档案开放审核尽职免责:理论阐释与制度创设

Duty Exemption of Archives Open Audit:Theoretical Interpretation and Institutional Innovation

实施尽职免责制度是激励档案开放审核责任人员勤勉尽责的有力举措,是推进档案开放责任追究科学化、合理化的题中之义。人类认知的有限理性、权责对等的履职要求、宽容精神的价值昭彰和纠偏不作为的现实需要,均可为档案开放审核尽职免责制度的创设提供正当性证成。尽职免责的实体性规定阙如、程序性规定模糊和配套措施不完备是创设档案开放审核尽职免责制度面临的主要困境。应当借鉴市场监管、金融信贷、生态环境等领域尽职免责的成功经验,通过增设尽职免责条款、优化尽职免责程序、完善尽职免责配套机制等方式实现档案开放审核尽职免责制度的新立与善用。

The duty exemption system is a powerful measure to encourage the personnel responsible for the review of the opening of archives to be diligent and responsible,and is the essence of promoting the scientific and rational investigation of the responsibility for the opening of archives.The limited rationality of human cognition,the requirements for the performance of duties with equal rights and responsibilities,the value of tolerance spirit and the practical need to correct errors and omissions can all provide justification for the establishment of the due diligence exemption system for the open audit of archives.The lack of substantive provisions of due diligence exemption,the ambiguity of procedural provisions and the incompleteness of supporting measures are the main difficulties faced by the establishment of the due diligence exemption system for the open audit of archives.We should learn from the successful experience of due diligence exemption in the fields of market supervision,financial credit,ecological environment,etc.,and realize the construction and good use of the due diligence exemption system for the open audit of archives by adding due diligence exemption clauses,optimizing due diligence exemption procedures,and improving the supporting mechanism of due diligence exemption.