Chapter 3　Relationship Between Civilization and Modernization：A Theoretic Explanation

As we know that modernization is a progress of civilization, but so far there is no unified definition neither of civilization and modernization. Generally, human beings emerged around 2.5 million years ago[1]，human civilization appeared around 5500 years ago[2]，and modernization took place in the 18th century[3].From the perspective of operation, civilization is the high level stage of human development, and the sum of a-chievements of human development since 3500 B.C.E.；modernization is a world trend, and one kind of profound changes of human civilization since the industrial revolution in the 18th century[4].This paper will focus on the relationship between modernization theories and human civilization processes.

Stages of World Modernization Process

The history of world modernization is the part of human civilization process, and the stage divisions of mod-ernization and civilization process should coordinated each other. There is no consensus on the process and stages of the world modernization[4～13]（Figure 3-1）.

Firstly, there are three ideas on the initiation of world modernization：（a）The science revolution in 16～17th century was the starting point；（b）The Enlightenment in the 17～18th century was the beginning；（c）The Industrial Revolution of Britain and French Revolution in the 18th century was the initial point.

The word“modernization”appeared in the 18th century（1748～1770），and the modernization studies happened in the 20th century.The China Modernization Report regarded the Industrial Revolution in the 18th century as the beginning of world modernization[14]，and process studies of world modernization covered the period since the 18th century（1700）[15].

Secondly, there are seven ideas on the stage divisions of world modernization process（Table 3-1）. Ac-cording to the last three ideas, there are two stages of world modernization（although the name and contents of two stages are different in different schools），and the beginning of second modernization was about 1970（information&knowledge revolution）（Figure 3-2）.

Note.The stage divisions of world modernization and human civilization were based on the track of the forerunner of the modernization and civilization, the time of the division was relative.The development of different countries and regions was asynchronous.

Table 3-1　Stage Divisions of World Modernization

The process of world modernization will sustain about 400 years from the 18th to the 21st century, and the two stage divisions of the process were not detail enough for the modernization study. The each of the two stages should be cut into the small phases.

The China Modernization Report 2005[15]put forward the six waves of economic modernization, and the China Modernization Report 2006[19]suggested six waves of social modernization（Table 3-2）. In summary，the process of world modernization should include prepared period, first modernization and second moderni-zation, and the first modernization included three waves, the second modernization also included three waves（Figure 3-2）.

Note.The stage divisions and the six waves of world modernization process were based on the track of the forerunner of the modernization.The fifth and sixth waves were some kind of forecast.The modernization of different countries and regions was asynchronous.

Table 3-2　Six Waves of the World Modernization

Note.The six waves of the world modernization were based on the track of the forerunner of the modernization, and there are six ages based on the technological progress at the same time, they are machine era, electric era, electronic era, infor-mation era, regeneration era and astronautic era.The fifth and sixth waves were some kind of forecast.The modernization of different countries and regions was asynchronous.

Source.Research Group for China Modernization Strategies et al.，2006[19].

Thirdly, Modernization is both a world trend and a social choice. Who accept the modernization, who will pursue modernization, and the process of modernization is asynchronous among them.Who cannot ac-cept modernization, who will keep their traditional or existing life mode；although the social changes will take place, the gap of material life between their and of the forerunner of human civilization will become big-ger and bigger.

Evolution of Modernization Theories

Generally, modernization emerged in the 18th century, modernization study took placed in the 20th century, and classical modernization theory begun to take shape in 1950～60s, but the central ideas of the moderniza-tion could trace back to the 18th century or more early（Figure 3-3）.In the second half of the 20th century, there were three waves of modernization studies in the world（Figure 1-1）which brought forth a host of mod-ernization theories[13]，such as the classical modernization theory, the post-modernization theory, the ecolog-ical modernization theory, the reflexive modernization theory, the multiple modernities theory and the second modernization theory（Figure 3-4），etc.All these theories have different interpretations of the civilization process.

Note.The contents in the blue box were added by the author of this paper.

Source.Harrison，1988[20].

The“modernization theory”enjoyed both uninterrupted criticism and new development since 1970s. For example, the thoughts of the international interaction in the process of world modernization coming from the dependence theory and world system theory were very important issues, but the classical modernization theory did not pay much attention to that.The thinking and results on the postmodern studied and new mod-ernization studies should be regarded as the new development of the modernization study and theory.

