FSI's research on the origins, character and consequences of government institutions spans continents and academic disciplines. The institute’s senior fellows and their colleagues across Stanford examine the principles of public administration and implementation. Their work focuses on how maternal health care is delivered in rural China, how public action can create wealth and eliminate poverty, and why U.S. immigration reform keeps stalling.
FSI’s work includes comparative studies of how institutions help resolve policy and societal issues. Scholars aim to clearly define and make sense of the rule of law, examining how it is invoked and applied around the world.
FSI researchers also investigate government services – trying to understand and measure how they work, whom they serve and how good they are. They assess energy services aimed at helping the poorest people around the world and explore public opinion on torture policies. The Children in Crisis project addresses how child health interventions interact with political reform. Specific research on governance, organizations and security capitalizes on FSI's longstanding interests and looks at how governance and organizational issues affect a nation’s ability to address security and international cooperation.
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China Under Mao: A Revolution Derailed
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China’s Communist Party seized power in 1949 after a long period of guerrilla insurgency followed by full-scale war, but the Chinese revolution was just beginning. China Under Mao narrates the rise and fall of the Maoist revolutionary state from 1949 to 1976—an epoch of startling accomplishments and disastrous failures, steered by many forces but dominated above all by Mao Zedong.
Mao’s China, Andrew Walder argues, was defined by two distinctive institutions established during the first decade of Communist Party rule: a Party apparatus that exercised firm (sometimes harsh) discipline over its members and cadres; and a socialist economy modeled after the Soviet Union. Although a large national bureaucracy had oversight of this authoritarian system, Mao intervened strongly at every turn. The doctrines and political organization that produced Mao’s greatest achievements—victory in the civil war, the creation of China’s first unified modern state, a historic transformation of urban and rural life—also generated his worst failures: the industrial depression and rural famine of the Great Leap Forward and the violent destruction and stagnation of the Cultural Revolution.
Misdiagnosing China’s problems as capitalist restoration and prescribing continuing class struggle against imaginary enemies as the solution, Mao ruined much of what he had built and created no viable alternative. At the time of his death, he left China backward and deeply divided.
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The United States and China: Same Bed, Different Dreams, Shared Destiny
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In the third annual Nancy Bernkopf Tucker Memorial Lecture on U.S.-East Asia Relations, Thomas Fingar, Oksenberg-Rohlen Distinguished Fellow in the Freeman Spogli Institute for International Studies at Stanford, former deputy director of national intelligence for analysis and former chairman of the National Intelligence Council, discusses U.S. policy toward China. The speech titled "The United States and China: Same Bed, Different Dreams, Shared Destiny" was delivered at The Wilson Center in Washington, D.C., on April 20, 2015. Links to English and Chinese versions are listed below.
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China Under Mao: A Revolution Derailed
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—Michael Schoenhals, Lund University
China’s Communist Party seized power in 1949 after a long period of guerrilla insurgency followed by full-scale war, but the Chinese revolution was just beginning. China Under Mao narrates the rise and fall of the Maoist revolutionary state from 1949 to 1976—an epoch of startling accomplishments and disastrous failures, steered by many forces but dominated above all by Mao Zedong.
Mao’s China, Andrew Walder argues, was defined by two distinctive institutions established during the first decade of Communist Party rule: a Party apparatus that exercised firm (sometimes harsh) discipline over its members and cadres; and a socialist economy modeled after the Soviet Union. Although a large national bureaucracy had oversight of this authoritarian system, Mao intervened strongly at every turn. The doctrines and political organization that produced Mao’s greatest achievements—victory in the civil war, the creation of China’s first unified modern state, a historic transformation of urban and rural life—also generated his worst failures: the industrial depression and rural famine of the Great Leap Forward and the violent destruction and stagnation of the Cultural Revolution.
Misdiagnosing China’s problems as capitalist restoration and prescribing continuing class struggle against imaginary enemies as the solution, Mao ruined much of what he had built and created no viable alternative. At the time of his death, he left China backward and deeply divided.
