【作者】 张雪；

【导师】 邢来顺；

【作者基本信息】 华中师范大学 ， 欧洲近现代史， 2012， 博士

【摘要】 早期德国大学以中世纪为源头,受文艺复兴、宗教改革与启蒙运动的影响,在“束缚”与“自由”的交替更迭中,开始了由“传统大学”向“现代大学”的过渡,并创办了以哈勒大学和哥廷根大学为代表的具有“现代意义”的大学,进入了现代大学的萌动期。此时的德国大学萌生了新的大学观,并在教学等方面呈现出具有现代倾向的新变化。这些变化最终在法国大革命和拿破仑战争的催化作用下引发了普鲁士大学改革运动。1810年,威廉·冯·洪堡在传承传统的基础之上改革纳新,创办了德国历史上第一所现代大学——柏林大学。他提出“科学五原则”和“办学三原则”,并形成意义深远的洪堡大学观。在该大学观的指导下,柏林大学开创了具有世界意义的“柏林大学模式”,并在文化、组织制度等方面赋予德国大学现代意义。19世纪30年代到19世纪末,德国社会经历了政治与经济的“双重革命”,不仅实现了国家统一,还步入了工业经济时代。作为德国社会中的重要子系统,德国大学与德国社会之间形成互动。19世纪初到30年代之前,德国社会对处于改革时期的德国大学具有一定影响。首先,德国社会对大学提出新的变革要求,并得到社会各界的全力支持。其次,德国哲学的理性精神与新人文主义等社会思潮为大学改革注入活力。再次,各邦之间激烈的人才争夺在客观上推动了德国大学的改革进程和整体发展。相应地,德国现代大学的建立与发展也在一定程度上推动了社会进步。德国现代大学不仅是振兴民族精神的重要阵地,还是促进民族统一和自由运动的中心。它的发展促进了德国社会经济和文教科技事业的繁荣,并为德国赢得了国际声誉。19世纪30年代中期至19世纪末,德国先后开展了两次工业革命,社会经济和阶级结构发生巨大变化。德国最终确立了工业主导型经济结构。“文化资产阶级的扩充”和“妇女群体的崛起”等都是社会阶级结构变化的重要体现。这些变化对德国现代大学产生重要影响：一,工业发展给予大学雄厚的物质支持；二,工业化的德国社会对大学教育提出前沿性和实用性的发展要求；三,德国大学在校师生人数出现变动；四,德意志帝国时期德国大学生家庭背景的构成比例发生明显变化；五,促使德国大学内部结构的调整和新型高等院校的出现。德国现代大学和新型高等院校也在德国社会的工业化进程中发挥了应有的作用,主要表现在：一,为德国社会的工业发展提供人才与技术保障；二,将“科研与生产紧密结合”,为德国社会工业化发展起到“杠杆作用”；三,将科研重心放在化工和电气部门,为德国工业化的核心部门提供发展动力；四,德意志帝国时期大学的发达继续为德国赢得社会荣誉感与国际声誉；五,德国新型高等院校为德国工业社会的发展提供对口的技术支持。从19世纪德国现代大学与社会发展的关系研究中可得到一些规律性认识,如大学教育与社会发展之间存在三种状态——适应于社会发展、与社会发展相对同步、超前于社会发展；大学与社会之间虽有互动,但仍保持一定距离。对19世纪德国大学与国家关系的探讨在另一个维度上深化了对德国现代大学的认识。德国学者伊曼努尔·康德、威廉·冯·洪堡和马克斯·韦伯对大学与国家之间的关系问题有各自的独特见解。康德论述了如何处理和规范大学与国家关系的基本原则。洪堡指出了国家存在的合理性及其权力的负面作用,并对国家的作用范围给予限定。韦伯探讨了“阿尔特霍夫体制”下德国大学与国家之间关系变化的问题。19世纪初普鲁士改革时期的德国大学与国家关系主要以“文化国家观”为指导,形成了国家管理与大学自我管理的“双元管理体制”。大学是国家事业的重要组成部分,也是国家利益的载体；国家是大学的经济支柱和创办者、监督与管理者,也是大学法律地位的确立者和“学术自由”的保障方。19世纪中期前后的德国大学与国家关系并未出现实质性波动,而是保持着一种动态平衡。国家对大学教育的经费支出呈增长态势,且“学术自由”的权力最终在国家法律中得到确认。德意志帝国时期,在“阿尔特霍夫体制”的影响下,德国政府政策贯穿于整个国家的高等教育领域中。国家对大学科研事业大力扶植的同时,也对大学进行了干预和人治化管理。德国大学传统意义上“学术自由”的内涵发生质变。德国现代大学中存在政治型教授和非政治型教授。随着现实政治的变化,政治型教授的国家观和政治立场会发生转变。当政治型教授的言论和行为符合国家发展的利益需要时,国家便会对其扶植、利用。反之,则被国家压制。德国大学生通过种种学生社团来履行他们对社会的良知与责任,这在一定程度和限度内能促使统治阶层在反思中做出让步。但当大学生运动威胁到国家利益时,则被国家镇压。结合19世纪德国现代大学的经验教训和我国大学发展中的一些现实问题,笔者认为,现代大学的持续发展首先需要保持大学与社会的良性互动。当国家职能发生变化时,合理调整其与大学之间的关系十分必要。同时,对于洪堡原则,要批判地借鉴,以利于树立正确的大学科研观。对于德国现代大学制度的利弊要有清晰认识,以利于完善我国的现代大学制度。更多还原

