March 22, 2020
This working paper is the basis for an article in the French Law Journal Le Clunet.
When we compare the terms "Compliance" and "Extraterritoriality", it is often with dissatisfaction, even anger and indignation. On the momentum, after having expressed a principle of disapproval of such a merger, attention is focused on how we can fight against it, to break the link between Compliance and Extraterritoriality. But do we have to go so fast? Is this negative initial assessment correct?
Indeed, thus gone, it is frequently explained that the binding mechanisms of Compliance are suffered, that they come from abroad
We are leaving this kind of complaint against X, which targets what would be this appalling "Compliance", this Law which would be both hostile and mechanical which would not have been able to stay within the limits of borders, Compliance being thus placed in contrast to sovereignty and protection, which presuppose staying within its limits
Compliance Law would thus become the very negation of Law, since it has the effect, even the purpose (barely concealed by strategic, powerful and shameless States), of counting borders for nothing, whereas Public International Law, in that it is built between the sovereign subjects of law that are the States presupposes the primary respect for borders to better exceed them while Private International Law takes the same postulate to better welcome foreign Law in situations presenting a foreign element
If you see it that way, what should you do then? The answer is obvious: react!
It is necessary to save the sovereignty, France, companies, the Law itself. If that is how the question is posed, how can we disagree? It is therefore necessary to destroy the Compliance Law and the extra-territoriality of American Law which had found this "Trojan horse", an expression so frequently used. This is the basis for the administrative reports available, for example the Berger-Lellouche
But without discussing the effectiveness of the remedies proposed downstream, it is necessary to return to this description so widely shared made upstream. Because many elements on the contrary lead to affirm that ComplianceLaw first of all and by nature can only be extraterritorial and that it must be. Whether or not the State in which it was created has malicious intentions. The description which is made to us most often describes particular cases from which we draw generalities, but we cannot reduce Compliance Law to the already cooled cases, as BNPP case, or to the always hot case of the American embargo on Iran. Furthermore, one cannot take the issue of embargoes and draw conclusions, legitimate for it, but which would apply to the whole of Compliance Law. The fact that theCompliance Law is a branch of Law at the stage still of emergence can lead to this confusion which consists in taking the part for the whole, but it is very regrettable because what is justified for the embargoes does not is in no way relevant for all Compliance Law, of which precisely the Law of embargoes is only a small part, even an abusive use. This overlapping is not often perceived, because the definition of Compliance Law and its criterion are not clearly enough defined, namely the existence of a "monumental goal"
Once we have distinguished the embargoes, as an atypical, sometimes even illegitimate part, of Compliance Law, we should continue this work of distinction by emphasizing that the United States has certainly invented Compliance Law
Indeed, this branch of the new Law which is Compliance Law is not reducible to Competition Law
Read the developments below.
Ce par quoi l'on commence presque toujours, le Droit de la Compliance étant "étrange" notamment parce qu'il vient des Etats-Unis, v. Frison-Roche, M.-A., Le Droit de la Compliance, 2016.
V. par ex. Monéger, cas BNPP, ...., in Frison-Roche, M.-A. (dir)., ...
V. par ex. Bismuth, R. Pour une appréhension nuancée de l'extraterritorialité du droit américain - quelques réflexions autour des procédures et sanctions visant Alstom et BNP Paris, 2015.
Sur la définition de la souveraineté comme l'aptitude à comprendre ses limites et à demeurer dans ses limites, voire à les instituer soi-même, la souveraineté étant intime de l'idée d'Etat de Droit, v. Supiot, A., Mondialisation et Globalisation, ....
Pour le rappel de ces éléments de base et leur mise en perspective par rapport au Droit de la Compliance, v. Frison-Roche, M.-A. Le cas de l'Amazonie, ....
Rapport Berger-Lellouche, ....
Rapport Gauvain, ....
Critère dégagé en 2016 : Frison-Roche, M.-A., Le Droit de la Compliance.
Frison-Roche, M.-A., Compliance : hier, aujourd'hui, demain, 2017.
Frison-Roche, M.-A., Compliance Europe humaniste, 2019.
Frison-Roche, M.-A., Droit de la concurrence et Droit de la compliance, 2018
Sur les liens entre le Droit de la Compliance et la technologie de la blockchain, v. ....
Updated: Sept. 24, 2019 (Initial publication: Aug. 31, 2019)
This working paper is the basis for an article to be published in French in Les Petites Affiches.
