能源基金會-機動車環(huán)保召回制度實施關鍵問題研究報告-摘要

機動車環(huán)保召回制度實施關鍵問題研究報告StudyontheKeyIssuesRelatedtotheConstructionandImplementationofMotorVehicleEmissionRecallSysteminChina中國標準化研究院2022.3.31ChinaNationalInstituteofStandardizationMarch31,2022!"實施機動車排放召回是國際通行做法，在美國、歐洲、日本等國家和地區(qū)已經實施數十年，對降低機動車排放水平、提高大氣環(huán)境保護發(fā)揮了重要作用。為保障制度有效實施，相關國家和地區(qū)均出臺了法律或指令，例如美國《清潔大氣法案》、歐盟《機動車排放指令》（70/220/EEC及88/77/EEC）、日本《環(huán)境基本法》和《大氣污染防治法》等。2015829日修訂通過的《大氣污染防治法》第58條規(guī)定“國家建立機動車和非道路移動機械環(huán)境保護召回制度”，但未明確具體要求和實施細則。雖然我國2004年已開始實施汽車安全召回，并出臺了《缺陷汽車產品召回管理條例》及其實施辦法，但排放召回與安全召回管理涉及的主管部門、適用范圍、召回條件、排放信息收集途徑、調查與認定規(guī)范、召回監(jiān)督管理、排放相關零部件信息報告義務等內容均存在一定差異。因此，如何開展機動車環(huán)境保護環(huán)保線索信息收集、調查分析與認定、召回實施、監(jiān)督和效果評估等，如何明確市場監(jiān)管部門和生態(tài)環(huán)境部門在召回管理中的職責分工等，成為制度制定及實施的重要課題。在能源基金會的支持下，中國標準化研究院聯(lián)合中國環(huán)境科學研究院開展項目研究，重點分析國外機動車排放召回制度法規(guī)及典型案例，梳理國內可能的排放風險線索信息源及挖掘分析思路，以“沙場練兵”模式開展某典型案例模擬調查，探索召回全流程要素及配套資源體系，提出部委間高效會同、協(xié)作和共享工作機制建立的相關建議。經過項目研究，項目組形成以下主要觀點和認知：一、健全完善的召回法律法規(guī)制度是確保機動車排放召回制度實施的基礎保障。通過對國外典型案例分析發(fā)現(xiàn)，企業(yè)報告是識別潛在排放風險信息的有效數據來源，嚴厲的經濟或行政處罰在國外召回制度實施中發(fā)揮了重要的威懾作用。同時，召回與其它相關制度銜接是提升完成率的重要手段，如日本實I/M制度關聯(lián)，有助于確保車輛實施排放召回維修。二、豐富多樣的排放風險數據源和精準高效的數據挖掘方法是排放召回制度實施的基礎和前提。國內外排放風險信息源基本相同，而我國相對的更加豐富。我國主要數據源包括監(jiān)督檢查數據（生產一致性、在用符合性、監(jiān)督檢查）、企業(yè)報告數據（企業(yè)自查、排放零部件報告、技術服務活動）、投訴輿情數據（投訴舉報、境外召回、信訪、網絡輿情）、環(huán)保大數據（定期檢驗、遙感監(jiān)測、路檢抽查、OBD遠程監(jiān)控）等。針對每類數據源，應結合數據收集渠道和數據質量明確相應的數據內容、挖掘分析方法和流程，才能實現(xiàn)有效排放危害確定。其中，信息化和大數據挖掘是下一步排放危害多源數據融合分析的重點方向。三、公正科學的排放危害分析與調查是排放召回制度實施的關鍵環(huán)節(jié)。借鑒汽車安全召回調查經驗，充分發(fā)揮專家智力在排放調查案件啟動、排放風險分析、排放危害認定、排放效果評估等全工作鏈條上的作用，采用聯(lián)合會商、集體決策和環(huán)環(huán)相扣的工作模式，確保調查的公平公正和客觀科學。排放危害調查與安全調查一致，結合風險嚴重程度分為生產者主動及被通知調查分析、監(jiān)管部門調查兩個層級。與國際基本一致，可采用的調查方法包括生產者技術交流、消費者問題回訪、故障車輛現(xiàn)場勘察、專家分析評估、工程分析試驗等等。四、市場監(jiān)管總局生態(tài)環(huán)境部之間分工明確、協(xié)作共享是排放召回制度實施的必要條件?！洞髿馕廴痉乐畏ā芬衙鞔_排放召回由市場監(jiān)管總局會同生態(tài)環(huán)境部負責，相關監(jiān)管職能聯(lián)合實施。結合兩部門各自技術特長，基于已有信息資源、技術資源以及排放召回全鏈條工作流程，重點探索構建市場監(jiān)管部門和生態(tài)環(huán)境部門間數據信息共享機制和聯(lián)合信息會商機制，形成了“聯(lián)合會商—信息共享—統(tǒng)一出口—聯(lián)合調查—統(tǒng)一發(fā)布—聯(lián)合監(jiān)督”的工作模式，聯(lián)合搭建了以數據信息為核心的機動車排放召回協(xié)同工作機制，最大化行政資源配置，盡量減少企業(yè)負擔，提高監(jiān)管效率。本項目研究一定程度上支撐了《機動車排放召回管理規(guī)定》法規(guī)的制定，研究組對法規(guī)亮點進行了梳理。主要有以下幾方面：1、生產者責任、召回實施相關時限要求與安全召回保持一致，確保生產者在履行召回義務時，保持召回監(jiān)管工作的連續(xù)性和協(xié)調性。2、監(jiān)管體制具有中國國情，盡量融合市場監(jiān)管總局和生態(tài)環(huán)境部各自技術特長，又明確了監(jiān)管職責分工及會同機制。3、創(chuàng)新性地提出了排放召回要與機動車排放監(jiān)督檢查、排放檢驗銜接，督促生產者配合排放危害調查，督促車主積極配合完成召回，切實減少排放危害。4、強化召回違規(guī)法律責任執(zhí)行，召回違規(guī)與企業(yè)信用掛鉤。為了進一步保障機動車排放召回貫徹實施，項目組基于理論研究和召回實戰(zhàn)演練經驗，從保障配套政策工具供給、完善技術支撐保障體系和依法嚴格排放召回監(jiān)管等方面，研究提出了制度實施的政策建議。特別提示：本項目僅為研究思考，形成的以上觀點和引用的相關分析案例不帶有任何傾向性，實際召回管理工作以202171日實施的《機動車排放召回管理規(guī)定》（國家市場監(jiān)督管40號令）的要求為準。最后，感謝項目組研究團隊的辛苦付出，感謝能源基金會對中國機動車排放召回和環(huán)境保護相關制度的支持和關注！AbstractMotorvehicleemissionrecallisaninternationalpracticewhichhasbeenimplementedfordecadesintheUnitedStates,Europe,Japanandothercountriesandregions,playingacrucialroleinreducingtheemissionlevelofmotorvehiclesandbetterprotectingtheatmosphericenvironment.Inordertoensuretheeffectiveimplementationofthesystem,relevantcountriesandregionshaveissuedlawsorregulations,suchastheCleanAirAct(theUnitedStates),theDirectivesonMotorVehicleEmission(theEuropeanUnion)(70/220/EECand88/77/EEC),theEnvironmentalLaw(Japan),theLawonthePreventionandControlofAtmosphericPollution