moreover, many di cu ion of the de egregation of the Army after World War II note that the data pre ented in TAS on attitude of black oldiers and on the incorporation of black replacements in combat infantry companie -where acceptance increa ed with increa ing familiar­ity-had a delayed but ignificant effect on thi major policy deci ion.

Beyond thi , there were, as Robin William (1989) has pointed out, ignificant effects upon the ocial cience generally, orne quite direct, and others

more indirect or ubtle. The direct effect are mo t clearly een in the work of a number of highly active workers in the area of communication re earch, ocial p ycho10gy, and methodology. One might ay

that they have been the pathway through which the indirect effects have come about.

Among the direct influence of TAS wa the introduction of the concept of "relative deprivation," akin to Herbert Hyman' concept of "reference group" and ub equently elaborated into reference group theory by Robert K. Merton. Lum daine (1984) has noted orne of the influence on communi-

SEPTEMBER 1989

cation re earch of the work carried out by the taff of the Experimental Section of the Branch and publi hed in Volume III of the erie, Experimeflts in Mass Communication, edited by Carl Hovland. Several members of the group returned to Yale after the war; their re earch on the analy i of persua ive communi­cation and on the philo ophy and technology of field experimentation for as e ing the effect of educa­tional program has provided an important model for the field.

Volume IV, Measurement and Prediction, introduced the Guttman cale and Loui Guttman' y tematic pre entation of the principal component

of cale analy i a well a Paul Lazar feld' latent tructure analy i . The importance of the Guttman cale wa immediately recognized by mo t methodol­

ogi t but the full impact of the other analytic concept required the development of more advanced mean of data proce ing than were available at the end of World War II.

Not the lea t of the direct effect were tho e on the ub equent careers of the participant . Many cho e to

work in areas that had a ub tantial application to i ue of public policy and public health or to pur ue topic that became alient to them primarily a a con equence of the Re earch Branch experience (Clau en, 1984). The network of tie e tabli hed in their wartime experience h been a influential as were tho e tie that affected the creation of the Branch. Together with the re earch ann of the Office of War Information and the U.S. Strategic Bombing Survey, the War Department' Re earch Branch rank a a major training ground for tho e who participated in the great expan ion of the ocial cience in po twar America. •

Bu k. Peter. " Adju ling to Military Life: The Social SCience Go to War. 1941- 1950." M. R. Smith. editor. lilitary Ent,rprj , and T,chnologi· cal Chang' : P,rsptcllv, S on tht Nn,,,can Expt",nct. Carnbnd e. MA: The MIT Pre . 19 5.

Clau n. John A. "Research on the American Soldier a Career Conllngency." SOCial Psychology Quantrly. 47:207- 213. 1984.

Lumsdaine. Arthur. "M Communication Expenments in Wanime and Thereafter." Social Psychology Quart,rl . 47:198-206. 1984

M • Charle . "The Military." Alex Inkele • Jame S. Coleman and ell J. Smelser. editors. Annual R,vi'l< of Sociology. Vol. 2. Palo

Alto. CA: Annual Review Inc .• 1976. Smith. M Brew ter. " Th, Nn,rican Solditr d i Cntic . What

Survive the Attack on Po illvi m?" Social Ps 'chology Quart,rly. 47: 192- 19 • 1984.

Williams. RoblD M .• Jr. "The American Soldier; An A se ment. Several Wars Later. " Public Opinion Quarttrly. 53(2): 155-174. Summer 19 9.

ITEM 173

Current Activities at the Council

New Directors and Officers The Council' board of

directors, at it meeting on June 6, 1989, elected or re-elected three director . Re-elected for three-year term were Suzanne D. Berger, Ma achu ett In titute of Technology, from the American Political Science A ociation, and William H. Sewell, Jr., Univer-ity of Mi higan, from the

American Hi torical A ociation. Newly elected to a three-year

term a director-at-Iarge was Marta Tienda, University of Chicago.

