档案法规标准2025年第39卷第6期《档案学研究》
人工智能嵌入档案开放审核的风险挑战及法律因应
Risk Challenges and Legal Responses to Artificial Intelligence Embedded in Archives Open Audit
浙大城市学院法学院 杭州 310015
摘要
档案开放审核已成为“人工智能＋档案”应用的主流场景。人工智能嵌入档案开放审核，本质上是让机器参与裁量决策，既有助于促进公民档案利用权的实现，又能提升档案开放审核裁量结果的一致性；但人工智能在档案开放审核中的应用也会衍生主体自主性弱化、裁量程序逃逸、算法裁量异化、责任归属模糊等多重风险。为此需要秉持包容审慎的规制理念，恪守法治引导技术向善的立场，建立“人在环中”的人工智能辅助档案开放审核制度体系，以技术性正当程序塑造档案开放人工智能审核程序制度，建立档案开放人工智能审核裁量全链条校准机制，构建完善权责一致、激励相容的归责追责体系。
关键词：档案开放审核人工智能风险法律规制
Abstract
Archives open audit has become a mainstream scenario for the application of "artificial intelligence + archives". The integration of artificial intelligence into archives open audit discretion essentially involves enabling machines to participate in discretionary decision-making. This approach not only facilitates the realization of citizens' rights to access archives but also enhances the consistency of archives open audit outcomes. However, the application of artificial intelligence in archives open audit also gives rise to multiple risks, including weakened subject autonomy, evasion of discretionary procedures, distortion of algorithmic discretion, and blurred accountability. In this regard, it is essential to uphold a regulatory philosophy of inclusiveness and prudence, adhere to the principle of guiding technology toward good through the rule of law, and establish a human-in-the-loop AI-assisted archival disclosure review system. A procedural framework for AI-based archives open audit should be shaped through technical due process, while an end-to-end calibration mechanism for discretionary decision-making in AI-assisted archives open audit must be implemented. Furthermore, a comprehensive accountability system with aligned responsibilities and incentives should be established.
Key words: archives open audit; artificial intelligence; risk; legal regulation
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