Published by Oxford University Press on behalf of the International Epidemiological Association Ó The Author 2006; all rights reserved. Advance Access publication 4 December 2006 International Journal of Epidemiology 2006;35:1400–1405 doi:10.1093/ije/dyl235 Commentary: The Health Crisis in the USSR: reflections on the Nicholas Eberstadt 1981 review of Rising Infant Mortality in the USSR in the 1970s Christopher Davis Nicholas Eberstadt’s 1981 article, ‘The Health Crisis in the USSR’, in the New York Review of Books1 played an important role in publicizing the growing health problems in the USSR and provided an insightful preliminary analysis of their causes. His article started with a balanced review of the 1980 US Bureau of the Census technical report on ‘Rising Infant Mortality in the USSR in the 1970s’2 that I co-authored with Murray Feshbach, a distinguished demographer, but then widened its scope to evaluate the political, economic, social, and medical factors that could explain the growing difficulties in the Soviet health sector. The article by Nicholas and our report challenged three prevailing conceptions. First, that the socialist countries were continuing to improve the health of their populations, measured by reductions in disease and mortality, and therefore provided models for other nations. Second, that age-specific mortality rates inevitably declined over time in all countries, barring catastrophe or war. Third, that variations in life expectancy (normally meaning increases) were almost entirely explained by changes in health conditions (better water and sanitation, improved nutrition) and preventive medicine, rather than by the performance of curative medicine. This early work stimulated research in the 1980s on mortality trends in the USSR and Eastern Europe, a topic which attracted even more attention in the 1990s because of the mortality crises that developed in the transition countries in that region and the improved availability of information. Historical context Since the majority of readers of the International Journal of Epidemiology are younger than those of us who contributed to the work under consideration, a brief review of the research environment and conditions of that period of relevance to research on health might be useful. The article by Nicholas provides a helpful summary of some key aspects. In the late 1970s the USSR was considered to be a successful and expanding world power, whereas the West was on the defensive (e.g. economic ‘stagflation’ following the 1974 OPEC embargo, defeat of the USA in Vietnam, socialist revolutions in Africa, growing Soviet military power). Many in both the East and West considered that the ‘correlation of University of Oxford, Wolfson College, UK. E-mail: christopher.davis@ economics.ox.ac.uk forces’ was in favour of the socialist bloc and its Third World allies. There were sharp East–West ideological conflicts and governments in both the socialist and capitalist blocs supported propaganda campaigns against each other. The objective study of health in the USSR was seriously impeded by the comprehensive and reasonably effective Soviet censorship system. In the case of mortality rates, during 1955–71 the Soviet Union published the infant mortality rate (but not perinatal, neonatal, and post-neonatal rates), the crude death rate, age-specific death rates, and life expectancy at birth in its annual statistical yearbook, Narodnoe Khozyaistvo SSSR (there were no electronic databases in those days). Maternal death rates (quite high) were published only sporadically in specialist journals. In response to the deterioration in the health situation, the USSR ceased publication of life expectancy after 1972, infant mortality after 1974 and age-specific death rates after 1976. Soviet specialists used a unique and misleading methodology to calculate infant mortality (high risk live births were excluded from consideration), which underestimated the actual rate by 14.4%.2 Although demographic and health specialists in the Soviet Union produced thousands of studies in Russian and other USSR languages on the health situation, and a number of these scholars were first rate, their access to accurate statistics was restricted by the government and the censorship system (state control of all publications) limited their ability to call attention to serious problems and prohibited them from suggesting that there were systemic causes of any difficulties. Soviet-Western academic cooperation was extremely difficult. Studies by Western specialists were constrained by the facts that few of them possessed knowledge of Russian language and that the Soviet Union published only a small amount of information in Western languages. The USSR provided minimal quantities of demographic and health statistics to the UN (for the