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Final Slides, Feb. 10
David Bell
Keng-Hao Hsu
Kim, Sung-Geun
David Apter: Chapter 1
Toward a Theory of Modernization
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Modernization as a non-economic process
originates when a culture embodies an attitude of
inquiry and questioning about how men make
choices- moral (or normative), social (or structural),
and personal (or behavioral).
Two criteria: degree of hierarchy / degree of values
Hierarchical
Pyramidal
Consummatary
(Sacred)
A
(s-c model)
D
Instrumental
(secular)
C
B
(s-l model)
The Secular-Libertarian
Model
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Behaviorally, the ability
to reason, the ability to
know self-interest
Structurally, allow the
exercise of rationality
and the pursuit of selfinterest
Normatively, such a
system takes certain
fundamental
proprieties.
The Sacred-Collectivity
Model
• Behaviorally, it is made
up of units whose
singular characteristic
is potentiality.
• Structurally, the
political community is
the means of
translating potentiality
into some sort of
reality.
• Normatively, the
sacred-collectivity is an
ethical or moral unit.
Each of different political systems defines
conditions of choices differently
 Normative: consist of the values and priorities
that combine in a moral consensus.
 Structural: elaborates certain conditions of
choice.
 Behavioral: embodies the conditions under
which individuals and groups make particular
choices.
Figure 3
Conclusion
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The general process of modernization
provides a useful setting for revealing these
complex political matters.
In non-industrial society, politics becomes
the mechanism of integration, and authority
is the critical problem confronting the
leaders
A consideration of the political forms most
appropriate to producing and coping with
modernization
David Apter, Chapter 2:
Some characteristics of modernization
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Commercialization,industrialization
Innovation
Colonialism as a modernization force
◦ Colonialism demonstrated the role of commerce
and bureaucracy in modernization
◦ Colonialism at its best has been one very useful
mechanism for modernizing

Four main stages: the pioneering,
bureaucratic, representative, and
responsible governmental stages.
Characteristics (cont.)
Political modernization is both consequence
and cause of modernization, and this is
reflected in an appropriately changing
governmental system.
Traditionalism and development
 It is difficult to separate the strands of
traditionalism from those modernity.
 Traditionality in its various form and
patterns is an essential part of the study of
modernization.

Roles
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Roles, new or old, modified and adapted,
given new meaning by changes, ought to be
the beginning point for the analysis of
modernization
The ways roles are put together reveals
something of the moral basis of the
community and the structure as well
Roles as indicators
Modernization, Industrialization,
Development
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Industrialization is that aspect of
modernization so powerful in its
consequences, based on the use of the
machine
Modernization, as a means of identifying
those social arrangements, as a means of
observing how changes.
Development is a dramatic revolutionary
change
The special problem of equality
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Development creates inequality;
modernization accentuates it.
Inequality can be seen both as a cause of
modernization and as a result of it.
The achievement of equality is an ever
spreading moral objective in the modern
world
Intellectuals is a key indicator of the nature
of the polity during modernization
David Apter, Chatper 3:
The Analysis of Tradition