Modernization Theories and Human Civilization Process

Classical modernization theory and human civilization process

Some scholars began modernization studies in the 1950s and 1960s and published some works. They includ-ed The Social System（1951）[29]，The Passing of Traditional Society：Modernizing the Middle East（1958）[31]，The Politics of the Developing Areas（1960）[59]，The Stages of Economic Growth（1960）[17]，The A-chieving Society（1961）[60]，The Politics of Modernization（1965）[36]，Modernization：Protest and Change（1966）[37]，The Dynamics of Modernization（1966）[5]，Modernization and the Structure of Society（1966）[38]，Political Order in Changing Society（1968）[42]，and The System of Modern Societies（1971）[43]，Be-coming Modern：Individual Changes in Six Developing Societies（1974）[45]in the early 1970s and so on.With these works, the modernization theory was basically formed.Instead of being a single theory, the mod-ernization theory is a general term for the theoretical results of world modernization studies done by scholars in various fields[20].It was called as the classical modernization theory.

Generally, the classical modernization theory contains five basic elements（Table 3-3）：the theoretical implications of classical modernization, the laws and features of classical modernization process, the results of classical modernization（modernity），the dynamics and modes of classical modernization.

Table 3-3　Basic Elements of Classical Modernization Theory

Source.Research Group for China Modernization Strategies et al.，2004[29].

So far, there has been no unified definition for modernization. In general, modernization has three in-terpretations：basic meaning, theoretical implications and policy implications.The classical modernization theory believes that modernization is a historical process of the transformation from traditional agricultural so-ciety to modern industrial society and its changes.It both occurs in the pioneering countries and also exists in the process in which the late-coming countries try to catch up with the advanced level.

American scholar Professor C. E.Black holds that the changes of human affairs experienced three great revolutionary transformations[5]：the first great transformation from pre-human to human society, the second great transformation from primitive society to civilized society and the third great transformation from tradi-tional civilized society to modern society.The third transformation is the process and changes of moderniza-tion（Figure 3-5）.

According to the classical modernization theory, the development of human civilization comprises three major periods：primitive society, traditional agricultural society and modern industrial society. Modernization is a process and the changes of transformation from traditional agricultural civilization to modern industrial civilization.

Post-modernization theory and human civilization process

The industrial countries completed classical modernization and began entering a development period af-ter classical modernization as early as in 1960s. Some people called this development period“post-mod-ern”[51].The scholars noticed three phenomena.

Note.Based on the American scholar Cyril Black's viewpoint（1966）.

（1）The industrial economy is not the climax of world economic development and the economic devel-opment in the developed industrial countries has shifted from industrialization to de-industrialization, with a constantly falling proportion of the industrial economy and a constantly rising proportion of the service econo-my.

（2）Industrial society is not the end of the development of human society and the social development in the developed industrial countries has begun shifting from urbanization to de-urbanization, in which urban population moves to the suburban areas and to the towns and townships.

（3）The industrial civilization is not the end of the civilization process and the developed industrial countries do not stop where they are and their development has surpassed and will continue to surpass the pe-riod of industrial civilization. Obviously, the classical modernization theory cannot interpret these new devel-opments.In 1970s and 1980s, the academic trends prefixed with“post-”became popular in American and European countries.The post-modernization theory is a collection of all these trends.The post-modernization theory comprises post-industrial society, post-modernism and post-modernization.

American scholar Professor D. Bell published the book entitled The Coming of Post-Industrial Society（1973）[6].To Bell, the development of human society comprises three periods：pre-industrial society, in-dustrial society and post-industrial society.The transformation from industrial society to post-industrial socie-ty involves some different phases.The United States already entered the first phase of post-industrial society in 1970s.Post-industrial society does not replace industrial society.Instead, it eliminates some original characteristics of industrial society and adds some new features.

If the classical modernization theory describes an industrialized world for us, the post-modernization the-ory explores the development after industrialization. The post-modernization theory holds that the transforma-tion from traditional society to modern society（from agricultural society to industrial society）is moderniza-tion and the transformation from modern society to post-modern society（from industrial society to post-indus-trial society）is post-modernization.The result of post-modernization is post-modernity, and post-moderniza-tion will be followed by“post-post-modernization”[8].