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Andrew G. Walder, Author, has long specialized on the sources of conflict, stability, and change in communist regimes and their successor states. His publications on China have ranged from the political and economic organization of the Mao era to changing patterns of stratification, social mobility, and political conflict in the post-Mao era. Another focus of his research has been on the political economy of Soviet-type economies and their subsequent reform and restructuring. His current research focuses on popular political mobilization in late-1960s China and the subsequent collapse and rebuilding of the Chinese party-state.
Walder joined the Stanford faculty the fall of 1997. He received his PhD in sociology at the University of Michigan in 1981 and taught at Columbia University before moving to Harvard in 1987. As a professor of sociology, he served as chair of Harvard's MA Program on Regional Studies-East Asia for several years. From 1995 to 1997, he headed the Division of Social Sciences at the Hong Kong University of Science and Technology. From 1996 to 2006, as a member of the Hong Kong Government's Research Grants Council, he chaired its Panel on the Humanities, Social Sciences, and Business Studies.
Thomas P. Bernstein, Discussant, earned his PhD from Columbia University, 1970. He joined the faculty of the Department of Political Science and of the East Asian Institute in 1975, having previously taught at Yale and Indiana Universities. He retired in December 2007. He is a specialist on comparative politics, with a focus on China as well as on communist systems generally. He has written on the collectivization of agriculture in the Soviet Union and China and on the two famines that each country experienced in the l930's and late l950's. Publications on China include a book on Chinese youth (Yale University Press, 1977), which was translated into China in 1993, as well as articles and book chapters on the Mao era, China’s growth without political liberalization, prospects for democratization, and on education. His recent writings have focused on various aspects of state-peasant relations in China’s reform period. Together with Professor Xiaobo Lu, he co-authored Taxation without Representation in Contemporary Rural China (Cambridge University Press, 2003). In recent years, he has resumed work on Sino-Soviet relations and comparisons. In 2010, he published a co-edited book with Hua-yu Li, China Learns from the Soviet Union, 1949-Present (Lexington Book). And he has written on reform and authoritarian rule in contemporary China and Russia. Prior to retirement, he served on various editorial boards, including Comparative Politics and China Quarterly. He has held various fellowships, including a Guggenheim. He served as Chair of the Department of Political Science from 1986-l989 and again from 1991 to l994.
Andrew G. Walder
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walder@stanford.edu
Senior Fellow at the Freeman Spogli Institute for International Studies
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Andrew G. Walder is the Denise O'Leary and Kent Thiry Professor at Stanford University, where he is also a senior fellow in the Freeman Spogli Institute for International Studies. Previously, he served as Chair of the Department of Sociology, Director of the Walter H. Shorenstein Asia-Pacific Research Center, and Head of the Division of International, Comparative and Area Studies in the School of Humanities and Sciences.
Walder has long specialized in the sources of conflict, stability, and change in communist regimes and their successor states. His publications on Mao-era China have ranged from the social and economic organization of that early period to the popular political mobilization of the late 1960s and the subsequent collapse and rebuilding of the Chinese party-state. His publications on post-Mao China have focused on the evolving pattern of stratification, social mobility, and inequality, with an emphasis on variation in the trajectories of post-state socialist systems. His current research is on the growth and evolution of China’s large modern corporations, both state and private, after the shift away from the Soviet-inspired command economy.
Walder joined the Stanford faculty in 1997. He received his Ph.D. in sociology at the University of Michigan in 1981 and taught at Columbia University before moving to Harvard in 1987. From 1995 to 1997, he headed the Division of Social Sciences at the Hong Kong University of Science and Technology.
Walder has received fellowships and grants from the Guggenheim Foundation, the National Science Foundation, the National Academy of Sciences, the Henry Luce Foundation, the Ford Foundation, the Social Science Research Council, and the Center for Advanced Study in the Behavioral Sciences. His books and articles have won awards from the American Sociological Association, the Association for Asian Studies, and the Social Science History Association. He is an elected member of the American Academy of Arts and Sciences.