Demographic Yearbook) and the World Health Organization (but nothing to the World Bank and OECD). All WHO publications related to health in the USSR were either prepared by Soviet specialists or vetted by Soviet authorities, and contained even less critical analysis than that found in Russian language sources. Official Soviet books on health published in foreign languages provided some useful basic information, but essentially were propaganda documents. In the 1970s little was published on Soviet health in Western academic journals. The primary sources of information for students and scholars were books. Several of these were written REPRINTS AND REFLECTIONS by scholars on the left of the political spectrum3,4 and tended to be positive about developments in the USSR. Others written by centre-right authors provided balanced assessments using Russian-language material, but did not call attention to mortality trends (which had been adverse since the mid-sixties) or claim the existence of a ‘health crisis’.5–7 The governments of leading Western nations had intelligence agencies and other organizations that studied the USSR using covert and published sources. However, the overwhelming focus of their work was on economic, military, scientific, foreign policy, and labour force (civilian and military) issues. The subjects of health, education, and social welfare in the Soviet Union were neglected by Western governmental bodies. One exception to this rule was the Foreign Demographic Analysis Division of the US Bureau of the Census. It was responsible for carrying out analyses and making projections of demographic developments in all regions of the world. Most of its work was based on open source material in original languages. Murray Feshbach was Chief of the USSR Population, Employment and R & D Branch and had an encyclopaedic knowledge of Soviet statistical sources. In the 1970s most of his work was focussed on general demographic, labour force and scientific R & D issues, rather than those related to health. However, a 1976 paper that Murray co-authored briefly discussed mortality problems in the USSR8: There has recently been an unexpected but significant rise in infant mortality, which increased from 22.9 to 27.9 per 1000 live births in the years 1971–74. Not all of this increase can be explained as due to improved reporting in the Central Asian republics . . . An extraordinary jump in the crude death rate occurred in 1975. Other colleagues in FDAD produced the projections of demographic developments in the USSR using a wellestablished, but flawed, methodology. A key problem was that future scenarios were determined by alternative assumption about trends in fertility, whereas age-specific mortality rates were expected to decline in all cases. In the methodology section of the 1975 report on projections out to the year 2000, Baldwin9 wrote: Only one assumption is made about the future course of mortality, namely that it will decrease at a modest rate throughout the projection period. It was assumed that the decline in mortality would be such that life expectancy at birth would increase by 2.5 years between 1972 and 2000. This was accomplished by using model life tables prepared by Coale and Demeny. One consequence of the reliance by FDAD on this projection method was that it had an institutional predisposition to interpret any increase in mortality in the USSR as a short-term aberration that would be corrected over time. It would not be an exaggeration to state that in the mid-1970s neither FDAD nor any other agency of the US government had an interest in rising mortality in the USSR or an awareness of its significance. 1401 Overall, the situation with respect to health in the USSR in the 1970s had some similarities to that outlined by Kuhn10 in The Structure of Scientific Revolutions. A ‘normal science’ concerning health in the USSR existed that was accepted as truth by most concerned parties and offered what appeared to be a reasonable explanation of reality. Certain anomalies had arisen, notably rising mortality rates, that posed questions about the prevailing paradigm, but no crisis was perceived to exist in it and there was little pressure for a paradigm shift. The genesis of the infant mortality report My work on health started in 1973 at Cambridge University in the PhD programme of the Department of Economics, which followed undergraduate studies at Harvard College with a concentration in applied mathematics and statistics. My initial supervisor, Michael Ellman, a specialist on the socialist economies, insisted that I narrow my topic from the proposed general one of Soviet economic planning. I decided, somewhat recklessly, to write my doctoral dissertation on the economics of health in the USSR, without knowing anything about the topic. Over the next 