► Référence complète : M. Mekki, "Peut-on repenser la responsabilité à l’aune du devoir de Vigilance, pointe avancée de la Compliance ?", 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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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : L'auteur développe les tensions que l'Obligation de Vigilance engendre sur le concept même de responsabilité. Répertoriant toutes les manifestations, très diverses, de la Vigilance, selon les domaines, il observe que se forme une logique téléologique de prévention et de gestion des risques systémiques, ce qu'est la compliance, sans doute remède à un État impuissant, s'appuyant sur une grande pluralité des normes.

La question est de savoir si l'on peut passer de ces droits spéciaux mais d'un esprit commun à un droit commun transformé. Les premières décisions rendues à propos de la loi de 2017 répondent par la négative, mais la question est ouverte.

Il faut alors revenir sur le concept même de responsabilité, qui pourrait accueillir un mécanisme général de Vigilance. Ce concept est très flexible et présente l'adaptabilité requise pour accueillir la logique de compliance. En effet, la responsabilité, classiquement ex post peut passer ex ante, à travers la notion de dette, non plus juridique mais éthique, car les entreprises doivent être "dignes de confiance".

La responsabilité préventive vise alors à restaurer l'équilibre des systèmes dans la poursuite des Buts Monumentaux, pour l'efficacité et l'efficience des systèmes. La responsabilité se mixte de subjectivité et d'objectivité, le risque devenant central (par rapport à la faute), le litige dépassant l'intérêt des parties, la remédiation devenant le sujet central dans un procès en responsabilité à repenser : le dialogue doit y être au centre, entre les juridictions, entre les entreprises et les parties prenantes, dans un office du juge adapté.

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► Référence complète : J.-Ph. Denis et N. Fabbe-Costes, "Contrainte légale et stratégie des entreprises en matière de Compliance", 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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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : 

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► Full Reference: J.-B. Blanc, "La loi, source de l’Obligation de Compliance" ("The Law, source of the Compliance Obligation"), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, to be published

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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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► Summary of this contribution  (done by the Journal of Regulation & Compliance) :

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🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

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► Référence complète : J.-B. Barbièri, "Les juges du droit des entreprises en difficulté et les obligations de compliance", 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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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : 

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► Full Reference: J.-S. Borghetti, "Le rapport entre le Droit de la responsabilité civile et l'Obligation de Compliance" (The Relation between Tort Law and Compliance Obligation), in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, to be published.

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📕read the general presentation of the book, L'obligation de Compliance, in which this article is published

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► English Summary of this Article (done by the Journal of Regulation & Compliance - JoRC) : The Author points out that in order to establish civil liability, it is first necessary to find fault, i.e. a deviation from an obligation, which will trigger a secondary obligation, that of reparation. But it can also be argued that it is from liability that this primary obligation arises, civil liability then revealing an obligation which existed only implicitly. That establishes a two-way relationship between liability and obligation. The Compliance Obligation illustrates this, in particular through the Obligation of Vigilance conceived by the French law of 2017.

The author therefore devotes the first part of his contribution to civil liability as a result of an Compliance Obligation, especially the Obligation of Vigilance. issued of the French law of 2017. After discussing whether the constraints generated by compliance should be classified as 'obligations', since there is no creditor, which therefore opens the way to liability in tort, he examines the conditions for incurring such liability, which are difficult, particularly with regard to the burden of proof and the demonstration of the causal link. The requirement concerning the latter may evolve in French law towards the admission of proportional causality, as is now accepted in certain cases in German case law.

In the second part of his contribution, the author deals with the hypothesis of civil liability as an indicator of a Compliance Obligation. He points out that the claims made, particularly in the cases of TotalOuganda  (France) and Milieudefensie v. Shell (Netherlands) seek to obtain from the judge a such "revelation".

The author considers that it is not possible to draw from the  French 2017 law which refers to article 1240 of the French Civil Code on the liability because this article is referred to only in order to organise the consequences of a breach of article L.225-102-4 of the French Commercial Code organising the Obligation of Vigilance (article 1240 being therefore under the secondary obligation described above) and not to feed what this article L.225-102-4 requires under the primary obligation (defined above). 

On the other hand, the Shell judgment derives directly from civil liability an obligation to act. This is understandable if one takes the perspective and the measure of the future challenges posed, in this case in the area of climate change. But the author considers that it is up to the legislator to decide on such a development in Liability Law. 

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► Full Reference: J.-B. Racine, "Obligation de Compliance et droits humains" ("Compliance Obligation and Human Rights"), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2024, to be published.

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📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published

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► English Summary of the article (done by the Journal of Regulation & Compliance - JoRC) : The author asks whether human rights can, over and above the many compliance obligations, form the basis of the Compliance Obligation. The consideration of human rights corresponds to the fundamentalisation of Law, crossing both Private and Public Law, and are considered by some as the matrix of many legal mechanisms, including international ones. They prescribe values that can thus be disseminated.

Human rights come into direct contact with Compliance Law as soon as Compliance Law is defined as "the internalisation in certain operators of the obligation to structure themselves in order to achieve goals which are not natural to them, goals which are set by public authorities responsible for the future of social groups, goals which these companies must willingly or by force aim to achieve, simply because they are in a position to achieve them". These "Monumental Goals" converge on human beings, and therefore the protection of their rights by companies. 

In a globalised context, the State can either act through mandatory regulations, or do nothing, or force companies to act through Compliance Law. For this to be effective, tools are needed to enable 'crucial' operators to take responsibility ex ante, as illustrated in particular by the French law on the Vigilance Obligation of 2017.

This obligation takes the form of both a "legal obligation", expression which is quite  imprecise, found for example in the duty of vigilance of the French 2017 law, and in a more technical sense through an obligation that the company establishes, in particular through contracts.

Legal obligations are justified by the fact that the protection of human rights is primarily the responsibility of States, particularly in the international arena. Even if it is only a question of Soft Law, non-binding Law, this tendency can be found in the Ruggie principles, which go beyond the obligation of States not to violate human rights, to a positive obligation to protect them effectively. The question of whether this could apply not only to States but also to companies is hotly debated. If we look at the ICSID Urbaser v. Argentina award of 2016, the arbitrators accepted that a company had an obligation not to violate human rights, but rejected an obligation to protect them effectively. In European Law, the GDPR, DSA and AIA, and in France the so-called Vigilance law, use Compliance Lools, often Compliance by Design, to protect human rights ex ante.

Contracts, particularly through the inclusion of multiple clauses in often international contracts, express the "privatisation" of human rights. Care should be taken to ensure that appropriate sanctions are associated with them and that they do not give rise to situations of contractual imbalance. The relationship of obligation in tort makes it necessary to articulate the Ex Ante logic and the Ex Post logic and to conceive what the judge can order.

