🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche, "Les voies d'innovations juridiques face aux nouveaux "défis climatiques" ("Innovative legal solutions to the new "climate challenges""), in C. Arnaud, O. de Bandt et B. Deffains (dir.), Nouveaux défis - Regards croisés : Droit, Économie et Finance. Quel Droit face au Changement Climatique ? (("New challenges - Crossed perspectives : Law, Economics and Finance. What Law in the Face of Climate Change?"), Banque de France (French Central Bank) and CRED/Paris Panthéon-Assas University, Paris, Centre de Conférence de la Banque de France, April 2, 2024

____

🧮See the full programme of this event

____

🔲see the slides, basis of this conference (in French)

____

► Summary of this conference: In response to the question of how the Law can produce 'innovations' to meet the 'climate challenges', the process is based on the three traditional sources of Law, which are, firstly, laws and regulations, secondly, the commitments of individuals, mainly contracts, and thirdly, court rulings.

At first sight, the Law in its traditional conception and practice is weak in the face of climate change. This weakness is inherent in the nature of climate change, which is at once future, global and systemic, in the face of these three sources of Law, which do not address all three dimensions at once. The scale of the legal innovation required to ensure that one or more articulated sources can grasp the future, the global and the systemic is therefore clear. And yet this is what is happening.

As far as laws and regulations are concerned, they do not seem very appropriate because they are, by their very nature, a territorial limit, and international treaties are very difficult to negotiate. The interweaving of European regulations, for example the CSRD and the CS3D, which mirror each other, may be more effective. As far as 'commitments' are concerned, a concept which in Law is not very precise outside of contracts and liability cases📎!footnote-3568, contracts are above all a means for companies to fulfill their legal obligations, and a contract always implies a judge. At first sight, however, the judge is the least well placed to respond to 'climate challenges', particularly in France where he is said or wished to be powerless, where he rules on the past and where, especially the civil judge, he settles a one-off dispute between two singular parties.

But a major change has occurred with the emergence of a new branch of law: the Compliance Law, a teleological branch of Law whose legal normativity is lodged in the Monumental Goals📎!footnote-3572 that it pursues, namely the preservation of systems, for example the climate system. In France, the so-called "Sapin 2" law in 2016, followed by the so-called "Vigilance" law in 2017, illustrate this. And the Judge is at the centre of it all.

In this global, systemic, extraterritorial perspective, the object of which is the future - Compliance Law is, moreover, rejected by many legal experts - the legislative innovation is major. Indeed, the law of 23 March 2017, known as "Vigilance" designated large companies, because they are "powerful", because they are "in a position to act" to "detect and prevent" breaches of the environment and human rights. The 2017 law copied the "compliance tools"📎!footnote-3573 put in place by the Sapin 2 anti-corruption law: risk mapping, plans, alerts, audits, internal investigations, and so on. 

Only large companies are subject to the Compliance Law, notably the Vigilance Law, since they are the only ones in a position to act, in this case "parent companies or principals", and borders are no longer limits since the obligation, creating personal liability for the company📎!footnote-3574, extends throughout the "value chain". The notion and fact of "systemic dispute" is emerging before the courts. In France, the Paris Court of First Instance has exclusive jurisdiction. European legislation is proving more difficult to draw up, because although it is compulsory to provide information on these "extra-financial" subjects (CSRD), the directive on the duty of vigilance, which has just been adopted, does not go any further than the French law of 2017.

On the second point, that of commitments, we are only at the beginning. Judges do not transform ethical statements into "unilateral legal commitments", and vigilance does not transform company law into co-management. But contracts do form a global network through which companies adjust their various legal obligations. This is why arbitrators, the only "global judges", will soon be involved in this systemic litigation📎!footnote-3575, and more general case law is to come on "compliance contracts and clauses"📎!footnote-3576.

But the most innovative aspect undoubtedly comes from the courts. Perhaps and notably in France because it is from where we least expect it, the civil courts, that the imagination comes, but also the guarding of the great principles of the Rule of Law, because for the moment the case law is reasonable. This innovation has not come about proprio motu: the judges are not taking action, it is the NGOs that are conducting a kind of litigation policy, systematically giving formal notice to the major energy companies, but also to the major banks and insurers on climate issues, alleging non-compliance with their vigilance plans. The interim relief judge at the Paris Court of First Instance must then provide answers in systemic disputes, of which the so-called "Total Uganda"📎!footnote-3577 case is an example.

The courts are demonstrating a great deal of innovation. The Court of First Instance's interim relief judge has appointed amici curiae📎!footnote-3569, the Paris Court of Appeal has set up a specialised chamber📎!footnote-3570, and training conferences have been set up on this "Emerging Systemic Litigation"📎!footnote-3571.

In conclusion, Law is in the process of being rebuilt through a new branch of Law, Compliance Law, whose the very purpose, as an extension of and going beyond Regulatory Law📎!footnote-3578, is to preserve systems, in particular the climate system, in a profoundly renewed role for judges📎!footnote-3580.

________

► Full Reference: Importance et spécificité du Contentieux Systémique Émergent (Importance and specificity of the Emerging Systemic Litigation), in cycle of conference-debates "Contentieux Systémique Émergent" ("Emerging Systemic Litigation"), organised on the initiative of the Cour d'appel de Paris (Paris Cour of Appeal), with the Cour de cassation (French Court of cassation), the Cour d'appel de Versailles (Versailles Court of Appeal), the École nationale de la magistrature - ENM (French National School for the Judiciary) and the École de formation des barreaux du ressort de la Cour d'appel de Paris - EFB (Paris Bar School), under the scientific direction of Marie-Anne Frison-Roche, March 29, 2024, 11h-12h30, Cour d'appel de Paris, Masse room

____

► Presentation of the conference-debate: The "Systemic Litigation" is emerging. Through and beyond the dispute, a system is involved: the banking, financial, digital, health and climate systems. How can such litigation be recognised? How do you make room for a system in a court of law? What can be done when several systems are in conflict? Who represents these systems and their interests? How can the temporality of systems and litigation be reconciled? In practical terms, the magistrate has a new role. Whether they are prosecutors or judges, they deal with systemic litigation in criminal, civil, commercial and other areas.

