档案法规标准2025年第39卷第5期《档案学研究》
数智时代档案开放审核的法理命题与规范更新
The Legal Theoretical Propositions and Normative Updates of Archival Openness Review in the Digital Intelligence Era
中共上海市委党校上海发展研究院 上海 200233
摘要
在行政法学理体系中，档案开放审核属于内部行政行为，是做出最终开放决定前的裁量过程，对其规制应从依据、主体、程序三方面展开。当前档案法规范主要针对传统审核方式，难以适应数智化转型需求。在依据方面，《中华人民共和国档 案法》的技术鼓励条款可为审核数智化提供授权依据，但过于宽泛，需确保“人在回路”以避免裁量怠惰。在主体方面，智能审核所用AI技术多由作为私主体的企业提供，现行规范缺乏对其与公主体间权责的明确划分。后续立法应基于国家担保理论进行安排，实践中也可借助采购合同填补疏漏。在程序方面，应增补事前审查和动态评估规范以防控算法 风险，通过要求智能审核系统留痕，并强制使用者解释算法及其输出结果，便利后续监督审查。
关键词：档案开放审核数智化行政行为
Abstract
Within the framework of administrative law theory, archival openness review is an internal administrative act, serving as a discretionary process prior to the final openness decision. Its regulation should be addressed from three aspects: basis, subject, and procedure. Current archival law norms primarily target traditional review methods and struggle to meet the demands of digital-intelligentization transformation. Regarding the basis: While the technology-encouraging provisions in Archives Law of the People's Republic of China can provide authorization for digital-intelligentization review, they are overly broad. It is essential to ensure "human-in-the-loop" to prevent abdication of discretion. Regarding the subject: AI technologies used in intelligent review are predominantly provided by private enterprises. Existing regulations lack clear delineation of authority and responsibility between these private entities and public authorities. Subsequent legislation should be arranged based on the state guarantee theory, while procurement contracts can help fill gaps in practice. Regarding procedure: Norms for ex-ante review and dynamic assessment should be added to prevent and control algorithmic risks. By requiring intelligent review systems to maintain audit trails and mandating users to provide explanations for both the algorithms and their outputs, subsequent supervision and review can be facilitated.
Key words: archival openness review; digital-intelligentization; administrative act
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