Thesaurus : Doctrine
► Référence complète : B. Haftel, "La façon dont l'impératif de Vigilance s'ajuste aux règles juridiques internationales", in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître
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📕lire une présentation générale de l'ouvrage, L'obligation de Compliance, dans lequel cet article est publié
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Publications
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► Référence complète : M.-A. Frison-Roche, Choix et embranchements de compétences lorsqu'un enjeu de vigilance est allégué, document de travail, novembre 2024.
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🧮Ce document de travail a été élaboré pour constituer la base d'une intervention à la conférence Le droit processuel de la vigilance, du 18 novembre 2024
qui fait partie du cycle de conférences sur Le contentieux systémique,
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📕Ce document de travail sera aussi la base d'une contribution pour l'ouvrage publié en 2025.
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► Résumé du document de travail :
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🔓lire le document de travail ci-dessous⤵️
Nov. 18, 2024
Organization of scientific events
► Full Reference: Le Droit processuel de la Vigilance (Vigilance General Procedural Law), in cycle of conference-debates "Contentieux Systémique Émergent" ("Emerging Systemic Litigation"), organised on the initiative of the Cour d'appel de Paris (Paris Cour of Appeal), with the Cour de cassation (French Court of cassation), the Cour d'appel de Versailles (Versailles Court of Appeal), the École nationale de la magistrature - ENM (French National School for the Judiciary) and the École de formation des barreaux du ressort de la Cour d'appel de Paris - EFB (Paris Bar School), under the scientific direction of Marie-Anne Frison-Roche, November 18, 2024, 11h-12h30, Cour d'appel de Paris, Cassin courtroom
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► Presentation of the conférence:
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🧮Programme of this event:
Paris Court of Appeal, Cassin courtroom
Presentation and moderation par Marie-Anne Frison-Roche, Professor of Regulatory and Compliance Law, Director ot the Journal of Regulation & Compliance (JoRC)
🕰️11h-11h20. 🎤, by 🕴️Marie-Anne Frison-Roche, Professor of Regulatory and Compliance Law, Director ot the Journal of Regulation & Compliance (JoRC)
🕰️11h20-11h40. 🎤, by 🕴️Natalie Fricero, Emeritus Professor of Law at Côte d'Azur University
🕰️11h40-12h30. Debate
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🔴Registrations and information requests can be sent to: inscriptionscse@gmail.com
🔴For the attorneys, registrations have to be sent to the following address: https://evenium.events/cycle-de-conferences-contentieux-systemique-emergent/
⚠️The conference-debates are held in person only, in the Cour d’appel de Paris (Paris Court of Appeal).
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Nov. 18, 2024
Conferences
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► Full Reference: M.-A. Frison-Roche, "Choix et embranchements de compétences lorsqu'un enjeu de vigilance est allégué" ("Choice and Branching of Jurisdiction when a Vigilance issue is Alleged"), in Le Droit processuel de la Vigilance (Vigilance General Procedural Law), in cycle of conference-debates "Contentieux Systémique Émergent" ("Emerging Systemic Litigation"), organised on the initiative of the Cour d'appel de Paris (Paris Cour of Appeal), with the Cour de cassation (French Court of cassation), the Cour d'appel de Versailles (Versailles Court of Appeal), the École nationale de la magistrature - ENM (French National School for the Judiciary) and the École de formation des barreaux du ressort de la Cour d'appel de Paris - EFB (Paris Bar School), under the scientific direction of Marie-Anne Frison-Roche, November 18, 2024, 11h-12h30, Cour d'appel de Paris, Cassin courtroom
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🕴️An other speaker to this conference is Natalie Fricero, Emeritus Professor at Côte d'Azur University
🧮see the full programme of this event
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⚙️This event was conceived as part of the "Emerging Systemic Litigation" cycle of conference-debates, organized by the Paris Court of appeal, in conjunction with the French Court of cassation, the Versailles Court of appeal, the French National School for the Judiciary and the Paris Bar School, under the scientific direction of Marie-Anne Frison-Roche.
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► English Summary of the conference: This speech opens the conference. It therefore logically focuses on the question of "jurisdictional competence". It is divided into successive points which are progressively linked to each other.
The first point consists to insist on this rule : the organisation of the courts and their jurisdiction can never be detached from the substance of the matter in dispute. This explains why the issue of jurisdiction is such a source of passion for as long as the very definition of Vigilance remains so contentious, and why the 2021 legislature's belief that it could put out the fire has only served to exacerbate it.
The second point relates to the first proposed solution, i.e. maintaining the exclusivity of the Paris First Judicial Court, which is acceptable in principle because by specialising judges acquire a "technical competence" but which presents a very damaging "Bibendum risk".