The following officers were re­elected for 1989-90: Franci X. Sutton, Dobb Ferry, New York, chair of the board of directors; Richard A. Berk, University of California, Lo Angele, vice­chair; and Ronald J. Peleck, a i­tant treasurer. Kai T. Eric on, Yale University, was elected ec­retary, and Bevi Long treth, De­bevoi e & Plimpton ( ew York), wa elected treasurer.

Re-elected a chair of the Executive Committee wa Gardner Lindzey, Center for Advanced Study in the Behavioral Science (Stanford, California). Newly elected to the Executive Committee for one-year term were M . Berger and Robert B. Zajonc, Univer ity of Michigan.

Burton H. Singer, Yale Univer ity, wa elected chair of the Committee on Problem and Policy (P&P), and M . Tienda wa elected to a one-year term.

Conference on Access to Slavic and East European Materials in North American Libraries

The Subcommittee on Bibliog-

74\ ITEM

raphy, Information Retrieval, and Documentation (BIRD) of the Joint Committee on Soviet Studie and the Joint Committee on Ea tern Europe conducted an international urvey of librarie in 1986-87 inquiring about the tate of uncataloged backlog of Slavic holding , acqui ition and computerization policie , and related concern . Thi effort wa coordinated by the Slavic and East European Library at the Univer ity of Illinoi , and the information collected provided the ba e for the Conference on Acce to Slavic and East European Material in North American Librarie , which took place at the Urbana campu on May 7-9, 1989. Funding wa provided by a grant to the Joint Committee on Ea tern Europe from the U.S. Department of State, under the 1983 Soviet and Ea t European Re earch and Training Act (Title VIII).

The 42 participant repre ented librarie with major Slavic and Ea t European holding located in Canada, France, the United Kingdom, and the United State. Di cu ion centered on three main concern which the urvey had brought to light: (1) backlog , (2) retro pective conversion-the proce of converting library record to computer databa e y tern , and (3) pre ervation of

brittle book . The librarian formulated a trategy for addre -ing the e problem on an international cale. The recom­mendation have been written up by the conference director , Robert Burger and Marianna Tax Choldin of the University of

Illinoi , and have been di tributed to all participant for further action. Kathryn Becker of the Council erved a taff.

Vietnamese Scholars Visit the United States

The Council' Indochina Scholarly Exchange Program (ISEP) pon ored a vi it by a delegation of enior cholar from Vietnam in March and April 1989. The three-per on delegation wa headed by Duong Phu Hiep, vice-director of the In titute of Philo ophy of the Vietnam Committee for the Social Science (VCSS) and editor of the Journal of Philosophy. The other dele­gate included Tran Quoc Vuong, Prehi torian and Director of the Department of Archeology at the Univer ity of Hanoi, and Bui Dinh Thanh, a hi torian and ociologi t, who is editor of the

VCSS' Vietnam Social Sciences Journal. During part of it trip, the delegation wa joined by Dang Nghiem Van, ethnographer and a ociate director of the In titute of Ethnology of the VCSS.

The main purpo e of the delegation' vi it to the United State wa to become familiar with the diversity of the American educational y tern and to interact with colleague in their di ci­pline . The program was de igned to allow for a week' vi it to each of everal in titution . During that period, the delegation joined in the routine of the relevant di ciplinary department, attended cIa e, gave lecture , di cu ed re earch agenda , inve tigated

VOLUME 43, NUMBER 3

library re ource , and met with tudent . They al 0 poke in

public forum about their per onal experience during the war in Indochina and re ponded to que tion from tudent and faculty.

The delegation began their month-long vi it with pre enta­tion at the A ociation of A ia Studie Annual meeting , held in Wa hington D.C. Following thi , they vi ited the State University of New York at Buffalo, at the invitation of Stephen Dunnett, vice-provo t for International Program . During a brief top in Manhattan, the delegation attended meeting at the Ameri­can Council of Learned Societie (ACLS) and met with other intere ted individual and organization in the area. During a week at Cornell Univer ity in Ithaca, under the au pice of Benedict Anderson, director of the Southea t A ia Program, the group attended cla e and seminars, gave lecture, con­ducted library re earch and advi ed graduate tudents working on topic related to Vietnam. In the Middle West, the delegation vi ited both Carleton College in Minne ota and Hope College in Michigan. Keith Taylor, a member of the ISEP committee and their ho t at Hope College, arranged for the group to pend a weekend on an American dairy farm.

