Nov. 30, 2021
Conferences
► Full Reference: Frison-Roche, M.-A., Legal Focus: Compliance Ex Ante, in GAIA-X, Toward Automated Compliance in the Data Economy , November 30, 2021, online
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Listen to the intervention.
Intervention Summary: Compliance Law has two senses and GAIA-X is a perfect illustration. Firstly, to respect rules and show in Ex Ante permanently this respect (procedural definition) ; secondly, to pretend certain specific "Monumental Goals" (substantial definition).
In this second sens, Compliance Law is very different from Competition Law: it required in Ex Ante collaboration, transparency, stability to reach these Monumental Goals around the respect and protection of Humans, while Competition Law is based on fighting, mobility and trade without obligation Ex Ante, just sanction Ex Post if a prohibitive behavior occurs.
GAIA-X is based on Compliance Law, established for the purpose of a European Data Industry, a Monumental Goal linked to the Sovereignty and people's protection: it must structurally oblige its members to collabore for this goals, notably through its policy rules (first sens).
It is also a part and subject of the European Union Law. In the sense, its members must obey European Regulatory system (second sens).
The both are narrowly linked because the European legal system has the same purpose of sovereignty, internalization of goals in enterprises and individuals' protection: GDPR, Cybersecurity, Digital Services Regulation, etc. : members must show permanently they do it actively.
Because the purposes of GAIA-X and the purpose of the European Union Law are now the same in the Compliance Law the respect of letter's Law but also the respect of spirit's Law matters.
Both are Ex Ante. Therefore, Compliance by design, which is also Ex Ante, is adequate.
Automated Compliance (and automated Certification) are tools to obey and reach the Monumental Goal.
GDPR has specific dispositions (articles 24 and 42) about them, but more generally the efficiency these tools are validated by Regulatory Body, and Courts notably through the design of Smart Contrats.
It could be prudent to put in adition some human Compliance control because, by definition, an Automated Compliance is just the technological transposition (second level) of legal norme (first level) and cannot create new normes.
This is why the more important in this conception in Ex Ante of Compliance by this marriage between Law and Technology is to keep in mind not only the letters put in the algorithms but only the spirit of Compliance Law.
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Go back to the previous intervention about Compliance Law as an adequate branch of Law for GAIA-X (November 2020)
Nov. 27, 2021
Conferences
► Full Reference: Frison-Roche, M.-A., Chair for "The temporal dimension: Imminence and Intertemporally", in Climate Change Cases before National and International Courts Cross-fertilization and Convergence", November 27, 2021, Paris.
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Summary of the panel presentation: The specific topic of our panel is the “temporal dimension” of the judicial cases of Climate change.
We shall listen to two great experts on this topic, which is Time.
Listening the other previous speakers, I understand how this topic is important, because Climate Change requires an immediate action and it create a political issue, because everyone comes before courts.
A basis and fundamental problem, because the times are not adjusted.
let's come back to basic notions, to have three times : “past, present, future”.
The issue of Climate Change is in the Future, the necessity of Action is in the Present and the basis temporal question is to know if Courts are the bodies adequate to responde ; maybe it is inevitable that Judge must be recreate their office because the time of the classical judicial office is the Past.
Immediately, this simple et huge problem appears : in a classical repartition, the judge is the legal character to intervenir for the Past, the present (maybe is for you and me), and the future is the time for the State, and more precisely for the Parliament.
But the climate change is a huge topic, not in the past, not in the present, but in the future.
Therefore a gap exists between the time of the topic and the time of the court before the case is explained for obtaining a solution : how to give a good answer ? Judge maybe must travel in time, from past to future …. Maybe, he must, but might he?
Classically, the judge can anticipate a very next future, but not the more distant and systemic future. Climate change belongs to the second one.
This is why the title of this panel is non only about the necessity to take in consideration the “imminence” but also the “intertemporally” : maybe court are the sole able to create this intertemporality between Past and Future, and by this way to obtain from States and companies to do something immediately !
By two legal ways.
Courts can stay in Past, supervising States, if they dispose of effective legal decisions taken by States in the past about Climate Change (essentially Paris Agreement, for instance transposed in the French legal system by a formal law). This is why an efficient judicial solution would be the possibility for the courts to oblige State to implement their more or less committment they had taken in the past for the future (as the Conseil d’Etat did in the Commune de Grande-Synthe Cas Law).
Even for that, the courts must adopt a creative notion of what is a commitment from a State through a Law... ; as they must do about private companies comitment (in their codes of conduct or soft law of corporate social responsability).
But what to do if States didn’t take such commitment ?