His recent and forthcoming books include Fractured Rebellion: The Beijing Red Guard Movement (Harvard University Press, 2009); China Under Mao: A Revolution Derailed (Harvard University Press, 2015); Agents of Disorder: Inside China’s Cultural Revolution (Harvard University Press, 2019); and A Decade of Upheaval: The Cultural Revolution in Feng County (Princeton University Press, 2021) (with Dong Guoqiang); and Civil War in Guangxi: The Cultural Revolution on China’s Southern Periphery (Stanford University Press, 2023).
His recent articles include “After State Socialism: Political Origins of Transitional Recessions.” American Sociological Review 80, 2 (April 2015) (with Andrew Isaacson and Qinglian Lu); “The Dynamics of Collapse in an Authoritarian Regime: China in 1967.” American Journal of Sociology 122, 4 (January 2017) (with Qinglian Lu); “The Impact of Class Labels on Life Chances in China,” American Journal of Sociology 124, 4 (January 2019) (with Donald J. Treiman); and “Generating a Violent Insurgency: China’s Factional Warfare of 1967-1968.” American Journal of Sociology 126, 1 (July 2020) (with James Chu).
Political Violence and State Repression
Learn moreDirector Emeritus of the Shorenstein Asia-Pacific Research Center
Director Emeritus of the Division of International, Comparative and Area Studies
Faculty Affiliate at the Stanford Center on China's Economy and Institutions
Faculty Fellow at the Stanford Center at Peking University, July to November of 2013
Graduate Seminar Instructor at the Stanford Center at Peking University, August to September of 2017
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“Critical Engagement”: British Policy toward the DPRK
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"'Critical Engagement': British Policy toward the DPRK" examines the United Kingdom's policy toward the Democratic People's Republic of Korea (DPRK). The policy known as "critical engagement" has been applied for over 14 years.
"UK efforts are not going to have the immediate result we all want. However, they do show...that it is possible to carry out engagement and hopefully reduce the chasm between DPRK thinking and the rest of the world," author Mike Cowin writes. He suggests that the British approach is similar to that advised by a Stanford research team in Tailored Engagement.
Cowin wrote an earlier policy paper on relations between the DPRK and the European Union in March 2015.
Mike Cowin is the 2014-15 Pantech Fellow in the Korea Program at the Walter H. Shorenstein Asia-Pacific Research Center. Before coming to Stanford, he served as the deputy head of mission at the British Embassy in Pyongyang, North Korea. He has also served in the British embassies in Seoul from 2003 to 2007, and in Tokyo from 1992 to 1997.
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Building a foundation for critical engagement
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North Korea fired off short-range missiles last Tuesday close to the arrival of U.S. Secretary of Defense Ashton Carter to the region. Carter, who was on his inaugural trip to Asia as the newly confirmed Secretary of Defense, said the launch was a sign of the region’s continued tensions.
The United States consistently expresses concern over North Korea’s nuclear and missile capabilities, yet attempts to resume the Six-Party Talks, the negotiations to denuclearize North Korea which began in 2003, have been unsuccessful. The United Kingdom, although not an official participant in the Talks, has had diplomatic relations with North Korea since 2000, setting itself apart from many in the West, and from Japan which do not have formal diplomatic ties with the country.
In a new policy brief, Mike Cowin, the 2014-15 Pantech Fellow at the Walter H. Shorenstein Asia-Pacific Research Center (APARC), discusses lesser-known channels of engagement between the United Kingdom and North Korea.
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Cowin is the former deputy head of mission at the British Embassy Pyongyang, and implemented many of the programs he describes in the paper, "Critical Engagement": British Policy Towards the DPRK.
Typically small-scale and led largely in collaboration with European NGOs, the Embassy’s initiatives span from humanitarian aid – providing water supplies and sewage systems – to exchanges – hosting visiting delegations of North Korean paralympic athletes and English teachers.
The Embassy also works to build a stronger understanding of modern Britain in North Korea. They have shown films such as Wallace and Grommit and Philomena at the Pyongyang International Film Festival, and supplemented reading materials in the Grand People’s Study House, a central library in Pyongyang.