Culture never give way to the new change
◦ The varied responses of tradition to modernization
account for many of the differences in political
forms
◦ Also, this connection between tradition and
modernity is very complex
Framework for the analysis of
traditionalism
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The analytical scheme applied to modernization can be used to examine
tradition
Values - represents the normative and behavioral dimensions
◦ Instrumental: does not affect social institutions fundamentally. Rather
innovation is made to serve tradition
◦ Consummatory: every aspect of society is a part of an elaborately
sustained, high-solidarity structure in which religion is pervasive
Three types of authority
◦ Hierarchical authority: structural expression of instrumental
traditionalism - highly resistant to political but not to other forms of
modernization
◦ Pyramidal authority: expression of consummatory values - the chiefs
at each level of the pyramid have similar powers and are relatively
autonomous. resistant to all changes
◦ Segmental authority: community political relations are treated as if
they were members of a single unilinear descent group by means of
"legal fiction“, ruled by particular elders in age-grade system or by
councils appointed from the lineage representatives
Consequences of the differences in the
cases of Ghana, Uganda, and Nigeria
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Ghana (consummatory-pyramidal)
◦ Political conflicts between Westernized elites and traditional chiefs
◦ New elites defines the traditionalism as subversive
◦ "The past became dead weight on the government"
Uganda (instrumental-hierarchical)
◦ The absoluteness of the hierarchical system as "instrument"- strong
resistance to the change in political institution, but very flexible to
other changes
◦ "The prerequisite for accepting any innovation on the political level
was to find some real or mythical traditional counterpart"
Nigeria (instrumental-segmental)
◦ With individualized responses to innovation and without a central
traditional authority, the people adapted to commercial life and
transposed the localism of the community into the individualism of
the trading society
◦ The politics of the people are above all practical and economic, not
ideological and dogmatic
Conclusions
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Consummatory values make it more difficult
for systems to absorb exogenous change and
modernization
Still some of the variations can be found
among traditional systems in the face of
modernization
Joseph R. Gusfield
Joseph R. Gusfield, a longtime
member of the sociology department
at the University of California at San
Diego, is currently a fellow at the
Center for Advanced Study in the
Behavioral Sciences in California. He
is the author of The Culture of Public
Problems: Drinking, Driving, and the
Symbolic Order and Community: A
Critical Response.
http://www.press.uillinois.edu/books/ca
talog/83sbd7dy9780252013126.html
Modernization and Dependency
Theory
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“Traditional” and “modern” are neither
incompatible nor internally consistent terms
Argues that no single, uniform set of
processes brings modernity
Not simple dichotomies but
◦ Heterogeneity and interpretations to be analyzed
Modernization and Dependency
Theory

The idea of change in developing societies
as a linear movement from traditional past
toward a modernized state
◦ Involves several significant assumptions that are
questionable
◦ For example, the linear model assumes that
existing institutions and values-traditionimpedes change and are obstacles to
modernization
Modernization and Dependency
Theory

Explores the uses of tradition and
modernity as explicit ideologies in the
politics of developing nations
◦ Primarily draws on India

Explains concepts of development and
modernization as being generalized
◦ The view that tradition and innovation are
necessarily in conflict is overly abstract and
unreal
Modernization and Dependency
Theory

Fallacies in the Assumptions of traditionalmodern polarity
◦ Developing societies have been static
◦ Tradition is consistent
◦ Tradition is homogeneous
◦ Old is replaced with the new
◦ Tradition and modern forms are always in conflict
◦ Tradition and modern are mutually exclusive
◦ Modernization weakens traditions
Modernization and Dependency
Theory
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Desire to be modern--desire to preserve tradition
◦ These function as ideologies
◦ Are not always in conflict
◦ Modernization is often linked to an upsurge in
traditionalism
◦ Tradition may be changed, stretched and modified
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For new elites of developing nations its not
overcoming tradition but of finding ways to blend
modernity and tradition
Synthesis
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Golden Oldies
Readings for literary map
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Modernization as economic phenomenon
◦ Roy Harrod and Evsey Domar: Classical growth model
(Martinussen, 1997)
 Played a major role in the development debate and was
incorporated into many planning model in the late 20th
century
 Total production is a result of investment in material
production apparatus
 Output is a function of capital input
 Other conditions, including non-economic factors,
could be disregarded as irrelevant or adapting with the
economic growth
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Modernization as economic phenomenon
◦ Capital accumulation and balanced growth
(Martinussen)—capital accumulation increase
supply of goods
create increase demand
 Paul Rosenstein: “Big push” is needed for growth
 Ragnar Nurkse: “Two poverty circles”
 W. Arthur Lewis: the relationship between profit and
saving (capital accumulation)
 W.W. Rostow: Five stage theory
◦ Unbalanced growth and income distribution
 Albert Hirschman: Imbalances are inevitable
 Simon Kuznets: greater inequality as the poorest
experience growth slower than the average until a
certain range
Modernization Theory (cont.)
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Modernization as economic phenomenon
◦ John Isbister
 The task is the transformation of traditional society.
The poverty is disappearing over time. The
underdeveloped countries will follow the
developmental stages of western