Some can allege Courts are not Parliaments and are not legitimate to rule for the future … It is a political issue, a very classical one but very accurate for Climate change (where States and companies are face to courts...) and maybe And as our colleague said, judicial system is quite technically weak to concretize human rights.
Therefore, the second way, more innovative, est the new use of Tort Law : no more a liability Ex Post, but a responsibility Ex Ante. In every legal system, even in Civil Law systems, Tort Law is conceived by courts (for instance in French Law).
If the new reasoning is conveived in Ex Ante, Tort Law must be a set of legal tools to reach the monumental tools to reach the "Monumental Goal" (being by nature future) which is the Climate Change stopping.
In this teleological reasoning, the admissibility and the choice remedies, must be adapted to obtain what is central : the effectivity and the efficiencicy.
In this sens, the judgement between two parties (which was an Ex Post act) may be conceived as an systemic efficient action (which was an Ex Ante act), because it must be.
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Nov. 14, 2021
Compliance: at the moment
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Nov. 4, 2021
Thesaurus : Soft Law
Référence complète : CE, Avis sur une proposition de loi visant à améliorer la protection des lanceurs d’alerte, 4 novembre 2021.
Nov. 4, 2021
Publications
► Full Reference: M.-A. Frison-Roche, " Assessment of whistleblowing and the obligation of vigilance regarding international competitiveness", in M.A. Frison-Roche (ed.), Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) et Bruylant, 2023, p.
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► Article Summary: Taking up the legal tools of Compliance and confronting them with the concern that Law must have for the Competitiveness of companies, it is necessary that these legal instruments not harm it because Compliance Law, because of its immense ambitions, can only function through an alliance between political wills with great pretensions (save the planet) and the entities which are able to achieve these goals (the crucial economic operators : the political drawing on the compagnies" power, it would be contradictory for the legal instruments put in place by Law to harm the ability of companies to face global economic competition, or worse to favor international competitors acting under legal systems which do not integrate Compliance obligations.
From this principle, it is possible to assess these two legal techniques of whistleblowing and vigilance obligation: both consist in capturing Information, which gives them a strong uniqueness and fits them into the global competition for Information.
Taking the whistleblowing, its first beneficiary is the company itself since the firm discovers a weakness and can therefore remedy it. Therefore, beyond the principle of protection of the whistleblower by their access to the legal statute, for instance the one conceived by the French 2016 law known as "Sapin 2", it is questionable that all the incentives are not put in place so that the holder of such information transmits it to the manager. It is not the European solution, even after the European Directive of 2019, national legal systems continuing to require the absence of financial compensation, the "heroic figure of the whistleblower and the refusal of their remuneration depriving the company of Information and improvement. First to the manager, with external transmission taking place if the latter does nothing, the internal manager is thus encouraged to act and put an end to the dysfunction, which increases the competitiveness of the company.
But the French legislation has on the contrary developed the right incentive as to the person to whom the information is transmitted because by obliging to transmit first to the manager, the external transmission intervening if the internal management does nothing, the incentive is thus made to the internal manager to act and put an end to the dysfunction, this legal solution increasing the competitiveness of the company.
Even more, and even if it seems counter-intuitive, the obligation of vigilance increases the competitiveness of the obliged companies. Indeed, Law by obliging them to prevent and fight against violations of human rights and the environment has tacitly given them all the necessary powers to do so, notably the power to collect Information on third-party companies, including (and even above all) those which are not subject to transparency obligations. In this respect, companies, as far as they are personally responsible, hold supervisory power over others, a power which allows to globalize Compliance Law and which, in the process, increases the Companies' own power. Therefore, the obligation of vigilance is in many respects a boon for the companies which are subject to it. The resumption of the mechanism by the next European Directive, itself indifferent to the territory, will only strengthen this global power of vigilant companies over possibly foreign companies which become its passive subjects.
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🚧 read the bilingual Working Paper, basis for this article
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► read the presentations of the other Marie-Anne Frison-Roche's contributions in this book:
📝Compliance Monumental Goals, beating heart of Compliance Law,
📝Definition of Principe of Proportionality and Definition of Compliance Law,
📝 Role and Place of Companies in the Creation and Effectiveness of Compliance Law in Crisis,
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Nov. 4, 2021
Conferences
► Référence complète: Frison-Roche, M.A., Appréciation du lancement d'alerte et de l'obligation de vigilance au regard de la compétitivité internationale (" ("Assessment of Whistleblowing and Vigilance Duty with regard to international competitiveness"), in Benzoni, L., Deffains, B. et Frison-Roche, M.-A.(dir.) , Effectivité de la Compliance et Compétitivité internationale("Compliance Effectivity and International Competitiveness"), seminar co-organised by the Journal of Regulation & Compliance (JoRC) and the Centre de recherche sur l'Économie et le Droit (CRED) of the Panthéon-Assas University, November 4, 2021.
