RADAR Research Archive and Digital Asset Repository The survival of the mandarin tradition in German universities Anindya Shrivastava (2004) https://radar.brookes.ac.uk/radar/items/ea7adef5-47a8-45b1-b8c6-123b27f0bb3b/1/ Note if anything has been removed from thesis: Copyright © and Moral Rights for this thesis are retained by the author and/or other copyright owners. A copy can be downloaded for personal non-commercial research or study, without prior permission or charge. This thesis cannot be reproduced or quoted extensively from without first obtaining permission in writing from the copyright holder(s). The content must not be changed in any way or sold commercially in any format or medium without the formal permission of the copyright holders. When referring to this work, the full bibliographic details must be given as follows: Shrivastava, A (2004) The survival of the mandarin tradition in German universities PhD, Oxford Brookes University WWW.BROOKES.AC.UK/GO/RADAR THE SURVIVAL OF THE MANDARIN TRADITION IN GERMAN UNIVERSITIES Anindya Shrivastava Ph. D. 2004 Abstract This thesis studies the professoriate and the overall academic tradition at German universities in context of successive phases of change since 1933. It extends the analysis of the mandarin tradition developed by Fritz K. Ringer in his seminal work entitled The Decline of the German Mandarins. In this book Ringer argued that the German professors or mandarins wielded extraordinary socio-political and cultural influence for most of the nineteenth century. This "mandarin tradition" began to decline somewhere around 1890, following changes in Germany's society and polity that accompanied its rapid industrialisation and, in Ringer's view, finally ended with the advent of the National Socialists in 1933. However, this thesis argues that core elements of the mandarin tradition, identified by Ringer, survived the Nazi regime and some of their manifestations are, indeed, evident even in the present times. In part, this is because the tradition had deep social, cultural and institutional roots which influenced thinking about intellectual culture and university reform, including the latter's content and pace. But it is also because the context in which change in higher education spheres occurred - the political exigencies, the efficacy of implementation and the capacity to sustain reform - frequently created a set of circumstances which allowed for persistence of mentalities and codes of practice traditionally associated with the mandarin tradition. Chapter One is the introductory chapter which sets the stage for extension of Ringer's analysis by identifying key elements of the mandarin tradition and its contemporary manifestations. Chapter Two examines Ringer's thesis and its assessment by prominent scholars and academics. It focuses on the origins of the German mandarin class, Ringer's claim of uniqueness of the mandarin tradition, and his conclusion about the end of the tradition in 1933. The chapter also complements Ringer's thesis by developing the overlooked but important political role of university professors in the 1830s and 1840s. Chapters Three to Five focus on investigating the existence of the mandarin tradition in German universities after 1933, and its relationship to the developments within the sphere of higher education and the culture of academic reform. Chapter Three considers the changes in professorial status and influence in the German universities during the fascist regime. It focuses on the National Socialist attempts at higher education reform and the passive, apolitical attitude of the mandarins to the excesses of the regime. The chapter discusses how, despite Nazi attempts at comprehensive control of the universities, mandarin attitudes and systems of thought survived the regime and experienced a rapid resurgence after the Second World War. Chapter Four assesses the impact the Soviet-led "socialisation" of the universities on the mandarin culture in the eastern part of Germany. Deliberate and systematic changes to the objective of learning and the purpose of university education were accompanied by large-scale institutional and structural reform of higher educational institutions. The impact of these comprehensive and sustained changes went beyond university form and function, gradually transforming the entire academic milieu. Elements of mandarin tradition such as the overwhelming authority of the professors in university affairs and their elitist educational philosophy could not survive this change. Interestingly, though, ritual invocation of the Humboldtian idea of a university, with which the mandarin tradition was closely inter-twined, continued. Overall, the analysis of this chapter deepens understanding of the outcomes and limitations of university reform in other settings by providing a template, as it were, of the scope, depth and intensity of change required to alter deep-seated intellectual cultures such as the mandarin tradition. Chapter Five traces the