____

🎤see the detailed presentation of the first speech of 🕴️Marie-Anne Frison-Roche : L'émergence du Contentieux Systémique (The Emergence of Systemic Litigation)

____

🧮Programme of this event: 

Inaugural Conference

IMPORTANCE ET SPÉCIFICITÉ DU CONTENTIEUX SYSTÉMIQUE ÉMERGENT

(IMPORTANCE AND SPECIFICITY OF THE EMERGING SYSTEMIC LITIGATION)

Cour d’appel de Paris (Paris Court of Appeal), Masse room

🕰️11h-11h20. 🎤L’émergence du contentieux systémique (The Emergence of the Systemic Litigation), by 🕴️Marie-Anne Frison-Roche, Professor of Regulatory and Compliance Law, Director if the Journal of Regulation & Compliance (JoRC)

🕰️11h20-11h40. 🎤L’office du magistrat du parquet dans le contentieux systémique (The role of the Public Prosecutor in Systemic Litigation), by 🕴️François Vaissette, Avocat général près la Cour d’appel de Paris (Advocate General at the Paris Court of Appeal)

🕰️11h40-12h30. Debate

____

🔴Registrations and information requests can be sent to: inscriptionscse@gmail.com

🔴For the attorneys, registrations have to be sent to the following address: https://evenium.events/cycle-de-conferences-contentieux-systemique-emergent/ 

⚠️The conference-debates are held in person only, in the Cour d’appel de Paris (Paris Court of Appeal).

____

🧮Read below a detailed presentation of this event⤵️

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche, "L’émergence du Contentieux Systémique" ("Emergence of the Systemic Litigation"), in Importance et spécificité du Contentieux Systémique Émergent (Importance and specificity of the Emerging Systemic Litigation), in cycle of conferences-debates "Contentieux Systémique Émergent" ("Emerging Systemic Litigation"), organised on the initiative of the Cour d'appel de Paris (Paris Cour of Appeal), with the Cour de cassation (French Court of cassation), the Cour d'appel de Versailles (Versailles Court of Appeal), the École nationale de la magistrature - ENM (French National School for the Judiciary) and the École de formation des barreaux du ressort de la Cour d'appel de Paris - EFB (Paris Bar School), under the scientific direction of Marie-Anne Frison-Roche, March 29, 2024, 11h-12h30, Cour d'appel de Paris, salle Masse

____

🧮see the full programme of this event

____

🧮see the programme of the entire cycle Contentieux Systémique Émergent

____

🌐consult on LinkedIn the report of this speech (in French)

____

🌐consult on LinkedIn a general présentation of this event, which links to a presentation and a report of each speech (in French)

____

🧱consult the scientific coordination sheet of this event, which gives an account of the various speeches made

____

🔲see the slides used to support this intervention (in French)

____

🚧read the bilingual Working Paper which is the basis of this speech

____

► English Summary of the conference: We are seeing the emergence of what should be referred to as a category of its own: the "Systemic Litigation". This concept, proposed in 2021📎!footnote-3521, refers to the hypothesis in which a system is 'involved' in a particular 'case' submitted to the judge. The presence of a system should not be confused with a systemic analysis of a phenomenon. The term 'cause' must be understood in the procedural sense, as used in article 5 of the Code civil (French Civil Code). Specifically, the prohibition contained in article 5 of the French Civil Code does not apply because a system thus involved calls for factual responses and solutions and not necessarily general and abstract solutions: the solution of a systemic nature and scope, that the presence of a system in a cause calls for, may be a factual solution, even if it radiates out from the system as a whole. But precisely because the presence of a system in the case often gives rise to a question that is itself systemic, the judge, if he wishes to comply with article 4 of the French Civil Code, must respond not only a minima by not evading the question, for example of systemic risks, but also fully by providing systemic solutions, for example remedies to preserve in the future the solidity and durability of the systems involved in the case. 

These systems may be of different kinds: banking, financial, transport, health, energy, digital, algorithmic or climatic. Their presence in cases brought to the attention of judges, the variety and difficulties of which will be seen in later contributions, leads to basic questions relating to the emergence of Systemic Litigation: firstly, how can Systemic Litigation be defined? Secondly, what makes this category of litigation emerge? The answers to these two questions have essential practical consequences. 

The new solutions must be based on a classic distinction, used in particular in criminal and administrative proceedings, which are more objective, but also in civil proceedings, notably by Hébraud, namely the distinction between the "party to the dispute/litigation" and the "party to the proceedings". Depending on whether it is accepted that the system should be considered as a "party to the litigation", which would allow it, through an entity that is legitimate in expressing it, to allege claims and formulate demands against an adversary, or as a "party to the proceedings", a much broader category, which would allow the judge to hear the interests of the systems involved without individuals being able, on behalf of a system, to formulate claims against or for the benefit of a party to the litigation.

This makes it possible to innovate while preserving the measure of which the judge is the guardian.

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche, ""Nous voyons émerger aujourd’hui le contentieux systémique"" (""We are now seeing the emergence of the Systemic Litigation""), interview with Olivia Dufour, counterpoint to the interview with the Premier Président de la Cour d'appel de Paris (First President of the Paris Court of Appeal) Jacques Boulard, "Contentieux systémique : "Il est important, pour les magistrats, de rester au plus près des réalités"" ("Systemic litigation: "It is important for judges to remain as close as possible to reality""), Actu-Juridique, March 28, 2024

____

💬read the interview (in French)

____

This interview is a counterpoint to the interview conducted with Jacques Boulard, Premier Président de la Cour d'appel de Paris (First President of the Paris Court of Appeal), on the Court of Appeal's threefold initiative in establishing the Conseil de Justice Économique - CJE (Economic Justice Council), the additional chamber (5-12) to hear vigilance litigation in particular  and the setting up of the series of conference-debates on the Contentieux Systémique Émergent (Emerging Systemic Litigation): read the interview (in French).

This interview highlights Marie-Anne Frison-Roche's position at the Conseil de Justice Économique and her role as scientific director of the series of conference-debates. 

As a counterpoint, the journal conducts a specific interview with Marie-Anne Frison-Roche on the specific issue of the Contentieux Systémique Émergent (Emerging Systemic Litigation) cycle.