Cowin says that it’s not easy to construct these exchanges, but if established, they provide small steps in the right direction, and help set the stage for critical engagement in the future. The United Kingdom’s approach shares commonalities with the suggestions made by a Stanford research team in Tailored Engagement, he says.
“The United Kingdom’s efforts are not going to have the immediate result we all want. However, they do show that the DPRK is not completely isolated from the Western world and that it is possible to carry out engagement,” he says.
Cowin is also the author of an earlier policy brief on relations between North Korea and the European Union.
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Presenters on stage at the 13th annual Pyongyang International Film Festival in North Korea.
Mike Cowin
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Changing Corporate Governance in Japan
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Enhancing corporate governance has been an emphasis in Abenomics economic reform. The Stewardship Code established in 2014 has defined principles that institutional investors should follow to enhance the long-term investment return for their beneficiaries. The institutional investors are now expected to engage "constructively" with the investee companies to increase the corporate value, including discussion on corporate governance changes. Another related development in 2014 was the introduction of JPX Nikkei Index 400, which is a new stock price index calculated from the stock prices of 400 companies with "high appeal to investors." Following this, many Japanese companies started to improve their corporate governance and accounting practices to increase their chances to be among the 400 companies. Now Corporate Governance Code, which defines principles for effective corporate governance, is being developed, adding another impetus for Japanese companies to change. We invite two business leaders in Japan who have been leading the change. Kazuhiko Toyama was a member of the committee that drafted the Corporate Governance Code. Masaaki Tanaka has been pushing the corporate governance reform at Mitsubishi UFJ Financial Group (MUFG), the largest financial institution in Japan.
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Takeo Hoshi is Henri and Tomoye Takahashi Senior Fellow at the Freeman Spogli Institute for International Studies (FSI), Professor of Finance (by courtesy) at the Graduate School of Business, and Director of the Japan Program at the Walter H. Shorenstein Asia-Pacific Research Center (S-APARC), all at Stanford University. Hoshi is also Visiting Scholar at Federal Reserve Bank of San Francisco, Research Associate at the National Bureau of Economic Research (NBER) and at the Tokyo Center for Economic Research (TCER), and Senior Fellow at the Asian Bureau of Finance and Economic Research (ABFER). His main research interest includes corporate finance, banking, monetary policy and the Japanese economy. He received 2006 Enjoji Jiro Memorial Prize of Nihon Keizai Shimbun-sha, and 2005 Japan Economic Association Nakahara Prize. His book Corporate Financing and Governance in Japan: The Road to the Future co-authored with Anil Kashyap received the Nikkei Award for the Best Economics Books in 2002. B.A., University of Tokyo (1983). Ph.D. (Economics), Massachusetts Institute of Technology (1988).
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Masaaki (Masa) Tanaka is Representative Director and Deputy President of Mitsubishi UFJ Financial Group, Inc. (MUFG), the largest financial group in Japan. He assumed this position in 2012 after serving as CEO for the Americas for the Bank of Tokyo-Mitsubishi UFJ, (BTMU), one of the wholly owned subsidiaries and the principal revenue-generating entity of MUFG from 2010 to 2012, and President and CEO of Union Bank, BTMU’s West Coast subsidiary, from 2007 to 2010. Mr. Tanaka also serves on the Board of Morgan Stanley since 2011, and currently serves as Vice Chairman of the Board of Councilors of the U.S. Japan Council. In Mr. Tanaka’s current assignment, he directly reports to CEO with general responsibility to oversee all business groups of MUFG, including overseas business. His responsibility also includes oversight over corporate functions, including corporate governance, strategic and financial planning, and enterprise risk management. He oversees highly complex business operation with global reach and is responsible for ensuring compliance with all regulatory requirements. Mr. Tanaka holds a law degree from the University of Tokyo and a Master of Laws Degree from the University of Michigan Law School.