evolution of the mandarin tradition in the erstwhile West and now re-united Germany. For a combination of intellectual and practical reasons, mandarin authority was restored immediately after the War. Subsequent changes in the higher education sphere exhibited a complex pattern. Successive reform efforts, which included curbs on mandarin authority and influence, have been followed by de facto revival of mandarin power and prestige, albeit in altered guises or under different rationale. Overall, the analysis of the post-War experience shows that the mandarin tradition not only continued to exist but also played a significant role by influencing people's attitudes and approaches over key issues of the academic reform debate. Chapter Six inquires into the roots of the mandarin tradition and the reasons for its survival. The abiding appeal of the Humboldtian model of university and scholarship, the modern-day relevance of aspects of its institutional culture (such as academic freedom and university self-governance), and the overwhelming past successes of the classical German university built around this model, have conditioned perceptions of and responses to challenges and crises in higher education. This, in turn, has served to create a set of circumstances in which attitudes and approaches associated with the mandarin tradition continue to survive. Chapter Seven concludes by bringing together various strands of the agrument in the thesis. It focuses on the two formative influences - intellectual and social - of the tradition. It provides an integrated discussion of the two themes that recur in the thesis and are crucial to a deeper understanding of the mandarin tradition: mandarin apoliticism, and the role and responsibilities of mandarins as critical intellectuals. Finally, it recounts key aspects of the evidence and case presented in the thesis regarding continuity of the mandarin tradition which justify a revision of Ringer's claim about its demise around 1933. Acknowledgement I am deeply indebted to Hans Hahn, my supervisor, for his unstinting support at every step in the preparation of this thesis. He sparked my interest in the subject through his work and discussions and provided expert guidance for negotiating the complexities of research in this area. His counsel, wit and infectious enthusiasm have over the years proved invaluable in sustaining endeavour and making the experience of research a memorable one. I would like to thank Stuart Parkes for his constructive and insightful comments on draft versions of this thesis. I have also benefited from Nick Hewlett's comments and reviews in the initial stages of my work. Valerie Worth-Stylianou provided critical support, both with specific aspects of this thesis and with the general management of research. Oxford Brookes University proved to be a welcoming and enjoyable study environment, with generous support provided by the Research Centre and the Library staff. I would like to take this opportunity to sincerely thank all concerned. I am grateful to all members of my family for the support they have provided over the years, in particular my husband Animesh and daughter Mohini for their patience and good cheer at all times. My parents deserve special mention for their encouragement from the very beginning. Finally, I would like to mention my father-in-law who provided the unique inspiration and guidance without which this thesis would not have been possible. CONTENTS Chapter One: The Mandarin Tradition 1 1. Manifestations of the Mandarin Tradition 2 1.1. Mandarin Educational Philosophy 2 1.2. Elitist Views of Mandarins 4 1.3. Mandarin Apoliticism 5 1.4. Academic Rank, Civil Servant Status and Social Prestige 5 1.5. Decision-Making Authority 8 2. Survival of the Mandarin Tradition 9 2.1. The Third Reich 10 2.2. The German Democratic Republic 11 2.3. The Federal Republic of Germany 11 Chapter Two: Ringer's Study of German Mandarins: A Critique 13 1. Ringer's Thesis 13 1.1. Origins of the Mandarin Class 14 1.2. Rise of Mandarins to the Status of Ruling Class 16 1.3. Decline of the Mandarins 18 1.3.1. Industrialisation 19 1.3.2. The First World War 20 1.3.3. The Weimar Republic 21 1.3.4. National Socialism 22 2. Critique of Ringer's Thesis 25 2.1. The Peculiarity of the Mandarin Tradition to Germany 25 2.2. Mandarins as the Ruling Class in Nineteenth Century Germany 28 2.3. Chronological Limits of Ringer's Work 31 2.4. Ringer's Categories of Mandarins 33 2.5. Ringer's Sampling of Mandarin Views 35 3. The Role of German University Professors in the 1830s and 1840s 38 3.1. Rise of Liberal Thought in Germany 39 3.2. End of Reform Era 44 3.3. Pre-eminence of Wissenschaft and its Effects on Mandarin Outlook 49 3.4. Mandarins in the Post-1848 Era 55 3.5. Effect of the Role of University Professors 58 4. Conclusion 61 Chapter Three: The Effect of the National Socialist Period on the German Mandarin Tradition 63 1. Existence of the Mandarin Tradition in the Third Reich 64 1.1. Return to the Realm of the Geist 65 1.2.