我国城市社区业主自治的溢出效应及其形成机理研究

The homeowner self-governance is a common way for city governments to promote community development in China. Although its importance has been acknowledged by both researchers and practitioners, they have not fully answered the following questions, i.e. what are the spillover effects of homeowner self-governance? How do these effects take place? How can city governments deal with the effects? In fact, answers to these questions are very crucial for city governments to regulate homeowner self-governance and enhance community governance ability. This project aims to address these questions. First, it will identify the dimension of its spillover effects and develop a method to assess those effects. Second, it will conduct a large-scale gated-community survey in three Chinese cities. Using the survey data, it will identify the size, direction and magnitude of spillover effects of homeowner self-governance. Third, it will build up a theoretical framework by considering the relationships between homeowner association and other parties of community governance, such as district government departments, residents committees, property management companies, and ordinary community residents. Based on the framework, it will pinpoint the direct and indirect ways through which homeowner self-governance affects the outcomes of community governance. Afterwards, it will examine the identified ways empirically by using quantitative methods. Finally, it will make recommendations to the regulation of homeowner self-governance with an aim to maximize its positive spillover effects. As a result, this project provides new research methods to study homeowner self-governance and sheds light on its relevant theories as well as the understanding of community governance.

业主自治是一种常见的城市社区治理手段，其目的旨在提升社区治理能力。虽然学术界和实务界普遍肯定其重要性，但目前研究者和实务者还不明确在社区治理中业主自治究竟会产生哪些溢出效应，这些溢出效应是如何形成的，怎样进行干预和管控等问题。这些问题是当前我国政府规范业主自治的难点，更是以此为抓手推进社区治理能力现代化中的关键。课题首先明确业主自治溢出效应的构成及测量方法；其次，利用多个城市住宅小区的大规模调查数据，识别业主自治溢出效应的大小、方向和强度；再次，将基层政府、居民委员会、业主自治组织、物业服务企业，居民等社区治理主体纳入统一的理论分析框架，从直接和间接两个方面，探究业主自治溢出效应的形成机理并加以验证；最后以正向溢出效应最大化为目标，提出规范业主自治提升社区治理能力的政策性建议。课题将具体和实证的分析贯穿始终，能够深化对业主自治的理解，拓展对社区治理主体关系的认知，丰富相关问题的研究方法。

业主自治是一种常见的城市社区治理手段，其目的旨在提升社区治理能力。2017年中共中央国务院《关于加强和完善城乡社区治理的意见》指出要以规范业主自治为抓手推动社区治理能力现代化。本课题以业主自治为研究对象，以溢出效应的概念表征业主自治对社区治理的影响，聚焦以下研究内容并取得了相应的研究结果。①课题明确了业主自治的本质特征，构建了评价业主自治绩效的工具；基于该工具，在南宁、武汉和广州开展实地调研，摸清了业主自治的现状事实；借助回归模型和定性比较分析法，重点考查了住区特征、自治意识、党建引领对业主自治绩效的影响。②课题指出业主自治存在溢出效应，能够从经济、社会、资源等多个方面影响社区治理结果。结合大规模居民问卷调查数据，利用负二项回归模型、多元线性回归模型和倾向值匹配法等分析方法，课题发现业主自治可以提高个体对社区公共服务的满意度、提升个体参与社区治理的积极性、增加社区社会资本，但无法显著影响个体对社区居住环境的支付意愿。③课题将基层政府、居民委员会、业主组织、物业服务企业、居民等社区治理主体纳入统一的分析框架，通过对老旧小区改造、物业纠纷矛盾化解、物业管理信托制等典型案例的分析，构建了业主自治溢出效应的形成机理模型，丰富了我们对基层社会治理的认识。④基于以上研究发现，课题从优化业主自治制度、完善业主组织职能、提升业主组织覆盖率、构建冲突解决机制等四个方面给出了规范业主自治的政策建议。课题所积累的关键数据有：典型城市业主组织成立及联盟资料；南宁、武汉、广州业主自治及居民社区参与的大量一手资料；全国层面居民参与业主自治的历时性二手资料（即2005、2010年中国综合社会调查，2011、2017、2019年中国社会状况调查）。总的来说，课题已完成了预定目标，取得了一系列成果，出版学术专著两部，发表各类论文七篇；获得省级科研奖励两项，省级教学奖励两项，领导肯定性批示资政报告一项；培养硕士毕业生三名、本科毕业生五名。