____

► Presentation of the interview by the journal : "Marie-Anne Frison-Roche, professeur de droit de la régulation et de la compliance et responsable scientifique du cycle « Contentieux systémique émergent » nous explique la notion de contentieux systémique et l’importance de la démarche engagée par le Premier président."

(Free translation : "Marie-Anne Frison-Roche, Professor of Regulatory Law and Compliance Law and Scientific Director of the "Contentieux systémique émergent" ("Emerging Systemic Litigation") cycle, explains the concept of Systemic Litigation and the importance of the approach adopted by the First President.")

____

For the record, the 2024 conference-debates of the "Contentieux systémique émergent" ("Emerging Systemic Litigation") cycle:

• Conférence inaugurale – Vendredi 29 mars 2024, de 11h à 12h30, IMPORTANCE ET SPÉCIFICITÉ DU CONTENTIEUX SYSTÉMIQUE ÉMERGENT
   
• Deuxième conférence – Vendredi 26 avril 2024, de 11h à 12h30, LA VIGILANCE, NOUVEAU CHAMP DE CONTENTIEUX SYSTÉMIQUE
   
• Troisième conférence – Lundi 27 mai 2024, de 11h à 12h30, LES TECHNIQUES DE SUPERVISION DES CONTENUS NUMÉRIQUES DISPONIBLES SUR LES PLATEFORMES
   
• Quatrième conférence – Lundi 24 juin 2024, de 11h à 12h30, L’INTELLIGENCE ARTIFICIELLE, NOUVEAU CHAMP DE CONTENTIEUX SYSTÉMIQUE
   
• Cinquième conférence – Lundi 9 septembre 2024, de 11h à 12h30, LA PORTÉE DES NORMES DE DROIT DUR, DE DROIT SOUPLE ET DES NORMES TECHNIQUES DANS LE CONTENTIEUX SYSTÉMIQUE ÉMERGENT
   
• Sixième conférence – Lundi 14 octobre 2024, de 11h à 12h30, LES TECHNIQUES PROBATOIRES ADÉQUATES DANS LE CONTENTIEUX SYSTÉMIQUE ÉMERGENT
   
• Septième conférence – Lundi 18 novembre 2024, de 11h à 12h30, DISCUSSION OUVERTE
   
• Conférence de clôture de l’année 2024 – Lundi 16 décembre 2024, de 16h à 18h, L’EXPÉRIENCE DES JURIDICTIONS DANS LE CONTENTIEUX SYSTÉMIQUE ÉMERGENT

____

► For the record, presentation of the interview of the Premier Président (First President) by the journal (in French): "Vendredi 29 mars aura lieu la première conférence-débat du cycle de formation « Contentieux systémique émergent » à la Cour d’appel de Paris. Cette initiative s’inscrit dans le cadre d’une politique qui a menée à la création d’un Conseil de justice économique ainsi qu’à la mise en place d’une nouvelle chambre dédiée au devoir de vigilance et à la responsabilité écologique. Le Premier président de la Cour d’appel de Paris, Jacques Boulard, nous explique les objectifs et les enjeux de ces innovations.".

____

________

► Full reference : S.Breyer, Reading the Constitution: Why I Chose Pragmatism, Not Textualism, Simon & Schuster, 2024, 361 p.

____

📗read the 4th cover page

____

📗read the book's table of contents

____

► Book summary (by the publisher) : "A provocative, brilliant analysis by recently retired Supreme Court Justice Stephen Breyer that deconstructs the textualist philosophy of the current Supreme Court’s supermajority and makes the case for a better way to interpret the Constitution.

“You will not read a more important legal work this election year.” —Bob Woodward, Washington Post reporter and author of fifteen New York Times bestselling books
“A dissent for the ages.” —The Washington Post
“Breyer’s candor about the state of the court is refreshing and much needed.” —The Boston Globe

The relatively new judicial philosophy of textualism dominates the Supreme Court. Textualists claim that the right way to interpret the Constitution and statutes is to read the text carefully and examine the language as it was understood at the time the documents were written.

This, however, is not Justice Breyer’s philosophy nor has it been the traditional way to interpret the Constitution since the time of Chief Justice John Marshall. Justice Breyer recalls Marshall’s exhortation that the Constitution must be a workable set of principles to be interpreted by subsequent generations.

Most important in interpreting law, says Breyer, is to understand the purposes of statutes as well as the consequences of deciding a case one way or another. He illustrates these principles by examining some of the most important cases in the nation’s history, among them the Dobbs and Bruen decisions from 2022 that he argues were wrongly decided and have led to harmful results."

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche, "You Porn : La CJUE face au défi de la protection des mineurs" ("You Porn: The CJEU faces the challenge of protecting minors"), interview with Olivia Dufour, Actu-Juridique, March 11, 2024

____

💬read the interview (in French)

____

► Presentation of the interview by the journal (in French): "Depuis bientôt deux ans, l’Arcom tente de contraindre les sites pornographiques à mettre en place des procédés techniques sérieux de contrôle d’âge des internautes qui accèdent à leurs sites, afin que la protection des mineurs organisée par le droit pénal soit effective. Il y a à la fois une procédure civile en cours, basée notamment sur le décret qui met en œuvre ce dispositif, et un recours administratif, contestant la légalité du décret sur lequel s’appuie le régulateur pour mettre en demeure les sites d’adopter ces dispositifs techniques. Dans ce dernier contentieux, le Conseil d’État a, par sa décision du 6 mars 2024, adressé plusieurs questions préjudicielles à la CJUE pour déterminer quelle était la marge de manœuvre des États membres à l’encontre des sites qui ne respectent pas leur législation. Nous avons demandé au professeur Marie-Anne Frison-Roche, spécialiste de droit de la compliance, de nous éclairer sur les enjeux de ce contentieux hors normes.".

____

► Questions asked (in French): 

• Pouvez-vous nous rappeler brièvement la genèse de ce cas manifestement complexe ?
• C’est la première fois qu’apparaît dans une décision de justice la notion de « cause systémique » dont vous êtes l’auteure. De quoi s’agit-il exactement ?
• Sur ces entrefaites, une décision de la CJUE est venue bouleverser la donne…
• Revenons au recours devant le Conseil d’État contre le décret, il semble que le Conseil d’État avait donc le choix entre deux solutions : suivre la CJUE et donc renoncer à protéger les enfants de la pornographie en France ou bien s’émanciper de cette jurisprudence européenne au risque de se le voir reprocher. Qu’a-t-il décidé finalement ?