The third point relates to the second solution proposed, namely the reference to the Motulskian notion of the 'basis of demand', which provokes a fork in the road, with the risk of interminable conflicts and divergent interpretations.
The fourth point is the need to find the best solution, i.e. the least bad solution, consisting above all of forming practical alliances, without requiring new texts, for this particular type of litigation which does not come under any branch of Law and which justifies a dialogue between the heads of the courts.
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🔓read the key points of this speech below ⤵️
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Nov. 15, 2024
Conferences
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► Full Reference: M.-A. Frison-Roche, "Considérer la géographie pour réussir le Devoir de Vigilance" ("Taking Geography into account for a successful Vigilance Duty"), concluding speech in Devoir de vigilance, quelles perspectives africaines ? Regards croisés en droit international, droit comparé et droit OHADA (Vigilance Duty : what African perspectives? Cross-analysis of International Law, Comparative Law and OHADA Law), Institut de Recherche en Droit des Affaires et du Patrimoine (IRDAP), Bordeaux, 15 November 2024.
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🧮see the full programme of this manifestation (in French)
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► English summary of this concluding speech: This concluding speech was made "on the bench", i.e. directly after listening to all the day's speakers. It is not, therefore, based on an a priori conception of the subject, but on the impression that emerged from the whole, as one speaker followed another.
The general impression is that these compliance instruments, of which the vigilance tool is the spurred head, are only appropriate if they fulfill the purpose for which they were devised and imposed, which presupposes that they are appropriate to the concrete situations to which they apply: to the country, to the legislation that shapes and expresses this country, to its economy, to its population.
There is certainly room for improvement. But Vigilance legal instruments, like Compliance Law, are new mechanisms that are in the process of taking shape: we must seek to improve them and find solutions:
🧱🕴🏻mafr, 🚧Duty of Vigilance: the way forward, 2024
This is not easy, especially if we get lost in the jigsaw puzzle of texts and decisions in which the vigilance technique fits, particularly at French, European and international level:
🧱🕴🏻mafr, 🚧Vigilance, a piece of the European puzzle, 2023
Listening to all the many and varied speakers, it is clear that progress needs to be made to ensure that the Vigilance instrument takes greater account of the concrete situations reflected in the various legal systems of African countries, and in particular the unified OHADA legal system.
It can be done, as long as everyone is willing to bear it in mind.
🧱🕴🏻J.-B. Racine, 📝Geographical dominance in the choice and the use of compliance tools. Introductory remarks, in 🧱🕴🏻mafr (ed.), 📘Compliance Tools, 2021
The speakers demonstrated that the good feelings of Paris or Brussels can pave the way for African hell, for example when about the children labour. The same is true of the fight against corruption, as Mohamed Salah showed.
🧱🕴🏻M.M. Salah ,📝Conception and Application of Compliance in Africa, in 🧱🕴🏻mafr (ed.), 📘Compliance Tools, 2021
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Meanwhile, listening to each other, it appears that often, despite using the same words, the speakers were not talking about the same thing, particularly not in terms of what the very term "Vigilance" refers to, the difference between the French and English being a challenge because "due diligences" are not the same than Vigilance duty . This is a sign that what we call a duty, or an obligation, or a spontaneous commitment, or a legal order criminally sanctioned, which are not at all the same thing, shows the immaturity of this notion of "Vigilance". What's more, we sometimes talk about the climate, or human rights, or the need to fight corruption or money laundering. These latter concerns are undoubtedly covered by texts classified under Compliance Law, some of which assert that Vigilance is the cutting edge, while others claim that Compliance is alien to or merely a component of Vigilance, because Vigilance embraces ethics, while Compliance is merely obedience to the norm ('conformity').
It is clear that the absence of an agreement on definitions is a handicap in practice, as we do not know which legal regime will apply. This uncertainty is problematic in practice because the regulations don't lay down definitions which alone make it possible to deduce the outline of the obligations of each party, particularly not those of the companies, which ask for instructions for use. Companies receive contradictory interpretations for the same situation, depending on who you are dealing with (a regulator or an NGO for example) or depending on the text (a text specific to the industrial activity, a text specific to the country, or a text from the country of the ordering company on the duty of vigilance, or a text from ordinary contract law or a text that will come from a soft law that remains rather mysterious).
This uncertainty feeds the passion that surrounds the issue of vigilance, with everyone speaking out, the specialists who want to talk about it being suspected of being a technocrat or captured, and those who don't speak out being the local population for whom others speak out.
