General Theory

Abstract

No rule, no success (Chinese proverb). There are both universals and diversity in the modernization process, and here, we focus on its generality including general rules, principles, features, and so on (Fig. 2.1).

Appendices

Summary

Modernization is a complex phenomenon with both universality and diversity. This chapter deals with the universality.

2.1.1 Core Theory of General Modernization

Modernization is a sort of civilization change, and it follows regular patterns which can only be understood step by step. There are different schools of modernization theories, which have different understandings about modernization laws. This chapter mainly deals with the core theory of general modernization, which includes the basic contents of five aspects of modernization—definition, process, result, dynamics, and models. The general modernization refers to the modernization in general sense and not to special one.

2.1.2 (1) Operational Definition

In the modernization science, there is no unified definition of modernization, but there is a variety of operational definitions. Chapter 1 has discussed the three explanations and six theoretical meanings of modernization. Operational definitions of modernization can be raised as per theoretical meanings and research needs.

Definition 1: Modernization is a type of frontier change of human civilization and international competition since the Industrial Revolution in the eighteenth century. It is the frontier process of the formation, development, transformation, and international interaction of modern civilization; the composite process of alternate innovation, selection, diffusion, and withdrawal of modernization elements; and the international competition for catching up with, reaching, and maintaining the world’s advanced level and the international differentiation thereof. Countries which have reached and maintained the world’s advanced level are advanced countries, and others are developing countries; there is mobility between the two groups of countries.

Definition 2: Modernization is the intersection of civilization development, civilization transition, and international interaction since the eighteenth century.

Definition 3: Modernization is the world frontier of modern civilization and the process and act of reaching the world frontier.

There are more definitions that can be introduced based on over three definitions. For example, based on the definition 3 above, it can be introduced: from the perspective of policy and national level, modernization refers to the world’s advanced level at present and the process to reach or maintain this advanced level.

Eight characteristics of modernization. Modernization is a sort of not only civilization change but also civilization competition; it is not only a world trend but also a social choice; it involves multiple dimensions that intersect to a very high degree; it needs to be treated from both internal and international perspectives; it has not only civilization progresses but also side effects; it has not only generality but also diversity; it involves not only international convergence but also international differentiation; and it cannot be done once and for all. Much controversy now still exists over the scopes and boundaries of the generality and individuality, modernity (universals) and particularity (diversity) of modernization.

Three criteria of modernization. Modernization is a sort of frontier change of modern civilization and must meet three conditions. In the second modernization process, it must be conducive to the emancipation and improvement of productivity without prejudice to the natural environment, be conducive to social equity and progress without hindering economic development, and be conducive to human liberation and all-round development without damaging social harmony.

2.1.3 (2) General Process

Generally, there are roughly two types of modernization process, the frontier process and the catch-up process, both of which are connected, differ, and interact with each other. The frontier process roughly has about over 20 features, which are the general manifestations of the modernization process. The catch-up process has some 12 features. Generally, historical stages cannot be leaped over, but some technical stages can be skipped.

Between the eighteenth century and the twenty-first century, the frontier process of modernization can be divided into two major stages.

The main features of the first modernization include industrialization, urbanization, and democratization; different fields have different features.

The main features of the second modernization include knowledgeablization, informatization, and greening; different fields have different features.

The first modernization is the foundation for the second modernization. The second modernization is the continuity and development of the first modernization in some aspects such as democratization, rationalization, and scientific and technological advance; in some aspects, it is the “reversion” or transition of the first modernization, for example, from industrialization to deindustrialization, from centralization to decentralization, and from ecological destruction to environmental protection; and in some aspects, it is innovation, for example, knowledgeablization, informatization, and networking. The coordinated development of the first and second modernization and the transition toward the second modernization mark the integrated modernization.

If we say that modern civilization can be divided into two stages, primary modern civilization and advanced modern civilization, then industrial civilization is the primary modern civilization, and knowledge civilization and ecological civilization are the advanced modern civilization. If we say that the first modernization is the transition from traditional to primary modern civilization, then the second modernization is the transition from primary modern to advanced modern civilization; the integrated modernization is the coordinated development of the first and second modernization and the continuous transition toward advanced modern civilization.

Modernization of civilization contents is an essential part of the modernization process. Generally, it is a composite process of the alternate innovation, selection, diffusion, and withdrawal of civilization elements, with the prominent feature being the diversified paths and forms.

