【作者】 徐继承；

【导师】 邢来顺；

【作者基本信息】 华中师范大学 ， 世界史， 2012， 博士

【摘要】 德国是继英国之后第二个实现城市化的国家,它的城市化与工业化的时间大致相同。随着19世纪30、40年代工业革命的兴起,德国近代城市化也初现端倪。19世纪的最后三十年,在高速工业化的推动下,城市化呈现出强劲的发展态势,到1910年,德国城市化率已达60%,基本实现城市化。德意志帝国时期城市化是工业化与城市化良性互动发展的典型案例。系统研究这一时期的城市化,对揭示城市化的发展规律、探讨城市化与工业化的互动关系具有重要的理论意义,不仅可以丰富经济社会史与城市史的研究内容,也为后发国家的城市化提供有益的借鉴。目前,国外学者尤其是德国学者,对德国城市化进行了大量研究,而国内学者对这一重大学术问题的研究仍处于起步阶段,无论从研究广度还是从研究深度都没有足够重视这一问题,需要对德国城市化进行系统深入的研究。在研究德意志帝国时期城市化之前,首先应对城市化的概念进行界定,并在此基础上对德国城市化的研究现状进行梳理。城市化不仅是社会经济发展到一定阶段的产物,也是工业革命以来城市受产业结构转型、地域转化与人口增长驱动发展的必然结果。城市化不同于以往任何时期的城市发展,主要指城市在人口规模、空间分布、产业结构和社会生活方式等方面发生急剧变化,逐渐成为社会经济活动的主导,进而导致人类生产生活方式和居住方式由农村性状态向城市性状态的改变,并不断地向深度和广度推进,最终实现城乡一体化的过程。城市化的基本理论主要包括城市化进程的阶段性规律,经济发展与城市化的双向互推共进规律,农村人口向城市转移的“推拉理论”。本文详细论述德国城市化研究的发展脉络,系统梳理国外学者对德国城市化的总体研究概况,集中关注德国城市化相关研究问题的最新进展。根据戴维·诺瑟姆城市化进程的阶段性规律,德国近代城市化进程主要包括初始阶段(也称启动阶段)、加速阶段和成熟阶段。目前史学界认为,1815—1840年间是近代德国城市化的准备阶段,1840—1871年间则是德国近代城市化启动阶段界。笔者认为德国近代城市化发端于19世纪40年代。随着19世纪30、40年代德国工业化的兴起,也拉开了城市化的序幕。1834年德意志关税同盟的建立,不仅促进了商品与贸易发展,统一了国内市场,也推动了德国工业化的快速发展。随着市场的扩大与工业化的兴起,城市与乡村的经济发展差距持续增大,同时城市人口不断增长,城市规模不断扩大,城市数量不断增加。这一时期德国各地区城市化发展不平衡现象明显加剧。西部莱茵、威斯特发仑与中、东部地区的城市化发展差距持续增大。德意志帝国时期城市化主要包括城市人口的增长、空间结构的变化、产业结构的转型以及发展动力。这一时期德国城市人口增长主要由城市人口的自然增长、外来移民以及合并行政区增加的人口三部分构成。大城市人口增长最快,中等城市次之,小城市增长最慢。与此同时,不同类型城市的人口增长幅度也各不相同。以重工业与机器制造业为主导产业的城市以及综合性大城市的人口呈现出强劲的发展态势；大学休闲城市、军事要塞城市的人口增长幅度明显低于德国的平均水平；商业贸易城市的人口增长幅度则接近德国的平均水平。从区域分布来看,西部地区与勃兰登堡地区的城市人口增长强劲,而易北河以东地区的城市人口增长则较慢。总体上看,这一时期德国城市的人口增长模式初步实现了由人口自然增长为主向以净移民为主的转变。城市的空间分布也出现了重大调整,呈现出区域差异凸显、发展重心西移、“分散化集中型”的区域分布格局。城市内部结构也呈现出工业区、商业区与居住区分离的趋势。在城市化过程中德国的产业结构实现了由以农业主导向以工业主导的转变。产业结构转型往往反映在各产业部门之间产值、就业人员、国民收入比例变动的过程上。受城市产业转型的影响,城市职业结构也发生了显著变化,非农产业的就业比重已占优势。城市专业分化趋势日益明显,初步形成了工业城市、交通枢纽城市、综合性城市等三大专业城市。区位因素成为了这一时期影响城市发展的重要因素。在高速工业化的推动下,城市之间的内在联系不断增强,以莱茵鲁尔为代表的城市群也初现端倪。德意志帝国时期城市化呈现出大城市化优先增长与区域发展不平衡的特点；不同主导产业的城市的发展速度相差较大；与其他发达国家相比,大城市的首位度低,德国的中小城市多,分布比较均匀。农业生产率的提高为农村剩余劳动力向城市转移提供了前提条件。高速工业化是德国城市化发展的根本动力,为农村剩余劳动力提供了就业机会,而就业人口的增加必然导致城市规模的扩大,进而推动城市发展。制度变迁为城市化的发展提供了可靠的保障。在德国统一后颁布的《德意志帝国宪法》中,明确规定了人们拥有自由迁移的权力。19世纪80年代,德国开创的社会保障制度为德国城市稳定、持续、快速发展创造了有利条件。综上所述,本文从城市的人口增长、空间变化、产业转型、发展动力等层面详细论述德意志帝国时期城市化。这一时期城市化与高速工业化密切相关,具有区域发展不平衡,大城市优先发展、城市首位度低的特点。更多还原