The author concludes that "la compliance oblige à remodeler les catégories classiques du droit dans l’optique de les adosser à l’objectif même de la compliance : non pas uniquement un droit tourné vers le passé, mais un droit ancré dans les enjeux du futur ; non pas un droit émanant exclusivement de la contrainte publique, mais un droit s’appuyant sur de la normativité privée ; non pas un droit strictement territorialisé, mais un droit appréhendant l’espace transnational" ("Compliance requires us to reshape the classic categories of Law with a view to bringing them into line with the very objective of Compliance: not just a Law turned towards the past, but a Law anchored in the challenges of the future; not a Law emanating exclusively from public constraint, but a Law based on private normativity; not a strictly territorialised Law, but a law apprehending the transnational space".

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► Full Reference: L. Aynès, "Comment l’arbitrage international peut être un renfort de l’Obligation de Compliance" ("How International Arbitration can reinforce the Compliance Obligation"), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming.

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📕read the general presentation of the book, L'Obligation de Compliance, in which this contribution is published.

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► English summary of this contribution (done by te Journal of Regulation & Compliance - JoRC) : The author takes as his starting point the observation that International Arbitration and Compliance are a natural fit, since they are both a manifestation of globalisation, expressing an overcoming of borders, with arbitration being able to take on the Compliance Monumental Goals, since it has engendered a substantially global arbitral order.

But the obstacle lies in the fact that the source of arbitration remains the contract, with the arbitrator exercising only a temporary jurisdiction whose mission is given by the contract. Yet the advent of the global arbitral order makes this possible, with the arbitrator drawing on norms that may include the Compliance monumental goals and corporate commitments. In so doing, the arbitrator becomes an indirect organ of this emerging compliance law.

The contribution then suggests a second development, which could make the arbitrator a direct organ of compliance. For this to happen, the arbitrator must not only compel the fulfillment of an obligation to act, as is already the case with provisional measures, but also have a broader conception of the conflict for which a solution is required, or even free himself somewhat from the contractual source that surrounds it. This may well be taking shape, mirroring the profound transformation of the judge's office.

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► Référence complète : A.-V. Le Fur, "Le droit des sociétés et des marchés financiers face à l'Obligation de Compliance", 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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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : L'auteur a montre que le Droit des sociétés et des marchés financiers est en train d'être transformé en profondeur par le Droit de la Compliance.

Par une succession de textes un mouvement de fond a transformé ces deux branches du Droit, par ailleurs corrélées.

Elle a situe la première perception de ce mouvement interne au Droit des sociétés dans la loi NRE, pour décrire ensuite les lois sur l'information des associés, des investisseurs et des parties prenantes. Elle a insiste sur la loi dite "Pacte", qui changea la conception même de ce qu'est une société au regard de ce qu'est une entreprise.

Cela est indissociable des lois et des jurisprudences que l'on associe davantage au Droit de la Compliance, notamment la loi dite "Sapin 2" et la loi dite "Vigilance", les textes de directives poursuivant cette transformation si profonde.

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► Full Reference: M. Lamoureux, "L’obligation de vigilance des opérateurs énergétiques", in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, to be published

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📕read the general presentation of the book, L'obligation de Compliance, in which this contribution is published

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► English summary of this article de l'article (done by the Journal of Regulation & Compliance - JoRC): Firstly, the author shows, despite the diversity of energy activities (electricity by its very nature involves fewer international value chains, oil by its very nature involves more), the operators in this sector are sufficiently unique to justify their being considered globally in terms of vigilance obligation. Currently in French case law, they are directly concerned, not only because they have been summoned before the French courts in duty of vigilance cases, but also, and above all, because they are a sign of the intensity of the vigilance expected of them.

The first part of the article develops the characteristics of energy operators, which influence the intensity of the obligation of vigilance. Their uniqueness stems precisely from the enterprises themselves, which are 'giants', subject to the obligation to draw up vigilance plans, firms often vertically integrated, in a sector concentrated on multinationals with very substantial resources and present throughout the value chain, whose activity involves infrastructures.

The second part of the article justifies this intensity of the obligation of vigilance by the risks specifically linked to the activities of these energy operators. Indeed, even if it is true that their activity is very heterogeneous, the risks are very significant, in that on the one hand they build diverse and gigantic infrastructures, are involved in extractive activity, and on the other hand have a long-term impact on the environment. Firms are being asked to be vigilant themselves about these infrastructures and impacts. The administrative police have been doing this for a long time in this sector.

But the third part of the article shows precisely that this is nothing new: the culture of risk prevention is already very present in these enterprises, not least because of the very strong presence of the State and regulations. There is a culture of 'regulatory conformity'.  In fact, climate vigilance  relies mainly on these operators.

Energy operators are therefore at the centre, not only because they generate risks, but also because they hold many of the solutions for achieving the Monumental Goals targeted by the vigilance system: they are making a decisive contribution to the fight against climate change because they have the means to do so. This is one of the reasons why the major operators have all adopted a raison d'être.

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► Full Reference: R. Gauvain & B. Balian, "Opposition et convergence des systèmes juridiques américains et européens dans les règles et cultures de compliance" ("Opposition and Convergence of American and European Legal Systems in Compliance Rules and Cultures"), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2024, to be published

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📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published

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► English Summary of this contribution (done by the Journal of Regulation & Compliance - JoRC) : 

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🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

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► Full Reference: M. Françon, "L’intensité du devoir de vigilance dans le secteur bancaire" (The intensity of the duty of vigilance in the banking sector), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming

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📕read the general presentation, L'Obligation de Compliance, in which this contribution is published

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► English summary of this contribution (done by the Journal of Regulation & Compliance - JoRC) : The author develops the case of banking and insurance operators. He stresses that in the banking and insurance sectors, Vigilance consists of an obligation to process Information, collected in advance if necessary, with a view to preventing the occurrence of a systemic risk.

The identification and prevention of risk is a reinforced duty of vigilance which, in this context, varies in intensity. The banks and insurance companies obligation dates back a long time, whereas the duty of vigilance is a recent development. This time lag can be explained by the fact that compulsory vigilance is consubstantial with the very activity of the banker and the insurer and by the fact that the sector has always been systemic, which produces an interweaving of hard and soft law.

Variations in the intensity of the obligation to exercise Vigilance are due to the fact that there are two types of obligations: those imposed in the interests of the business and the customer, and those imposed in the interests of the stability of the system. The latter are much stronger than the former. They are as much a burden on the banker as they are on the customer. For example, obligations relating to money laundering are solely in the general interest, and the customer cannot rely on the bank's failings (decision of the French Cour de cassation, Commercial Chamber, 28 April 2004). Moreover, where the freezing of assets is concerned, the obligation of vigilance becomes one obligation of result.

