【作者】 张祚；

【导师】 李江风；

【作者基本信息】 中国地质大学 ， 资源产业经济， 2010， 博士

【摘要】 住房是人们生活的基本需求之一,当人们的住房需求集合在一起就是一种社会需求。当这个社会需求不能被很好满足的时候就出现了住房问题。通常所说的住房问题即城市住房问题。住房问题不仅是个经济生活问题,也是重要的社会问题和政治问题。和住房需求普遍存在一样,住房问题在全世界范围内同样普遍存在,只是不同的国家在不同的阶段需要解决和能够解决的住房问题不同而已。而大多数国家在面对住房问题时,普遍将由政府负责提供公共住房作为应对住房问题的主要手段之一,只是不同国家、不同时期的公共住房有着不同的具体内涵和运作方式。如果说公共住房是所有国家不同时期、不同产权形式并兼具政府干预性、受益群体有限性、投资经营非盈利性、价格可支付性等特点保障性住房的总称。本文所探讨的“公共商品住房”是公共住房的一类。除了具有以上所述公共商品属性公共商品住房强调一定形式的住房产权、以出售形式为主,除了具有公共商品属性同时最终体现为住房商品形式的公共住房。公共商品住房兼具公共品属性和商品属性,既是符合要求的中低收入家庭才能受益的社会保障品也是需要中低收入家庭倾囊支付的高消费商品。从住房功能的角度来看,公共商品住房对于其对应的受益群体也不仅仅只是遮风避雨之所,而是一般意义上公共住房中的高级形式。相应,公共商品住房政策也需要超越“减少流落街头者”这样的基本目标,而更多考虑中低收入家庭对于住房质量的合理需求。如何将总量有限的、质量有别的公共商品住房合理地分配给对于住房质量需求不同的指定目标群体,这一过程既不同于短缺经济“分配生活必需品”的过程,也不同于市场经济“看不见的手的作用”的作用过程。尤其,当公共商品住房以强调分配过程的公正性为基本前提的情况下,通过一个“看不见的手”不起作用的非市场环境来配置需要考虑需求差异的住房资源。这一过程无疑是复杂的,这也是本文研究的出发点之一另一方面,随着城市家庭收入水平差距的加剧,如何控制低收入阶层在城市空间中聚集、隔离以及边缘化是当前世界上很多大城市面临的难题。公共商品住房在城市空间中的分布往往直接决定了居住其中的中低收入家庭在城市中的居住位置。不合理的公共商品住房空间分布有可能成为促使城市居住空间分异的外生因素,而公共商品住房空间分布和分配过程实际上有着密切联系,这也是本文研究的另一出发点。新加坡公共住房和中国经济适用住房属于本文所探讨的公共商品住房类型。本文分别选择新加坡公共住房和中国经济适用住房作为实证对象,在两者各自的发展历程和运行机制下就分配及空间分布问题分别进行了具体考察。新加坡公共住房和中国经济适用住房都有各自有着不同的国情背景和运行机制,但两者都是受亚洲价值观影响的国家,新加坡公共住房发展的成功受到世界普遍认可,对于中国经济适用住房的发展也有一定的借鉴意义。此外,本文将两者选取作为考察对象,对于公共商品住房分配及空间分布的理论分析也形成有力的补充。新加坡公共住房和中国经济适用住房发展背景分别如下：新加坡在本国经济持续快速发展的同时,在社会民生领域新加坡政府同样取得了巨大的成就,其中最为显著的成就之一是有效地解决了新加坡人民的住房问题。1959年新加坡面临非常严重的房荒,1960年新加坡建屋发展局正式运作。到2008年为止,新加坡建屋发展局共建造了99.03万套公共住房并容纳了新加坡全国81%的居民。新加坡公共住房发展的成功在众多国际住房政策对比的研究中往往被视为一个特例。同时,新加坡公共住房分配体系随着整个新加坡公共住房的发展步伐不断演变、不断完善；新加坡公共住房在城市空间中的合理空间组织和分布同时也吸引了很多学者的研究和关注。20世纪70年代末中国政府开始进行住房制度改革,直到1998年的住房货币化改革标志着福利住房制度的终结,市场化的住房分配体制的确立。然而,伴随着中国城市化进程的进一步加快,住房市场也出现投资过热的现象,城市住房可支付问题日益突出。住房问题成为社会广泛关注的问题。中国经济适用住房政策形成于与20世纪90年代,从其诞生至今短短的十多年时间里,从学术界到公众媒体对于经济适用住房存在的必要性的争议,以及围绕经济适用房选址、建设、销售、监管各个环节所出现的诸多问题的讨论却一直都没有停止。各地方对于经济适用住房合理分配模式在实践中的探索也一直没有止步。本文的研究方法具有以下特点：1)理论研究与实地调研相结合。基于住房问题涵盖多领域以及研究方法多样化的特点,在理论分析方面涉及多学科。此外,从实践出发充分的将理论研究与实地调研相结合；2)定量分析与定性分析相结合。基于定量分析与定性分析各自的优缺点,在具体的分析过程中将视情况不同分别选择使用；3)宏观层面与微观层面相结合。从宏观上把握一个国家公共商品住房的发展历程和运行机制,同时也从城市微观层面探索公共商品住房的分配及空间分布问题；4)充分运用多学科理论方法以及计算机发展成果进行开展研究。本文分8章完成。第一章为绪论。本章主要介绍了本文的研究背景,指出文章的研究意义；对相关概念的界定、介绍主要研究思路和研究方法、对各章主要内容进行介绍。第二章是对住房问题研究的综述。其中包括国外住房问题、住房政策研究回顾和国内住房问题研究综述两个主要部分；第三章是对公共商品住房分配和空间分布问题的概论；第四章对新加坡公共住房发展和分配体系进行了分析和论述；第五章对新加坡大规模公共住房在城市中的空间组织和分布进行了分析和论述；第六章是对当前中国经济适用住房分配问题的分析；第七章是是对当前中国经济适用住房空间分布问题的分析；第八章是对全文的总结及研究展望。对文章中个别问题做了进一步探讨,并对未来公共商品住房分配和空间分布问题的继续深入研究以及在中国的实践进行了展望。本文主要内容和研究成果如下：(1)从对国外对于住房问题和住房政策的研究回顾来看,国外住房问题和住房政策研究基本的出发点往往是相似的,都基于住房需求的不可或缺性和住房市场对于住房需求的无法满足性之间的矛盾。当各国在不得不面对住房问题时,由于政治、经济以及文化背景的差异导致各国在解决住房问题时所采策略和制定政策上的差异。因此,对于中国而言,作为一个人口基数大并正处于快速城市化进程中大国,不可避免的会面临严峻的住房问题,认清国情采取正确的策略并对住房政策做出合理的调整也不可忽视不断从国外住房问题和住房研究中获得启示。(2)结合短缺经济理论、产权经济理论并利用家庭效用需求分析工具,从住宅是一种生活必须的且具有高价值的准公共物品作为出发点,分析了公共住房分配过程中排队、有限产权和时间成本关系；将公共商品住房分配过程应具备的要素归纳为：相关公共职能部门；待分配的对象和准入、退出机制、分配策略以及信息渠道。此外,将公共商品住房分配过程中可能需要面对和解决的问题归纳为包括：内部竞争性问题；非价格条件下的调节；分配标准的复杂性；监督机制和公正性的保证以及有条件的考虑需求差异。最后,总结了公共商品住房分配的5种基本分配模式并探讨了其各自特点。(3)公共商品住房的特殊性决定了其分配问题和空间分布问题之间又存在着密切的联系。从居住空间选择和居住空间分异角度出发探讨了研究公共商品住房空间分布问题的重要性。公共商品住房空间分布包括建设选址和空间质量分配。相应,公共住房政府职能部门面对公共商品住房空间分布问题至少作用于两个阶段：规划主导阶段和制度主导阶段。此外,探讨了公共商品住房空间分布过程中可能需要面对和解决的问题。提出“空间福利”概念,从城市土地成本和住房市场价值参照的角度提出了公共商品住房空间分布之于城市中低收入家庭的空间价值差异。基于所构建的假设城市模型讨论了在没有大容量快速交通和有大容量快速交通两种不同情况下各种公共商品住房在城市中的理论空间分布模式,并且从土地成本、住房市场价值和空间福利差异角度讨论了不同空间分布模式对于中低收入家庭和政府职能部门的利弊。(4)新加坡的住房政策和世界其他国家住房政策类型相比,其独特的发展道路是新加坡政府选择的结果也是国家深入干预的结果。新加坡公共住房政策不但保证了国民住房需求的满足并提升国民财富,最终也促进了整个国家经济的发展、社会和政治的稳定。新加坡公共住房分配体系随着整个新加坡公共住房的发展步伐不断演变和改进,并最终形成多种分配制度混合搭配,彼此互补的完善体系。新加坡在实施公共住房在城市中的空间组织和分布的过程中,在规划主导阶段和制度主导阶段都取得了成功。前者构建了一个从整个城市空间大框架到新镇空间子框架都合理的空间格局和连接各个子空间框架的高效交通网；后者在前者的基础上通过制度的逐渐完善完成了空间合理分配的过程。新加坡这个城市国家最终实现了：在这个国家中80%以上的国民都居住在政府提供的公共住房中；而在这个城市中绝大部分居民都能找到适合自己并属于自己的空间位置。(5)中国经济适用住房从1994年被正式提出,在住房改革不断深化的背景下经历了阶段性的发展过程。中国最早开展经济适用住房建设的城市之一——武汉市被作为考察对象,具体分析了武汉市经济适用住房发展历程、运行机制及准入机制。基于武汉市经济适用住房的总体建设状况,针对近年来所采取的公开登记摇号销售模式,通过收集登记家庭信息建立数据库和实地问卷调查手段,对2006年9月至2008年9月武汉市建成并面向社会公开销售的22处经济适用住房项目的实际供应情况、等待队列的需求和选择情况进行了详细分析。在分析武汉市经济适用住房实际分配问题的基础上,基于GIS分析平台,应用了地理计算、空间分析、地质统计中的相关方法,选取具体考察对象主要围绕着经济适用住房占地规模和选址成本、经济适用住房时空演变特点、具体项目空间福利的差异和供需比例之间的关系、合理范围的价格调整和有条件的满足中低收入居住偏好差异几个方面分析和探讨武汉市经济适用住房实际的空间分布问题。最终,基于利用辅助决策系统协助职能部门整合解决经济适用住房分配和空间问题的思路,尝试提出了经济适用住房A-SDSS初步框架。更多还原

