档案法规标准2026年第40卷第1期《档案学研究》
档案执法“首违不罚”的功能意蕴、问题检视与优化进路
The Functional Implications, Practical Challenges and Optimization Path of the "First Violation Exempt from Penalty" Rule in Archival Law Enforcement
武汉大学法学院 武汉 430072
摘要
2021年修订的《中华人民共和国行政处罚法》第33条第1款引入了“首违不罚”制度。自此，档案执法领域相继开展了“首违不罚”的实践探索。从功能意蕴看，档案执法“首违不罚”可以促进档案工作变革创新、疏纾解档案执法机关执法困境，以及提高档案服务外包整体质量。然而，该制度也存在突破立法体制、构成要件分歧、效果裁量狭隘、配套措施滞后等问题。对此，可从四个方面予以优化：一是在档案法律法规体系中为“首违不罚”制度寻找安身之所；二是基于事实发生与规范评价的双重关照，对“初次违法”“后果轻微”“及时改正”予以明确规定；三是拓宽档案执法机关的裁量空间；四是制定负面清单、构建量罚过程、加强事后监管。
关键词：档案执法首违不罚柔性执法
Abstract
Article 33, Paragraph 1 of the revised Administrative Penalty Law of the People's Republic of China (2021) formally introduced the "first violation exempt from penalty" rule. Since then local authorities across China have successively explored its application in the field of archival law enforcement. Functionally, this principle can encourage institutional innovation in archival management, alleviate enforcement difficulties faced by archival authorities, and enhance the overall quality of outsourced archival services. However, in practice, the system still faces several challenges in the archival enforcement context—including its tenuous basis within the legislative framework, divergent understandings of its constitutive elements, overly narrow discretion in determining its applicability, and a lag in supporting measures. To address these issues, optimization can proceed along four dimensions: (1) integrating the "no punishment for first-time violations" principle into the broader system of archival laws and regulations; (2) providing clear definitions for "first-time violation" "minor consequences" and "prompt correction" based on both factual and normative considerations; (3) expanding the discretionary space available to archival enforcement authorities; (4) introducing a negative list, improving the penalty assessment process, and strengthening post-event supervision.
Key words: archival law enforcement; first violation exempt from penalty; soft law enforcement
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