In the general interest itself, the intensity varies according to the goals pursued, giving rise to "standard", "simplified" and "reinforced" vigilance obligation, depending on the underlying risk. In addition, interfering rights vary the obligation, in particular the protection of personal data, or the banker's right not to interfere in business's client. Lastly, there are interfering vigilance obligations on third parties, including those located outside Europe.

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► Full Reference: A.-C. Rouaud, "L’intensité de l’obligation de vigilance selon les secteurs : le cas des opérateurs financiers" (The intensity of the obligation of vigilance depending on the sector: the case of financial operators), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) an Dalloz, coll. "Régulations & Compliance", 2024, forthcoming

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📕read the general presentation of the book, L'Obligation de Compliance, in which this contribution is published

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► English summary of this contribution (done by the Journal of Regulation & Compliance - JoRC) : The author develops the case of financial operators and shows that if they are subject to very heavy obligations of vigilance, it is above all because of the systemic risks of the markets, obligations which are consubstantial with their activities, because these operators are often in charge of market infrastructures or operating services, which make them all belong to the category of regulated professions.

Despite this uniqueness, the obligation of vigilance has many facets, ranging from policing and customer surveillance to warning and protection, which can be very limited, as the fight against money laundering aims to protect the system (kyc).

In addition, this obligation to exercise vigilance serves different goals, which explains the diversity of sanctions, because the intensity of the obligation also varies. The fight against systemic risk is certainly a common goal, but there are also concerns about protecting specific categories, such as investors (from a more European perspective).

However, the general interest is now being renewed, as market protection is coupled with a concern for Sustainability. This is reflected in the variability of sanctions, ranging from disciplinary sanctions, handled by the financial markets regulatory bodies, to the obligation to put in place compliance programmes against which breaches are sanctioned per se. Private enforcement is developing in tandem with public enforcement, with a transformation of the litigation risk for companies, which is highly sensitive to extraterritoriality and the scope of soft law.

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► Full Reference: V. Magnier, "Transformation de la gouvernance et obligation de vigilance" (The transformation of governance and due diligence), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming

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📕read the general presentation of the book, L'Obligation de Compliance, in which this contribution is published

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► English summary of this contribution (done by the Journal of Regulation & Compliance - JoRC) : The author develops the tensions caused by Compliance Law and the Duty of Vigilance on corporate governance.

The French "Sapin 2" law targets corruption, while the French "Vigilance" law has a broader scope in terms of risks and the entire value chain. It is logical that this should create tensions in terms of governance, given the monumental goals involved. Companies need to take ownership of the powers delegated to them, which means rethinking their governance and the way in which they exercise their corporate mandates, with the corporate interest, the judge's compass, having to be combined with the adoption of new standards of behaviour formalised voluntarily by ethical charters in line with international standards. On this voluntary and supervised basis, the company must adapt its structure and then contractualise these norms.

This ethical approach has an impact on the role of corporate organs, not only in terms of transparency and risk prioritisation, but also proactively in terms of the adoption of commitments whose sincerity will be verified, as reflected, for example, in corporate governance codes (cf.in France the AFEP-MEDEF Code), the setting up of ad hoc committees and the presence of stakeholders, who will be consulted when the vigilance plan is drawn up.

She stresses that this creates tensions, that dialogue is difficult, that business secrecy must be preserved, but that stakeholders must become Vigilance watchdogs, a role that should not be left to the public authorities alone.

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► Full Reference: M.-A. Frison-Roche, "Concevoir l'Obligation de Compliance : faire usage de sa position pour participer à la réalisation des Buts Monumentaux de la Compliance" ("Conceiving the Compliance Obligation: Using its Position to take part in achieving the Compliance Monumental Goals"), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2024, to be published

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📝read the article (in French)

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🚧read the bilingual Working Paper on the basis this contribution has been built, with  more developments, technical references and hyperlinks. 

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📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published 

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► English summary of this contribution: Rather than getting bogged down in definitional disputes, given that Compliance Law is itself a incipient branch of Law, the idea of this contribution is to take as a starting point the different regimes of so many different compliance obligations to which laws and regulations subject large companies: sometimes they must apply them to the letter and sometimes they are only penalised in the event of fault or negligence. This brings us back to the distinction between obligations of result and obligations of means.

Although it might be risky to transpose the expression and regime of contractual obligations to legal obligations, starting from this observation in the Compliance Evidentiary System of a plurality of obligations of means and of result, depending on whether we are dealing with this or that technical compliance obligation, we must first classify them. It would appear that this plurality does not constitute a definitive obstacle to the creation of a single definition of the Compliance Obligation. On the contrary, it makes it possible to clarify the situation, to trace the paths through what is so often described as a legal jumble, an unmanageable mass of regulations.

Indeed, insofar as the company obliged under Compliance Law participates in the achievement of the Monumental Goals on which this branch of Law is normatively based, a legal obligation which may be relayed by contract or even by ethics, it can only be an obligation of means, by virtue of this very teleological nature and the scale of the goals targeted, for example the happy outcome of the climate crisis which is beginning or the desired effective equality between human beings. This established principle leaves room for the fact that the behaviour required is marked out by processes put in place by structured tools, most often legally described, for example the establishment of a vigilance plan or regularly organised training courses (effectiveness), are obligations of result, while the positive effects produced by this plan or these training courses (efficacy) are obligations of means. This is even more the case when the aim is to transform the system as a whole, i.e. to ensure that the system is solidly based, that there is a culture of equality, and that everyone respects everyone else - all of which come under the heading of efficiency.

The Compliance Obligation thus appears unified because, gradually, and whatever the various compliance obligations in question, their intensity or their sector, its structural process prerequisites are first and foremost structures to be established which the Law, through the Judge in particular, will require to be put in place but will not require anything more, whereas striving towards the achievement of the aforementioned Monumental Goals will be an obligation of means, which may seem lighter, but corresponds to an immeasurable ambition, linked with these Goals. Moreover, because these structures (warning platforms, training, audits, contracts and clauses, etc.) only have meaning in order to produce effects and behaviour leading to changes converging towards the Monumental Goals, it is the obligations of means that are most important and not the obligations of result. The judge must also take this into account.

Finally, the Compliance Obligation, which therefore consists of this interweaving of multiple compliance obligations of result and means of using the Entreprise's position, ultimately aims at system efficiency, in Europe at system civilisation, for which companies must show not so much that they have followed the processes correctly (result) but that this has produced effects that converge with the Goals sought by the legislator (effects produced according to a credible trajectory). This is how a crucial economic operator, responsible Ex Ante, should organise itself and behave.