According to the post-modernization theory, the development of human civilization also comprises three major periods：traditional society（pre-industrial society），modern society（industrial society）and post-modern society（post-industrial society）[9]. If traditional society（pre-industrial society）is regarded as ac-tually comprising the two periods of primitive society and traditional agricultural society, the development of human civilization can be divided into four periods.

New modernization theories and human civilization process

In 1980s and 1990s, modernization studies produced many new ideas. They included the ecological modernization theory by Professor J.Huber（1985）[53]，the reflexive modernization theory by Professor U.Beck（1986）[9，10]，the continuous modernization by Professor W.Zapf（1991）[54]，the new modernization by Professor E.Tiryakian（1991）[55]，the multiple modernities by Professor Eisenstadt（1998）[57，58]，and the second modernization theory by Chinese scholar Professor Chuanqi He（1998）[4，11～13].

According to the ecological modernization theory, the transformation from agricultural society to industri-al society is modernization and the transformation from industrial society to ecological society is ecological modernization. Ecological modernity is the characteristic of ecological society.

According to the reflexive modernization theory, the transformation from agricultural society to industrial society is simple（orthodox）modernization, and the transformation from industrial society to risk society is reflexive modernization. The modernity of industrial society is general modernity, and the modernity of risk society is reflexive modernity.General modernity is the first modernity, while reflexive modernity is the sec-ond modernity[13].

Professor Zapf holds that a modern industrial society can continue to pursue modernization. Professor Tiryakian suggested the modernization of modern industrial society is the new modernization.The multiple modernities theory believes that modernity is a civilization and a modern industrial society has cultural diver-sity.

In 1998，Chinese scholar Chuanqi He published two papers on knowledge economy and second modern-ization[11，12]，and advanced the second modernization theory. Seven books on the second modernization have been published since 1999，and ten issues of the China Modernization Report have been published since 2001.In these books and reports, he systematically explained and examined the second modernization theo-ry, a new theoretical model established by inheriting the scientific components of the classical modernization theory, the post-modernization theory and other new modernization theories.The second modernization theory is both a general theory of modernization and also a theory of civilization development（Figure 3-6）.

The second modernization theory is a theory of civilization development and can be called the civiliza-tion periodic acceleration theory. It has the following three basic views.

（1）The periodic table of the process of human civilization. From the emergence of mankind to the year 2100，human civilization experiences four far-reaching revolutions：the tool-making revolution, the agricul-tural revolution, the industrial revolution and the knowledge revolution.The civilization process progressively goes through four ages：the tool age, the agricultural age, the industrial age and the knowledge age（Table 3-4）.Each era comprises four phases：the starting phase, the developing phase, the mature phase and the transitional phase.In all, the process of human civilization comprises four eras and 16 phases（Table 3-5）.Civilization development is both periodic and accelerative.The knowledge age is not the end of civilization process.Human civilization will develop further from there.

Table 3-4　Four Ages of Human Civilization Process

Figure 3-6　Structure of the Second Modernization Theory[13]

Note.The stage divisions of human civilization process were based on the track of the forerunner of the civilization, the time of the division was relative.The civilization of different countries was asynchronous.

Source.He，1999[4].

（2）Coordinate system of human civilization process（Figure 3-7）. Human civilization process is asyn-chronous, and different countries have different performances in civilization process.If the four ages of civili-zation are taken as the abscissa and the level of social development is taken as the ordinate, we can establish a coordinate system for civilization process, in which different countries can find their locations in this sys-tem.

Tab le 3-5　P erio dic Tab le of Hu man Civi liza tion Pro cess

NOte.T he tim eof Chr ono log ya nd tim esP an is sat aCC ordi ng to the dev eloP men tP has es oft he fore run ners in hu man Civil izat ion.Ci viliz atio nd evel oP-men tis asy nCh ron ous bet wee ndi ffer ent nati ons and Cou ntri es.T he m refe rs to milli on.

SOu rce.H e，199 9[4].

Note.P, A，I and K refer to primitive, agricultural, industrial, and knowledge respectively.S, D，M and T refer to the starting, developing, mature and transitional phase respectively.The civilization time was the time based on the track of the forerunner of the civilization.Civilization development is asynchronous among different countries and regions.The m refers to million.

Source.He，2003[13].

（3）Road map of human civilization process（Figure 3-8）. Human civilization process is not linear.While social productivity rises, several turns occur to the direction of development and the structural changes of productivity.The process rises“spirally”or showing a zigzag-shaped development.