3 years I studied economics, demography, and health (including epidemiology), learned Russian, and wrote parts of my dissertation. After Michael Ellman moved away in 1975, Sir Richard Stone became my supervisor because I had become interested in his system of interlinking social, demographic, and economic accounting models (absorbing markov chains, input–output tables).11 I used his approach to prepare an elaborate model of the interaction of institutions and variables in the health production process in the USSR (Figure 1 provides a simple depiction). During summer 1976 I studied in an intensive Russian language course at Harvard. I made a short trip down to Washington, DC to look at material related to health and demography in the USSR and consult with relevant specialists. At FDAD I met Murray Feshbach and his colleagues. I outlined my research plans and we discussed current demographic developments in the USSR, including the unusual mortality trends, and statistical sources. During academic year 1976/77 I studied in the Soviet Union as a US participant in the official USA–USSR exchange of graduate students. I was based in the Department of the Economics of the Non-Productive Sphere (which included health) in the Faculty of Economics of Moscow State University. My supervisor was a well-known health planner, Georgii Alexeevich Popov, who had recently published a book on the economics of health in the USSR.12 I read this book and other important Soviet works carefully and discussed with him the many issues they covered. Throughout the year I collected statistics from a wide variety of Soviet sources for my socio-demographic accounting model in the areas of demography, living standards, illness rates, medical care provision, medical industry, and health finance. This was a challenging task because of the inconveniences of the general censorship system and the specific obstacles placed in my path by librarians at the Lenin Library whenever they considered that I had ordered an inappropriate book or journal. For example, in order to prepare a basic table on 1402 INTERNATIONAL JOURNAL OF EPIDEMIOLOGY Figure 1 The health production process in the USSR and Russia age-specific death rates (similar to Table 1) I had to extract material from 12 statistical yearbooks. This was because the official yearbook provided one new set of rates per year but excluded most previous ones, apparently to make it more difficult to discern trends. All data had to be copied out of publications onto paper and, since portable computers did not exist, statistical calculations had to be made with pocket calculators (Soviet shop keepers were still using the abacus). Even a cursory examination of Table 1 reveals that the USSR had rising mortality rates for most age groups. During my exchange year I had many discussions of health and mortality issues with Soviet students, scholars, and government officials, and visited numerous medical facilities. This gave me insights into the realities of Soviet health conditions and medical care (e.g. poor hygiene, chronic shortages, technological backwardness, and low quality of medical services) (see Knaus13 for an American doctor’s assessment of Soviet health in this period). My contact with colleagues in the West was negligible since email did not exist, telephone calls were carefully monitored, and post was slow. After I returned to Cambridge in summer 1977 I contacted Murray Feshbach to discuss my experiences and findings. We agreed to work together on a paper about rising mortality in the USSR, but the lack of interest of FDAD in the topic meant that it was not possible for me to obtain funding from it to support my work and it was difficult for Murray to be allocated much time in his official workday to carry out research on such a tangential topic. However, he helped me to win a small grant from the Kennan Institute for Advanced Russian Studies to work in Washington, DC for a month with him. In November 1977 I completed a detailed statistical paper on mortality and life expectancy in the USSR during 1959–75.14 In February 1978 I travelled to Washington, DC. At FDAD I met John Dutton, a graduate student at Duke University, who was completing a piece of research on the influence of excessive alcohol consumption on mortality in the USSR and had received help from Murray. We decided to avoid overlaps in our research by having Murray and I focus on infant mortality and John concentrate on adult mortality. He completed the initial draft of his paper in March 1978 and it was published in the following year.15 During my stay Murray and I produced a detailed outline of our paper, reviewed source material and wrote a newspaper article on Soviet mortality problems.16 By the summer of 1978 we had completed a first draft of our paper. In brief, it reviewed