能源基金會(huì)-機(jī)動(dòng)車環(huán)保召回制度實(shí)施關(guān)鍵問(wèn)題研究報(bào)告-摘要

機(jī)動(dòng)車環(huán)保召回制度實(shí)施關(guān)鍵問(wèn)題研究報(bào)告StudyontheKeyIssuesRelatedtotheConstructionandImplementationofMotorVehicleEmissionRecallSysteminChina中國(guó)標(biāo)準(zhǔn)化研究院2022.3.31ChinaNationalInstituteofStandardizationMarch31,2022!"實(shí)施機(jī)動(dòng)車排放召回是國(guó)際通行做法，在美國(guó)、歐洲、日本等國(guó)家和地區(qū)已經(jīng)實(shí)施數(shù)十年，對(duì)降低機(jī)動(dòng)車排放水平、提高大氣環(huán)境保護(hù)發(fā)揮了重要作用。為保障制度有效實(shí)施，相關(guān)國(guó)家和地區(qū)均出臺(tái)了法律或指令，例如美國(guó)《清潔大氣法案》、歐盟《機(jī)動(dòng)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(guò)的《大氣污染防治法》第58條規(guī)定“國(guó)家建立機(jī)動(dòng)車和非道路移動(dòng)機(jī)械環(huán)境保護(hù)召回制度”，但未明確具體要求和實(shí)施細(xì)則。雖然我國(guó)2004年已開(kāi)始實(shí)施汽車安全召回，并出臺(tái)了《缺陷汽車產(chǎn)品召回管理?xiàng)l例》及其實(shí)施辦法，但排放召回與安全召回管理涉及的主管部門(mén)、適用范圍、召回條件、排放信息收集途徑、調(diào)查與認(rèn)定規(guī)范、召回監(jiān)督管理、排放相關(guān)零部件信息報(bào)告義務(wù)等內(nèi)容均存在一定差異。因此，如何開(kāi)展機(jī)動(dòng)車環(huán)境保護(hù)環(huán)保線索信息收集、調(diào)查分析與認(rèn)定、召回實(shí)施、監(jiān)督和效果評(píng)估等，如何明確市場(chǎng)監(jiān)管部門(mén)和生態(tài)環(huán)境部門(mén)在召回管理中的職責(zé)分工等，成為制度制定及實(shí)施的重要課題。在能源基金會(huì)的支持下，中國(guó)標(biāo)準(zhǔn)化研究院聯(lián)合中國(guó)環(huán)境科學(xué)研究院開(kāi)展項(xiàng)目研究，重點(diǎn)分析國(guó)外機(jī)動(dòng)車排放召回制度法規(guī)及典型案例，梳理國(guó)內(nèi)可能的排放風(fēng)險(xiǎn)線索信息源及挖掘分析思路，以“沙場(chǎng)練兵”模式開(kāi)展某典型案例模擬調(diào)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(huì)同、協(xié)作和共享工作機(jī)制建立的相關(guān)建議。經(jīng)過(guò)項(xiàng)目研究，項(xiàng)目組形成以下主要觀點(diǎn)和認(rèn)知：一、健全完善的召回法律法規(guī)制度是確保機(jī)動(dòng)車排放召回制度實(shí)施的基礎(chǔ)保障。通過(guò)對(duì)國(guó)外典型案例分析發(fā)現(xiàn)，企業(yè)報(bào)告是識(shí)別潛在排放風(fēng)險(xiǎn)信息的有效數(shù)據(jù)來(lái)源，嚴(yán)厲的經(jīng)濟(jì)或行政處罰在國(guó)外召回制度實(shí)施中發(fā)揮了重要的威懾作用。同時(shí)，召回與其它相關(guān)制度銜接是提升完成率的重要手段，如日本實(shí)I/M制度關(guān)聯(lián)，有助于確保車輛實(shí)施排放召回維修。二、豐富多樣的排放風(fēng)險(xiǎn)數(shù)據(jù)源和精準(zhǔn)高效的數(shù)據(jù)挖掘方法是排放召回制度實(shí)施的基礎(chǔ)和前提。國(guó)內(nèi)外排放風(fēng)險(xiǎn)信息源基本相同，而我國(guó)相對(duì)的更加豐富。我國(guó)主要數(shù)據(jù)源包括監(jiān)督檢查數(shù)據(jù)（生產(chǎn)一致性、在用符合性、監(jiān)督檢查）、企業(yè)報(bào)告數(shù)據(jù)（企業(yè)自查、排放零部件報(bào)告、技術(shù)服務(wù)活動(dòng)）、投訴輿情數(shù)據(jù)（投訴舉報(bào)、境外召回、信訪、網(wǎng)絡(luò)輿情）、環(huán)保大數(shù)據(jù)（定期檢驗(yàn)、遙感監(jiān)測(cè)、路檢抽查、OBD遠(yuǎn)程監(jiān)控）等。