► Full Reference: Scemla, S. & Paillot, D., The supervisory authorities face difficulties to apprehend the rights of the defence in Compliance matters, in Frison-Roche, M.-A. (ed.),Compliance Jurisdictionalisation, série "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.

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► Article Summary(done by the Author) : Since 2016, French companies subject to the provisions of the so-called “Sapin 2” Law must implement eight stringent anti-corruption measures, such as a risk mapping, a whistleblowing procedure or a third-party due diligence procedure.

To ensure their compliance with these obligations, the Sapin 2 law created the Agence française anticorruption - AFA (French Anti-Corruption Agency), which had been assigned three missions: firstly, to help any person prevent and detect corruption; secondly, to control the quality and effectiveness of the anti-corruption programs deployed by the companies; and thirdly, to sanction any breaches, through its Sanctions Committee.

As pointed out by the French Conseil d’Etat, the powers devolved to the administrations have multiplied and became stratified. While the Conseil d'Etat suggests to improve both the conduct and the effectiveness of administrative controls by harmonising their practices and simplifying their prerogatives, it is urgent to remedy the numerous procedural failures that undermine the rights of defence.

In fact, the AFA exercises various powers when undertaking its controls. Some of these powers are not provided for by the Law, and most of them infringe fundamental rights and freedoms among which the adversarial principle and the freedom not to self-incriminate. For instance, the AFA does not necessarily draft minutes of the interviews it conducts, thus depriving the interviewee of the possibility to challenge the statements reported by the AFA to the Sanctions Committee.

From a more structural point of view, the scope of the AFA's mission is extremely broad. The Law allows the AFA to request the communication of "any professional document or any useful information", without defining the notion of usefulness. Also, the AFA considers that the entity cannot benefit from the legal privilege that would cover their documents, and considers that an entity who voluntarily hands over a document, without expressing any reserves, waives its right to the benefit of its legal privilege.

Apart from the severe consequences that could arise if another proceedings was to be initiated by a foreign authority, the concept of "voluntary handover" does not faithfully reflect the reality. Indeed, the controlled entities only cooperate under the threat of being prosecuted on the basis of an obstruction to the control, which compels them to communicate documents even when facing the risk of contributing to their own incrimination.

These many procedural deficiencies encountered during AFA controls must therefore be reformed, as recommended by the Conseil d’Etat, so as to require the authorities to take into account the rights of the defence.

 

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📝 read the general presentation of the book in which this article is published

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►  Full Reference : Frison-Roche, M.-A., The Economic Attractiveness of Impartiality ("L'attractivité économique de l'impartialité"), in ""Economic Attractiveness, Judge Office and Impartiality. Thinking the judge Office" ("L'attractivité économique, l'office du juge et l'impartialité. Penser l'office du juge"), 

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🎥 watch the conference (in French with English subtitles)

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📝 read the colloquium program ( in French)

📝 see the general program of the cycle on the Judge Office.

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📝 read François Ancel's article of 14th of January 2021 in the Receuil Dalloz and which report this colloquium (in French) 

 

 

📝 read the Working Paper, basis of this conference.

This Working Paper is significantly different from the conference because it was conceived befor the colloquia cycle beginning. In addition, since this manifestation was a Round Table, the conference has taken more into account previous conferences and what said the other two speakers.

 

📊 see the slides, basis of the conference (in French)

The slides could not be shown during the conference. Orally, it was appropriate to more develop the introductory remarks for emphasizing the human and unique dimension of the Judge Office, expected in economic matters. As a result, the second part of the conference was not given orally, so slides therefore remain the only media available.

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►  Summary of the conference : To fit into the ambition of this general colloquia cycle, which is to "Think the Judge Office" and in this round table which apprehends the imperative of economic attractiveness of this office, firstly emerges the seemingly contradictory relationship between this imperative and the distance that the judge must maintain. Thus it is often asserted that the judge should be internalized at this point in the "places", - an economic concept of great scope (to which the first part of the introduction is devoted, defining the "place" at the same time as a closed and porous space and as a "systemic litigant" -, that he/she should ipso facto lose his/her distance, that is to say his/her impartiality. As places are in competition, even if weighing on one hand the effectiveness of the place, and on the other hand the impartiality of a judge who is external to this place - Judge referring to the Law , Impartiality would necessarily emerge weakened. It would then be necessary on a case-by-case basis to get the judge to give the desired concessions...