The second modernization theory is a modernization theory, called the general theory of modernization（or the twice modernizations theory, or two-step modernization theory）. It includes five basic elements（Ta-ble 3-6）：the theoretical implications of general modernization, the laws and features of general moderniza-tion process, the results of general modernization（two types of modernity），the dynamics and modes of gen-eral modernization.

Note.The central axis of human civilization had transferred three times, and four ages of the process of human civilization would be set, and so the different structure of civilization appeared in different age.The structure of productivity is taken as the horizontal axis and the level of productivity is taken as the vertical axis.The unit of abscissa scale is the ratio of the non-hunting-gathering to hunting-gathering labor in primitive culture, the ratio of the non-agricultural to agricultural labor in agricultural civilization, the ratio of the industrial to non-industrial labor in industrial civilization, and the ratio of the non-knowledge to knowledge labor in knowledge civilization.

Source.He，2003[13].

Table 3-6　Basic Elements of the Second Modernization Theory

Source.Research Group for China Modernization Strategies, et al.，2004[61]，2010[62].

In general, modernization refers to the profound changes of human civilization since the Industrial Revo-lution in the 18th century, the complex process of the formation, development, transformation and interna-tional interaction of modern civilizations, and the complex process of the alternate operation of the innova-tion, selection, diffusion and recession of civilization elements. It includes the historical process and its changes of the transformation from traditional to modern society, economy, politics, culture and also the in-ternational competition in which different countries try to catch up with, achieve and maintain the world's ad-vanced level.In short, modernization is a mixture of the development, transformation and international com-petition of civilizations, a quartet of innovation, selection, learning and elimination of civilization elements, and it appeared both in the forefront and late-coming countries of the human civilization.

World modernization is a long historical process. From the 18th century to the end of the 21st century, the 400 years process of world modernization can be divided into two major periods：First and second mod-ernization.The first modernization refers to the transformation from agricultural to industrial civilization and age, and includes the transformation from agricultural to industrial economy, society, culture and so on.The second modernization refers to the transformation from industrial to knowledge civilization and age, and in-cludes the transformation from industrial to knowledge economy, society and culture, and from material cul-ture to ecological culture and so on.The second modernization does not represent the end of human history, and new modernizations will emerge in the future.

The result of first modernization is the crystallization and diffusion of the first modernity, featuring in-dustrialization, urbanization, democratization, bureaucratization, institutionization, rationalization, seculari-zation, mechanization, electrification, automation, marketization, standardization, differentiation and inte-gration, mobilization, generalization, concentration, social welfare, de-agriculturalization（declining of the rate of the agricultural value added and labor in the GDP and all labor），modern science and energy, mass communication and universal compulsory education, etc.

The result of second modernization is the crystallization and diffusion of the second modernity, featuring knowledge-intensive（process and act of becoming knowledge-intensive），informatization（information-inten-sive），service-intensive, networking, digitalization, globalization, innovation-drive, individualization, di-versification, pluralism, deconcentration, greenization（process and act of greening），ecologization（process and act of making suitable for ecological law），dematerialization, de-industrialization（declining of the rate of the industrial value added and labor in the GDP and all labor），suburbanization, urban-rural equilibrium，life-time learning and universal higher education（Table 3-7），and so on at present.

Table 3-7　The Traditionality, Modernities and the Universals of Human Civilization

Note.The universals of human civilization refer to the civilization elements existed continually in the process of human civ-ilization, although the connotations and characteristics of them may be changeable.

Source.He，2003[13]；North，1981[63]；Brown，1991[64].

In the process of first modernization, economic development is the first priority, and coupling with envi-ronment degradation. In the process of second modernization, the quality of life is the first priority, the e-conomy and environment become mutual benefit each other.While the quality of material life may converge, the spiritual and cultural life will become highly diversified.The developing countries may adopt the road of developing the first and the second modernization in a coordinated way, or the road of integrated moderniza-tion.

World modernization observes 10 basic principles：the principle of asynchronous process, the principle of uneven distribution, the principle of stable structure, the principle of changeable status, the principle of predictable behaviors, the principle of selectable paths, the principle of progressive demand, the principle of decreasing return, the principle of non-repeatable state and the principle of changing central axis. Specific-ally, the process world modernization is asynchronous, the spatial distribution of the levels and elements of modernization is uneven, and the structure of the distribution of the levels of world modernization is relatively stable.However, the relative status and relative disparity of a country in the process of world modernization can change and such changes occur with regularity.As far as the relative level is concerned, about 90 per-cent of the developed countries in the world will continue to be developed in 20 years, about 90 percent ofthe underdeveloped countries will remain underdeveloped and about 10 percent of the moderately and prelim-inarily developed countries will see a rise in their status ranking, and about 20～30 percent of the countries will see a decline in their status ranking.

According to the second modernization theory, first modernization is in fact the classical modernization and second modernization is an ongoing new modernization. In a sense, if post-modernization reflects the transition from first modernization to second modernization, the post-modernization theory is a“theoretical transition”from the classical modernization theory to the second modernization theory.The ecological mod-ernization theory and the reflexive modernization theory can be regarded as different theoretical interpretations of second modernization.

In our 2003 evaluation of the 1960～2000 modernization process in 131 countries around the world[65]，we found that by 1960，about 14 countries had completed classical modernization.By 2000，about 61 coun-tries completed or basically realized classical modernization，24 countries had entered the period of second modernization among them, and more than 60 countries were yet to complete classical modernization，10 countries remained in traditional agricultural society and some indigenous ethnic groups were still living in primitive society.This is an indication that the second modernization theory has factual grounds.

Conclusions

Modernization is a progressive change of human civilization since the 18th century

In general, modernization has four layers of theoretical implications.

First, modernization is the progressive change of human civilization since the Industrial Revolution in the 18th century, which is composed of the changes of the activity, behaviour, process, content, structure, system and idea of human civilization. It includes the formation, development, transformation and interna-tional interaction of modern civilizations, the innovation, selection, diffusion and recession of civilization el-ements and so on.It took place in the fields of economy, society, politics, culture, environmental manage-ment and individual behaviors, and happened both in the forefront and late-coming countries in the process of human civilization.

Next, modernization is a historical process since the 18th century. It is a complex process of the forma-tion, development, transformation and international interaction of modern civilizations, a complex process of the alternate operation of the innovation, selection, dissemination and recession of civilization elements.In the 400 years from the 18th century to the end of the 21st century, the process can be divided into two major periods：first and second modernization.The first modernization refers to the process of the transformation from agricultural to industrial civilization, and includes the transformation from agricultural to industrial e-conomy, society, culture and so on.The second modernization refers to the process of the transformation from industrial to knowledge civilization, and includes the transformation from industrial to knowledge econo-my, society and culture, from material to ecological culture and so on.

Third, modernization is an international competition in which different countries try to catch up with, a-chieve and maintain the world's advanced level.

Fourth, modernization can be viewed from both the absolute and relative perspectives. The domestic change and progress of modernization is absolute modernization, while the international comparison and sta-tus change of modernization is relative modernization.

Modernization is a trend to human beings and a choice to different people. If you did not embrace or simply refused the modernization, the gap of material life between yours and that of people living at advanced level of the world would increase noticeably.

Modernization theories describe the human civilization process since the 18th century

The modernization theories are the systematic expositions of the characteristics and laws of world mod-ernization process. Since the 1950s, there have been three waves of modernization studies and many modern-ization theories have been produced.Different theories have different interpretations of civilization process.

First, the classical modernization theory describes the transformation of human civilization from tradi-tional agricultural civilization to modern industrial civilization.

Next, the post-modernization theory, the ecological modernization theory and the reflexive moderniza-tion theory describe the civilization development after the industrial age. Specifically, the post-modernization theory describes the transformation from industrial society to post-industrial society, the reflexive moderniza-tion describes the transformation from industrial society to risk society, and the ecological modernization the-ory describes the transformation from industrial society to ecological society.

Third, the multiple modernities theory reflects the cultural diversity of modernization process.

Fourth, the second modernization theory explains the four ages and 16 phases of human civilization process and two modernizations. The Yangtze River Model of human civilization process can be analyzed by the second modernization theory.This model is also a practical example for the second modernization theo-ry[13]，which represents the unity between the human civilization theories and the modernization theories.

The relationship between modernization and civilization and the theoretical analysis of modernization provide a theoretical and historical foundation for the China Modernization Report.

Chuanqi He（China Center for Modernization Research, Chinese Academy of Sciences）

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