針對(duì)每類數(shù)據(jù)源，應(yīng)結(jié)合數(shù)據(jù)收集渠道和數(shù)據(jù)質(zhì)量明確相應(yīng)的數(shù)據(jù)內(nèi)容、挖掘分析方法和流程，才能實(shí)現(xiàn)有效排放危害確定。其中，信息化和大數(shù)據(jù)挖掘是下一步排放危害多源數(shù)據(jù)融合分析的重點(diǎn)方向。三、公正科學(xué)的排放危害分析與調(diào)查是排放召回制度實(shí)施的關(guān)鍵環(huán)節(jié)。借鑒汽車安全召回調(diào)查經(jīng)驗(yàn)，充分發(fā)揮專家智力在排放調(diào)查案件啟動(dòng)、排放風(fēng)險(xiǎn)分析、排放危害認(rèn)定、排放效果評(píng)估等全工作鏈條上的作用，采用聯(lián)合會(huì)商、集體決策和環(huán)環(huán)相扣的工作模式，確保調(diào)查的公平公正和客觀科學(xué)。排放危害調(diào)查與安全調(diào)查一致，結(jié)合風(fēng)險(xiǎn)嚴(yán)重程度分為生產(chǎn)者主動(dòng)及被通知調(diào)查分析、監(jiān)管部門(mén)調(diào)查兩個(gè)層級(jí)。與國(guó)際基本一致，可采用的調(diào)查方法包括生產(chǎn)者技術(shù)交流、消費(fèi)者問(wèn)題回訪、故障車輛現(xiàn)場(chǎng)勘察、專家分析評(píng)估、工程分析試驗(yàn)等等。四、市場(chǎng)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(shí)施的必要條件?！洞髿馕廴痉乐畏ā芬衙鞔_排放召回由市場(chǎng)監(jiān)管總局會(huì)同生態(tài)環(huán)境部負(fù)責(zé)，相關(guān)監(jiān)管職能聯(lián)合實(shí)施。結(jié)合兩部門(mén)各自技術(shù)特長(zhǎng)，基于已有信息資源、技術(shù)資源以及排放召回全鏈條工作流程，重點(diǎn)探索構(gòu)建市場(chǎng)監(jiān)管部門(mén)和生態(tài)環(huán)境部門(mén)間數(shù)據(jù)信息共享機(jī)制和聯(lián)合信息會(huì)商機(jī)制，形成了“聯(lián)合會(huì)商—信息共享—統(tǒng)一出口—聯(lián)合調(diào)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(shù)據(jù)信息為核心的機(jī)動(dòng)車排放召回協(xié)同工作機(jī)制，最大化行政資源配置，盡量減少企業(yè)負(fù)擔(dān)，提高監(jiān)管效率。本項(xiàng)目研究一定程度上支撐了《機(jī)動(dòng)車排放召回管理規(guī)定》法規(guī)的制定，研究組對(duì)法規(guī)亮點(diǎn)進(jìn)行了梳理。主要有以下幾方面：1、生產(chǎn)者責(zé)任、召回實(shí)施相關(guān)時(shí)限要求與安全召回保持一致，確保生產(chǎn)者在履行召回義務(wù)時(shí)，保持召回監(jiān)管工作的連續(xù)性和協(xié)調(diào)性。2、監(jiān)管體制具有中國(guó)國(guó)情，盡量融合市場(chǎng)監(jiān)管總局和生態(tài)環(huán)境部各自技術(shù)特長(zhǎng)，又明確了監(jiān)管職責(zé)分工及會(huì)同機(jī)制。3、創(chuàng)新性地提出了排放召回要與機(jī)動(dòng)車排放監(jiān)督檢查、排放檢驗(yàn)銜接，督促生產(chǎn)者配合排放危害調(diào)查，督促車主積極配合完成召回，切實(shí)減少排放危害。4、強(qiáng)化召回違規(guī)法律責(zé)任執(zhí)行，召回違規(guī)與企業(yè)信用掛鉤。為了進(jìn)一步保障機(jī)動(dòng)車排放召回貫徹實(shí)施，項(xiàng)目組基于理論研究和召回實(shí)戰(zhàn)演練經(jīng)驗(yàn)，從保障配套政策工具供給、完善技術(shù)支撐保障體系和依法嚴(yán)格排放召回監(jiān)管等方面，研究提出了制度實(shí)施的政策建議。特別提示：本項(xiàng)目?jī)H為研究思考，形成的以上觀點(diǎn)和引用的相關(guān)分析案例不帶有任何傾向性，實(shí)際召回管理工作以202171日實(shí)施的《機(jī)動(dòng)車排放召回管理規(guī)定》（國(guó)家市場(chǎng)監(jiān)督管40號(hào)令）的要求為準(zhǔn)。最后，感謝項(xiàng)目組研究團(tuán)隊(duì)的辛苦付出，感謝能源基金會(huì)對(duì)中國(guó)機(jī)動(dòng)車排放召回和環(huán)境保護(hù)相關(guān)制度的支持和關(guān)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