The delegation' work routine wa punctuated throughout by vi it to the home of American faculty and tudent and ide trip

SEPTEMBER 1989

to uch American ite a Niagara Fall .

The entire vi it wa made po ible by a grant from the Chri topher Reynold Foundation.

Summer Workshop on oviet Domestic Politics and Society

The Joint Committee on Soviet Studie pon ored it econd annual ummer work hop on Soviet dome tic politic and ociety at the Univer ity of

Toronto on June 4-16, 1989, in cooperation with the Center for Ru ian and Ea t European Studie . Primary funding wa provided by the Carnegie Corporation of New York.

The theme of thi year' work hop wa the proce of re earch and the relation hip between theory and re earch. Morning e ion were organized around eminar pre entation by the 20 participant who focu ed on their current project , which, in mo t ca e , con i ted of either their di ertation re earch or their first po tdoctoral project. During the eminar di cu ion, partici­pants not only hared information on their topic , but al 0 as i ted each other in making their re earch de ign more rigorou and in linking their finding with theory.

The afternoon e ion were led by vi iting faculty member , everal of whom pre ented

re earch biographie of one or more of their work . Two of the afternoon e ion were devoted to a laboratory on leader hip

politic , based on a ampling of the mo t important recent Soviet ource . Vi iting faculty included:

Jerry Hough, Duke Univer ity; Mary McAuley, St. Hilda' College (Oxford); Timothy Colton, Univer ity of Toronto; Barbara Anderson, Univer ity of Michigan; Brian Silver, Michigan State Univer ity; and Ron Suny, Univer ity of Michigan . Peter Solomon, University of Toronto, and Thane Gu taf on, George­town Univer ity, codirected the work hop. Su an Solomon, Univer ity of Toronto, joined them a full-time faculty.

Work hop participant in­cluded: Linda Arm trong, Georgetown University; Yitzhak Brudny, Princeton Univer ity; Jane Daw on, Univer ity of California, Berkeley; Gerald Ea ter, Columbia Univer ity; Gregory Glea on, University of New Mexico; Kathryn Hendley, Univer ity of California, Berke­ley; Mark John on, Columbia Univer ity; Paul Jo eph on, Sarah Lawrence College; Brendan Kiernan, Indiana Univer ity; George Liber, University of Alabama; Martha Merritt, St. Antony' College (Oxford); Thomas Nichol, Dartmouth College; David Prie tiand, Oxford Univer ity; Peter Rutland, We leyan University; Mark Saroyan, Univer ity of California, Berkeley; Kate Schecter, Colum­bia University; Steven Solnick, Harvard Univer ity; Victoria Velkoff, Princeton University; Sondra Venable, Columbia Univer ity; and Stephen Wegren, Duke Univer ity. Kathryn Becker of the Council erved a taff.

ITEM 175

Grants Received by the Council in 1988-89 A summary of grants received during the year

ending June 30, 1989*

Bank of Japan Project LINK (Committee on Economic

Stability and Growth)

Board of Governors of the Federal R rve Sy em

Proje t LINK (Committee on Economic Stability and Growth)

Ford Found tion Program upport including advanced

research fellow hip (Committee on

15,000

10,000

Foreign Policy Studie ) 1,000,000 Award and re earch planning by foreign

area committee 660,000+ Program upport (Joint Committee on the

Comparative Study of Mu lim Societie) S4OO,OOO Network of re archers addre ing the

African agriculture cri i through fellow hip , work hop , and a c1earinghou e of re earch material (Joint Committee on African Studie ) $200,000

Planning activitie on Indone ian culture (Joint Committee on Southe t A ia) $18,400