published evidence about mortality trends, considered the influences on the official infant mortality rate of improved statistical reporting and structural changes (e.g. more births in high mortality Central Asia), and used the health production process framework mentioned above to evaluate social, environmental, economic, and medical factors 0.6 1.0 1.6 2.0 2.5 3.1 3.8 5.0 7.8 10.8 17.2 24.4 64.2 10–14 15–19 20–24 25–29 30–34 35–39 40–44 45–49 50–54 55–59 60–64 65–69 70 and Over 65.8 25.5 17.2 11.1 7.9 5.1 3.9 3.2 2.6 2.0 1.6 1.0 0.6 0.8 6.9 26.1 7.3 1965/66 66.1 25.9 17.4 11.3 7.9 5.3 4.1 3.4 2.6 2.0 1.5 1.0 0.6 0.8 6.9 26.0 7.5 1966/67 66.8 26.3 17.8 11.5 8.0 5.5 4.3 3.5 2.7 2.1 1.5 1.0 0.6 0.7 7.0 26.4 7.7 1967/68 ASMR are 2 year moving averages. b Crude death rate: deaths per 1000 population. c Infant mortality rate: deaths during first year of life per 1000 live births. 2 Source: Davis and Feshbach. a 0.8 5–9 27.2 7.1 1964/65 7.2 b 0–4 0–1 c All ages Age-specific mortality rates (deaths per 1000 in the age group) a Table 1 Age-specific mortality rates in the USSR, 1964–76 67.3 27.5 18.2 12.1 8.1 5.6 4.6 3.5 2.8 2.2 1.5 1.0 0.6 0.7 7.0 25.8 7.9 1968/69 75.7 27.5 18.0 11.7 8.7 6.0 4.7 3.7 2.8 2.2 1.6 1.0 0.6 0.7 6.9 24.7 8.2 1969/70 74.9 26.9 17.9 11.8 8.7 6.0 4.7 3.8 2.8 2.2 1.6 1.0 0.5 0.7 6.7 22.9 8.2 1970/71 74.8 26.8 18.1 11.9 8.8 6.1 4.8 3.7 2.8 2.1 1.6 1.0 0.5 0.7 6.8 24.7 8.4 1971/72 75.5 27.2 18.0 12.5 8.6 6.2 4.8 3.6 2.8 2.1 1.6 1.0 0.5 0.7 7.2 26.4 8.6 1972/73 73.5 27.0 18.2 12.3 8.8 6.4 4.9 3.6 2.8 2.0 1.6 1.0 0.5 0.7 7.7 27.9 8.7 1973/74 73.3 27.4 18.3 13.0 9.0 6.7 5.2 3.7 3.0 2.1 1.7 1.0 0.5 0.7 8.2 29.4 9.0 1974/75 75.0 28.0 18.9 13.4 9.3 6.9 5.3 3.8 3.0 2.1 1.7 1.0 0.5 0.7 8.7 31.1 9.4 1975/76 117 115 110 124 119 138 139 123 120 105 113 100 100 100 130 136 132 1975/76 as % of minimum since 1964/65 REPRINTS AND REFLECTIONS 1403 1404 INTERNATIONAL JOURNAL OF EPIDEMIOLOGY that could cause increases in infant mortality through their impacts on the health of pregnant women and of infants during neonatal and post-neonatal periods. The bibliography contained over 100 sources (two-thirds in Russian language), some from quite obscure journals (e.g. Voprosy Virusologii) that had been collected either over the years by FDAD or by me in Moscow. The paper was circulated for discussion and improved in response to comments. Although our original intention had been to publish our findings in an academic journal, in early 1979 FDAD expressed a willingness to publish the paper in its highly regarded but rarely read International Population Reports series. Since Murray worked for FDAD and I was trying to cope with the requirements of my new job as a Lecturer at the University of Birmingham (Centre for Russian and East European Studies) while completing my PhD dissertation (submitted in November 1979), we agreed to go with this option for simplicity. Additional refereeing and revisions were needed to satisfy the concerns of the US Bureau of the Census (as with most bureaucracies, it was highly risk-averse) and to adapt it to the corporate style. The Davis–Feshbach infant mortality report was published in June 1980. Over the next several months there was relatively little reaction to it. The Eberstadt article and its aftermath Another young scholar, Nicholas Eberstadt, changed this. He had graduated from Harvard College in 1976, obtained a master’s degree from the Harvard School of Public Health, and from 1979 was working on a PhD dissertation. In parallel with his academic studies he wrote articles for various journals, including the New York Review of Books. Through his health work he became aware of and interested in the topic of rising mortality in the USSR and contacted Murray Feshbach in late 1979 to learn more about it (see the accompanying commentary by Nicholas Eberstadt). Murray gave him a draft of our report and he obtained a commission from the NYRB to prepare a review, which was published in February 1981. Although our report provided a focal point for his article, he developed a more general analysis of the health situation in the USSR and its implications that was of interest to many readers. By coincidence, the political and ideological environment had changed in the USA, which was reflected in the election of Ronald Reagan as President in November 1980 and an intensification of the ideological battle with the ‘Evil Empire’. This resulted in an amplification of the impact of stories about negative trends in the USSR, such as rising infant mortality. Indeed, the timing of the publication of the article was so perfect that some people thought it represented a clever propaganda operation by an omniscient and efficient US government. The topic of infant mortality in the USSR attracted both short-term media attention and new academic