【Abstract】 Housing is basic needs of people, and when these needs are accumulated, it becomes a social need. If this social need can not be fully satisfied, the housing problems generate. Generally, the housing problem is urban housing problem, which is not only an economical problem, but also an important social and political problem. The housing problem exists everywhere in the world, just like the demand on houses. The difference is the housing problem varies in different countries at different phrases. However, providing public housing is a common solution to this problem for most of the countries. And the definition and operation mechanism on public housing vary in different countries and at different phrases.Public commercial housing discussed in this paper is one kind of public housing that with characters of being intervened by government; described dwelling units whose total housing costs are deemed "affordable" to a group of people within a specified income range. Although public housing is often applied to rental housing that is within the financial means of those in the lower income ranges of a geographical area, the concept is applicable to both renters and purchasers in all income ranges. Public commercial housing mentioned in this paper is purchased housing and owner-occupied with specialized tenure, which with attributes of both public goods and commercial goods. So public commercial housing is not only indispensable but also expensive to middle and low classes in the cities. Public commercial housing is far more than a shelter, but senior form of public housing. Accordingly, public commercial housing policy should consider more about reasonable requirements from middle and low classes on the housing quality, beyond the basic target of decreasing homeless.Public commercial housing is always limited in quantity and diverse in quality. The process of allocating them to target individuals is different from distributing basic daily necessities in shortage economy and from the process of invisible hand efficient in market economy. This is obviously complicated and one original study point of this paper.On the other side, with the income gap of urban families becomes more widen, many cities around the world faced the problems of how to avoiding spatial agglomeration, spatial separation and marginalization of middle and low classes’residences. The location of public commercial housing in a city always directly decided the location where the middle and low classes’families live. Unreasonable spatial distribution might be an exogenetic factor causing the spatial separation. Nevertheless, public commercial housing allocation and spatial distribution processes are closely connected, which is another original study point of this paper.Singapore public housing and China affordable housing are within the category of public commercial housing definition. This paper separately selected one from the two countries as empirical study cases. Although Singapore public housing and China affordable housing have their own developing background and operation mechanism, one common point is both of them are influenced by Asian Values. The success of Singapore public housing development is also valuable for China. Additionally, these two empirical study cases are the important supplementary to theoretical analysis. Background of Singapore public housing and China affordable housing are described as follows:With rapid economic development, Singapore had made great achievement in society and people’s livelihood, and the most outstanding is national housing problem solution. In 1959, Singapore face serious housing shortage