The conference aim is to take the opposite position and to state that the Place - in particular because they must be strongly distinguished from the Markets, of which they were the ancestors - require a Judge, who is at the same time "singular", that is to say with a personality, a face, opinions, and in distance so that his/her imagination does not surprise Place. Indeed, these require a human Justice, and a not mechanical one and singular judges, of whom the juge des référés or the arbitrator are the epigone, meets this need. But for reducing their "margins of discretion", how Economy qualifies the Impartiality of a person who can never be neutral, the singular Judge's Office must be inserted into mechanisms reducing these margins. In this way, the Place may reach a Judge who is always more impartial, and in doing so the Place becomes always more attractive.

To achieve this in practice, the place expresses two legitimate expectations, as a "systemic litigant", whose satisfaction increases and the singular Judge's Impartiality and increases the Attractiveness of the Place as a space. This clearly shows that the Place's Attractiveness and the Judge's Impartiality, because judges are inserted into procedures, into institutions and into a "jurisdictional family", are not only not contradictory, but are on the contrary convergent, one fueling the other.

Concretely, and judicial practice shows it, it is necessary to consolidate the particular Judge's Impartiality by inserting him/her into collective processes. As it is necessary to promote a radiance of Impartiality by strengthening the "jurisdictional family".

To consolidate the singular Judge's Impartiality  by inserting him/her into collective processes, it is necessary to admit without hesitation the subjectivity of the judge, to seek it even. The reduction of the margins of discretion, definition of impartiality, being obtained by the inclusion of the judge in a procedure of which he /her alone is the master but in which he/her is not alone. This has the technical consequence that he/her is himself/herself in an adversarial debate, not only during the proceedings, but also before (in the media), inside the judgment (and the decision of the Criminal Chamber of 25 November 2020 is a model of that) and after the judgment. By that, the Judge shows that by his/her office he/she is in the future, as climate justice will show. In addition, to limit his/her margins of discretion, the singular judge must fit into a rational principle of coherence, vertical and horizontal. Vertical coherence, because he/she integrates what it is said and the technique of the "determining opinion" is to be encouraged, the singular judge having to avoid it only if he/she has "strong reasons" to do it. This is to follow  this general rule Comply or Explain (which is the very opposite of blind obedience). Horizontal coherence, because the singular judge either sticks to what he/she said, estoppel also being a rule of logic. But above all, the institution must extract as much as possible from " institutional doctrines", by all means, of which the annual reports are an example.

To consolidate the singular Judge's Impartiality by strengthening the notion and reality of the "Jurisdictional Family", it is necessary to have of it a broader conception, which could lead to "guidelines" common to various jurisdictions, and a stronger one, by integrating those surrounding the judge to lead to judgment. In this, the procedure before the Court of Justice of the European Union, working on a common file, is a model. If this community were even stronger, the Judge Office would be even more useful than it is already in the digital space.

Thus, Judges who are always human, always diverse, always singular, who listen, consider and adjust to the situation, who within a Jurisdictional Family fit into an Institutional Doctrine which transcends and supports them but which they transform if there is a strong reason to do so, a reason always expressed said: this is the embodied Impartiality that makes an economic and financial Place attractive.

 

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This Working Paper written in English is the basis for an article published in French in the French journal Dalloz Avocat , in March 2020.

 

 

 

Summary of the working Paper.

If we perceive Compliance Law as an aggression of the private company and a binding set of mechanisms that have no meaning and added value for it, then the attorney has a utility: defending the business. It can do so not only during the sanctions phase, but also to prevent it.

But this function is not central.

It becomes so if we understand Compliance Law as a body of substantial rules, pursuing a "monumental goal": the protection of the person, goal injected by political bodies and taken up by the operator. From this, the company must convince everyone to take it back, inside the company and outside. In a general and contradictory debate, the attorney carries this conviction, because he and she is always convincing those who at the end judge (market, public opinion, etc.) that is their raison d'être.