Summary : In August 2019, about the fire devastating the Amazon, the French Minister of Ecology says that this fact "is not just the business of a state" (n'est pas que l'affaire d'un Etat). This assertion denies the postulates of Public International Iaw (I). This supposes a new system, based on the idea that the power of the State on its territory is erased when the object that is there is no longer related to this "part" but to the All that is Universe (II). Let's accept the augur. First question: if it is not only the case of a State, whose business is it? (III). Second question: to anticipate the other cases that fall under this regime, what should be the criteria in the name of which the All will have to prevail over the part and who will then take care of the case of which the "local" State is divested? (IV). Because the perspective goes beyond the environment, beyond Brazil, beyond the States. It leads to Compliance Law animated by "monumental goals" that are the concern for the Universe and humans, in a humanist spirit. Let's go.
On August 27, 2019, on the French radio France Inter, Elisabeth Borne, French Minister of Ecology (Transition écologique) expresses it clearly: "Quand on est sur un enjeu tel que l'Amazonie, ça n'est pas que l'affaire d'un État", that can be translated : "When we are on a stake such as the Amazon, it is not only the business of onr State ".
Starting from one case, "the Amazon", the Minister, thus taking up the position of the French President, associates a general consequence: "it is not only the affair of one State".
This is not a trivial sentence.
This affirmation denies, and why not, the entire system of Public International Law (I). By a new reasoning based on the idea that the All prevails, as by an effect of nature, on the Part (II).
Admitting this, it leads to opening two sets of questions. The first is related to the following main question: if it is not only the case of one State, of which is this the concern (III)? The second set of questions revolves around the questioning of the criteria on behalf of which other cases must be seized in the name of "All " and how to do it (IV).
A. The postulate of Public (and Private) International Law: parties (States) which, because of common interests, are in contact
The notion of State includes in its very definition the notion of territory (a territory, a population, institutions).
Thus the State governs through its institutions what is happening on its territory. For example, if there is a fire, or a risk of fire, the State makes arrangements through all legal, financial, technical and human instruments available to it. It is accountable for what it does through its political and legal responsibility.
When what is happening on its territory exceeds this one, in fact (epidemic, catastrophe with the consequences exceeding the borders, migrations, etc.) either according to its own opinion or according to that of the other States, the States, being sovereign subjects of Law in the international system, act together on a pre-built legal basis: bilateral or/and multilateral treaties
A particular technique has been developed for several millennia - but here again the seniority is not sufficient to keep the system: diplomacy, anchored in each state in a particular ministry: the Ministry of Foreign Affairs, which each national government has. If one State totally excludes one phenomenon in the territory of another, the progressive procedure of ceasing diplomatic ties begins.
This can result in wars.
In the "case of the Amazon" both the President of Brazil and the President of the United States stick to the classical construction of Law.
Indeed, the former asserted that the Amazon is in the territory of Brazil, thus falls under the jurisdiction of the power of the Brazilian State and the Brazilian Law, from which it follows that another State does not have to come to interfere. However, the French President takes the floor not as this forest extends also on a French territory but as it is the business of the World. On the contrary, the President of Brazil claims the closing effect, which excludes a third State from taking over directly something - even a difficulty - that takes place in the territory of another.
The President of the US federal State has said that these are joint decisions between the President of Brazil and other heads of State, sovereign subjects of Law, who must agree to organize a solution to solve a local problem . Because in the same way that States can declare war, they can help each other
The whole Public (and Private) International Law is therefore based on this assumption: "parts" of the world, on which sovereign parties (States) have taken contact, because circumstances make something that falls within one of them or several others.
This is precisely what is called into question. The notion of the "right of interference", whose evocation we hardly hear any more, had already done so. But on another basis.
B. The "right of interference": idea that somebody can directly interfere with what happens in a country , an idea that does not question the postulate of the International Maw, an idea that rests on something else: a " right for the other "
The "right of interference" is the idea that in certain territories, things happen that are inadmissible.
In memory of the jus cogens, a kind of "Natural Law" of Public International Law, Another, that could be another state, can come to meddle with what is happening in a territory that is closed, without declaring war. to the state that keeps its borders.
It is the need of others, for example those who die in mass on this territory, or the nature that is devastated in the indifference of the State on whose soil the disaster is happening, which founds this "right" of another state to come and take charge.
The foundation of this "right" is therefore a "duty".
C. The new idea: a territory is only part of the Globe, whose fate is everyone's concern
The idea is new because it is not based on altruism. And no more about self-interest. Yet, de facto and de jure , the Amazon is not on the sole territory of Brazil.
France is particularly well placed to say something about it since part of the Amazon is on French territory.
Thus the inaction of the main concerned Brazil directly affects the interest of France, a "forest" being a block that can not be divided. If we were in Property Law, we would say that we are in indivision with Brazil and that in this respect, with the other States on whose territories this forest extends, a solution must be found.
Because of the indivisibility of this particular object which is this particular fores
But this is not the argument put forward by France, particularly by the President of the Republic.