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►This intervention is thematic ; it is articulated with those more general carried out in introduction by Bruno Deffains particularly focused on the necessarily global scope of Compliance and in conclusion by Laurent Benzoni on Compliance as a potential new pillar of industrial policy, the whole of the colloquium having been conceived by the three of us.
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📅 this scientific event is part of the 2021 colloquia cycle, organized by the Journal of Regulation & Compliance (JoRC) and its Universities partners, on the general theme of Compliance Monumental Goals.
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🚧 read the bilingual Working Paper, basis of this conference
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►see the slides used during the conference
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► Conference Summary: First of all and independently of the technical topic itself which, as the slides show, is focused on these two techniques based on Information which are the Whistleblowing and the Vigilance duty, it is essentiel to pose that the techniques themselves are conceived totally differently depending on whether Compliance Law is conceived as a mechanical process and totally binding to fully comply with all applicable regulations and to demonstrate it in advance, under the threat of terrible fines, this definition being the both completely frightening and meaningless since what these applicable regulations contains is irrelevant, in which case the prospect of competitiveness boils down to notions of costs and also procedural considerations of foreseeability and legal certainty; or if Compliance Law is conceived as a new and substantial branch of Law Ex Ante developed to detect and prevent the systemic crises being before us, of which the climate crisis is unfortunately the epigone and which requires above all Action, an action of such magnitude which requires the alliance of all forces, that of States, companies, courts and people, in a renewal of concepts, particularly legal ones, and in the indifference of territories, which puts Compliance immediately at its right level: the world, because the scientifically emerging crisis is global, the so-called "extraterritoriality" theme now being misnamed. From this new general conception, the Vigilance obligation, about which so much was said when it was imposed in France in 2017, is the advanced point, soon taken up in Europe and whose scope must be naturally global, because that Compliance Law is consubstantially global.
Taking up more technically the legal techniques of Compliance and confronting them with the Competitiveness of firms, it is necessary that these Compliance Tools do not harm this Competitiveness because Compliance Law , supporting immense ambitions, can only function through an alliance between political wills (with great pretensions, i.e. save the planet) and the entities which are able to concretize them (the crucial economic operators): the Compliance tools designed by legal systems must preserve the companies which put them in place and never favor their competitors.
On the basis of this principle, it is possible to assess these two legal techniques, namely the whistleblowing and the Vigilance duty, which both capture Information, which, as such, gives them a uniqueness and places them in the global Competition for Information.
Taking the whistleblowing first, it appears that its first beneficiary is the company itself since it discovers a weakness and can therefore remedy it. This is why, beyond the principle of protection of the whistleblower by the access of somebody to the legal statute conceived in France by the law known as "Sapin 2", it is criticized that all the incentives are not used for that the holder of such information transmits it to the manager and that the same law continues to require the absence of financial counterpart, the "heroic figure of the whistleblower and the refusal of his remuneration depriving the company of a means information and improvement. The American solution is better and tt is regrettable that the law transposing the European Directive maintains this ineffective conception. But French legislation has on the contrary developed the right incentive as to the person whom the information must be transmitted to is the manager, then externally if the latter does nothing. The solution is better that the American solution because the incentive is thus made to push the internal manager to act and put an remedy to the internal dysfunction, which increases the competitiveness of the company.
Even more, even if it seems counter-intuitive, the French Vigilance Duty greatly increases the competitiveness of the companies which are subject to it. Indeed, the 2017 Law by obliging them to prevent and fight against human rights and environment violations has tacitly given them all the necessary powers to do so, in particular the power to capture Information on third-party companies, including ( and even above all) those which are not subject to transparency obligations. In this, companies, insofar as they are personally responsible, hold a supervisory power over others, a power which allows Compliance Law to globalize and which, in the process, increases their own power. This is why the obligation of vigilance is in many respects a boon for the companies which are subject to it. The resumption of the mechanism by the next European Directive, itself indifferent to the territory, will only strengthen this global power on other firms, even foreign ones.
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► This conférence et le document de travail servent de base à un article dans un ouvrage :
📝This conference and the Working Paper constitute the basis for an article:
📕 in its French version in the book Les buts monumentaux de la Compliance, in the Series Régulations & Compliance
📘 in its English version in the book Compliance Monumental Goals, in the Series Compliance & Regulation
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Oct. 22, 2021
Publications
► Référence complète : Frison-Roche, M.-A., Compétitivité des mécanismes d'alertes et des obligations de vigilance, document de travail, juillet 2021.