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche, Compliance et droits de la défense. Enquête interne - CJIP - CRPC : les lignes de force de l'ouvrage (Compliance and rights of the defence. Internal investigation – French Judicial Public Interest Agreement – French guilty plea procedure : the main themes of the book), Newsletter MAFR Law, Compliance, Regulation, March 5, 2024

____

📧Read by freely subscribing other news of the Newsletter MAFR - Law, Compliance, Regulation

____

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche, "Connaitre les pratiques pour redessiner les frontières et accroître les points de contact entre Compliance et droits de la défense dans l’enquête interne, la CJIP et la CRPC (lignes de force de l'ouvrage)" ("Understanding practices to redraw the boundaries and increase the points of contact between Compliance and the rights of the defense in internal investigation, Judicial Public Interest Agreement and French guilty plea procedure (Main Aspects of the Book)."), in M.-A. Frison-Roche et M. Boissavy (ed.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", to be published.

____

📝read the article (in French)

____

📝 read also the presentation of the other contribution of Marie-Anne Frison-Roche in this book: "Circuler dans le temps pour mettre en phase Compliance et droits de la défense"

____

📕read a general presentation of the book, Compliance et droits de la défense. Enquête interne – CJIP – CRPC, in which this article is published

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche & M. Boissavy (eds.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC (Compliance and rights of the defence. Internal investigation – French Judicial Public Interest Agreement – French guilty plea procedure), Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2024, 362 p.

____

► General presentation of the book:  We do not have an overall view of the relationship between Compliance and the rights of the defence in the continuum of internal investigations and DPA, or in the French legal system the convention judiciaire d'intérêt public (CJIP) and the comparution immédiate avec reconnaissance de culpabilité (CRPC), in particular because the texts, whether hard law or soft law, decisions and academic analyses segment them, making it difficult to build a pertinent appreciation of each one. This is made all the more difficult by the fact that we know little about how each of them is applied in practice, both within each of them and in relation to each other.  As a result, it is difficult to express overall satisfaction, or total rejection, or to suggest some specific reforms and to precise on what points, to identify the appropriate source of these improvements, legislation, case law, professions, or spontaneous ways of doing. The first ambition of this book is therefore to restore an overall vision, because this is the vision of practice. If shortcomings are found to exist, then they can be more easily denounced.

However, some of the situations described may be described as flawed, or even dramatic, by some, while others may consider that they should be approved as they stand. This applies, for example, to the question of whether or not the investigation report should be secret from the prosecuting authority, which may propose a DPA (or in the French legal system a CJIP), whether or not this CJIP should be extended to individuals, whether or not a lawyer should be present from the internal investigation stage onwards, whether or not the lawyer should support the interests of the company he/she is investigating and continue to do so before the regulator or the prosecutor, whether or not the investigation is delegated from the public authorities to the company, whether or not the lawyer-investigator and then the lawyer-defendant are both lawyers, whether or not the victims are represented in the the CIPC process, etc. Depending on what one thinks the relation between Compliance and due process should be in principle and in practice, one expresses a more or less approving or severe judgement on the state of the texts, the soft law nature of most of them making the exercise complicated, and then if there is a gap between them and what one thinks should be the right standard, one asserts that in practice things happen differently from what the texts say, or one considers that the texts should be changed. From point to point, a veritable kaleidoscope emerges in this book.

Indeed, the result is a series of contributions that sometimes clash with one another, with a sort of contradictionary principle creeping into the very structure of this book, thus establishing the readesr as a sort of judges themselves , that character who is so absent. He/she will be able to do so, since the book lists texts, describes practices and gives an illustration of everything that can be thought of, in visions that are sometimes analytical and sometimes global, with proposals of reforms of texts, jurisprudence or conduct.

The aim of the book is to enable readers to form their own opinions and to take part in what is undoubtedly being strongly debated today: the confrontation between Compliance and rights of the defence.

____

► Summary of the book: The rights of the defence are one of the pillars of our Rule of Law. On the face of it, compliance techniques are not concerned with this under the pretext of efficiency. This would be particularly true in a trilogy that unfolds over time: internal investigation, convention judiciaire d'intérêt public - CJIP (French Judicial Public Interest Agreement) and comparution sur reconnaissance préalable de culpabilité - CRPC (French guilty plea procedure).

However, because Compliance Law is also the expression of the Rule of Law, in that its ambition is to detect and prevent systemic risks in order to protect present and future human beings, we must go beyond this opposition and articulate Compliance and rights of the defence.

The Monumental Goals of Compliance, which justify its power, for example to obtain information, and the fundamental rights of the defence, which for example impose the presumption of innocence, must be adjusted to each other; by interpreting texts, or even adopting new ones.

The book analyses each of these three techniques, in particular the still largely unregulated internal investigation, and sheds light on them in relation to each other, in order to formulate proposals.

____

🏗️General construction of the book: The book opens with an overview divided into three sections. The first Title compares the challenges of the internal investigation with the rights of the defence. The second Title compares the issues at stake in the convention judiciaire d'intérêt public - CJIP (French Judicial Public Interest Agreement) and the comparution sur reconnaissance préalable de culpabilité - CRPC (French guilty plea procedure) with these same rights of the defence.

____

TABLE OF CONTENTS

COMPLIANCE ET DROITS DE LA DÉFENSE : VISION D'ENSEMBLE

(COMPLIANCE AND RIGHTS OF THE DEFENCE : OVERVIEW)

Section 1 ♦️ Connaître les pratiques pour redessiner les frontières et accroître les points de contact entre Compliance et droits de la défense dans l’enquête interne, la CJIP et la CRPC. Lignes de force de l'ouvrage Compliance et droits de la défense (Understanding practices to redraw the boundaries and increase the points of contact between Compliance and the rights of the defense in internal investigation, French Judicial Public Interest Agreement and French guilty plea procedure. Main Aspects of the Book Compliance and rights of the defence), by🕴️Marie-Anne Frison-Roche  

Section 2 ♦️  Compliance et droits de la défense : toujours pour le respect des droits humains (Compliance and rights of the defence: always for the respect of human rights), by🕴️Matthieu Boissavy

Section 3 ♦️ Circuler dans le temps pour mettre en phase Compliance et droits de la défense (Moving through Time to align Compliance and rights of the defence), by🕴️Marie-Anne Frison-Roche

TITRE I. 