【Abstract】 As the second country to achieve the urbanization after Britain, Germany urbanization synchronized roughly with its industrialization. With the rise of the industrial revolution in the 1830s and 1840s, its modern urbanization was also on the horizon. The last three decades of the nineteenth century saw the high-speed Germany industrialization. In the meantime, its urbanization was gaining momentum and German basically achieved urbanization with its rate of 60% in 1910. Urbanization during the German Empire is regarded as a typical case of the virtuous and interactive development of high-speed industrialization and urbanization. The systematic research into the urbanization of this time has important theoretical significance on revealing the pattern of urbanization and the study of positive interaction between industrialization and urbanization. Moreover, the research can not only enrich the content of Economic and Social History as well as Urban History, but also provide a useful reference for the urbanization of the new-coming countries. At present, foreign scholars, German scholars in particular, have performed a lot of research on urbanization during the German Empire, while domestic scholars remain at the initial stage of the study of this important academic issue and they have not attached enough importance to it neither on its depth nor its scope. It’s necessary to do some deep and systematic research into Germany urbanization.When it comes to the research into urbanization during the German Empire, it’s essential, firstly, to define the urbanization, and then to comb the present situation of the research of Germany urbanization. Urbanization is not only the product of a certain social and economic development, but also an inevitable outcome driven by industrial restructuring, regional transformation and population growth since the industrial revolution. Unlike the urban development at any time before, urbanization is referred to as the process of realizing the integration of city and countryside promoted in depth and scope by sharp changes in such aspects as size of population, space distribution, industrial structure and social way of life, gradually being dominant in social and economic activities, which leads to shifts in human mode of production as well as ways of living and human mode of inhabitation from countryside to cities. The fundamental theories of urbanization mainly involve regularity of development stages and two-way mutual promotion and progress between economic development and urbanization, and "Pull-Push theory" on the transfer of rural population to cities. The dissertation elaborates on the development of the research into Germany urbanization, systematically combs the outline of relevant research on Germany urbanization made by foreign scholars and focuses on the latest development of some projects related to urbanization in Germany.According to regularity of development stages by David Northam, the process of modern urbanization in Germany is supposed to fall into initial stage (also known as start-up stage), accelerating stage and maturity stage. At present, it’s widely believed by historiography circle that the period of 1815—1840 is the preparation stage of modern urbanization in Germany and the period of 1840—1871 is its initial stage. In my opinion, Germany urbanization started in the 1840s and its curtain was raised with the rise of Germany industrialization in the 1830s and 1840s. The establishment of Deutscher Zollverein in 1834 not only boosted the development of goods and trade,which laid foundation for the unity of domestic market, but also facilitated the speedy development of Germany industrialization. With the expansion of market and development of industrialization in Germany, the gap between urban and rural areas in economic development was continuously widening, in the meantime, the urban population as well as the size and the number of cities persistently increasing. Imbalanced development of urbanization in various parts of Germany aggravated at the time. The urbanization development gap between the western part of Rhineland and Westfalen and the middle and eastern part was widening.Urbanization during the German Empire mainly includes urban population growth, changes in urban space structure, industrial transformation and the motive force of development..The growth of urban population at this time was due to three aspects:urban population growth by a natural process, immigrants and increased population as a result of the combination of the administrative divisions. Large cities were the fastest in population growth, the medium-sized cities next to them, small cities the slowest. Furthermore, the growth rate of population was not similar in different kinds of cities. Population increase was gaining momentum in the cities with heavy industry and machinery-producing industry as their leading industries and the diversified cities. The rate of population growth in the university and retirement cities and military garrison ones was obviously lower than the average level, while in commercial and trade cities that was close to average. According to regional distribution, urban population grew quickly in western areas and Brandenburg areas while growing slowly in the east of the Elbe River. In general, there was a change in urban population growth mode, from a natural process as the dominant factor to pure immigrants as the leading factor. Significant adjustments have been made in space distribution of cities, which present a regional distribution pattern characterized by clear regional differences, the center of development moving westward and "decentralized centralization". There was a tendency of division among industrial areas, commercial areas and residential areas in internal structure of cities.During the process of urbanization, industrial structure shifted from agriculture to industry as the leading industry of the entire national economy in Germany. Industrial restructuring was often reflected in the changes in output, employment, national income among various industrial sectors. Affected by the urban industrial transformation, occupational structure changed a lot. The employed population in non-agricultural industries played a dominant role. With the specialization of cities being evident, industrial cities, urban transportation hubs and comprehensive cities took shape. Location factors were important ones affecting the development of cities in this period. Driven by the rapid industrialization, intercourses between the growing cities were increasing. At the same time, Ruhr Metropolitan had emerged.Urbanization during the German Empire was characterized by prior increase in metropolises and imbalanced development in regions. The pace of development of cities with different leading industries varied greatly. Compared to other developed countries, large cities were low in urban primacy ratio and evenly distributed small and medium-sized cities were in large numbers. The rise of agricultural productivity provided a prerequisite for the transfer of surplus labour from rural areas. The rapid industrialization was the fundamental driving force of urbanization in Germany, which provided employment opportunities for the transfer of rural surplus labor. Increase in employed population inevitably led to urban expansion in size and eventually the development of urbanization. Institutional change provided institutional guarantee for the development of urbanization. It’s stipulated in the Constitution of the German Empire (in German:Verfassung des Deutschen Reiches) issued after unification of Germany that people enjoyed rights of freedom of migration. Germany set up social security system in the 1880s, which created conditions for steady, sustainable and rapid urban development.To sum up, the dissertation elaborates on urbanization during the German Empire in such respects as urban population increase, space shift, industrial transformation and motive force of development. Urbanization at this time went hand in hand with industrialization and was characterized by imbalanced development in regions, prior development of large cities and low urban primacy ration.更多还原