Modernization as non-economic process
◦ David E. Apter: “In non-industrial society, politics
becomes the mechanism of integration”
 Importance of traditionality: The varied responses of
tradition to modernization account for many of the
differences in political forms
◦ Joseph R. Gusfield: “Traditional” and “modern” are
neither incompatible nor internally consistent terms
 Not simple dichotomies but heterogeneity and
interpretations to be analyzed
◦ Ferrel Heady
 Modernization for political development is to grow the
political capability and interlinkage of political development
with other aspects of social change with multidimensional
process.
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Modernization as non-economic process
◦ Gunnar Myrdal: A theory of social stagnation and
transformation (Martinussen)
 Non-economic factors as central factors
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Outputs and incomes
Conditions of production
Levels of living
Attitudes toward life and work
Institutions
Policies
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Wrong assumptions of modernization
◦ Valenzuela et al.
 Center-periphery dichotomy
 What varies between the developed and developing is
not the degree of rationality, but the structural
foundations of the incentive systems
◦ Andre Gunder Frank
 The difference in historical experience: the
developed were never underdeveloped!
 Five counter-arguments for modernization theory
 Global extension and unity of the capitalist system,
monopoly structure, uneven development should
deserve much more attention
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Break-down of dichotomy
◦ Dieter Senghass and Ulrich Menzel—Countries
(peripheral societies and centre) have very different
structures and patterns of transformationgeneralizations are difficult
 Internal socio-economic conditions and political institutions
are centrally important in determining whether an economy
can be transformed
 Important socio-economic variables include:
◦ A relatively egalitarian distribution of land and
incomes
◦ High literacy level
◦ Economic policies and institutions that support
industrialization

Functions of modernization
◦ Arturo Escobar
 Development proceeded by creating 'abnormalities‘
 Development fostered a way of conceiving of social life
as a "technical problem”
 Discursive homogenization (people in the Third World
are almost same: they are poor and underdeveloped
◦ Isbister
 Economic Growth in advanced capitalist countries
created the third world poverty in its wake. The cause
of continuing poverty is therefore the failure of the
third world to break its ties with the rich capitalist
countries.

Functions of modernization
◦ Samir Amin (mid-1970): Two ideal types of societal
models
 The autocentric economy—Internal production
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relations primarily determine the society’s
development possibilities
Close link between agriculture and manufacturing
Does engage in international trade
The peripheral economy—non-capitalist modes of
production of good for luxury consumption dominated
by an ‘over-developed’ export sector
Replace asymmetrical relationships with “center
countries” with regional cooperation and an internal
socialist development strategy
Escobar
Martinussen
Structuralist
& Ind Dev
Andre
Gunder
Frank
Modern
(developed)
Satellites
(Periphery)
Valenzuela
et al.
Modernization
theory
Dependency
theory
Development
World
Capitalist
system
Metropoles
(Center)
Traditional
(underdeveloped)
Gusfield
Martinussen
Growth and
Modern
Isbister
Heady
Martinussen
Underdev &
Dependency
Reference
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Martinussen, J. (1997). Society, State and Market: A Guide to Competing Theories
of Development. London: Zed Press. Chapter 4-7
Isbister, J. (1993). Promises Not Kept: The Betrayal of Social Change in the Third
World. West Hartford: Kumarian. Chapters 3 and 4
Heady, F. (1991). Public Administration: A Comparative Perspective. New York:
Marcel Dekker. Chapter 3
Gunder Frank, A. (1996). The Development of Underdevelopment. In Jameson, K.
P. and Wilber, C. (eds.). The Political Economy of Development and
underdevelopment. New York: McGraw Hill.
Valenzuela, J. S. and Valenzuela, A. (1982). Modernization and Dependency. In
Munoz, H. (ed.) From Dependency to Development: Strategies to Overcome
Underdevelopment and Inequality. Boulder: Westview Press.
Escobar, A. (1994). The Making and Unmaking of Third World Development. In
Rahnema, M. with Bawtree, V. (eds.) The Post-Development Reader. London: Zed
Books.
Apter, D. E. (1965). The Politics of Modernization. Chicago: University of Chicago
Press. Chapters 1-3
Gusfield, J. R. (1971). Misplaced Polarities in the Study of Social Change. In Welch,
C. (ed.) Political Modernization: A Reader . Belmont: Duxbury Publishers.