LES ENJEUX PROCÉDURAUX DE L'ENQUETE INTERNE CONFRONTÉE AUX DROITS DE LA DÉFENSE

(TITLE I. 

PROCEDURAL CHALLENGES OF THE INTERNAL INVESTIGATION

IN RELATION TO THE RIGHTS OF THE DEFENCE)

CHAPITRE I : VISION GÉNÉRALE DES DROITS DE LA DÉFENSE DANS L'ENQUÊTE INTERNE 

(CHAPTER I: OVERVIEW OF THE RIGHTS OF THE DEFENCE IN INTERNAL INVESTIGATION)

Section 1 ♦️ Approche doctrinale de l’enquête interne et de l’enquête pénale privée (Doctrinal approach to internal investigation and private criminal investigation), by 🕴️Benjamin Fiorini

Section 2 ♦️ Regard critique : La place des droits de la défense dans l'enquête interne selon le guide AFA/PNF (A critical look: The place of the rights of the defence in the internal investigation according to the AFA/PNF Guide), by 🕴️Margaux Durand-Poincloux, 🕴️David Apelbaum and 🕴️Paola Sardi-Antasan

Section 3 ♦️ Les conditions de réussite de l'enquête interne dans les rapports entre le Parquet national financier et l’entreprise mise en cause – l’enquête interne au soutien de la défense de l’entreprise (The conditions for a successful internal investigation in the relationship between the French Financial Public Prosecutor's Office and the accused company - the internal investigation in support of the company's defence), by🕴️Jean-François Bohnert

CHAPITRE II : LES DROITS DE LA DÉFENSE À CHAQUE ÉTAPE DE L'ENQUÊTE INTERNE

(CHAPTER II: THE RIGHTS OF THE DEFENCE AT EACH STAGE OF THE INTERNAL INVESTIGATION)

Section 1 ♦️ La réception des alertes par l'avocat (Reception of alerts by the lawyer), by🕴️Maria Lancri

Section 2 ♦️ Collecte et traitement des informations dans les enquêtes internes à l'ère numérique : processus et enjeux (Collecting and processing information for internal investigations in the digital age: processes and challenges), by🕴️Uriel Goldberg

Section 3 ♦️ L’apport de la psychologie pour l'effectivité des droits de la défense dans l'enquête interne pour harcèlement au travail (The contribution of psychology to the effectiveness of the rights of the defence in internal investigation for harassment in the workplace), by🕴️Nathalie Leroy & 🕴️Danièle Zucker

Section 4 ♦️ Le respect des droits de la défense lors des auditions des enquêtes internes : un gage d’efficacité (Respecting the rights of the defence during hearings in internal investigations: a guarantee of efficacy), by 🕴️Emmanuel Daoud & 🕴️Ghita Khalid Rouissi

Section 5 ♦️ L’enquête interne au cœur des enjeux de conformité et de justice négociée : analyse de la position de l'AFA et du PNF (The internal investigation at the heart of conformity and negotiated justice issues: analysis of the position of the AFA and the PNF), by🕴️Éric Russo

Section 6 ♦️ Le rapport d’enquête interne à l’épreuve des droits de la défense (The internal investigation report put to the test of defence rights), by🕴️Samuel Sauphanor

CHAPITRE III : LA SPÉCIFICITÉ DES ENQUÊTES INTERNES DANS LES ENTREPRISES INTERNATIONALES ET LA PLACE DES DROITS DE LA DÉFENSE

(CHAPTER III : SPECIFICITY OF INTERNAL INVESTIGATIONS IN INTERNATIONAL COMPANIES AND THE PLACE OF THE RIGHTS OF THE DEFENCE)

Section 1 ♦️ La spécificité des enquêtes internes pratiquées par les groupes internationaux (Specificity of internal investigations carried out by international groups), by 🕴️Olivier Catherine

Section 2 ♦️ Garantir la valeur probatoire d’un rapport dans le cadre d’une enquête interne opérée dans une entreprise internationale (Guaranteeing the evidential value of a report in an internal investigation carried out in an international company), by 🕴️Monique Figueiredo

Section 3 ♦️ La responsabilité de l'entreprise dans la conception et la menée de l'enquête interne (The company's responsibility in designing and conducting an internal investigation), by 🕴️Lydia Meziani

Section 4 ♦️ Enquêtes internes, enquêtes pénales et droits de la défense : que nous disent les jurisprudences américaine et anglaise (l’affaire Connolly et l’affaire ENRC) ? (Internal investigations, criminal investigations and rights of the defence: what do the US and UK case law tell us (the Connolly case and the ENRC case)?), by 🕴️Victoire Chatelin

CHAPITRE IV : LE RÔLE SINGULIER DE L'AVOCAT DANS L'ENQUÊTE INTERNE

(CHAPTER IV: THE SPECIAL ROLE OF THE LAWYER IN THE INTERNAL INVESTIGATION)

Section 1 ♦️ La méthodologie propre à l'avocat enquêteur (The investigating lawyer's own methodology), by 🕴️William Feugère

Section 2 ♦️ L'enquête interne façonnée par la déontologie de l'avocat (The internal investigation shaped by the lawyer's deontology), by 🕴️Stéphane De Navacelle, 🕴️Julie Zorrila and 🕴️Laura Ragazzi

Section 3 ♦️ Préserver le secret professionnel de l'avocat dans l'enquête interne et son résultat (Preserving the lawyer's professional secrecy in the internal investigation and its outcome), by 🕴️Bénédicte Graulle & 🕴️Yanis Rahim

Section 4 ♦️ L’avocat-enquêteur en droit du travail : un janséniste au milieu du Far West (The lawyer-investigator in employment law: a Jansenist in the Wild West), by 🕴️Richard Doudet

Section 5 ♦️ La défense des personnes physiques dans les enquêtes internes (Defending individuals in internal investigations), by 🕴️Dorothée Hever

TITRE II.