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► Full Reference: B. Deffains, "La dette comme fondement de l'obligation de compliance" ("From the Debt to the Compliance Obligation"), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2024, to be published

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📕read the general presentation of the book, L'Obligation de Compliance, in which this contribution is published

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► Summary of this contribution  (done by the Journal  of Regulation  & Compliance):  The contribution builds on the definition of Compliance in that it requires large companies to contribute to the achievement of Monumental Goals, including the preservation of human rights and systems, e.g. climate system.  

This requirement is confronted with the notion of Debt as it results today from classic and new works available in economic science. In fact, in the primitive economy, debt refers not only to exchanges, but also to an ethical and social obligation leading back to the collective. The Economic Analysis of Law has highlighted this situation, where some of the entities involved in a situation benefit from positive externalities, or endure negative externalities on their own, thus creating a situation of debt: this generates an obligation to correct market failure through an obligation to manage risks, as expressed by Compliance Obligation. This implies that economic calculation can be used to quantify this debt, leading to new proposals for biodiversity accounting.

The author then highlights the recognition of Debt as the source of an Compliance Obligation. This can be expressed through the classical notion of natural obligation, which can be traced back to the French Civil Code, or through more solidarist or political conceptions of Law, linked to moral responsibility, with the overall moral equilibrium referring to civic duty, superimposed on the accounting equilibrium. The political dimension is very much present, as shown by Grotius and Kant, then Bourgeois (solidarism), Rawls and Sen (social justice), who link the deep commitment of each individual with the group. This sheds light on the essential role played by the State and public institutions in formalising and enforcing the Compliance Obligation, not only to ensure its effectiveness, but also to make everyone aware of its fairness dimension.

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🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

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► Référence complète : Ch. Lapp, "L’usage de l’arbitrage international pour renforcer l’obligation de Compliance : l’exemple du secteur de la construction", 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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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : 

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► Full Reference: E. Maclouf, "Entités industrielles et Obligation de compliance" ("Industrial Entities and Compliance Obligation"), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2025, to be published

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📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published

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► Summary of this article (done by the Journal of Regulation & Compliance - JoRC) : This article looks at the topic Industrial Entities and Compliance Obligation from the perspective of Management Science and sets out to resolve the paradox of industrial organisations expressing the ambition of progress for the benefit of people, a humanist ambition that is contradicted by the effects produced by this industrialisation itself, which are harmful to that same humanity. The Compliance Obligation, insofar as it is based on the Monumental Goals and is anchored in Industrial Organisations, aims to resolve this paradox.

The science of human organisations aims to allocate nature's scarce resources as efficiently as possible by getting individuals to cooperate, this engineering producing natural, industrial and social disasters, which are themselves more or less anticipated. The Compliance Obligation holds out the hope of better preventing them (Negative Monumental Goal) and managing them, or even improving people's lives (Positive Monumental Goal) by going beyond traditional disciplines and developing Ex Ante. However, Industrial Organisations may also reject the weight of the constraints that this creates for them, calling for deregulation instead. The debate is currently open.

Furthermore, by moving from the mechanical logic of conformity to the dynamic logic of the Compliance Obligation, companies find themselves in a situation of systemic uncertainty and must decide on the strategy to be implemented, resulting in a managerialisation of the Law  and implying many new decisions to be taken. The notion of "project" is therefore back at the heart of Industrial Organisations, and more specifically that of "Humanist Project", as embodied by the Compliance Obligation, in a new Organisation where everyone plays their part in the Value Chain.

The author draws on the work of Raymond Aron and the Rueff-Armand report to show that the dynamism and strength of Industrial Organisation can support a Humanist Project that is politically developed and fits in with the Economic Rationality of Industrial Organisations. This is all the more necessary as this Regulatory Framework cannot come from the sum of individual actions alone (employees, consumers, investors), as the interests of the company, of the sector, of society, of nature cannot be served by this addition alone, and the claim that the whole is self-regulated by the expression of a single one of these players (who are themselves both inside and outside the industrial organisation) is unsustainable.

The Author shows that new entities are therefore being created to regulate Industrial Entities in the public interest through the Compliance Obligation, which inserts an Obligation into the Industrial Organisation modifying its project: the French so-called "Sapin 2" law is a perfect example of this, encouraging appropriate strategic responses from Industrial Organisations, which have modified their managerial procedures to integrate new strategic projects and involve stakeholders.

Finally, because the Compliance Obligation is anchored in Monumental Goals, it can be the basis of the Company's Project and the Players' Project of the players, which leads us to return to the basis of the Organisations Theory, which entrusts to the corporate bodies the power and the mission of defining such a project through corporate deliberations which will then be, in the aforementioned approach of Industrial Rationality, broken down into Objectives and Plans. This is a reminder that Profit is not a Company's Goal: it is the sine qua non of its survival, which is different. A Rational Organisation determines its Project and for ensuring it,  to achieve it, it must not run the risk of going bankrupt. The Compliance Obligation is developing  between this difference and the link between the Project and this necessity to have some profit which is just a Condition. Furthermore, in order to establish this project, the organisation must resolve oppositions (conflictuality) through the complex interplay of players (Jean-Pierre Dupuy).

Industrial organisations must respond to the Compliance Obligation. In particular, they do this by developing norms, or by contributing to the development of public norms, and by themselves expressly aiming Goals such as the fight against suffering in the workplace or equality between men and women as falling within the scope of the Compliance Obligation. This framing work is an essential part of the organisation's strategy, and environmental concerns can thus be integrated to a greater or lesser extent into this or that perspective. All this goes beyond the mere logic of conformity.

The Compliance Obligation thus enables the production of what the Author calls "adaptive responses by individuals in the face of Systemic Crises and their causes", countering the Anomie which is also a monumental problem in today's society, which has lost its bearings and is suffering from Uncertainty. This Compliance Obligation enables Industrial Entities to integrate into Society, if necessary by coercion, by becoming the vectors of human rights and social and environmental expectations. But the success of this Compliance Obligation presupposes a certain appropriation of the Goals by the scales companies, which taints the Compliance Obligation itself with Uncertainty.

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🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

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► Référence complète : M. Chapuis, "Le juge de l’amiable et la compliance", 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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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : 

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► Référence complète : M. Séjean, "L'obligation de compliance en matière de cybersécurité : un tissu d'exigences comportementales pour protéger le Système", 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

____

► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : 

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► Full Reference: M. Séjean, "The Compliance Obligation in the Cybersecurity Field: a web of behavioural requirements to protect the System", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

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📘read a general presentation of the book, Compliance Obligation, in which this article is published

____

► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): 

____

🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

🌐subscribe to the Video Newsletter MAFR Surplomb

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► Full Reference: M.-A. Frison-Roche, "La Vigilance, pointe avancée et part totale de l’Obligation de Compliance" (Vigilance, the cutting edge and a full part of the Compliance Obligation), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance" 2025, to be published.