 

(In this short document, the pop-ups refer to the different works that develop each of the points)

Référence complète : Supiot, A., Kafka, un artiste de la Loi, in dossier Kafka, Le nouveau magazine littéraire, n°14, février 2019, pp.92-95.

 

Référence complète : Schiller, S., La compliance extra-financière les risques de contradictions de domaines d'application, in Borga, N., Marin, J.-Cl. et Roda, J.-Cl. (dir.), Compliance : l'entreprise, le régulateur et le juge, Série Régulations & Compliance, Dalloz, 2018, pp. 55-66.

 

Lire une présentation générale de l'ouvrage dans lequel est publié l'article.

Consulter les autres titres de la Série dans laquelle est publié l'ouvrage.

Full reference: Frison-Roche, M.A., Généralités sur le principe du contradictoire. Étude de droit processuel, coll. "Anthologie du Droit", LGDJ - Lextenso éditions, 2014, 221 p.

Republished from Généralités sur le principe du contradictoire », Étude de droit processuel, Th. paris II, 1988. 

This book is the publication of a thèse d'Etat (French official thesis) written under the direction of Jean Foyer and defended in the Panthéon-Assas University (Paris II) face to a jury made up among others of François Terré, René Chapus, Gérard Cornu, Geneviève Viney. 

The main idea is to defend that the principle of contradictory is a simple and fundamental principle, without which there is no Law. It is the reason why it is obvious to study it as in civil procedure as in criminal, administrative or arbitrary procedures, to take back a "Procedural Law" perspective conceived by Motulsky. Indeed, without a judge listening without having already decided the facts and Law versions that presents the one whose the situation will be affected by the decision that the judge will make, there is no rule of Law. 

The main beneficiary of the principle of contradictory, it is not really the person and it is in this that the contradictory is detached from the rights of the defense, it is the judge. Indeed, emphasizing contradictory versions of Law and facts which collide in front of him or her, the judge perceives more exactly and more fairly the world and the use of Law that he or she should favor. Thus, Law is better used. In this, we can consider that the principle of contradictory is consubstantial to Law.

Read the summary (in French)

Read the introduction (in French)

Read the table of contents (in French)

Le cours a trait à la troisième Grande Question du Droit qui porte sur le juge. Il se concentre plus particulièrement sur la fonction politique et sociale de celui-ci, la question plus technique du procès et du jugement faisant l’objet du cours ultérieur. En ce qui concerne la fonction politique et sociale du juge, celui-ci apparaît tout d’abord comme un instrument de rappel à la légalité. En cela, il est un instrument de réalisation de la loi, d’autant plus s’il s’agit d’un juge pénal ou administratif, où l’intérêt général et l’ordre public interviennent. L’autre fonction du juge est de mettre fin au litige entre les personnes, ce qui est l’office traditionnel du juge civil. Mais l’intérêt général est également présent dans le droit privé et l’on cherche aujourd’hui en toute matière à développer les modes alternatifs de règlement des litiges.

Référence complète : FRISON-ROCHE, Marie-Anne, Experts et procédure : l'amicus curiae, Revue de droit d'Assas, octobre 2012, p.91-94.

 

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Lire la contribution.

 

Lire le résumé de la contribution ci-dessous.

Référence complète : FRISON-ROCHE, Marie-Anne, Le principe du contradictoire et les droits de la défense devant l’Organe de Règlement des Différents de l’Organisation Mondiale du Commerce in Le principe du contradictoire devant les juridictions internationales, collection « Contentieux international », Pedone, 2004, pp.125-148.

 

Lire l'article.

 

 

► Référence complète : Frison-Roche, M.-A., L’erreur du juge, RTD civ., 2001, pp.819-832.

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►Résumé de l'article : Le principe est que le juge ne commet pas d'erreur, ou plutôt qu'on ne peut, en droit, se prévaloir des erreurs commises par les magistrats, hors voies de recours légalement organisés. Cela préserve à la fois la paix sociale et l'indépendance de la magistrature. Mais ces raisons ne sont pas de marbre car les erreurs judiciaires peuvent ébranler les sociétés, il suffit d'évoquer l'affaire Dreyfus, et le lien entre le procès et la vérité se satisfait mal de la règle. Il faut donc pouvoir rouvrir pour mieux refermer la blessure, admettre le désordre pour garantir la sécurité juridique et la confiance dans le système juridictionnel.