and Singapore Housing Development Board (HDB) was officially established and began formal operation. By the year of 2008, Singapore HDB had totally built up 990.3 thousands of public housing units, and accommodate more than 81% national residences. The success of Singapore public housing is always treated as a special case when it is compared with housing policies of other countries. Meanwhile, with the development of Singapore public housing, its allocation system grows and optimizes continuously; and the reasonable spatial distribution and organization in city also drew much attention from many researches.In China, the reform of the urban housing system started from 1970s. The housing monetary reform in 1998 marked the end of long-existing low-rent welfare housing system in China. However, with the rapidly civilization progress, over-investing and unaffordable problems occurred in housing market, which makes housing problem the hot sports of society. China affordable housing policy formed in 1990s, since then, academia and mass media never stopped the disputes on its necessity, and other operating problems like site selection, allocation progress, construction, and supervision mechanism. And the exploration for reasonable allocation model of affordable housing in practice never stopped in locals of China.The characters of methodologies in this paper are as follows: 1) Integrate theoretical study with practical field investigation; 2) Integrate quantitative analysis and qualitative analysis. In specific terms select the right one between quantitative analysis and qualitative analysis methods by their own properties; 3) Integrate macroscopic and microscopic analysis. Analyze the developing process and operation mechanism of a country in macroscopic level, and explore the allocation and spatial distribution problem of public commercial housing problem of a city in microscopic level; 4) make full usage of multidisciplinary theories and computer science and technology. This paper divides into 8 chapters. Chapter 1 is introduction. This chapter introduced the study background, significance, design, key concept and methodology. Chapter 2 is literature review of housing problem. Chapter 3 is general analysis of allocation and spatial distribution of public commercial housing theories. Chapter 4 is the analysis of the development and allocation system of Singapore public housing. Chapter 5 is the analysis of the spatial distribution and organization of Singapore large-scale public housing. Chapter 6 is the analysis of current allocation problem of China affordable housing. Chapter 7 is the analysis of current spatial distribution problem of China affordable housing. Chapter 8 is conclusions on this paper and forecasts.The major study contents and achievements in this paper are listed as follows:(1) Through the review of housing problem and housing policy studies, it reveals that all the original points of housing problem and housing policy study are similar, which are based on the conflicts between people’s indispensable needs on housing and lack of housing from housing market. Because of different political, economical and cultural background, different countries chose different policies and measures to resolving the housing problem. To China, a rapidly civilized developing county with a large population, inevitably face the severe housing problem. In response, suitable and correct adjustment measures should been taken according to country’s conditions, and more inspiration of housing problem studies from foreign counties should been used for reference in the further.