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📝read the article (in French)

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🚧read the bilingual Working Paper on the basis this contribution has been built, with  more developments, technical references and hyperlinks. 

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📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published 

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► English summary of this contribution : The "duty of vigilance" unleashes all the more radical and passionate positions, sometimes among Law professors, because it has not been precisely defined. One word is used for another, either inadvertently or deliberately, deliberately if it can attract this or that element from one legal corpus and import it into another.  The very exercise of definition is therefore required in practice. There are specific obligations of vigilance that come under such and such a body of regulations and are imposed on such and such a category of operators to fulfill such and such a function. These are precise circles which are not confused and must not be confused. This is superimposed on what the French 2017 law so-called "Vigilance law", which is much more encompassing since it applies to all large companies in the operation of the value chains they have set up. The European 2024 directive is in the same way. But there is no general duty or obligation of Vigilance. Such a claim would be based on confusing or shifting each of these 3 levels, which must be avoided because no positive law does support this (I).

If the duty of vigilance is attracting so much attention, whether or not the European CS3D is fully effective, it is because Vigilance is the "cutting edge" of Compliance Obligation (II). Vigilance requires companies, by consideration of their power and without reproaching them for it or demanding that it be reduced, to detect risks of damage to the environment and climate, but also to human rights, because they are in a position to do so in order to prevent them from turning into disasters. In this respect, the  Vigilance duty makes clearer the exact legal nature of the Compliance Obligation.

Moreover, Vigilance appears as the Total Part of the Compliance Obligation (III). Indeed, although it is restricted to one area, the value chain, and to two types of risk, deterioration of the environment and deterioration of human rights, it expresses the totality of the Compliance Obligation by means of tools that the 2017 French "Vigilance law" had itself duplicated from the 2016 so-called "Sapin 2 law": to preserve systems today, but above all tomorrow, in order they do not collapse (Negative Monumental Goals), or even consolidate them (Positive Monumental Goals), so that the human beings who are willingly or unwillingly involved in them are not crushed by them but benefit from them. This is why large companies are subject to the Obligation of Compliance and Vigilance, particularly in the humanist conception that Europe is developing.

The result is a new type of Litigation, of a systemic nature, for which the Courts have spontaneously become specialised, and for which the procedures will have to be adapted and the office  of the Judge shall have to evolve.

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🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR. Regulation, Compliance, Law

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► Full Reference: M.-A. Frison-Roche (dir.), L'Obligation de Compliance, coll."Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published.

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📘 At the same time, a book in English, Compliance Obligation, is published in the collection copublished by the Journal of Regulation & Compliance (JoRC) and the Éditions Bruylant.

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🧮the book follows the cycle of colloquia 2023 organised by the Journal of Regulation & Compliance (JoRC) and its Universities partners.

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📚this volume is one of a series of books devoted to Compliance in this collection.

► read the presentations of the other books:

• further books:

🕴️M.-A. Frison-Roche (ed.), 📕Le système probatoire de la Compliance, 2025

• previous books:

🕴️M.-A. Frison-Roche & M. Boissavy (eds.), 📕Compliance et droits de la défense. Enquête interne - CJIP - CRPC, 2023

🕴️M.-A. Frison-Roche (ed.), 📕La juridictionnalisation de Compliance, 2023

🕴️M.-A. Frison-Roche (ed.), 📕Les Buts Monumentaux de la Compliance, 2022

🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance, 2021

🕴️M.-A. Frison-Roche (ed.), 📕Pour une Europe de la Compliance, 2019

🕴️N. Borga, 🕴️J.-Cl. Marin and 🕴️J.-Ch. Roda (eds.), 📕Compliance : l'Entreprise, le Régulateur et le Juge, 2018

🕴️M.-A. Frison-Roche (ed.), 📕Régulation, Supervision, Compliance, 2017

🕴️M.-A. Frison-Roche (ed.), 📕Internet, espace d'interrégulation, 2016

📚see the global presentation of all the books of the collection.

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► General presentation of this book: Compliance is sometimes presented as an inescapable mechanism , which is tantamount to seeing it as the legal Obligation par excellence, Criminal Law being its most appropriate mode of expression. But this is not so obvious. Moreover, it is becoming difficult to unify all Compliance Tools, which encompass moral representations of the world, and even cultures specific to each company, so that Law can only produce incentives or produce soft law. As a result, Compliance Obligation appears as very difficult to define.

These hesitations reflect the youth of this Compliance Law under construction. Identified through juxtaposed special laws, for each of which specialists have come forward, it is nonetheless taking shape with its own normativity, anchored in its Monumental Goals. Because the notion of Obligation is as old as Law itself, the Obligation of Compliance is confronted with all the branches of Law, and more particularly, with all due respect, with Contract and Tort Law.

But Compliance has long been a practice, effectiveness, efficacy and efficiency being among its principles. How can all these ambitious declarations be put into effect? Is there not a hint of a gap between the grandiloquence of this declared Compliance Obligation and what actually happens? The practical question of how to compel is, in this new branch of Law, a question of law.

In order to have a more accurate perception of the Obligation of Compliance and therefore to better measure its future, it is advisable to end up taking its Advanced Point, which is the Obligation of Vigilance, clearer and stronger than the other instruments, having Monumental Goals, placing the Judge more clearly at the centre, developing in an already more visible way the power of this Obligation of Compliance which abstracts itself as necessary from borders and claims to express sovereignties.

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🏗️general construction of this Book: The book opens with a double Introduction.  The first, which is freely accessible, consists of a summary of the book, while the second, which is substantial, deals with the unified conception that we can, and indeed should, have, of the "Compliance Obligation", without losing the concrete and active character that characterises this branch of law.

The first Part of the book aims to define the Compliance Obligation. To this end, Chapter I deals with the Nature of this obligation. Chapter II deals with the Spaces of the Compliance Obligation.

The Part II aims to articulate the Compliance Obligation with other branches of Law. 

The Part III of the book looks at the way in which the possibility of obliging and the means of obliging are provided.  To this end, Chapter I deals with the Convergence of the Sources of the Compliance Obligation. Chapter II considers International Arbitration as a reinforcement of the Compliance Obligation. To this end, Chapter I deals with the Convergence of the Sources of the Compliance Obligation. Chapter II considers International Arbitration as a reinforcement of the Compliance Obligation. 

The last Part of the book is devoted to Vigilance, the leading edge of the Compliance Obligation. Chapter I is devoted to a study of the various sectors, and analyses the Intensities of the Vigilance Obligation. Chapter II deals with the Variations in Tension generated by the Vigilance Obligation. Finally, Chapter III deals with the New Modalities of the Compliance Obligation, highlighted by the Vigilance Imperative.