French-American Foundation Tocqueville fellow hip program (Joint

Committee on We tern Europe) 17,000 William and Flora Hewlett Foundation

Predoctoral fellow hip awarded by foreign area committee $425,000+

Japan Foundation Regional eminars (Joint Committee on

Japane e Studie ) 50,768 Japan-United tat Friendship Comm' ion

Advanced research grant (Joint Committee on Japanese Studie ) $142,459

Korea Economic Institute of America Project LINK (Committee on Economic

Stability and Growth) $40,000 The Henry Luce Foundation

Indochina Scholarly Exchange Program (Joint Committee on Southea t A ia) 250,000

• Doe nOI in lude "in-"'ind" gran ; Ih 1 i. upport of lravel, hotel. conference, and imilar Cltpen received by Council committee in the fonn of direct paymen by other organizah n .

+ Repre n lhi year' alloc ti n of revenue from a prior muhiple­year grant.

76\ITEMS

John D. and Catherine T. MacArthur Foundation Fellow hip and upport for program

evaluation (Committee on International Peace and Security) 1,515,000

Research planning for tran national and comparative re earch in international tudie 369,000

Andrew W. Mellon Foundation Editorial co t of a upplementary volume

to the International Encyclopedia of the Social Sciences $75,000

ational Endowment for th Humaniti Grants awarded by foreign area

committee $927,775 Conference on Coffee and the Origin of

Unity and Diversity in Latin America (Joint Committee on Latin American Studie ) 12,400

Rockefell r Foundation Program upport (Committee for Research

on the Urban Undercla ) $1,665,320 R II Sage Foundation

Program upport (Committee on Cognition and Survey Re earch) $20,000

Editorial co t of a upplementary volume to the International Encyclopedia of the Social Sciences $12,500

Robert Schalkenb ch Foundation Editorial co t of a upplementary volume

to the International Encyclopedia of the Social Sciences $2,000

The pencer Foundation Working group on Development in

Sociocultural Perspective $8,300 Toyota Foundation

Program upport (Joint Committee on Southeast A ia) $8,809

United atioDS Project LINK (Committee on Economic

Stability and Growth) $75,000 U.S. Department of tate

Program upport, including the national fellow hip program, in titutional language training, and grant for teaching po ition ; for three year (Joint Committee on Soviet Studie ) $765,000

Total 8,684,731

VOLUME 43. NUMBER 3

Recent Councll Publications

Democracy Under Siege: New Military Power in Latin America, edited by Augusto Vara . Spon ored by the Joint Committee on Latin American Studie . New York: Greenwood Pre ,1989. 224 page . Cloth, $39.95.

In the 1980 mo t of the authoritarian regime which prevailed in Latin America over the pa t decade underwent a proce of political liberalization. However, even a civilian force have replaced the military a the dominant power in politic , they are facing difficultie in e tabli h­ing effective control over military e tabli hment . Indeed, the armed force of the region continue to retain ignificant political power.

Contributor to thi volume inve tigate thi phenomenon through case tudie of democrati­zation in the early 1980 in pecific Latin American countrie .

The article demon trate how recent change in doctrine, ideology, and organizational form have led to the emergence of independent military e tabli h­ments. They conclude that the con olidation of democracy in the region will increa ingly depend on the ability of civilian political force to develop novel in titu­tional arrangement to bring the armed force under control .

Augu to Vara i enior re earcher at the Latin American Faculty of Social Science (FLACSO) in Santiago, Chile. He i the author of Militarization and the International Arms Race in Latin America and lAtin Ameri­can-Soviet Relations in the I 980s .

SEPTEMBER 1989

Differential Female Mortality and Health Care in South Asia, by Barbara Harris . Special is ue of The Journal of Social Studies, Number 44, April 1989, 125 page . Publi hed in cooperation with the Joint Committee on South A ia.

In the face of declining mortality rate ,female in 20th­century South A ia continue to face lower chance of urvival than male . Mo t importantly, the e chance are markedly lower in certain age group and certain region . Female di advantage i reflected not only in the extreme ca e of mortality, but in other aspects of well-being: morbidity, nutrition, care, and autonomy.