LES ENJEUX PROCÉDURAUX DE LA CJIP ET DE LA CRPC

CONFRONTÉES AUX DROITS DE LA DÉFENSE

(TITLE II.

PROCEDURAL CHALLENGES OF THE FRENCH JUDICIAL PUBLIC INTEREST AGREEMENT

AND THE FRENCH GUILTY PLEA PROCEDURE 

IN RELATION TO THE RIGHTS OF THE DEFENCE)

CHAPITRE I : VISION GÉNÉRALE DES DROITS DE LA DÉFENSE DANS LA CJIP ET LA CRPC

(CHAPTER I: OVERVIEW OF THE RIGHTS OF THE DEFENCE IN THE FRENCH JUDICIAL PUBLIC INTEREST AGREEMENT AND THE FRENCH GUILTY PLEA PROCEDURE)

Section 1 ♦️ Théorie et pratique de la négociation dans la justice pénale (Theory and practice of negotiation in criminal justice), by 🕴️Sarah-Marie Cabon

Section 2 ♦️ La lutte anti-corruption : l’emprunt au modèle américain et à ses récentes évolutions (The fight against corruption: borrowing from the American model and its recent developments), by 🕴️Stephen L. Dreyfuss

Section 3 ♦️ Justice pénale négociée : avantages présents, risques à venir (Negotiated criminal justice: curent benefits, future risks), by 🕴️Alexis Bavitot

CHAPITRE II : FORMES ACTIVES DES DROITS DE LA DÉFENSE, LES DIALOGUES À L'OEUVRE OU À PARFAIRE DANS LA CJIP ET LA CRPC

(CHAPTER II: ACTIVE FORMS OF THE RIGHTS OF THE DEFENCE, DIALOGUES AT WORK OR TO BE PERFECTED IN THE FRENCH JUDICIAL PUBLIC INTEREST AGREEMENT AND THE FRENCH GUILTY PLEA PROCEDURE)

Section 1 ♦️ Combinaison des CRPC et des CJIP : le cas particulier des affaires de fraude fiscale (Combination of the French guilty plea procedure and the French Judicial Public Interest Agreement: the special issue of tax fraud cases), by 🕴️Marion David

Section 2 ♦️ Pour une justice pénale négociée plus équitable (For a fairer negotiated criminal justice), by🕴️Astrid Mignon Colombet

Section 3 ♦️ Les impacts, sur les droits de la défense, des disparités de la justice pénale négociée dans l’Union européenne (The impact on the rights of the defence of the disparities in negotiated criminal justice in the European Union), by 🕴️Emmanuel Moyne

Section 4 ♦️ L'évolution des rapports entre avocats et autorités de poursuites depuis l'introduction de la CJIP (Developments in relations between lawyers and prosecuting authorities since the introduction of the French Judicial Public Interest Agreement), by 🕴️Thomas Baudesson

CHAPITRE III : LE RÔLE SINGULIER DE L'AVOCAT DANS LA CJIP ET LA CRPC 

________

► Full Reference: M. Boissavy, "Compliance et droits de la défense : toujours pour le respect des droits humains" ("Compliance and the rights of the defence: always in favour of respect for human rights"), in M.-A. Frison-Roche & M. Boissavy (eds.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, pp. 27-32.

____

📕read a general presentation of the book, Compliance et droits de la défense. Enquête interne – CJIP – CRPC, in which this article is published

____

► English Summary of the article (done by the Journal of Regulation & Compliance - JoRC): The author begins by describing Compliance, whereby the company's freedom is curtailed so that its power serves the goals set by the public authorities and prevents risks from occurring. These "Monumental Goals" are set by the public authorities either to prevent the occurrence of systemic risks, or to achieve beneficial objectives for society, human beings and the environment. In order to do this, companies will have to investigate themselves and denounce themselves, with this self-denunciation reducing the criminal penalties incurred as a result of infringements they have uncovered themselves. These surveillance tools facilitate the convention judiciaire d'intérêt public - CJIP (French Judicial Public Interest Agreement) mechanism. They work "for the better" if the aforementioned Monumental Goals are achieved. They work "for the worse", if this is at the cost of sacrificing the rights of the defence.

The second part of the paper recalls the importance of the rights of the defence, their roots in history, and even in Natural Law, their position at the very top of the hierarchy of norms and, according to the author, the integration of the adversarial principle within them, as well as the fact that they apply even outside trials, as has been imposed by case-law in matters of dismissal. 

This is why, thirdly, the paper argues that the rights of the defence must always be applied in all compliance mechanisms, even if this does not involve a trial or a sanction in the strict sense of the term, particularly in internal investigations, procedures without a trial which are above all evidentiary mechanisms for the next stage, which is usually judicial. In addition, the author questions the effectiveness of the consents expressed during the CJIP and comparution sur comparution sur reconnaissance préalable de culpabilité - CRPC (French French guilty plea procedure).

____

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

________

► Full Reference: B. Fiorini, "Approche doctrinale de l’enquête interne et de l’enquête pénale privée" ("Doctrinal approach to internal investigations and private criminal investigations"), in M.-A. Frison-Roche & M. Boissavy (eds.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, pp. 63-68

____

📕read a general presentation of the book, Compliance et droits de la défense. Enquête interne – CJIP – CRPC, in which this article is published

____

► English Summary of the article (done by the Journal of Regulation & Compliance - JoRC): The author sets out the two profoundly distinct, even opposing, cultures of inquisitorial and adversarial repressive procedural systems. The former gives confidence and power to public officials to find the truth, while the latter gives confidence and power to the opposing parties in the dispute. Private investigations naturally develop in the second system and not in the first.

This second system of thought is rooted in the United States, which naturally welcomes internal investigations carried out by companies and associates procedural principles such as the rights of the defence, adversarial proceedings and the right to a lawyer. The first system, characteristic of Continental Law systems, is resistant to the very idea of a private criminal investigation. This is why, when the internal investigation mechanism develops within a company, the procedural mechanisms mentioned above are less naturally associated with it.

____

🦉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

____

► Full Reference: M.-A. Frison-Roche & M. Boissavy (eds.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC (Compliance and rights of the defence. Internal investigation – French Judicial Public Interest Agreement – French guilty plea procedure), Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2024, 362 p.