research. Among the initial responses in the USA was an article entitled ‘Infant mortality in the Soviet Union: Anti-Sovietism in the United States’.17 The main message of this left-wing critique of the Davis–Feshbach report and the Eberstadt article was that ‘Both publications disparagingly misrepresent the situation in the Soviet Union as regards infant mortality, health care, and other social programmes as well as social and economic conditions’. Over the next several years the general findings that mortality really had risen in the USSR and that serious health problems existed there became widely accepted in the West and a component of a new paradigm that interpreted the Soviet Union as a failing system. However, several serious articles challenged our analyses. Jones and Grupp18 observed that the growing awareness of the upward trends in mortality in the USSR resulting from the Davis–Feshbach and Eberstadt publications ‘has contributed to an abrupt reversal of Western perceptions of Soviet medicine and its system of health care’. They argued in their conclusions that this negative assessment was unwarranted because ‘it is clear that much of the highly publicized increase in reported rates between 1971 and 1974 reflected improved vital registration, not a deterioration of the medical system or of maternal and child health conditions’. A demographic study by Anderson and Silver19 concluded that ‘the evidence for a real increase in infant mortality in the Soviet Union since 1971 is weak’. In contrast, Mark Field, a renowned specialist on Soviet health, argued with respect to the rise in infant mortality that ‘we must assume that from one half to three quarters was real’.20 A characteristic of the contributions to the debate in the 1980s was that the authors had knowledge of Russian language and the Soviet system, which was necessary given the continuing lack of information in Western languages. None of the three authors of the original works under consideration played a significant role in the ensuing debate due to other commitments and evolving research agendas. Murray retired from FDAD in the early eighties to take up several academic and advisory positions and to carry out research on health and the environment in the USSR (e.g. Feshbach and Friendly21, Feshbach22). Nicholas shifted his attention back to his dissertation and went on to produce publications about demography and health in Cuba, East Germany, and North Korea (e.g. Eberstadt and Banister23). I focussed my research on several theoretical economic issues (shortage, disequilibrium, and priority) and carried out empirical work on the other institutions in the Soviet health production process (e.g. Davis24,25). The responses to the Davis–Feshbach report and Eberstadt article in the USSR were mixed. In the first half of the 1980s there was a tightening of Soviet censorship in the health field in an attempt to keep a lid on the story of deteriorating health. The official attitude toward our findings was quite critical and several Soviet publications took issue with them. The most detailed critique was published in Anitsovetizm Burzhuaznoi Demografii (The Anti-Sovietism of Bourgeois Demography).26 According to it, the Davis–Feshbach report was ‘exceedingly tendentious in its essence, but had the appearance of scientific objectivity’. Both of the publications were ‘a fundamental part of the anti-Soviet campaign, directed toward the ideological preparation of the population of the USA for the cold war’. At the unofficial level, there was considerable interest in our work and Murray and I received some favourable feedback during our trips to the USSR. Following Gorbachev’s accession to power in 1985 the Communist Party line changed substantially. The previous decade became known as the ‘era of stagnation’ and many REPRINTS AND REFLECTIONS acute social problems associated with it were identified, including rising mortality, as a result of the new policy of glasnost’ (openness). The official publication of mortality and life expectancy statistics resumed, reforms were introduced to correct problems in the health sphere, and mortality rates temporarily declined.27 Following the 1989–90 revolutions in Eastern Europe and the collapse of the USSR in 1991 health conditions deteriorated and age-specific mortality rates increased in virtually all the transition countries. Due in part to the knowledge Western analysts had about past mortality problems in the East, the new health crises were detected quickly. In the changed circumstances of democracy and openness relevant data were provided by East European/FSU governments both in national and Western languages and made easily accessible through electronic databases and the Web. Furthermore, health specialists from the countries concerned were freed from political