Le principe de référence demeure pourtant celui de l'incontestabilité de l'erreur du juge. En effet, l'appréciation substantielle d'une appréhension inexacte des faits par le juge est exclue par le mécanisme de la "vérité judiciaire", qui, par le pouvoir d'artificialité du droit, prend ses distances par la vérité scientifique des faits. L'indivisibilité de l'acte de juger permet que la puissance normative du dispositif couvre l'erreur d'appréciation logée dans les motifs qui soutiennent celui-ci.  En outre, le procès est un mécanisme violent conçu pour arrêter la violence en ce qu'il tranche et qu'il met fin à la dispute pr le juge. Dès lors, si l'impartialité du juge est par ailleurs garantie, la survenance du jugement lui-même exclut tout regard sur ce qui serait une erreur, car le jugement arrête la recherche de la vérité pour produire son inverse, qu'est la "vérité légale".

Certes, le droit positif a toujours prévu des aménagements à la règle, mais cela ne fait que confirmer la règle. Ainsi, l'erreur de plume peut être corrigée a posteriori , mais c'est précisément parce que la plume a glissé et qu'elle n'a pas traduit la pensée du juge qui rédigeait. De la même façon, l'erreur qui ouvre droit à la révision tient dans la découverte de faits nouveaux postérieurement au jugement. En cela, il ne s'agit pas au sens strict d'une erreur du juge, mais seulement d'une inexacte représentation de la réalité qui n''est pas de son fait.

Mais il convient d'aller plus loin et le droit positif va dans ce sens, en ouvrant davantage les cas de révision. En effet, les erreurs judiciaires ne sont plus supportées car l'institution juridictionnelle ne peut faire ainsi fi de sa consubstantionalité avec la vertu de justice.

En effet, le législateur a aujourd'hui tendance à changer ses lois alors qu''il admet avoir fait une erreur d'analyse des réalités, alors qu'il n'est pas contraint par celles-ci, étant doté d'un pouvoir normatif pur. Le juge devrait a fortiori  y être contraint. En outre, il y a une obligation morale à y procéder car l'erreur judiciaire, surtout en matière pénale, produit de terribles dommages, qu'il faut réparer.

Dans ce mouvement, le droit civil admet des jugements civils toujours révisables, notamment en droit de la famille. Plus encore, même si l'on accueille avec moins de restriction le recours en révision, il faudrait ne pas le cantonner à la survenance de découverte de faits nouveaux mais admettre l'hypothèse d'erreur manifeste, même s'il faudrait assortir une telle action, si largement ouverte quant au fond, d'un filtre procédural.

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📝Accéder à l'article

 

Référence complète : Frison-Roche, M.-A., La procédure de l’expertise, in Mazeaud, D. et Frison-Roche, M.-A. (dir.) L’expertise, coll. "Thèmes et Commentaires", Dalloz, 1995, p.87 s.

Lire une présentation générale de l'ouvrage dans lequel l'article a été publié.

L'article a été repris in  Experts, n°24, septembre 1994, p.8

 

Accéder à l'article.

La "Loi de prairial", dite encore "Loi des suspects", plus exactement le décret du 17 septembre 1793 "relatif aux gens suspects" pris par la Convention Nationale est de sinistre mémoire.

En effet par ce texte, principalement conçu par Robespierre, organise une façon de mener les procès, sans aucune présomption d'innocence ni aucune place pour les droits de la défense.

Beaucoup de personnes furent menées à la mort par le jeu de la Loi des suspects.

A contrario, on mesure que l'Etat de droit est avant tout construit sur les principes de procédure.

On ne peut qu'être frappé entre l'analogie entre la Loi des suspects  et les conseils procéduraux donnés par Staline, ordonnant pareillement d'écarter et la présomption d'innocence et tout respect du contradictoire ou des droits de la défense.