Modernization of civilization forms is an essential part of the modernization process. Generally, it is a composite process of the formation, development, transition, and international interaction of modern civilizations, each aspect of which has a diversity of paths and forms.

The change of the international system is an essential part of the modernization process, including changes in its structure and level.

Modernization follows ten basic principles: asynchronous process, unbalanced distribution, structural stability, changeable status, predictable behavior, optional path, increasing needs, decreasing effectiveness, unrepeatable state, and changing axis (Table 2.15).

2.1.4 (3) General Result

According to the theoretical meanings and empirical study of modernization, the outcomes of modernization include the formation of modernity, particularity, and diversity; the improvement of labor productivity and quality of life, social progress, political democracy, cultural diversity, ecological change, and all-round human development; the international differentiation, national stratification, and side effects; and the changes in the world frontier, international system, and national state.

Modernization outcomes are closely related to not only the time span of the modernization process but also its start, end (end point for analysis), and geographic coverage, as well as modernization goals.

The main outcome of the first modernization process is the formation of first modernity, particularity, diversity, and side effects. The main features of the first modernity include industrialized, urbanized, democracy, rule of law, rational, secular, centralization, mobility, marketed, social welfare, special, high efficiency, opening, liberty, equality, modern science and energy, mass communication, and universal compulsory education. The side effects of the first modernization include, among other things, environmental pollution, differentiation between the rich and poor, economic crisis cycle, and weakening human relationship.

The main outcome of the second modernization process is the formation of second modernity, particularity, diversity, and side effects. The main features of the second modernity in 2005 included knowledge intensiveness, information intensiveness, networking, intellectualized, global, innovation, individual, diversified, greening, ecological awareness, risk, urban–rural balance, environmental friendliness, lifelong learning, and universal higher education. Currently, the side effects of the second modernization include cybercrime, information divide, international risk, and widening inequality.

From the theoretical perspective, national modernization has three main objectives: completing the first modernization, effecting the transition from agricultural to industrial civilization; completing the second modernization, effecting the transition from industrial to knowledge civilization; and catching up with, reaching, or maintaining the world’s advanced level. The realization of the first two objectives is a “matter of time,” and all countries may complete them early or late; the realization of the third objective is a “matter of percentage and probability,” and only a portion of countries could reach and maintain the world’s advanced level. Advanced country is of the minority, while developing country is of the majority in the world.

From the policy perspective, national modernization has two main objectives: internal goal is improving productivity and the quality of life, promoting social equity and progress, promoting all-round human development, and promoting the symbiosis of man and nature; international goal is about the status that advanced countries’ policy objective is to maintain the world’s advanced level, while developing countries’ policy objective is to catch up with and reach the world’s advanced level.

The connection between objectives and outcomes of national modernization was reinforced gradually. Before 1950, there was generally no relationship between the outcomes and objectives of the national modernization process. From 1960 onward, the modernization outcomes and objectives of developing countries were closely connected. Since 1970, modernization theories have begun influencing advanced countries’ policy objectives. The relationship between modernization outcomes and objectives will become increasingly close.

2.1.5 (4) General Dynamics

The analysis of the driving forces in the process of modernization can be conducted at micro- and macrolevels, involving dynamic factors and mechanisms.

Dynamic factors of modernization include innovation, competition, adaptation, exchange, national interests, market demand, etc.

Dynamic mechanism of modernization include innovation drive, triple-innovation drive, two-wheel drive, associative action, four-step hypercycle, complete interaction of three types of civilization, innovation diffusion, innovation spillover, competition drive, and productivity function (Table 2.20).

2.1.6 (5) General Models

Both civilization and modernization involve multiple paths. Modernization has path diversity, model diversity, and path dependency.

The modernization process roughly has three basic paths, many subdivided paths, forked paths, and more than 50 element mix models.

The three basic paths are the first modernization path, the second modernization path, and the integrated modernization path from theoretical perspective, each having a unique direction and structural features; they are the “envelope curves” of these paths for fields, sectors, and civilization contents and forms.

Subdivided paths, also known as subpaths, are a group of paths, out of the basic paths, that have a consistent direction but different structural features.

Forked paths are paths that seem to lead to modernization objectives but virtually cannot reach them.

Countries in the twenty-first century can choose one of the three basic paths. If a country choose to finish the first modernization first and then the second modernization, then the first stage is the first modernization path and the second stage is the second modernization path. The practice may also be named as the catch-up modernization path for short.