It is said that the whole world is concerned about the fate of the Amazon. It could be said that, in this respect, when what could be described as a "global forest" is well treated, its management does indeed fall within the power of Brazil, Brazilian companies and the Brazilian State, but when it is abused to the point of seeing its future compromised, when fires may make it disappear, then this forest appears not to be localized in Brazil but being located in the World, of which Brazil is only a part
This reasoning, which then gives voice to everyone, for in the world every state is included in it, is a new reasoning.
The economic-political theory of the "commons" does not account for it because it is not a very legal theory
II. THE NEW REASONING THAT COVERS THE CLASSIC REASONING OF PUBLIC INTERNATIONAL LAW
The new reasoning adopted by the Minister consists in saying that the Amazon does not concern only Brazil. This forest should therefore be directly related to the World (A). This is a welcome change in the system but based on a paradox (B).
A. When the Amazon is in danger of death, then it should no longer be attached to this part of the World that is Brazil, but directly to the World
This forest is presented as the "lung" of the planet, it is the "future" of humanity. In this, it can concern only one State, not even the one on whose territory this "Humanity good" is located
As such, without the need to declare war to Brazil, another State may speak, for example the French State through the one that represents it in the international order, that is to say its President, to say what to do, since according to him the President of Brazil does not say or do what it is absolutely necessary to do for the whole planet and for the future of Humanity.
This induces a complete renewal of international institutions.
Indeed a direct attachment to the World and no longer to Brazil gives the forest object a special status because of a goal that exceeds Brazil: save the Amazon would impose because it would save the world. Therefore, it can no longer be the subject of Brazil, which would be like "dispossessed" by a goal that is imposed on it: to save the Amazon rainforest, even though it is mainly on its territory, while other States become legitimate to dispose of this object, even if the forest would not be in part in their territory, even if they would not be affected in their own interests.
This contradicts all Public International Law
Such an upheaval justifies that such an affirmation is accepted with difficulty. One understands better than first consequence, which is not so innocuous, one of the first rules of diplomacy which is the politeness, between the heads of state, with regard to the spouses of these , have be broken
B. A welcome but paradoxical change in the system
Why not change the system?
This is difficult to admit, not only because it is brutal, but because it is paradoxical.
The paradox is the following. It is recognized that the theme of the disappearance of borders by "globalization"
The paradox is therefore, on the one hand, the rejection of the allegation of a de facto disappearance of borders by an economic interdependence, technology having denied "globalization" as a fact
This paradox leads to two questions.
The first question is: if "it's not juste one State affair", who's concerned?
The second question is: after the "case of the Amazon", what are the other cases? And how are we going to provide solutions, if we no longer have the solutions of Public International Law, that is to say, the agreement of the country whose territory is concerned and which we do not want not go to war?
If we have clear ideas on the answers to be given to these two sets of questions, then because indeed when the future of all is in progress it can not be the affair of a single State, it is necessary to question Public International Law. But do we have clear ideas on these two questions? And what are the possibilities for possible solutions?
See the text following below.
See for a general view (in French), Dupuy, P.M., & Kerbrat, Y., Les grands textes du Droit International Public, 10ième éd., coll. "Grands Arrêts", Dalloz, 2018. This book begins with a chronological index of the founding texts. This includes the 1962 United Nations Resolution on "Permanent Sovereignty over Natural Resources".
S. for ex. UN General Assemblythe resolution 43/131 of December 8,1988, Humanitarian assistance to victims of natural disasters and similar emergency situations ; see also the resolution 45/100 of December 14, 1990, and the resolution 46/182 , 1992, Strengthening of the coordination of humanitarian emergency assistance of the United Nations.
D'une façon générale, v. Bettati, M., L'ONU et l'action humanitaire, Politiques étrangères, 1993, 58-3, pp.641-658. L'article décrit tout l'évolution vers un "ordre public humanitaire", puis vers un "order public de l'humanité". Cela rejoint l'idée développée plus tard dans le présent article de "bien d'Humanité", non plus à travers des instiutions publiques mais à travers des entreprises qui sont seules en position d'en obtenir le respect à traver le Droit de la Compliance (v. infra IV).
On the question of the particularism of this case and the possibility or not to extend the reasoning to other cases, see IV.
This is exactly the reasoning of the European Union Law, when it intervenes even in a case which concerns "only" the French territory, because the Court of Justice of the European Union affirmed that France constitutes a "part" of the territory of the Union. Thus the All has competence for the Part, even if another part of the All (another member of the European Union) is not concerned.
Here the reasoning goes further, since a part could intervene on another part, insofar as they belong to the same All (the World, present and future).
S, for ex., and for takin only this example, Tirole, J., Economics for the Common Good, 2017.
