2011年开年，北京进入小客车限购时代，开启针对小客车数量的调控政策。该政策实施近十年，经历了两次调整，机动车指标分配方式从无倍率变为有倍率，从不区分机动车类型配置指标变为普通小客车和新能源小客车分别配置指标。这项政策的实施情况、影响及其公平性引起公众关注。

本研究基于公平与效率的视角，采用文献研究、问卷调查和访谈相结合的搜集资料方法，分析北京市小客车限购政策实施情况和对交通、居民的影响，了解居民对限购政策的态度和意见，发现政策实施中存在的公平和效率的问题。

研究发现，北京限购政策实施后：（1）小客车数量年增量被有效控制。指标申请人逐年增多，存在普通小客车摇号中签率低，新能源小客车排队时间长的现象。（2）交通拥堵的现状没有明显改善，大量外埠牌照车辆长期在京使用，限制外埠车通行后皮卡车数量又显著上升，限购控制车辆保有量的效率变低，引发职能部门和购车人之间的新矛盾。（3）居民无法根据自己的需求选择出行方式，不同能源类型车辆之间不同的限购政策影响居民购车选择。（4）无刚性需求的居民提前参加摇号或者全家参加摇号，导致指标分配和利用效率变低。（5）较多的居民支持限购，但对大学生的申请资格、摇号算法和家庭多辆车的现象而感到不公平。（6）小客车指标租赁现象比较常见，虽然提高了小客车指标的利用效率，却因本身不合法而不受保护，对指标所有人和使用人都存在风险。

为提高北京小客车指标分配和使用效率以及公平性，本研究建议：（1）相关部门提高信息公开的程度和效率；（2）以家庭为单位申请指标；（3）有条件地允许指标转让和租赁，提高指标利用率；（4）提高小客车出行成本，鼓励顺风车出行，提高道路使用效率，减轻公共交通压力；（5）分区域限购。

To control the rapid growth in the number of motor vehicles, Beijing began to laid restrictions on private car purchase in early 2011. This restriction policy has already been updated twice in the past years: firstly, classifying applicants according to the times of application, and secondly, differentiating private cars burning traditional energy and those propelled by clean energy. The policy has excited wide public attention since the beginning in terms of its implementation, effect, and mostly, impartiality.

Combining multiple methods of literature research, questionnaire and interview for data collection, this dissertation probes mainly into the implementation of car purchase restriction and its effect on citizens and traffic conditions. On the basis of surveying citizens’ attitude towards and opinions about the policy, this study attempts to offer countermeasures against unfairness and ineffectiveness in the implementation.

The survey reports the following findings. First, the sharp increase of private cars has been successfully mitigated under the policy. However, the total number of applicants is growing higher year by year, hence a rather low possibility of getting a license plate. Second, traffic congestions have not been improved substantially, and many citizens drove cars with nonlocal plates. The ensuing restrictions on nonlocal vehicles again triggered a sharp increase of commercial vans and lorries. The restrictions have become less effective in controlling the amount of cars and even caused another disagreement between administrative departments and residents. Third, citizens are left fewer options for transportation, and varied restrictions on purchasing cars with different energy source are affecting car-buyers’ choices. Fourth, citizens have to apply for a license plate as early as possible for the sake of a higher probability. Moreover, all members of a household would register for an application regardless of the number of cars in actual need. The effectiveness of restrictions has been compromised. Fifth, the majority of citizens are in favor of car purchase restriction, but complain about unfair regulations such as college students qualified as applicants, the algorithm of randomness, and the fact that some households have purchased more than one car. Sixth, plate-renting is common but unlawful, which provokes risks for both lessors and lessees.

With respect to the above-mentioned issues about effectiveness, it is suggested that first, the relevant departments should disclosure information in a more comprehensive and timely manner; second, application should be registered by a household as one unit; third, the ban on quota transfer should be lifted conditionally; fourth, the cost of private car use may be moderately pushed up to encourage carpooling and eventually to make better use of roads and relieve pressure on public transport; fifth, different restrictions should be imposed in different districts.