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🎤 ce document de travail sert de base à une conférence, dans le colloque Effectivité de la Compliance et Compétitivité internationale, coorganisé par le Journal of Regulation & Compliance (JoRC) et le Laboratoire d'économie du droit de l'Université Panthéon-Assas), se tenant le 4 novembre 2021, Salle des Conseils, Université Panthéon-Assas (Paris II).
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📝Ce document de travail constitue aussi la base d'un article. Cet article sera publié ⤵
📕dans sa version française dans l'ouvrage Les buts monumentaux de la Compliance, dans la collection Régulations & Compliance
📘dans sa version anglaise dans l'ouvrage Compliance Monumental Goals, dans la collection Compliance & Regulation
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► Résumé du document de travail : Les "outils de la compliance" sont très divers. S'il a été choisi de traiter plus particulièrement parmi ceux-ci l'obligation de vigilance et le lanceur d'alerte, ceux-là plutôt que d'autres et de les réunir, c'est parce qu'ils présentent au regard du sujet spécifique choisi, à savoir "la compétitivité internationale", et celle des entreprises, et celle de la zone économique considérée, et du système juridique indissociable de celle-ci, une unité : ce sont des mécanismes qui font sortir de l'information.
Sur ordre de la Loi, l'entreprise va non seulement cesser d'ignorer ce qu'elle recouvrait du mouchoir que Tartuffe le tendait ou qu'une conception du Droit des sociétés lui permettait légitimement d'ignorer. Il ne s'agit pas ici d'examiner si cette révolution que le Droit de la Compliance exprime dans le système juridique est d'une part légitime et d'autre part effective, mais d'essayer de mesurer ce qu'il en est au regard de la "Compétitivité internationale".
Le Droit de la Compliance sera donc ici examiné à travers ses instruments (et non par rapport à sa normativité, laquelle réside dans ses "Buts Monumentaux"). Or, ses instruments ont pour objet l'information et la mise à disposition de cette information, dans sa présentation, dans son intelligibilité et surtout dans les mains de ceux qui sont aptes à en faire "bon usage" pour que les Buts du Droit de la Compliance soient atteints.
Au regard de cette notion centrale qu'est l'information,la compétitivité internationale va être plus particulièrement concernée parce que le Droit de la Compliance va obliger l'entreprise à aller elle-même rechercher, puis exposer au regard de tous, notamment de ses concurrents, ses faiblesses, ses projets, ses alliances, ses failles. Cela ne pose pas de difficulté si ses compétiteurs sont eux-mêmes souvent à cette nouvelle loi, qui va bien au-delà de la transparence, laquelle est déjà un mécanisme nouveau car une entreprise n'est pas une organisation transparente et le Droit de la concurrence qui régit les entreprises ordinaires n'a jamais exigé cela, régit également les compétiteurs. Mais si ceux-ci ne sont pas soumis à cette loi si particulière qu'est le Droit de la Compliance, alors il y a distorsion de compétitivité du fait même du Droit.
Certes, l'on peut dire que les marchés aiment la vertu, qu'ils lui accordent crédit car ils sont eux-mêmes basés sur l'idée de "promesse", laquelle repose ultimement sur un concept moral, mais cette mise à disposition d'informations multiples à autrui, lequel autrui demeure opaque est un problème majeur de compétitivité, que le concept de "loyauté des pratiques commerciale" ne prend que très partiellement en charte.
C'est pourquoi il convient d'examiner tout d'abord ce qu'il en est de la puissance économique et financière de l'information captée par l'entreprise sur elle-même que le Droit de la Compliance peut rendre disponible à tous, ce qui produit une asymétrie de puissance à laquelle le Droit de la Compliance ne semble pas avoir encore répondu (I). Mais le Droit de la Compliance oblige aussi les entreprises à rendre compte non seulement à ce qu'elles font mais encore à ce que font les autres pour elles. A travers l'obligation de vigilance, obligation objective et Ex Ante, à laquelle s'arrive le pouvoir du lanceur d'alerte, l'entreprise obtient un pouvoir d'information sur autrui qui pourrait bien résoudre ce qui est souvent présentée comme la dispute aporétique de l'extraterritorialité du Droit de la Compliance, rendant alors comptable les entreprises jusqu'ici protégées par leur système juridique "préservé" et atteint de ce fait par l'effectivité du Droit de la Compliance (II).