On this notion of "Humanity goods", to which this particular case of the Amazon corresponds, s Frison-Roche, M.-A., Les biens d'humanité, débouché entre la querelle entre mondialisation et propriété intellectuelle (The Humanity goods, opened between the quarrel between globalization and intellectual property,) 2004.
S. Explanation of the postulates of Public International Law in the I.
Private International Law was built in the Middle Ages on the idea of a state being kind enough to apply foreign law to it as the person greets the foreign host in an affable manner.
Ruiz-Fabri, H., Immatériel, territorialité et État, 1999
Debray, R., Éloge des frontières, 2012.
S. for example in this sense, O'Sullivan, M., The Levelling. What's next after Globalization ?, 2019.
Jan. 17, 2018
Editorial responsibilities : Direction de la collection "Cours-Série Droit privé", Editions Dalloz (33)
Référence complète : Racine, J.-B., et Siiriainen, F., Droit du commerce international, 1ière éd. 2007 - 3ième éd., 2018, Coll. "Cours Dalloz-Série Droit privé", Dalloz, 496 p.
Le droit du commerce international est devenu une discipline fondamentale à l'heure de la mondialisation de l'économie. Il s'agit d'un droit particulier : un droit par nature composite, fait de règles nationales et internationales, publiques et privées, qui mélange les règles de conflit et les règles matérielles et qui connaît le phénomène particulier de la lex mercatoria.
Outre les source du droit du commerce international, alimentées notamment par l'Organisation mondiale du commerce (OMC), l'ouvrage se propose d'étudier les opérateurs du commerce international, à savoir les sociétés et les États, les opérations du commerce international : vente, transport, distribution, sous-traitance, transfert de droits de propriété intellectuelle etc., et enfin de contentieux du commerce international à travers sa figure emblématique : l'arbitrage.
Updated: Oct. 25, 2017 (Initial publication: May 27, 2016)
This working paper initially served as a basis for a synthesis report made in French in the colloquium organized by the Association Henri Capitant in the International German Days on the subject of "Le Droit et la Mondialisation" (Law and Globalization).
It serves as a second basis for the article (written in English, with a Spanish Summary) to be published in the Brezilian journal Rarb - Revista de Arbitragem e Mediação (Revue d`Arbitrage et Médiation).
In it French version, it serves as a basis for the article, written in French, to be published in the book La Mondialisation.
In this working paper, notes are included, including developments, references and links to work and reflections on the theme of globalization.
It uses the Bilingual Dictionary of the Law of Regulation and Compliance.
To access the French version of the working paper, click on the French flag.
Globalization is a confusing phenomenon for the jurist. The first thing to do is to take its measure. Once it has been taken, it is essential that we allow ourselves to think of something about it, even if we have to think about it. For example, on whether the phenomenon is new or not, which allows a second assessment of what is taking place. If, in so far as the law can and must "pretend" to defend every being, a universal claim destined to face the global field of forces, the following question - but secondary - is formulated: quid facere? Nothing ? Next to nothing ? Or regulate? Or can we still claim that the Law fulfills its primary duty, which is to protect the weak, including the forces of globalization?
Let us begin the peripheries of Law in globalization.
Globalization is a confusing phenomenon for everyone. It is no doubt even more so for the jurist for whom words are normative acts and which stumbles on the definition of globalization
Perhaps this is why lawyers are as impressed by the argument of globalization, which is often cited to argue that the time of imperative legislations is over, or that Roman law may well turn into its grave, Globalization would pass over the corpse of the Civil Code. The more mysterious the notion is, the more names it has, the more it sets back the jurist of good tradition, global trade being as upgraded when it is designated as "globalization", the zest of English leading to the globalization that parses Of reports, even written in French or Spanish or Italian. . The global language being English, the Globalization is English also.
If we take up the movement of this wave, it is appropriate first of all to take stock of what is globalization (I). It is only relevant that the usefulness, if not necessity, is posed to think about this movement of globalization. There is a legal imperative to formulate an assessment if it is posited that the Law has the mission of protecting every human being, a concern that is supported by the Law. Then, because Law is also a technique, we can ask ourselves the question of Quid facere? But in practice it can not be said that under the pretext that the field of the world forces is very powerful and that the Law appears to be very weak in its claims to protect every human being in its dignity, it would for this reason disappear from the World stage (II).
On the contrary. It is at the foot of the wall of Globalization that today we can measure the claim of Law to defend humanity.
S. for ex. Frison-Roche, M.-A., Les deux mondialisations (The two globalizations), written en French,
July 4, 2017
Thesaurus : Doctrine
Oct. 12, 2016
Thesaurus : Doctrine
Updated: July 31, 2013 (Initial publication: Oct. 4, 2011)
Teachings : Les Grandes Questions du Droit, semestre d'automne 2011