As a result, two phenomena are set to persist, which we had hardly anticipated but which are set to increase: the contractualisation of all vigilance mechanisms and the jurisdictionalisation of all vigilance organisation.
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The first phenomenon is the contracting of Vigilance. This contractualisation is the means by which companies have been carrying out their legal compliance obligations for years, using a contractual art that is becoming increasingly sophisticated.
We have very little information on these contracts, which are nonetheless what allow companies to obey the regulations and also to add to them, a combination of obedience and contractual freedom, the effects of which in practice have not yet been fully measured.
🧱🕴🏻mafr, 🚧Will, Heart and Calculation, the Three Traits Encercling the Compliance Obligation, 2024
🧱🕴🏻mafr (ed.), 📘Compliance and Contract, 2025
But they do raise essential questions. Firstly, they will bring back the jurisdiction of general courts , for example the commercial courts (tribunaux de commerce) in France, and the courts of the countries where the industrial operations take place: moreover, they are the natural route to international arbitration. They are a new type of contract, since they structure "value chains" (a managerial concept).
🧱🕴🏻mafr, 🚧Compliance Contract, Compliance Clauses, 2022
There are two key issues concerning these contracts: they directly concern African countries, their economic activity and their populations, as described throughout all the speeches.
The first is to know who governs the structural apparatus constituted by these 'regulatory contracts' through which chains of activity are built as durable structures. Who is strong and who is weak, between companies and states?
The second is to find out how much of the reality of the country and of local economic activity is taken into account by the subsidiary, and how much consideration is given to the local people involved: are the people who are actually involved really "taken into consideration" when we speak for them? Who is best placed to speak on their behalf, to defend them, to get to know them?
If we want to contextualise, refine and get to know the situation as closely as possible, in other words if we want to have definitions so that we know what we are talking about, but at the same time start from geographical and human realities, then it is the Judge who appears because the court starts from the facts.
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This is the second phenomenon that has emerged and is set to increase: the jurisdictionalisation of Vigilance.
🧱🕴🏻mafr (ed.), 📘Compliance Jurisdictionalisation, 2023
This is understandable, since the judge is able to take cognisance of the facts, the situation in Uganda or Tanzania, and what is often referred to as the "extraterritoriality" of the Compliance mechanisms being thus compensated for.
However, the exclusive jurisdiction of the Paris Court of First Instance (decided in France by a 2021 law) may become more difficult, as it is even further away from Africa than the ordering company is. But it is precisely the contract judges who can be called upon to rule on the basis of Contract Law.
This central role of the judge raises a number of procedural difficulties that have either not yet been resolved, moreover are not still being perceive
🧱🕴🏻mafr (dir.), 🧮Le Droit processuel de la Vigilance (Vigilance Genreral Procedural Law), 2024
At the interface between procedure and substance, evidentiary issues require the development of a new evidentiary system. When the relevant facts are in Africa but the company accountable for them is in France under legislation adopted in Europe, this must be taken into account.
🧱🕴🏻mafr, 📝The Judge, the Compliance Obligation and the Company. The Compliance Evidence System, in 🧱🕴🏻mafr (ed.), 📘Compliance Jurisdictionalisation, 2023
What's more, since the Monumental Goal is to prevent, manage and detect risks, it is the future that is the main object of proof. A difficult subject by its very nature of the future, which calls for caution. Caution is to be expected from Judges, who may prefer the solution of an agreement: the contract and the commitment come back, for example through mediation, among the methods of conflict resolution.
But as close as possible to where it happens, OHADA's courts can then be called upon to hear States and populations.
What is more, in contractualisation (at which point the two major phenomena, contractualisation and jurisdictionalisation, enter into a dialectic), the clauses work together to activate the natural judge of the international contract, including vigilance clauses: the international arbitrator.
🧱🕴🏻L. Aynès, 📝How international arbitration can reinforce the Compliance Obligation, in 🧱🕴🏻mafr (ed.), 📘Compliance Obligation, 2025
OHADA has institutional arbitration mechanisms.
Now is the time to guide them so that they open up Africa to Vigilance and open up Vigilance to Africa.
In concrete terms.
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Sept. 25, 2024
Organization of scientific events
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► Full Reference: M.-A. Frison-Roche, coordination of the conference L'incidence du devoir de vigilance sur les litiges commerciaux (The impact of the duty of vigilance on commercial litigation), Tribunal de commerce de Paris (Paris Commercial Court), Droit & Commerce and Association Française en Faveur de l'Institution Consulaire (AFFIC), Tribunal de commerce de Paris, 25 September 2024, 5.15p.m. to 8p.m.