Oct. 22, 2021
Publications
► Référence complète : Frison-Roche, M.-A., Le principe de proximité systémique active, corolaire du renouvellement du Principe de Souveraineté par le Droit de la Compliance, document de travail, octobre 2021
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🎤 Ce document de travail avait été élaboré pour servi de base à l'intervention de clôture du colloque Effectivité de la Compliance et Compétitivité internationale, coorganisé par le Journal of Regulation & Compliance (JoRC) et le Centre de recherche en Droit et en Économie de l'Université Panthéon-Assas (Paris II), se tenant le 4 novembre 2021, Salle des Conseils, Université Panthéon-Assas (Paris II).
🚧Il était corrélé à un premier document de travail ayant pour thème l'Appréciation du lancement d'alerte et de l'obligation de vigilance au regard de la compétitivité internationale, élaboré également pour ce colloque.
La gestion du temps n'a permis que la prise de parole sur ce thème-ci relatif aux techniques juridiques du lancement d'alerte et de l'obligation et devoir de vigilance.
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📝Ce présent document de travail a donc été ultérieurement utilisé pour constituer la base d'un article, Le principe de proximité systémique active, corolaire du renouvellement du Principe de Souveraineté par le Droit de la Compliance, lequel est publié⤵
📕dans sa version française dans l'ouvrage Les buts monumentaux de la Compliance, dans la collection 📚 Régulations & Compliance
📘dans sa version anglaise dans l'ouvrage Compliance Monumental Goals, dans la collection 📚 Compliance & Regulation
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► Résumé du document de travail : Les rapports entre le Droit de la Compliance et la notion de Souveraineté sont abîmés par une mauvaise querelle de départ, souvent appelée celle de "l'extraterritorialité du Droit de la Compliance", elle-même qualifiée en tant que telle comme une attaque à la Souveraineté des Etats, une sorte de guerre contre cette sorte de population civile que sont "ses" entreprises, frappées par des sanctions économiques. Dans une confusion juridique générale, oscillant entre panique et rage, entre le cas pourtant si particulier des embargos décrétés par un Etat contre un autre, une contamination s'est faite avec la question plus vaste des sanctions économiques internationales, puis avec le Droit de la Compliance, lui-même réduit ainsi à n'être qu'une petite partie du Droit pénal international.
Le Droit de la Compliance, présenté comme outil masqué de guerre entre Etats, en a été d'une part profondément dénaturé. D'autre part, toutes les forces ont été mobilisées pour "réagir" et frapper en retour ou à tout le moins "bloquer", ou, si l'on ne pouvait rien faire d'autre, recopier l'arsenal, limitant la Compliance à la question de la corruption.
C'était réduire le Droit de la Compliance à peu, alors que nous avons tant besoin de sa force et qu'il exprime au contraire la puissance du Juridique lui-même dans un espace supra-national où les Etats sont peu présents. Ils sont peu présents parce que le territoire lui-même s'y dérobe et que les Etats demeurent liés au territoire. Or, la finance, le numérique et le spatial, ces grands enjeux de Régulation ont besoin de limites, parce que les êtres humains, même faibles, ne doivent pas être broyés par plus forts qu'eux. Non, la civilisation, essentiellement liée à la limite, ne doit pas se perdre dans ces nouveaux espaces.
Or, la Souveraineté ne s'exprime pas dans la toute-puissance, ce sont les petits-enfants et les tyrans qui pensent cela. Elle s'exprime dans la limite, que le sujet se donne et qu'il donne. Le Droit de la Compliance, prolongeant en cela le Droit de la Régulation, est ce qui est en train de donner des limites à ces trois espaces sans territoire que sont la finance, le numérique et le spatial. En ce qu'il appréhende directement les risques globaux qui se jouent des territoires, par exemple le risque climatique. En ce qu'il limite les discours de haine qui nie l'idée de civilisation dans l'espace numérique. En ce qu'il se saisit directement de l'avenir. En ce qu'il noue directement une alliance entre les Autorités politiques et les Opérateurs cruciaux en Ex Ante
C'est pourquoi sur la base du Droit de la Compliance l'Europe numérique souveraine s'élabore, l'industrie d'un cloud souverain se construit. Ainsi le Droit de la Compliance n'est pas l'ennemi de la Souveraineté, c'est le contraire : il est ce par quoi la Souveraineté va se déployer dans un monde qui doit se penser sans territoire en mettant pourtant le projet politique en son cœur.
Pour cela il faut construire un nouveau principe, qui est l'inverse de la fermeture et de l'exclusion, correspondant au projet de l'Europe souveraine : celui de la "proximité systémique active.
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Lire ci-dessous les développements⤵️