(2) Based on theories of Kornai and Barzel and the application of families consumers’demand analysis tool, the relationship between queuing, limited ownership and waiting time coast in the allocation progress of public commercial housing have been discussed. The key ingredients for allocation progress of public commercial housing are classified as:relevant functional organization, target group, access mechanism, leave mechanism, allocation strategies and information channels. Additionally, the problems that should be faced and solved in the public commercial housing allocation progress are classified as:internal competitive problem, adjustment in non-price condition, complicated criterion of allocation, supervisory mechanism and fairness guarantees.(3) The special properties of public commercial housing lead to the closely connection between its allocation problem and spatial distribution problem. The importance of spatial distribution problem study of public commercial housing has been discussed from the aspects of living spatial selection and separation. The spatial distribution of public commercial housing includes sites selection for construction and spatial quality allocation, and functional organization accordingly could play a role in two phases:one is urban plan-oriented, another is institute-oriented. The problems that should be faced and solved in the public commercial housing spatial distribution progress were discussed. A new concept, Spatial Welfare, has been put forward—discussing about the different spatial distribution models and its own advantages and weak points in the viewpoint of urban land coast, housing market value reference and spatial welfare. (4) Compared with other countries, Singapore’s unique housing development model is not only the result of selection of Singapore government, but also the result of gradually deepening national intervention. Successful Singapore public housing policy met the housing requirements of her residents, increased the national wealth, and finally accelerated the economic development and ensured social and political stability. With the development of Singapore public housing, its allocation system gradually developed and improved, and finally formed to be a mellow system that mixes different and complementary allocation institutions. Singapore achieved great success in the process of spatial distribution and organization of public housing, at both urban plan-oriented phase and institute-oriented phase. The former constructed a reasonable spatial frame across from the urban lever to new town level with the linkage by mass rapid train and the latter allocate the spatial quality through a complicated institution.(5) China affordable housing was formally proposed in the year of 1994, and experienced a periodically development under the background of gradually deepening urban housing reform. As one of the earliest cites that developed affordable housing in China, Wuhan was took as a empirical study case. The development process and operation mechanism of Wuhan affordable housing were analyzed. Balloting Sale model, a random progress in nature, was the current allocate method for affordable housing in Wuhan. Base on the general construction and proven information, 22 sets of concrete affordable housing projects which sold from Sep. 2006 to Sep. 2008 in Wuhan were selected for detailed analysis. Moreover a questionnaire survey for affordable housing applicants been made for analysis. Wuhan affordable housing spatial distribution issues have been analyzed and discussed on the base of allocation problems analysis, with GIS tool, geocomputation and spatial analysis related methods. The chosen observed targets mainly focus on the urban land cost, spatial evolution characters, relationship between spatial welfare and supply demand ratio, affordable housing pricing elasticity adjustment and special requirements’ meet of middle and low classes. The basic frameworks of affordable housing Allocation-Spatial Decision Support System was put forward to offer some helps to functional department to integrate solving the affordable housing allocation and spatial distribution problems.更多还原