【Abstract】 Early German universities were originated in the medieval times. Influenced by the Renaissance, the religion reform and the Enlightenment, these traditional universities began to transform to the "modern universities" with the mutual replacement of "restrictions" and "freedom". As a result, universities bearing modern characteristics were established with University of Halle-Wittenberg and University of Gottingen as the representatives. German universities in this period created new views and demonstrated some new changes towards modernization in terms of teaching, which, catalyzed by the French Revolution and the Napoleon War, brought about the Reform of Prussian Universities. In1810, Wilhelm von Humboldt carried out a reform on the basis of inheriting desirable traditions, establishing the first modern university in German history-the Humboldt University of Berlin. He also put forward the "Five Principles of Science" and the "Three Principles of Education", which was later developed into the very significant Humboldt’s Thoughts on University. And it was under the guideline of this outlook that the Humboldt University of Berlin pioneered the "the Model of the Humboldt University of Berlin", which was very significant to the whole world. It endowed modern significance to universities on culture and institutional structure and so on.From1930s to the end of the19th century, the German society went through a "Double Revolution" in politics and economy, realizing unification and steeping into the age of industrial economy. As an important subsystem of German society, German universities inevitably interacted with the society.In the first thirty years of19th century, the development of German society imposed some influences on its higher education under reform. Firstly, German society posed new requirements on the Reform of German Universities and people from all walks of life in German endorsed this reform.Secondly, new trends of thought such as Rationalism of German Philosophy and New Humanism added vitality to the Reform of German Universities.Thirdly, the fierce competitions for talents among states promoted the Reform and the development of German society. Accordingly, the establishment and development of Modern German Universities can also promote the development of society. Modern German Universities were not only an important base for the rejuvenation of national spirit, but also a center of promoting national unification and freedom. Its development promoted the prosperity of German social economy, culture, education, science and technology, and won reputation from the world as well.From the middle of1930s to the end of19th century German witnessed two industrial revolutions, which led to tremendous changes in social economic structure and social stratum structure.The German finally established the industry-oriented economic structure in the process of industrialization."The expansion of cultural bourgeoisie","the rise of women" and etc. were demonstrations of the changes in German social stratum structure. The influences of these changes on the education of German universities fall into the following five categories:Firstly, industrialization provided strong material supports for university education, as a result, funds for scientific research and teachers’income greatly increased. Secondly, with the rapid development of industrialization, the German society required university education to be advanced and practical. Thirdly, industrialization changed the number of teachers and students in German universities. Fourthly, there was an obvious change of the background of university students during the period of German Empire. Fifth, these changes led to the adjustment of structure in German universities and new universities and colleges were set up. Modern German Universities and new universities and colleges also played their roles in the industrialization of German society. Firstly, Modern German Universities provided talented people and technology for industrial development. Secondly, scientific research and production were integrated to support industrialization of German. Thirdly, the focus of scientific research were put on chemistry industry and electrical industry, which served as motivation for the core departments in German industrialization. Fourthly, the thriving of German universities during the period of German Empire won further reputations for German from the world. Fifthly, the emerging new German universities and colleges provided technological supports for the development of industrialization.Some regular congnitions can get from the research on the relationships between German university education in the19th Century and social development, i.e. there are three types of relations between university education and social development, that is adapt to social development, synchronized with it and ahead of it. Meanwhile, although universities and society have interactions in each other, there also has a certain distance between them.The realization of Modern German Universities is deepened from another aspect by the discussion of the relationships between German universities in the19th Century and the Nation. German scholar Immanuel Kant, Wilhelm von Humboldt and Max Weber had their unique views on the relationship between the university and the Nation. Kant expounded the basic principles of how to deal with the relationship between universities and the Nation. Humboldt pointed out the rationality of country’s existence and the negative effects of its power, and he also restricted the range of country’s function. Weber discussed the changes of the relationships between German universities and the Nation under "Althoff System".During the Reform of Prussian Universities in the early19th Century, the relationships between German universities and the Nation were mainly guided by "the Notion of Cultural Country", forming a "Dual Management System" by the unique country management and the universities’ self-management. In this period, the German universities were an important component of the Nation and a carrier of the Nation’s interest. Meanwhile, the Nation was the economic pillar and founder of universities. It is also the supervisor of universities, the founder of university’s legal statue and the guarantee of universities’"Academic Freedom". The relationships between German university and the Nation in the middle of the19th Century didn’t essentially fluctuated but kept a dynamic balance.In this period, the Nation’s funds on university education increased and the right of academic freedom was ensured by the law. During the period of German Empire, under the effects of "Althoff System",the government’s policies penetrated the whole field of higher education and scientific policies, which on the one hand led to the grate supports of the Nation to the scientific research of German university, and on the other resulted in the government’s intervention and rule of men in university. The Nation’s intervention caused the qualitative changes of the connotation of German universities’ traditional "academic freedom".There are political professors and non-political professors in Modern German Universities. With the changes of politics in reality, the views of the political professors would change. When their statements and behavior fit the interests of the Nation’s development, they would be supported by the Nation. Otherwise, they would be suppressed. German university students performed their conscience and responsibilities for the society through various students’organizations, which was to some extent better for the concession of the ruling class after introspection. But when the student movements threatened the interest of the ruling class, they would be mercilessly suppressed.With the experience and lessons of Modern German Universities in the19th century and the status quo of modern Chinese universities, the author realize that a critical appreciation of Humboldt’s principles helps to establish a right outlook on the scientific research of universities. Meanwhile, the analysis of strengths and weaknesses of Modern German Universities institutions is beneficial to improve China’s modern university institutions.In addition, a fine interaction between universities and the society is one of the indispensible factors in promoting the development of modern higher education. Simultaneously whenever there is a change in national functioning, an appropriate adjustment of the relationship between the Nation and universities is also an important factor to guarantee and promote the development of modern universities.更多还原