The pre ent report i the re ult of a conference held in Dhaka, Banglade h, in January 1987, to explore thi problem. The conference wa pon ored by the Joint Committee on South A ia and the Banglade h A ociation for Maternal and Neo-natal Health, with up port from the Ford Foundation.

Drawing upon ource material in demography, anthropology, economic , medicine, epidemiol­ogy, and public health, the author demon trate that explanation mu t be ought in the interaction of both material and cultural force. She analyze national, regional, and local trend at the village and hou ehold level. Although no firm conclu ion can be drawn from the complexity of the material tudied, certain re earch i ue emerge a key to ameliorating the deplorable condition that characterize the

live of many South Asian female.

The Journal of Social Studies i available from the Centre for So­cial Studie , Dhaka, Banglade h.

The Political Economy of Health and Disease in Africa and Latin America, gue t editor Randall M. Packard, Ben Wi ner, and Thoma Bo ert. Special i -ue of Social Science and Medi­

cine, Volume 28, Number 5, 1989. 125 page . Papers ba ed on a conference held in Toluca, Mexico in January 1985, pon-ored by the Joint Committee on

Africa and the Joint Committee on Latin American Studie , with fund from the Carnegie Corpora­tion of New York, the Andrew W. Mellon Foundation, and the International Development Re-earch Center, Ottawa.

Studie of health and di ea e in Africa and Latin America have increa ingly recognized the limitation of re earch and policy analy e which focu narrowly on the biological determinant of di ea e or on pecific health care intervention , e pecially curative care for individual . Such approache ignore the multiplicity of geographic, climatic, eco­nomic, and political factor that affect health and di ease pattern in the e area . Recognition of the broader range of factors which influence pattern of health and di ea e ha generated an expand­ing body of cro di ciplinary cholarship, both by medical

profe ional drawing on anthro­pology and ociology and by ocial cienti t applying their

ITEMS177

kill to health problem. A major as umption of the pre ent volume i that a political economy approach can be t illuminate the linkage between national (or international) proce e, and tho e occurring in local communitie and involving individual re· pon e to health and di ea e.

The development of a political economy approach ha been facilitated by drawing on empirical and theoretical work from both Africa and Latin America. The e two region have common hi torical experience of coloniali m, the broad cale penetration of foreign capital, accumulated national debt, and difficult tradition of trade in the world market. The e are al 0

ignificant hi torical difference reflected in cultural tradition , in di parate level of capital development, indu trialization, economic dependence, and market commoditization. Africa and Latin America thu provide a fruitful field for comparative analy i .

Relevant re earch in Latin America ha given more empha i to macro level i ue, while re earch in Africa ha focu ed more frequently on local commu· nitie . Each area of tudy provide the other with new in ight for exploring the relation hip of hou ehold and

78\ITEM

communitie to the larger proce e which affect them.

The volume cover four general topic areas: (1) nutrition and the commoditization of food y tern ; (2) women, hou ehold and health; (3) workplace, health, and di ea e; and (4) tate, cia ,and the allocation of health care.

The Political Power of Eco· nomic Ideas: Keynesiani m across at ion , edited by Peter A. Hall. Spon ored by the State and Social Structure Committee, Princeton: Princeton Univer ity Pre ,1989. 406 page. Cloth, $49.50; paper, $16.50

John Maynard Keyne once ob erved that the .. idea of economi t and political philo o· pher , both when they are right and when they are wrong, are more powerful than i commonly understood ." In keeping with thi a ertion, the contributor to thi volume trace the impact of Keyne ian idea acro nation in order to under tand why an economic theory influence policy in orne place and period , yet not in others.

The e ay trace the interna· tional influence acquired by Keyne ian idea , initially during the 1930 and then in the year after World War II, in a wide

range of nation , including Britain, France, Germany, Italy, Japan, Scandinavia, and the United State . The focu of the volume i explicitly comparative; everal chapter con ider more

than one country. Together, they provide a detailed account of the reception given Keyne 'idea by the major indu trial nation of the world, and they review the proce e whereby tho e idea became an important component of policy.