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TABLE OF CONTENTS 

ANCRER LES OBLIGATIONS DE COMPLIANCE SI DIVERSES  

 DANS LEUR NATURE, LEURS REGIMES ET LEUR FORCE 

POUR DEGAGER  L'UNITE DE L'OBLIGATION DE COMPLIANCE

LA RENDANT COMPREHENSIBLE ET PRATIQUABLE 

(ANCHOR COMPLIANCE OBLIGATIONS, SO DIVERSE

 IN THEIR NATURE, THEIR REGIMES AND THEIR FORCE,

TO BRING OUT THE UNITY OF THE COMPLIANCE OBLIGATION

MAKING IT COMPREHENSIBLE AND PRACTICABLE)

♦️ Obligation de Compliance : construire une structure de compliance produisant des effets crédibles au regard des Buts Monumentaux visés par le Législateur (Compliance Obligation: building a compliance structure that produces credible results with regard to the Monumental Goals targeted by the Legislator), by 🕴️Marie-Anne Frison-Roche

TITRE I.

CERNER L’OBLIGATION DE COMPLIANCE 

(IDENTIFYING THE COMPLIANCE OBLIGATION)

CHAPITRE I : LA NATURE DE L’OBLIGATION DE COMPLIANCE (THE NATURE OF THE COMPLIANCE OBLIGATION)

Section 1 ♦️ La volonté, le cœur et le calcul, les trois traits cernant l'Obligation de Compliance  (Will, Heart and Calculation, the three traits encercling the Compliance Obligation), by 🕴️Marie-Anne Frison-Roche

Section 2 ♦️ De la dette à l’obligation de compliance (From the Debt to the Compliance Obligation), by 🕴️Bruno Deffains

Section 3 ♦️ Obligation de Compliance et droits humains (Compliance Obligation and Human Rights), by 🕴️Jean-Baptiste Racine

Section 4 ♦️ L'Obligation de Compliance et les mutations de la souveraineté et de la citoyenneté (Compliance Obligation and changes in Sovereignty and Citizenship), by 🕴️René Sève

CHAPITRE II : LES ESPACES DE L’OBLIGATION DE COMPLIANCE (SPACES OF THE COMPLIANCE OBLIGATION)

Section 1 ♦️ Entités industrielles et Obligation de compliance (Industrial entities and Compliance Obligation), by 🕴️Etienne Maclouf

Section 2 ♦️ L'Obligation de Compliance dans les chaînes de valeur (The Compliance Obligation in Value Chains), by 🕴️Lucien Rapp

Section 3 ♦️ Compliance et conflits de lois. Le droit international de la vigilance-conformité à partir de quelques applications récentes sur le continent européen (Compliance and conflict of laws. International Law of Vigilance-Conformity, based on recent applications in Europe), by 🕴️Louis d'Avout 

TITRE II.

ARTICULER L’OBLIGATION DE COMPLIANCE AVEC DES BRANCHES DU DROIT

(ARTICULATING THE COMPLIANCE OBLIGATION WITH BRANCHES OF LAW)

Section 1 ♦️ Dimensions constitutionnelles de l'Obligation de Compliance (Constitutional dimensions of the Compliance Obligation), by 🕴️Stéphane Mouton

Section 2 ♦️ Droit fiscal et obligation de compliance (Tax Law and Compliance Obligation), by 🕴️Daniel Gutmann

Section 3 ♦️ Le droit processuel, prototype de l'Obligation de Compliance (General Procedural Law, prototype of the Compliance Obligation), by 🕴️Marie-Anne Frison-Roche

Section 4 ♦️ Le droit des sociétés et des marchés financiers face à l'Obligation de Compliance (Corporate and Financial Markets Law facing the Compliance Obligation), by 🕴️Anne-Valérie Le Fur

Section 5 ♦️ Le rapport entre le Droit de la responsabilité civile et l'Obligation de Compliance (The link between Tort Law and Compliance Obligation), by 🕴️Jean-Sébastien Borghetti

Section 6 ♦️ Dimensions environnementales et climatiques de l'Obligation de Compliance (Environmental and Climatic Dimensions of the Compliance Obligation), by 🕴️Marta Torre-Schaub

Section 7 ♦️ Droit de la concurrence et Droit de la Compliance (Competition Law and Compliance Law), by 🕴️Jean-Christophe Roda

Section 8 ♦️ L'Obligation de Compliance en Droit global (The Compliance Obligation in Global Law), by 🕴️Benoît Frydman & 🕴️Alice Briegleb

Section 9 ♦️ Transformation des relations de travail et obligation de vigilance (Transformation of Labour Relations and Vigilance Obligation), by 🕴️Stéphane Vernac

Section 11 ♦️ Les juges du droit des entreprises en difficulté et les obligations de compliance (Judges of Insolvency Law and Compliance Obligations), by 🕴️Jean-Baptiste Barbièri

TITRE III.

COMPLIANCE : DONNER ET SE DONNER LES MOYENS D’OBLIGER

(COMPLIANCE : GIVE AND TAKE THE MEANS TO OBLIGE)

CHAPITRE I : LA CONVERGENCE DES SOURCES (CONVERGENCE OF SOURCES)

Section 1 ♦️ Obligation sur obligation vaut (Compliance Obligation on Obligation works), by 🕴️Marie-Anne Frison-Roche

Section 2 ♦️ Les technologies disponibles, prescrites ou proscrites pour satisfaire Compliance et Vigilance (Technologies available, prescribed or prohibited to meet Compliance and Vigilance requirements), by 🕴️Emmanuel Netter

Section 3 ♦️ La cybersécurité et l’Obligation de Compliance (Cybersecurity and Compliance Obligation), by 🕴️Michel Séjean🕴️

Section 4 ♦️ Contrainte légale et stratégie des entreprises en matière de Compliance (Legal Constraint and Company Strategies in Compliance matters), by 🕴️Jean-Philippe Denis & Nathalie Fabbe-Costes

Section 5 ♦️ La loi, source de l’Obligation de Compliance (The Law, source of the Compliance Obligation), by 🕴️Jean-Baptiste Blanc

Section 6 ♦️ Opposition et convergence des systèmes juridiques américains et européens dans les règles et cultures de compliance (Opposition and Convergence of American and European Legal Systems in Compliance Rules and Cultures), by 🕴️Raphaël Gauvain & 🕴️Blanche Balian

Section 7 ♦️ Ce à quoi les engagements engagent qu'est un engagement (What a ), by 🕴️Marie-Anne Frison-Roche