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🧮see the full programme of this event
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🌐consult on LinkedIn a general présentation of this event (in French)
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► General presentation of the conference: The Duty of Vigilance reflects the new role of firms in the world. Vigilance sometimes existed on a sectoral basis, but the 2017 French law extended it to large companies that control value chains. The French so-called "confiance" law gave the Tribunal judiciaire de Paris (Paris First Instance Civil Court) jurisdiction to hear "actions relatives" ("actions relating") to this duty. This does not mean, however, that the commercial courts will no longer have jurisdiction.
Firstly, vigilance may go beyond the scope of the 2017 French law. Secondly, vigilance may concern not only the plan drawn up by the firm, but also Commercial Contract Law or Liability Law, special Distribution Law, etc.
Commercial courts will have to develop a doctrine for dividing up and coordinating disputes, in particular by staying proceedings within certain disputes. To build a unified or at least non-contradictory case law on vigilance, we need to imagine a dialogue between judges and new procedures.
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🧮Programme of this event:
Paris First Instance Commercial Court, room 1
🕰️5.15pm.-5.30pm. Welcome
🕰️5.30pm.-5.40pm. 🎤Mots d'ouverture (Opening words), by 🕴️Antoine Diesbecq, President of Droit & Commerce, attorney at the Paris Bar and 🕴️Marie-Hélène Huertas, President of AFFIC, Honorary President of Chamber of the Paris First Instance Commercial Court
🕰️5.40pm.-6pm. 🎤Devoir de vigilance et litiges commerciaux : Une compétence à partager ? (Duty of Vigilance and Commercial Litigation: A jurisdiction to share?), by 🕴️François Ancel, Judge at the Première Chambre civile de la Cour de cassation (First Civil Chamber of the French Court of cassation)
🕰️6pm.-6.20pm. 🎤Devoir de vigilance et litiges commerciaux : Expliciter les notions et qualifications en jeu (Duty of Vigilance and Commercial Litigation: Explain the concepts and qualifications involved?), by 🕴️Jean-Christophe Roda, Full Professor at Jean Moulin Lyon 3 University, Director of the Centre de Droit de l’entreprise
🕰️6.20pm.-6.40pm. 🎤Devoir de vigilance et litiges commerciaux : Anticiper l''incidence" et s’organiser (Duty of Vigilance and Commercial Litigation: Anticipating the "impact" and getting organised), by 🕴️Marie-Anne Frison-Roche, Professor of Regulatory Law and Compliance Law, Director of the Journal of Regulation & Compliance (JoRC)
🕰️6.40pm.-7pm. 🎤Conclusion (Conclusion), by 🕴️Patrick Sayer, President of the Tribunal de commerce de Paris (Paris First Instance Commercial Court)
🕰️7pm.-7.30pm. Discussion with the audience
🕰️7.30pm.-8pm. Cocktail
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May 20, 2023
Newsletter MAFR - Law, Compliance, Regulation
♾️ follow Marie-Anne Frison-Roche on LinkedIn
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► Full Reference: M.-A. Frison-Roche, "Le PNF devrait avoir ouvertement compétence en matière de CJIP environnementale : la CJIP "Guy Dauphin Environnement" du 17 mai 2023" ("The French National Financial Prosecutor’s Office should have open jurisdiction over environmental Judicial Public Interest Agreement: the "Guy Dauphin Environnement" Judicial Public Interest Agreement of 17 May 2023"), Newsletter MAFR Law, Compliance, Regulation, 20 May 2023.
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📧Read by freely subscribing other news of the Newsletter MAFR - Law, Compliance, Regulation
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🔴 The Judicial Public Interest Agreement GDE of 15 May 2023 or how the French National Prosecutor's Office is rightly meddling in Environmental Compliance
The Parquet National Financier (French National Financial Prosecutor’s Office) does not have jurisdiction over environmental matters, and this is regrettable. For it is very well placed to obtain, in particular for the benefit of associations, adequate measures for the future, which refers to the definition of Compliance Law. This is what he is actually achieving through the Convention judiciaire d'intérêt public - CJIP (Judicial Public Interest Agreement) GDE.
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📧read the article ⤵️
Feb. 1, 2023
Thesaurus : 02. Cour de cassation
► Référence complète : Com., 1er février 2023, n° 20-21.844 (publié au Bulletin).
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Texte intégral
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Dec. 15, 2021
Thesaurus : 02. Cour de cassation
► Référence complète : Com., 15 décembre 2021, n° 21-11.882 (publié au Bulletin).
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June 18, 2021
Compliance: at the moment
► Law is slow, but firm. By its judgment of June 15, 2021, Facebook , the European Union Court of Justice widely interprets the powers of National Authorities, since they serve the people protection in the digital space (➡️📝(CJEU, June 15, 2021, Facebook).