____

► General presentation of the book:  We do not have an overall view of the relationship between Compliance and the rights of the defence in the continuum of internal investigations and DPA, or in the French legal system the convention judiciaire d'intérêt public (CJIP) and the comparution immédiate avec reconnaissance de culpabilité (CRPC), in particular because the texts, whether hard law or soft law, decisions and academic analyses segment them, making it difficult to build a pertinent appreciation of each one. This is made all the more difficult by the fact that we know little about how each of them is applied in practice, both within each of them and in relation to each other.  As a result, it is difficult to express overall satisfaction, or total rejection, or to suggest some specific reforms and to precise on what points, to identify the appropriate source of these improvements, legislation, case law, professions, or spontaneous ways of doing. The first ambition of this book is therefore to restore an overall vision, because this is the vision of practice. If shortcomings are found to exist, then they can be more easily denounced.

However, some of the situations described may be described as flawed, or even dramatic, by some, while others may consider that they should be approved as they stand. This applies, for example, to the question of whether or not the investigation report should be secret from the prosecuting authority, which may propose a DPA (or in the French legal system a CJIP), whether or not this CJIP should be extended to individuals, whether or not a lawyer should be present from the internal investigation stage onwards, whether or not the lawyer should support the interests of the company he/she is investigating and continue to do so before the regulator or the prosecutor, whether or not the investigation is delegated from the public authorities to the company, whether or not the lawyer-investigator and then the lawyer-defendant are both lawyers, whether or not the victims are represented in the the CIPC process, etc. Depending on what one thinks the relation between Compliance and due process should be in principle and in practice, one expresses a more or less approving or severe judgement on the state of the texts, the soft law nature of most of them making the exercise complicated, and then if there is a gap between them and what one thinks should be the right standard, one asserts that in practice things happen differently from what the texts say, or one considers that the texts should be changed. From point to point, a veritable kaleidoscope emerges in this book.

Indeed, the result is a series of contributions that sometimes clash with one another, with a sort of contradictionary principle creeping into the very structure of this book, thus establishing the readesr as a sort of judges themselves , that character who is so absent. He/she will be able to do so, since the book lists texts, describes practices and gives an illustration of everything that can be thought of, in visions that are sometimes analytical and sometimes global, with proposals of reforms of texts, jurisprudence or conduct.

The aim of the book is to enable readers to form their own opinions and to take part in what is undoubtedly being strongly debated today: the confrontation between Compliance and rights of the defence.

____

🧮this book follows a conference organised by the Conseil national des barreaux - CNB (French National Council of Lawyers), which took place on 20 and 21 April 2023: Avocats et droits de la défense dans les enquêtes internes et la justice négociée.

____

This volume is the continuation of the books dedicated to Compliance in this collection.

📚 Read the presentations of the other books on Compliance in this collection:

• further books:

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

🕴️M.-A. Frison-Roche (ed.), 📕Compliance et contrat, 2024

🕴️M.-A. Frison-Roche (ed.), 📕L'Obligation de Compliance, 2024

• previous books:

🕴️M.-A. Frison-Roche (dir.), 📕La juridictionnalisation de la 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, N., 🕴️J.-Cl. Marin & 🕴️J.-Ch. Roda (eds.), 📕Compliance : Entreprise, Régulateur, Juge, 2018

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

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

📚Read the presentations of the other titles of the collection.

____

► Summary of the book: The rights of the defence are one of the pillars of our Rule of Law. On the face of it, compliance techniques are not concerned with this under the pretext of efficiency. This would be particularly true in a trilogy that unfolds over time: internal investigation, convention judiciaire d'intérêt public - CJIP (French Judicial Public Interest Agreement) and comparution sur reconnaissance préalable de culpabilité - CRPC (French guilty plea procedure).

However, because Compliance Law is also the expression of the Rule of Law, in that its ambition is to detect and prevent systemic risks in order to protect present and future human beings, we must go beyond this opposition and articulate Compliance and rights of the defence.

The Monumental Goals of Compliance, which justify its power, for example to obtain information, and the fundamental rights of the defence, which for example impose the presumption of innocence, must be adjusted to each other; by interpreting texts, or even adopting new ones.

The book analyses each of these three techniques, in particular the still largely unregulated internal investigation, and sheds light on them in relation to each other, in order to formulate proposals.

____

🏗️General construction of the book: The book opens with an overview divided into three sections. The first Title compares the challenges of the internal investigation with the rights of the defence. The second Title compares the issues at stake in the convention judiciaire d'intérêt public - CJIP (French Judicial Public Interest Agreement) and the comparution sur reconnaissance préalable de culpabilité - CRPC (French guilty plea procedure) with these same rights of the defence.

____

TABLE OF CONTENTS

COMPLIANCE ET DROITS DE LA DÉFENSE : VISION D'ENSEMBLE

(COMPLIANCE AND RIGHTS OF THE DEFENCE : OVERVIEW)

Section 1 ♦️ Connaître les pratiques pour redessiner les frontières et accroître les points de contact entre Compliance et droits de la défense dans l’enquête interne, la CJIP et la CRPC. Lignes de force de l'ouvrage Compliance et droits de la défense (Understanding practices to redraw the boundaries and increase the points of contact between Compliance and the rights of the defense in internal investigation, French Judicial Public Interest Agreement and French guilty plea procedure. Main Aspects of the Book Compliance and rights of the defence), by🕴️Marie-Anne Frison-Roche  

Section 2 ♦️  Compliance et droits de la défense : toujours pour le respect des droits humains (Compliance and rights of the defence: always for the respect of human rights), by🕴️Matthieu Boissavy

Section 3 ♦️ Circuler dans le temps pour mettre en phase Compliance et droits de la défense (Moving through Time to align Compliance and rights of the defence), by🕴️Marie-Anne Frison-Roche

TITRE I. 

LES ENJEUX PROCÉDURAUX DE L'ENQUETE INTERNE CONFRONTÉE AUX DROITS DE LA DÉFENSE

(TITLE I. 