Although Keyne wa by no mean re pon ible for the ex pan ion of the welfare tate that i ometime linked to hi name, hi theorie placed increa ing re pon ibility for economic performance on the government' houlder . Hi attack on the

priority which clas ical econo· mi t attached to a balanced budget helped to 100 en a fi cal con traint that tood in the way of more generou ocial program . In the e re pect ,to tudy the influence of Keyne ian idea i to con ider any of the factors that lie behind the development of the modern tate ince the 1920 .

Peter A. Hall i Paul Sack A ociate Profe or of Political Economy and Re earch A ociate at the Center for European Studie at Harvard Univer ity . He chair the Joint Committee on We tern Europe.

VOLUME 43, NUMBER 3

Notes

A Call for Chapters Origins of the American Urban Undercl

The Social Science Research Council solici authors for chapters of a volume on the origin of the urban underclas in America. Spon ored by th Council' Committee for Research on the Urban Underclas , the book will be edited by Michael B. Katz of the University of Penn ylvania. There will be nine ub tantive chapters organized around three major area :

(I) Work, pace, and mobility (2) In titution and policie (3) Familie and neighborhood

Each chapter will place a major topic of concern to current poverty research and policy in hi tori cal perspective. Chapter length hould be 6,000 to 10,000 words. Scholars of all level , including advanced graduate tudent , are eligible to apply.

Application deadline: October 17, 1989

For a Ii t of chapter topic and detailed application information, contact: Urban Underclas Program-Hi torical Volume, Social Science Research Council, 605 Third Avenue, New York, NY 10158. Telephone (212) 661-0280.

Director U.S.-China Academic Programs

The Committee on Scholarly Communication with the People' Republic of China (CSCPRC) invite application for the po ition of director with pecial re pon ibility for cience, engineering, and interdisciplinary program and for tudie on policy i ue in U.S.-China academic relation. The director will also be re pon i­ble for admini tering program in the social cience and humanitie serving the intere ts of the CSCPRC' ponsors, the National Academy of Science , the Social Science Research Council. and the American Council of Learned Societie . Candidate hould have the Ph.D. and a background in science, engineering, or science and technology policy with China area tudie experience; minimum 10 years academic or other work­

related experience; understanding of Chinese scientific and other research in titution ; sen itivity to Chinese culture, preferably including orne facility in Chine language; and ub tantial previou admini trative. including fundrai ing, experience.

The CSCPRC welcome application from senior cienti ts and scholar-admini trators intere ted in thi po ition for a period of 2-3 years.

Salary based on academic rank and experience with competitive benefit program.

Please send re ume to: Dr. Victor Rabinowitch. Office of International Affairs, Po it ion #220.028, National Academy of Science. 2101 Con titution Avenue. NW. Washington. DC 20418. EOE

SEPTEMBER 1989

First-Year Fellow hips in Underrepresented Fields In Soviet Studies

The Social Science Research Council announce the availability of award to university department in di cipline which are underrepre nted in Soviet Studie , for the purpose of making fellow hip available to first-year tudents enrolled in a Ph.D. program. The competition for these award will be admini tered by the Joint Committee on Soviet Studie of the Council. For the 1990-91 academiC year, award will be made in the field of sociology and anthropology. Thi pilot program i de igned to complement the Graduate Training Fellow hip offered by the committee for the third and fourth or fourth and fifth years of graduate training. and i ubject to the availability of fund

Eligibility: The Joint Committee on Soviet Studie will accept application from ociology and anthropology department at universitie which also have other departments offering course in Soviet tudie . The selected departments mu t have faculty able to upport di sertation related to the Soviet Union .

Students may not apply directly to the committee for the fellow hip. However. intere ted tuden!. may contact the Council for information on the in titution applying for the awards. Student fellow hip recipient will be selected by the graduate departments which receive the award , but they mu t have the following: (a) a minimum of two years of college-level Ru ian or other language of the Soviet Union, and (b) relevant Soviet area preparation and intere t in pursuing research in Soviet tudie.