(China),etc.AccordingtoArticle58ofChina'sLawonthePreventionandControlofAtmosphericPollutionwhichwasrevisedandadoptedonAugust29,2015,thestateshallestablisharecallsystemforenvironmentalprotectionofmotorvehiclesandnon-roadmobilemachinery.Yet,thespecificrequirementsanddetailedimplementationruleshaveyettobespecified.AlthoughChinabegantoimplementtheautomobilesafetyrecallin2004,andissuedtheManagementRegulationsontheRecallofDefectiveAutomobileProductsanditsimplementationmeasures,therearesomedifferencesbetweenthemanagementofemissionrecallandsafetyrecallintermsofdepartmentsincharge,scopeofapplication,conditionsforrecall,methodsforcollectingemissioninformation,investigationandidentificationregulations,recallsupervisionandmanagement,emission-relatedpartsinformationreportingobligations,etc.Therefore,howtocarryoutinformationcollectionofenvironmentalprotectioncluesofmotorvehicles,investigation,analysisandidentification,recallimplementation,supervisionandeffectevaluation,andhowtoclarifythedivisionofresponsibilitiesbetweenmarketregulatorsandecologicalenvironmentdepartmentsinrecallmanagementhavebecomeimportantissuesfortheformulationandimplementationofthesystem.WiththesupportoftheEnergyFoundation,theChinaNationalInstituteofStandardizationandtheChineseResearchAcademyofEnvironmentalSciencesjointlycarriedoutprojectresearch,focusingontheanalysisofforeignsystems,regulationsandtypicalcasesonmotorvehicleemissionrecall,sortingoutthepossiblesourcesofemissionriskcluesinChina,delvingintothedirectionsofanalysis,conductingatypicalcasesimulationinvestigationinahands-onmanner,exploringtheelementsoftheentirerecallprocessanditssupportingresourcesystem,andputtingforwardrelevantsuggestionsontheestablishmentofaworkingmechanismofefficientcollaborationandsharingamongministriesandcommissions.Throughresearch,theprojectteamreachedaconsensusonthefollowingideas:Asoundrecalllegalandstatutorysystemisthebasicguaranteetoensuretheimplementationofthevehicleemissionrecallsystem.Theanalysisoftypicalforeigncasesshowsthatenterprisereportsareaneffectivedatasourceforidentifyingpotentialemissionriskinformation,andsevereeconomicoradministrativepenaltiesplayanimportantdeterrentroleintheimplementationofforeignrecallsystems.Atthesametime,thelinkbetweenrecallandotherrelatedsystemsisanimportantmeanstoraisethecompletionrate.Forexample,inJapan,theimplementationofrecallisrelatedtoI/Msystem,whichhelpsensuretheimplementationofemissionrecallandmaintenance.Richanddiverseemissionriskdatasourcesandaccurateandefficientdataminingmethodsarethebasisandpremisefortheimplementationoftheemissionrecallsystem.Theinformationsourcesofemissionriskathomeandabroadarebasicallythesame.ThedifferenceisthatChinahasslightlyricherinformationsources.China'smaindatasourcesincludesupervisionandinspectiondata(productionconsistency,in-usecompliance,supervisionandinspection),enterprisereportdata(enterpriseself-inspection,emissionpartsreports,technicalserviceactivities),complaintandpublicopiniondata(complaintandtip-off,overseasrecall,lettersandvisits,networkpublicopinion),environmentalprotectionbigdata(regularinspection,remotesensingmonitoring,roadinspection&spotcheck,OBDremotemonitoring),etc.Foreachtypeofdatasource,thedatacontent,mininganalysismethodsandprocessesshouldbedefinedincombinationwithdatacollectionchannelsanddataqualitysoastoeffectivelydetermineemissionhazards.Specifically,informatizationandbigdataminingarethekeydirectionsofthemulti-sourcedataanalysisofemissionhazardsforthenextstep.Fairandscientificanalysisandinvestigationofemissionhazardsisthekeytotheimplementationoftheemissionrecallsystem.Itisnecessarytodrawontheexperienceintheinvestigationofautomobilesafetyrecall,givefullplaytotheroleofexperts'witsintheworkchainofemissioninvestigationcaselaunch,emissionriskanalysis,emissionhazardidentificationandemissioneffectevaluation,andadopttheworkingmodeofconsultation,collectivedecision-makingandcloseconnectionofalllinkstoensurethefairness,justiceandobjectivityoftheinvestigation.Emissionhazardinvestigationshouldbeconsistentwithsafetyinvestigation,andcombinedwithriskseverity,dividedintotwolevels:producerinitiativeandinformedinvestigationandanalysis,andinvestigationbyregulators.Basicallyconsistentwiththeinternationalpractice,theavailableinvestigationmethodsincludetechnicalexchangesofproducers,returnvisitsrelatedtoconsumers'questions,on-siteinvestigationoffaultyvehicles,expertanalysisandevaluation,engineeringanalysisandtest,etc.CleardivisionoflaborandcollaborationandsharingbetweentheStateAdministrationforMarketRegulationandtheMinistryofEcologyandEnvironmentarethenecessaryconditionsfortheimplementationoftheemissionrecallsystem.TheLawonthePreventionandControlofAtmosphericPollutionhasmadeitclearthattheStateAdministrationforMarketRegulationandtheMinistryofEcologyandEnvironmentareresponsiblefortheemissionrecallandthatrelevantregulatoryauthoritiesshouldworktogethertoimplementtheemissionrecallsystem.Combiningthetechnicalexpertiseoftheabovementionedtwodepartmentsandbasedontheexistinginformationresources,technicalresourcesandtheentireworkchainofemissionrecall,thepaperfocusesonexploringthebuildingofthedatainformationsharingmechanismandthejointinformationconsultationmechanismbetweenmarketregulatorsandecologicalenvironmentdepartments,formingaworkingmodeof"jointconsultation-informationsharing-unifiedoutput-jointinvestigation-unifiedrelease-jointsupervision",andjointlybuildingacollaborativeworkingmechanismofvehicleemissionrecallwithdatainformationasitscore,maximizingtheallocationofadministrativeresources,minimizingtheburdenofenterprises,andimprovingtheefficiencyofregulation.TheresearchoftheprojectsupportstheformulationoftheRegulationsontheManagementofVehicleEmissionRecalltoacertainextent,andtheresearchgrouphassortedoutthehighlightsoftheRegulations,whichmainlyincludethefollowingaspects:1.Theresponsibilityofproducersandthetimelimitrelatedtotheimplementationofrecallareconsistentwiththesafetyrecalltoensurethecontinuityandcoordinationofrecallsupervisionwhenproducersarefulfillingtheirrecallobligations.2.TheregulatorysystemsuitsChina'snationalconditionsandintegratesthetechnicalexpertiseoftheStateAdministrationforMarketRegulationandtheMinistryofEcologyandEnvironmentasmuchaspossible.Atthesametime,ithasdefinedthedivisionofregulatoryresponsibilitiesandthecollaborationmechanism.3.Ithascreativelyputforwardtheideathatemissionrecallshouldbebasedonthesupervisionandinspectionofmotorvehicleemission,urgingproducerstocooperatewithemissionhazardinvestigationsandurgingvehicleownerstoactivelyassisttherelevantdepartmentsincompletingtherecalltoeffectivelyreduceemissionhazard.4.Strengthentheenforcementoflegalliabilit