Law is slow. The reproach is so often made. But the bottom line is that, in the noise of changing regulations, it establishes clear and firm principles, letting everyone know what to stand for. The more the world is changing, the more Law is required.
When Law degenerates into regulations, then it is up to the Judge to make Law. "Supreme Courts" appear, de jure as in the United States, de facto as in the European Union by the Court of Justice of the European Union which lays down the principles, before everyone else, as it did for the "right to be forgotten" in 2014 (➡️📝CJEU, Google Spain, May 13, 2014), and then with the impossibility of transferring data to third countries without the consent of the people concerned (➡️📝CJEU, Schrems, October 6, 2015).
Facebook litigation is kind of a novel. The company knows that it is above all to the Courts that it speaks. In Europe, it is doing it behind the walls of the Irish legal space, from which it would like to be able not to leave before better dominating the global digital space, while national regulatory authorities want to take it to protect citizens.
There is therefore a technical question of "jurisdictional competence". The texts have provided for this, but Law is clumsy because it was designed for a world still anchored in the ground: the GDPR of 2016 therefore organizes cooperation between national regulatory authorities through a "one-stop-shop", forcing the authorities to relinquish jurisdiction so that the case is only handled by the "lead" National Authority. This avoids splintering and contradiction. But before the adoption of the GDPR, the Belgian data protection regulator had opened a procedure against Facebook concerning cookies. The "one-stop-shop" mechanism, introduced in 2016, is therefore only mentioned before the Brussels Court of Appeal, which is asked to relinquish jurisdiction in favor of the Irish Regulatory Authority, since the company has in Europe its head office in this country. The Court of Appeal referred to the CJEU for a preliminary ruling.
By its judgment of June 15, 2021 (➡️📝CJUE, Facebook, June 15, 2021), it follows the conclusions of its Advocate General and maintains the jurisdiction of the Belgian National Regulator because, even after the GDPR, the case still undergoes national treatment. In this decision, the most important is its reasoning and the principle adopted. The Court notes that the "one-stop-shop" rule is not absolute and that the national regulatory authority has the power to maintain its jurisdiction, in particular if cooperation between national authorities is difficult.
Even more, will it not one day have to adjust Law more radically? We need to consider the fact that the digital space is not bound by borders and that the ambition of "cross-border cooperation" is ill-suited. It is of course on this observation of inefficiency, consubstantial with the digital space, that the European Public Prosecutor's Office (EPPO) was designed and set up, which is not a cooperation, nor a "one-stop shop", but a body of the Union, acting locally for the Union, directly linked to Compliance concerns (➡️📝Frison-Roche, M.-A. "The European Public Prosecutor's Office is a considerable contribution to Compliance Law", 2021 and ., European Public Prosecutor's Office comes on stage: the company having itself become a private prosecutor, are we going towards an alliance of all prosecutors ?, 2021).
So that's what we should be inspired by.
Sept. 2, 2020
Newsletter MAFR - Law, Compliance, Regulation
Full reference: Frison-Roche, M.-A., For regulating or supervising, technical competence is required: example of the French creation of the "Pôle d'expertise de la régulation numérique", Newsletter MAFR - Law, Regulation, Compliance, 2nd of September 2020
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Summary of the news
Through a decree of 31st of August 2020, the government created a national service, the "Pôle d'expertise de la régulation numérique" (digital regulation expertise pole). It has to furnish to State services a technical expertise in computer science, data science and algorithm processes in order to assist them in their role of control, investigation and study. The aim is to favor information sharing between researchers and State services in charge of regulating digital space.
As its acronym indicates, this pole of expertise aims to represents constance in a changing world. Moreover, more than being a national service, this organism must adopt a transversal dimension, its creation decree being signed by the Prime Minister, Minister of Economy, Minister of Culture and Minister of Digital Transition. The creation of such a pole shows the awareness of the government of the importance of technical competency in the regulation of digital space and of the necessity to centralize these expertises in one organ.
However, as the decree indicates, this pole of expertise could be consulted only by "State services", that excludes regulators which are independent from the State and which could put the pole in conflict of interest, and courts even if they are supposed to play a central role in the regulation of digital space and even if they are allowed to ask the advice of the regulator about some cases. But if regulators cannot size the pole, to whom does it benefit except the legislator and a few officials?
It would therefore have been better for this pole of expertise to be placed under the direction of regulatory and supervisory bodies, which would have enabled it to be able to be consulted both by regulators and by judges, both of whom are key players in digital regulation.
April 8, 2014
Thesaurus : 02. Cour de cassation