There are three paths from policy perspective: second modernization path, integrated modernization path, and catch-up modernization path. The former one is applicable to the countries that have completed first modernization or entered second modernization, while the latter two are applicable to the countries that have not yet finished the first modernization.

2.1.7 Modernization and National Advance

Countries are the basic units of modernization movement. In the process of modernization, the grouping and stratification of countries and the international differentiation exist as objective phenomena. Countries are grouped into advanced countries and developing ones according to their levels of national modernization.

First of all, on national advancement. The national advancement is an objective phenomenon that in the process of modernization. A portion of countries that have reached and maintained the world’s advanced level and become advanced countries, and other countries became developing ones, and there is mobility between the two groups of countries in the modernization process. On national level, it is a process of national development by which to reach and maintain the world’s advanced level, along with the change of national status. On international level, it is a process of international differentiation, in which a group of countries become advanced countries and other countries became developing ones.

Second, on classification of advanced countries. Generally, countries can be divided into different groups based on their levels of modernization at national, field, and indicator layers. The criteria in 2005 included the level of national modernization and the level of modernization in major fields standing at the world’s top 20 and the SMI, IMI, and modernization indexes in major fields reaching or exceeding 80 (80% of the average level of high-income countries). Not every field and every index of advanced countries are advanced; developing countries may also have reached the world’s advanced level in some fields or in terms of some indexes.

Third, on the percentage of advanced countries. Over the past 300 years, the percentage of advanced countries has been below 20% and that of developing ones has been above 80%.

Fourth, on the change in the status of advanced countries. In a span of 50–100 years, the probability that an advanced country is downgraded to a developing one is about 10%, and the probability that a developing country is upgraded to an advanced one is about 5%.

2.1.8 General Principles of National Advance

The phenomenon of national advancement is both a complex one which needs analysis from different perspectives and also an attendant one to the modernization process, so it can be interpreted based on the modernization theory.

First, national advancement is an objective phenomenon and the result of national modernization, international competition, and international differentiation. In the process of modernization, advanced countries are those that have reached and maintained the world’s advanced level of national modernization, and others are developing countries; the percentage of advanced countries is generally below 20% and that of developing countries is above 80%; there is mobility between the two groups of countries.

Second, national advancement is in positive correlation with the national level. In general, the level of a country is in direct ratio to the country’s percentage of innovation value, and in reverse proportion to its percentage of labor value; is in positive proportion to its percentage of materialized labor and effective labor, and in inverse proportion to that of living labor and ineffective labor; is in direct proportion to its percentage of effective investment and advanced assets, and in reverse proportion to that of ineffective investment and primary assets; and is in positive proportion to its percentage of advanced technologies, and in reverse proportion to that of backward technologies.

Third, national advancement is of duality: relative stability and mobility. For example, the probability that in a span of 50 years advanced countries maintain an advanced level is about 90%. Advanced countries may be downgraded to developing ones, with a probability of approximately 10% in a span of 50 years; developing countries may be upgraded to developed ones, with a probability of approximately 5% in a span of 50 years.

Fourth, national advancement has three criteria: advanced productivity, social progress, and all-round human development. National advancement is first manifested as having advanced productivity; only those with the world’s advanced levels of productivity, social progress, and human development are advanced countries. The fourth criterion is environmental friendliness, which requires the healthy development of both economy and the environment, as well as the mutualism between man and nature.

Fifth, national advancement involves three driving forces: innovation, learning, and competition. In technological aspects, advanced countries emphasize both innovation and learning, with the latter playing a more prominent role in developing countries. In institutional aspects, advanced countries stress both fair competition and rational regulation, and developing countries should ensure moderate and progressive regulation on market competition and income distribution.

Sixth, general methods of national advance. Generally, the method of achieving national advancement is to follow the basic principles of modernization and national advancement and choose the right modernization path, strategies, and measures based on national conditions and the international environment. There are not only similarities but also differences for the methods to the advanced and developing countries. Different paths, models, and priorities may be chosen in different periods in different fields. From the theoretical perspective, advanced countries do need to reach and maintain the world’s advanced level in the six fields, i.e., economic, social, political, cultural, ecological, and human modernization; from the policy perspective, advanced countries should keep the world’s advanced level in three aspects such as the advanced productivity, social progress, and human development.

Further Reading

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