Award: The total award i for $15,000, of which $8,500 will be provided to the tudent as a tipend. The remainder will be paid to the in titution in lieu of tuition. The recipient in titution mu t participate in co t- haring by agreeing to waive overhead and tuition in exce of $6,500.

Application: The application hould con i t of a propo aI which include the following point :

(I) Why the in titution i qualified to provide training both in the particular di ipline and in Soviet area tudie

(2) Proposed relation hip between training in the di cipline and training in Soviet area tudie

(3) Method of the selection of fellow hip recipient (4) Availability of continued funding for the duration of the

tudent' graduate career (fellow hip. teaching as i tant­hip, etc.)

(5) Acceptance by the in titution of payment in lieu of tuition

The application hould be igned by, or include letters of upport from, the relevant department chair and senior official of

the university admini tration.

Deadline: The deadline i November 15. 1989. for fellow hip for the 1990-91 academic year. Awards will be announced on December 1. 1989. In titution which receive the award will have two years to select tudent fellow hip recipient .

All application material hould be sent to: Joint Committee on Soviet Studie

First Year Fellow hip Program Social Science Research Council

605 Third A venue New York. NY 10158

ITEM 179

SOCIAL SCIENCE RESEARCH COUNCIL

605 THIRD AVENUE, NEW YORK, NY 10158

ThL Council was in orporat~d in th~ Stat~ of II/inois, lNc~mMr 27, /924, for th~ purpos~ of advancing r~s~arch in th~ social sci~nus. NongovunfMntal and intudisciplinary in natur~, th~ Council appoints committus of scholars which suk to achi~v~ th~ Council's purpas~ through tM g~nuation of n~w id~as and th~ training of cholars. Th~ activiti~s of th~ Council ar~ support~d primarily by grants from privat~ foundations and gov~rnfMnt ag~nci~s.

Dir~ctors, 1989-90: CLAUDE An, University of Pon Harcoun; SUZA NE D. BERGEIt, husetlS Institute of Technology; RICHAltD A. BERIC, University of California, Lo Angele; ALA S. Bli DER, Princeton University; ROBERT M. COE ,Nonhwe tern University; ROBERT DAINTON, Princeton University; KAI T. EIIKSO ,Yale University; DAVID L. FEATHEItMAN, Social Science Research Council; GAltD ER LINDZEY, Center for Advanced Study in the Behavioral Science; BEVI Lo G TRETH, Debevoise &: Plimpton; EMILY MARTI ,The Johns Hopkin University; WILLIAM H. SEWEll, JR., University of Michigan; BURTO H. SI GER, Yale University; FRAN IS X. SUTTON, Dobb Ferry, New York; MARTA TIE DA, University of Chicago; ROBEltT B. z.uo c, University of Michigan.

OfIiurs and Staff: DAVID L. FEATHEItMA ,Pr~sid~nt; Ro ALD J. PELECK, Controllu; GLOIIA KJRCHHEIMEI, Editor; DollE SI OCCHI, Assistant to th~ Pr~sid~nt; YA MI E EaGAS, MARTHA A. GEPHART, ROBEltT T. HUBEIt, TOM LoOOE, RI HARD H. M ,RAQUEL OVRY RIVERA, ROBERT W. PEAISO , SILVIA RAw, RI HARD C. ROCKWELL, DAVID L. SZA TON, STEFAN TANAKA, TOBY ALICE VOLKMAN .

The Social Science Research Council uppons the program of the Commi ion on Preservation and Acce and i repre nled on the National Advisory Council on Preservation. The paper u d in thi publication meets the minimum requirements of American National Standard for Information Science -Permanence of Paper ~ r Printed Library Material . ANSI Z39.48-1984. The infinity symbol placed in a circle indicate compliance with thi tandard.

Social Science Research Council 605 Third Avenue New York, NY 10158

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VOLUME 43. NUMBER 3