CHAPITRE II : L’ARBITRAGE INTERNATIONAL EN RENFORT DE L’OBLIGATION DE COMPLIANCE (INTERNATIONAL ARBITRATION IN SUPPORT OF THE COMPLIANCE OBLIGATION)

Section 1 ♦️ Comment l'arbitrage international peut être un renfort de l'Obligation de Compliance (How International Arbitration can reinforce the Compliance Obligation), by 🕴️Laurent Aynès

Section 2 ♦️ La considération par l'Arbitrage de l'Obligation de Compliance pour une place d'arbitrage durable (Arbitration' consideration of Compliance Obligation for a Sustainable Arbitration Place),  by 🕴️Marie-Anne Frison-Roche 

Section 3 ♦️ La condamnation en nature par le tribunal arbitral, renfort de l’Obligation de Compliance (The Arbitral Tribunal's Award in Kind, in support of the Compliance Obligation), by 🕴️Eduardo Silva Romero

Section 4 ♦️ L’usage de l’arbitrage international pour renforcer l’obligation de Compliance : l’exemple du secteur de la construction (The use of International Arbitration to reinforce the Compliance Obligation: the example of the construction sector), by 🕴️Christophe Lapp

Section 5 ♦️ L’arbitre, juge, superviseur, accompagnateur  ? (The Arbitrator, Judge, Supervisor, Support) , by 🕴️Jean-Baptiste Racine

TITRE IV.

LA VIGILANCE, POINTE AVANCÉE DE L’OBLIGATION DE COMPLIANCE

(VIGILANCE, SPEARHEAD OF THE COMPLIANCE OBLIGATION)

Section 1 ♦️ La Vigilance, pointe avancée et part totale de l'Obligation de Compliance (....), by 🕴️Marie-Anne Frison-Roche

CHAPITRE I : LES INTENSITÉS DE L’OBLIGATION DE VIGILANCE, POINTE AVANCÉE DU SYSTÈME DE COMPLIANCE (INTENSITIES OF THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM)

Section 2 ♦️ L’intensité de l’Obligation de Vigilance selon les secteurs : le cas des opérateurs financiers (Intensity of the Vigilance Obligation by Sectors: the case of Financial Operators), by 🕴️Anne-Claire Rouaud

Section 3 ♦️ L’intensité de l’Obligation de Vigilance selon les secteurs : le cas des opérateurs bancaires et d’assurance (Intensity of the Vigilance Obligation by Sectors: the case of Banking and Insurance Operators), by 🕴️Mathieu Françon

Section 4 ♦️ L’intensité de l’obligation de vigilance selon les secteurs : le cas des opérateurs numériques (Intensity of the Vigilance Obligation by Sectors: the case of Digital Operators), by 🕴️Grégoire Loiseau

Section 5 ♦️ L’Obligation de vigilance des opérateurs énergétiques (The Vigilance obligation of Energy Operators), by 🕴️Marie Lamoureux

Section 2 ♦️ Transformation de la gouvernance et obligation de Vigilance (Transformation of Governance and Vigilance Obligation), by 🕴️Véronique Magniermag

CHAPITRE II : LES DISPUTES AUTOUR DE L'OBLIGATION DE VIGILANCE, POINTE AVANCÉE DU SYSTÈME DE COMPLIANCE, DANS SON RAPPORT AVEC LA RESPONSABILITÉ

Section 1 ♦️ Le rapport entre le droit de la responsabilité civile et l'obligation de compliance, by 🕴️Jean-Sébastien Borghetti

Section 2 ♦️ Repenser le concept de responsabilité civile à l’aune du devoir de vigilance, pointe avancée de la compliance (Rethinking the Concept of Civil Liability in the light of the Duty of Vigilance, Spearhead of Compliance), by 🕴️Mustapha Mekki

Section 3 ♦️ Tensions et contradictions entre les instruments relatifs à la vigilance raisonnable des entreprises, by 🕴️Laurence Dubin

Section 4 ♦️ Compliance, Vigilance et Responsabilité civile : mettre en ordre et raison garde (Compliance, Vigilance  and Civil Liability: put in order and keep the Reason), by 🕴️Marie-Anne Frison-Roche

CHAPITRE III : LES MODALITÉS NOUVELLES DE L'OBLIGATION DE COMPLIANCE, MISES EN LUMIÈRE PAR L'IMPÉRATIF DE VIGILANCE (NEW MODALITIES OF THE COMPLIANCE OBLIGATION, HIGHLIGHTED BY THE VIGILANCE IMPERATIVE)

Section 1 ♦️ Clauses et contrats, modalités de l’obligation de vigilance (Clauses and Contracts, terms and conditions of implementation of the Vigilance Obligation), by 🕴️Gilles J. Martin

Section 2 ♦️ La preuve de la bonne exécution de la Vigilance au regard du système probatoire de Compliance (Proof that Vigilance has been properly carried out with regard to the Compliance Evidence System), by 🕴️Jean-Christophe Roda

TITRE V.

LE JUGE ET L'OBLIGATION DE COMPLIANCE

(THE JUDGE AND THE COMPLIANCE OBLIGATION)

Section 1 ♦️ Les enjeux présents à venir de l’articulation des principes de procédure civile et commerciale avec la logique de compliance (Present and Future Challenges of Articulating Principles of Civil and Commercial Procedure with the Logic of Compliance), by 🕴️Thibault Goujon-Bethan

Section 2 ♦️ Le juge de l’amiable et la compliance (The amicable settlement judge and compliance), by 🕴️Malik Chapuis

Section 3 ♦️ Le Juge requis pour une Obligation de Compliance effective (The Judge required for an Effective Compliance Obligation), by 🕴️Marie-Anne Frison-Roche

L’OBLIGATION DE COMPLIANCE : VISION D’ENSEMBLE

(COMPLIANCE OBLIGATION : OVERVIEW)

♦️ Lignes de force de l'ouvrage (key points of the book) - free access, by 🕴️Marie-Anne Frison-Roche

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🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

🌐subscribe to the Video Newsletter MAFR Surplomb

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► Full Reference: M.-A. Frison-Roche, "La considération par l'arbitrage de l'obligation de Compliance pour une place d'arbitrage durable" (Arbitration consideration of Compliance Obligation for a sustainable Arbitration Place), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2025, to be published

____

📝read the article (in French)

____

🚧read the bilingual Working Paper on the basis this contribution has been built, with  more developments, technical references and hyperlinks. 

____

📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published 

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► English summary of this contribution : The first part of this study assesses the evolving relationship between Arbitration Law and Compliance Law, which depends on the very definition of the Compliance Obligation (I). Indeed, these relations have been negative for as long as Compliance has been seen solely in terms of "conformity", i.e. obeying the rules or being punished. These relationships are undergoing a metamorphosis, because the Compliance Obligation refers to a positive and dynamic definition, anchored in the Monumental Goals that companies anchor in the contracts that structure their value chains.