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Kazuhiko Toyama is CEO of Industrial Growth Platform, Inc. He has started his career with BCG and later became one of the founding members of Corporate Directions, Inc. (CDI), a Tokyo-based independent management consulting firm, eventually becoming its CEO. In 2003, he was appointed to lead Industrial Revitalization Corporation of Japan (IRCJ), a government-backed restructuring fund, as COO. In 2007, when IRCJ was dissolved, he founded Industrial Growth Platform, Inc. (IGPI), which he currently runs as its CEO. He graduated from Faculty of Law of the University of Tokyo and holds an MBA from Stanford University. He has passed the Japanese National Bar Examination.
Vice Chairperson of KEIZAI DOYUKAI (Japan Association of Corporate Executives), Expert member of Council on Economic Fiscal Policy (MOF), Member of The Tax Commission (CAO), Member of Committee for National University Corporation Evaluation, Department of Innovation Program (MEXT), Member of the Council of Experts Concerning the Corporate Governance Code (FSA), Outside director of OMRON Corporation and Pia Corporation.
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Former Henri H. and Tomoye Takahashi Senior Fellow in Japanese Studies at the Freeman Spogli Institute for International Studies
Former Professor, by courtesy, of Finance at the Graduate School of Business
Takeo Hoshi was Henri and Tomoye Takahashi Senior Fellow at the Freeman Spogli Institute for International Studies (FSI), Professor of Finance (by courtesy) at the Graduate School of Business, and Director of the Japan Program at the Shorenstein Asia-Pacific Research Center (APARC), all at Stanford University. He served in these roles until August 2019.
Before he joined Stanford in 2012, he was Pacific Economic Cooperation Professor in International Economic Relations at the Graduate School of International Relations and Pacific Studies (IR/PS) at University of California, San Diego (UCSD), where he conducted research and taught since 1988.
Hoshi is also Visiting Scholar at Federal Reserve Bank of San Francisco, Research Associate at the National Bureau of Economic Research (NBER) and at the Tokyo Center for Economic Research (TCER), and Senior Fellow at the Asian Bureau of Finance and Economic Research (ABFER). His main research interest includes corporate finance, banking, monetary policy and the Japanese economy.
He received 2015 Japanese Bankers Academic Research Promotion Foundation Award, 2011 Reischauer International Education Award of Japan Society of San Diego and Tijuana, 2006 Enjoji Jiro Memorial Prize of Nihon Keizai Shimbun-sha, and 2005 Japan Economic Association-Nakahara Prize. His book titled Corporate Financing and Governance in Japan: The Road to the Future (MIT Press, 2001) co-authored with Anil Kashyap (Booth School of Business, University of Chicago) received the Nikkei Award for the Best Economics Books in 2002. Other publications include “Will the U.S. and Europe Avoid a Lost Decade? Lessons from Japan’s Post Crisis Experience” (Joint with Anil K Kashyap), IMF Economic Review, 2015, “Japan’s Financial Regulatory Responses to the Global Financial Crisis” (Joint with Kimie Harada, Masami Imai, Satoshi Koibuchi, and Ayako Yasuda), Journal of Financial Economic Policy, 2015, “Defying Gravity: Can Japanese sovereign debt continue to increase without a crisis?” (Joint with Takatoshi Ito) Economic Policy, 2014, “Will the U.S. Bank Recapitalization Succeed? Eight Lessons from Japan” (with Anil Kashyap), Journal of Financial Economics, 2010, and “Zombie Lending and Depressed Restructuring in Japan” (Joint with Ricardo Caballero and Anil Kashyap), American Economic Review, December 2008.
Hoshi received his B.A. in Social Sciences from the University of Tokyo in 1983, and a Ph.D. in Economics from the Massachusetts Institute of Technology in 1988.
Former Director of the Japan Program at the Shorenstein Asia-Pacific Research Center
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Stanford postdoctoral fellow wins award for China paper
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Fei Yan, a postdoctoral fellow at the Walter H. Shorenstein Asia-Pacific Research Center, has been awarded a prize from the China and Inner Asia Council (CIAC) for his paper on political rivalries during China’s Cultural Revolution. The award aims to recognize emerging scholarship and foster intellectual exchange among experts working on China and Inner Asia topics, according to the award website.