controls and were able to engage in unhindered international cooperation. This resulted in a flourishing of studies of mortality problems in the East (e.g. Ellman28, Shkolnikov and Meslé29, Cornia and Paniccià30). Despite the many important contributions that have been made to the analysis of mortality increases in the transition countries, much remains unexplained and unexplored. I certainly continue to have a full research agenda in this area (see the list of my publications and working papers at http:// www.economics.ox.ac.uk/Faculty/). I hope that some younger scholars who read this issue will become interested in exploring the fascinating topic of health in the USSR/FSU and Eastern Europe. References 1 2 3 4 5 6 7 8 9 Eberstadt N. The health crisis in the USSR, New York Review Books 1981; February 19: 23–31. (Reprinted Int J Epidemiol 2006;35:1384–94.) Davis C, Feshbach M. Rising Infant Mortality of the USSR in the 1970s, Washington DC, US Bureau of the Census. International Population Reports: Series P-95, No. 74, 1980. of the Census. International Population Reports, Series P-91, No. 24 1975. 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 Hyde G. The Soviet Health Service: A Historical and Comparative Study. London: Laurence and Wishart, 1974. Navarro V. Social Security and Medicine in the USSR: A Marxist Critique. Lexington, MA: Lexington Books, 1977. 26 Field M. Soviet Socialized Medicine: An Introduction. New York: The Free Press, 1967. 27 Kaser M. Health Care in the Soviet Union and Eastern Europe. London: Croom Helm, 1976. Ryan M. The Organization of Soviet Medical Care. Oxford: Basil Blackwell 1978. 28 29 Feshbach M, Rapawy S. Soviet population trends and policies. In: US Congress Joint Economic Committee. Soviet Economy in a New Perspective. Washington, DC: USGPO, 1976. Baldwin G. Projections of the Population of the USSR and Eight Subdivisions, by Age and Sex: 1973–2000, Washington DC, US Bureau 1405 30 Kuhn T. The Structure of Scientific Revolutions. 2nd edn. Chicago: University of Chicago Press, 1970. United Nations, Towards a System of Social and Demographic Statistics. New York: UN Studies in Methods, Series F, no. 18, 1975. Popov GA. Ekonomika i Planirovanie Zdravookhraneniya (The Economics and Planning of the Health Service). Moscow: Izdatel’stvo Moskovskogo Universiteta, 1976. Knaus WA. Inside Russian Medicine: An American Doctor’s First-Hand Report. New York: Everest House, 1981. Davis C. An analysis of mortality and life expectancy trends in the USSR, 1959–75, Cambridge University, Department of Economics, Postgraduate Student Working Paper, 9 November 1977. Dutton J. Changes in Soviet mortality patterns, 1959–77. Popul Dev Rev 1979;5:267–91. Davis C, Feshbach M. Life expectancy in the Soviet Union. Wall Str J, 1978. Kutzik AJ. Infant mortality in the Soviet Union: Anti-Sovietism in the United States. New World Review, September–October 1981. Jones E, Grupp FW. Infant mortality trends in the Soviet Union. Popul Dev Rev 1983;9:213–46. Anderson BA, Silver BD. Infant mortality in the Soviet Union: Regional differences and measurement issues. Popul Dev Rev 1986;12:705–38. Field M. Soviet infant mortality: a mystery story. In: Jeliffe DB, Jeliffe EP. (eds). Advances in Maternal and Child Health. Oxford: Oxford University Press, 1986. Feshbach M, Friendly A. Jr. Ecocide in the USSR: Health and Nature Under Siege. New York: BasicBooks, 1992. Feshbach M. Continuing negative health trends in the Former USSR. In US Congress, Joint Economic Committee. The Former Soviet Union in Transition, Washington DC: USGPO, 1993. Eberstadt N, Banister J. The Population of North Korea, Berkeley, Institute of East Asian Studies 1992. Davis C. Developments in the health sector of the Soviet economy: 1970–90. In US Congress, Joint Economic Committee. Gorbachev’s Economic Plans. Washington DC: USGPO, 1987. Davis C. Priority and the shortage model: The medical system in the socialist economy. In: Davis C, Charemza W. (eds). Models of Disequilibrium and Shortage in Centrally Planned Economies. London: Chapman and Hall, 1989. Zhuraleva NI. Antisovetizm Burzhuaznoi Demografii (The AntiSovietism of Bourgeois Demograpy), Moscow: Mysl’, 1987. Davis C. The health sector in the economy: Illness, medical care and mortality. In: Granville B, Oppenheimer P. (eds). The Post-Communist Russian Economy. Oxford: Oxford University Press, 2001. Ellman M. The increase in death and disease under katastroika. Cambridge J Econ 1994;18:329–55. Shkolnikov V, Meslé F. The Russian epidemiological crisis as mirrored by mortality trends. In: DaVanzo J. (ed). Russia’s Demographic Crisis. Santa Monica: RAND, 1996. Cornia GA, Paniccià R. (eds.) The Mortality Crisis in Transitional Economies. Oxford: Oxford University Press, 2000.
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