Based on this development, the second part of the study aims to establish the techniques of Arbitration and the office of the arbitrator to increase the systemic efficiency of the Compliance Obligation, thereby strengthening the attractiveness of the Place (II). First and foremost, it is a question of culture: the culture of Compliance must permeate the world of Arbitration, and vice versa. To achieve this, it is advisable to take advantage of the fact that in Compliance Law the distinction between Public and Private Law is less significant, while the concern for the long term of contractually forged structural relationships is essential.

To encourage such a movement to deploy the Compliance Obligation, promoting the strengthening of a Sustainable Arbitration Place (III), the first tool is the contract. Since contracts structure value chains and enable companies to fulfill their legal Compliance Obligation but also to add their own will to it, stipulations or offers relating to Arbitration should be included in them. In addition, the adoption of non-binding texts can set out a guiding principle to ensure that concern for the Monumental Goals is appropriate in order the Compliance Obligation to be taken into account by Arbitrators.

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► Full Reference: M.-A. Frison-Roche, The will, the heart and the calculation, the three traits encercling the Compliance Obligation, March 2024.

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📝 This Working Paper is the basis for the contribution "The will, the heart and the calculation, the three traits encercling the Compliance Obligation", in📘Compliance Obligation.

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► Summary of this Working Paper: There is often a dispute over the pertinent definition of Compliance Law, but the scale and force of the resulting obligation for the companies subject to it is clear.  It remains difficult to define. First, we must not to be overwhelmed by the many obligations through which the Compliance Obligation takes shape, such as the obligation to map, to investigate, to be vigilant, to sanction, to educate, to collaborate, and so on. Not only this obligations list is very long, it is also open-ended, with companies themselves and judges adding to it as and when companies, sectors and cases require. 

Nor should we be led astray by the distance that can be drawn between the contours of this Compliance Obligation, which can be as much a matter of will, a generous feeling for a close or distant other in space or time, or the result of a calculation. This plurality does not pose a problem if we do not concentrate all our efforts on distinguishing these secondary obligations from one another but on measuring what they are the implementation of, this Compliance Obligation which ensures that entities, companies, stakeholders and public authorities, contribute to achieving the Goals targeted by Compliance Law, Monumental Goals which give unity to the Compliance Obligation.  Thus unified by the same spirit, the implementation of all these secondary obligations, which seem at once disparate, innumerable and often mechanical, find unity in their regime and the way in which Regulators and Judges must control, sanction and extend them, since the Compliance Obligation breathes a common spirit into them.

 In the same way that the multiplicity of compliance techniques must not mask the uniqueness of the Compliance Obligation, the multiplicity of sources must not produce a similar screen. Indeed, the Legislator has often issued a prescription, an order with which companies must comply, Compliance then often being perceived as required obedience. But the company itself expresses a will that is autonomous from that of the Legislator, the vocabulary of self-regulation and/or ethics being used in this perspective, because it affirms that it devotes forces to taking into consideration the situation of others when it would not be compelled to do so, but that it does so nonetheless because it cares about them. However, the management of reputational risks and the value of bonds of trust, or a suspicious reading of managerial choices, lead us to say that all this is merely a calculation.

Thus, the contribution sets out to identify the Compliance Obligation by recognising the role of all these different sources. It emphasises that, in monitoring the proper performance of technical compliance obligations by Managers, Regulators and Judges, insofar as they implement the Compliance Obligation, it is pointless to limit oneself to a single source or to rank them abruptly in order of importance. The Compliance Obligation is part of the very definition of Compliance Law, built on the political ambition to achieve these Monumental Goals of preserving systems - banking, financial, energy, digital, etc. - in the future, so that human beings who cannot but depend on them are not crushed by them, or even benefit from them. This is the teleological yardstick by which the Compliance Obligation is measured, and with it all the secondary obligations that give it concrete form, whatever their source and whatever the reason why the initial standard was adopted.

In order to define Compliance's Obligation, the contribution endeavours to recognise the contribution of all these three sources: Will, Heart and Calculation. 

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► Full Reference: M.-A. Frison-Roche, Vigilance, the cutting edge and a full part of the Compliance Obligation, Working Paper, November 2023

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📝 This Working Paper is the basis of the article, "La Vigilance, pointe avancée et part totale de l'Obligation de Compliance" (Vigilance, the cutting edge and a full part of the Compliance Obligation), published  in 📕L'Obligation de Compliance

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► Summary of this Working Paper:  The "duty of vigilance" unleashes all the more radical and passionate positions, sometimes among Law professors, because it has not been precisely defined. One word is used for another, either inadvertently or deliberately, deliberately if it can attract this or that element from one legal corpus and import it into another.  The very exercise of definition is therefore required in practice. There are specific obligations of vigilance that come under such and such a body of regulations and are imposed on such and such a category of operators to fulfill such and such a function. These are precise circles which are not confused and must not be confused. This is superimposed on what the French 2017 law so-called "Vigilance law", which is much more encompassing since it applies to all large companies in the operation of the value chains they have set up. The European 2024 directive is in the same way. But there is no general duty or obligation of Vigilance. Such a claim would be based on confusing or shifting each of these 3 levels, which must be avoided because no positive law does support this (I).

If the duty of vigilance is attracting so much attention, whether or not the European CS3D is fully effective, it is because Vigilance is the "cutting edge" of Compliance Obligation (II). Vigilance requires companies, by consideration of their power and without reproaching them for it or demanding that it be reduced, to detect risks of damage to the environment and climate, but also to human rights, because they are in a position to do so in order to prevent them from turning into disasters. In this respect, the  Vigilance duty makes clearer the exact legal nature of the Compliance Obligation.

Moreover, Vigilance appears as the Total Part of the Compliance Obligation (III). Indeed, although it is restricted to one area, the value chain, and to two types of risk, deterioration of the environment and deterioration of human rights, it expresses the totality of the Compliance Obligation by means of tools that the 2017 French "Vigilance law" had itself duplicated from the 2016 so-called "Sapin 2 law": to preserve systems today, but above all tomorrow, in order they do not collapse (Negative Monumental Goals), or even consolidate them (Positive Monumental Goals), so that the human beings who are willingly or unwillingly involved in them are not crushed by them but benefit from them. This is why large companies are subject to the Obligation of Compliance and Vigilance, particularly in the humanist conception that Europe is developing.

The result is a new type of Litigation, of a systemic nature, for which the Courts have spontaneously become specialised, and for which the procedures will have to be adapted and the office  of the Judge shall have to evolve.

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