Yan was presented the award at the Association for Asian Studies Annual Conference on March 27. CIAC released the following statement:
“In his paper, Fei Yan offers a new interpretation of the factional rivalries that wracked China's provinces during the early years of the Cultural Revolution. His focus is on the dispute between the so-called ‘radical’ Red Flag faction and the so-called ‘conservative’ East Wind faction that came to a head in Guangzhou in 1967. Making use of previously unavailable archival sources, he offers a meticulous and detailed description of the extent to which this split was based less on deep ideological differences and more on intense power rivalries and disagreements over tactics.”
Yan specializes in Chinese politics and political culture, and comparative social policy within transitional economies and authoritarian settings. He will join the Department of Political Science at Tsinghua University as an assistant professor this fall.
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Announcing three postdoctoral fellows for 2015-16
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Each year the Walter H. Shorenstein Asia-Pacific Research Center offers fellowship opportunities to recent graduates to further their research and engage with scholars at Stanford. Postdoctoral fellows have the opportunity to develop their dissertations for publication, present their research to the Stanford community, and participate in Center activities.
Fellows often go on to pursue teaching positions and advisory roles at top universities and research organizations around the world. Into the future, they remain engaged with the Center and continue to contribute to Shorenstein APARC publications, conferences and related activities.
Shorenstein APARC is pleased to welcome three postdoctoral fellows for the 2015-16 academic year:
Asia Health Policy Fellow
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Saingam’s research interests are public health, substance abuse, drug policy and Southeast Asia. While at Shorenstein APARC, she will research the evolution of substance-abuse control measures and related policy in Thailand.
Saingam seeks to identify potentially effective policy directions suitable for Thailand, and other developing countries in Southeast and East Asia.
“There are a lot of lessons to be learned from substance abuse policy implementations in other countries…coping and dealing with substance abuse is a complex story and cannot respond successfully with only one strategy.”
Saingam completed her doctorate in epidemiology at the Prince of Songkla University in 2012, and has served as a researcher at the University’s epidemiology unit since, as well as a researcher at the Thailand Substance Abuse Academic Network since 2014.
Shorenstein APARC Postdoctoral Fellows
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Chang’s research interests are comparative policy analysis and political institutions in East Asia, mainly South Korea and Japan. While at Shorenstein APARC, Chang will conduct research on how countries respond differently to the same external challenges, and how institutions are interpreted and applied in different ways.
His dissertation, which he seeks to build upon, is titled “The Sources of Japanese Conduct: Asymmetric Security Dependence, Role Conceptions, and the Reactive Behavior in response to U.S. Demands.” It is a qualitative comparative case study of how key U.S. allies in Asia – namely Japan and South Korea – and major powers in Europe - the United Kingdom and France responded to the U.S.-led Persian Gulf War and the Iraq War.
“East Asia is a treasure island of new theory building because some of the big challenges facing East Asia – finding a new role for Japan, denuclearization of North Korea, unification of the Korean peninsula, democratization of China and reconfiguration of its relations with the world, and development and integration of Southeast Asian countries – are truly new ones…”
Chang completed his doctorate in political science from the Paul H. Nitze School of Advanced International Studies at Johns Hopkins University in 2014.
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Ravanilla’s research interests are political economy and governance, comparative politics and Southeast Asia. While at Shorenstein APARC, Ravanilla will research how political selection impacts governance, and evaluate possible routes for incentivizing capable and virtuous citizens to run for public office.
His project titled “Nudging Good Politicians” looks at the case of the Sangguniang Kabataan, a governing body in the Philippines comprised of elected youth leaders. Ravanilla aims to apply his research to develop and scale up programs for politicians, especially those at the onset of their careers, which would include specialized leadership training and merit-based endorsement.
“If we could design a policy that screens-in and incentivizes competent and honest citizens to run for office, would it play a catalytic role in improving the quality of the political class, and ultimately, the quality of government?”
Ravanilla is also a Southeast Asia Research Group (SEAREG) Young Southeast Asia Fellow for 2015-16. He will complete his doctorate in political science and public policy from the University of Michigan in summer 2015.
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View of Hoover Tower from Stanford's main quad.
Linda A. Cicero / Stanford News Service
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