PROCEDURAL CHALLENGES OF THE INTERNAL INVESTIGATION

IN RELATION TO THE RIGHTS OF THE DEFENCE)

CHAPITRE I : VISION GÉNÉRALE DES DROITS DE LA DÉFENSE DANS L'ENQUÊTE INTERNE 

(CHAPTER I: OVERVIEW OF THE RIGHTS OF THE DEFENCE IN INTERNAL INVESTIGATION)

Section 1 ♦️ Approche doctrinale de l’enquête interne et de l’enquête pénale privée (Doctrinal approach to internal investigation and private criminal investigation), by 🕴️Benjamin Fiorini

Section 2 ♦️ Regard critique : La place des droits de la défense dans l'enquête interne selon le guide AFA/PNF (A critical look: The place of the rights of the defence in the internal investigation according to the AFA/PNF Guide), by 🕴️Margaux Durand-Poincloux, 🕴️David Apelbaum and 🕴️Paola Sardi-Antasan

Section 3 ♦️ Les conditions de réussite de l'enquête interne dans les rapports entre le Parquet national financier et l’entreprise mise en cause – l’enquête interne au soutien de la défense de l’entreprise (The conditions for a successful internal investigation in the relationship between the French Financial Public Prosecutor's Office and the accused company - the internal investigation in support of the company's defence), by🕴️Jean-François Bohnert

CHAPITRE II : LES DROITS DE LA DÉFENSE À CHAQUE ÉTAPE DE L'ENQUÊTE INTERNE

(CHAPTER II: THE RIGHTS OF THE DEFENCE AT EACH STAGE OF THE INTERNAL INVESTIGATION)

Section 1 ♦️ La réception des alertes par l'avocat (Reception of alerts by the lawyer), by🕴️Maria Lancri

Section 2 ♦️ Collecte et traitement des informations dans les enquêtes internes à l'ère numérique : processus et enjeux (Collecting and processing information for internal investigations in the digital age: processes and challenges), by🕴️Uriel Goldberg

Section 3 ♦️ L’apport de la psychologie pour l'effectivité des droits de la défense dans l'enquête interne pour harcèlement au travail (The contribution of psychology to the effectiveness of the rights of the defence in internal investigation for harassment in the workplace), by🕴️Nathalie Leroy & 🕴️Danièle Zucker

Section 4 ♦️ Le respect des droits de la défense lors des auditions des enquêtes internes : un gage d’efficacité (Respecting the rights of the defence during hearings in internal investigations: a guarantee of efficacy), by 🕴️Emmanuel Daoud & 🕴️Ghita Khalid Rouissi

Section 5 ♦️ L’enquête interne au cœur des enjeux de conformité et de justice négociée : analyse de la position de l'AFA et du PNF (The internal investigation at the heart of conformity and negotiated justice issues: analysis of the position of the AFA and the PNF), by🕴️Éric Russo

Section 6 ♦️ Le rapport d’enquête interne à l’épreuve des droits de la défense (The internal investigation report put to the test of defence rights), by🕴️Samuel Sauphanor

CHAPITRE III : LA SPÉCIFICITÉ DES ENQUÊTES INTERNES DANS LES ENTREPRISES INTERNATIONALES ET LA PLACE DES DROITS DE LA DÉFENSE

(CHAPTER III : SPECIFICITY OF INTERNAL INVESTIGATIONS IN INTERNATIONAL COMPANIES AND THE PLACE OF THE RIGHTS OF THE DEFENCE)

Section 1 ♦️ La spécificité des enquêtes internes pratiquées par les groupes internationaux (Specificity of internal investigations carried out by international groups), by 🕴️Olivier Catherine

Section 2 ♦️ Garantir la valeur probatoire d’un rapport dans le cadre d’une enquête interne opérée dans une entreprise internationale (Guaranteeing the evidential value of a report in an internal investigation carried out in an international company), by 🕴️Monique Figueiredo

Section 3 ♦️ La responsabilité de l'entreprise dans la conception et la menée de l'enquête interne (The company's responsibility in designing and conducting an internal investigation), by 🕴️Lydia Meziani

Section 4 ♦️ Enquêtes internes, enquêtes pénales et droits de la défense : que nous disent les jurisprudences américaine et anglaise (l’affaire Connolly et l’affaire ENRC) ? (Internal investigations, criminal investigations and rights of the defence: what do the US and UK case law tell us (the Connolly case and the ENRC case)?), by 🕴️Victoire Chatelin

CHAPITRE IV : LE RÔLE SINGULIER DE L'AVOCAT DANS L'ENQUÊTE INTERNE

(CHAPTER IV: THE SPECIAL ROLE OF THE LAWYER IN THE INTERNAL INVESTIGATION)

Section 1 ♦️ La méthodologie propre à l'avocat enquêteur (The investigating lawyer's own methodology), by 🕴️William Feugère

Section 2 ♦️ L'enquête interne façonnée par la déontologie de l'avocat (The internal investigation shaped by the lawyer's deontology), by 🕴️Stéphane De Navacelle, 🕴️Julie Zorrila and 🕴️Laura Ragazzi

Section 3 ♦️ Préserver le secret professionnel de l'avocat dans l'enquête interne et son résultat (Preserving the lawyer's professional secrecy in the internal investigation and its outcome), by 🕴️Bénédicte Graulle & 🕴️Yanis Rahim

Section 4 ♦️ L’avocat-enquêteur en droit du travail : un janséniste au milieu du Far West (The lawyer-investigator in employment law: a Jansenist in the Wild West), by 🕴️Richard Doudet

Section 5 ♦️ La défense des personnes physiques dans les enquêtes internes (Defending individuals in internal investigations), by 🕴️Dorothée Hever

TITRE II.

LES ENJEUX PROCÉDURAUX DE LA CJIP ET DE LA CRPC

CONFRONTÉES AUX DROITS DE LA DÉFENSE

(TITLE II.

PROCEDURAL CHALLENGES OF THE FRENCH JUDICIAL PUBLIC INTEREST AGREEMENT

AND THE FRENCH GUILTY PLEA PROCEDURE 

IN RELATION TO THE RIGHTS OF THE DEFENCE)

CHAPITRE I : VISION GÉNÉRALE DES DROITS DE LA DÉFENSE DANS LA CJIP ET LA CRPC

(CHAPTER I: OVERVIEW OF THE RIGHTS OF THE DEFENCE IN THE FRENCH JUDICIAL PUBLIC INTEREST AGREEMENT AND THE FRENCH GUILTY PLEA PROCEDURE)

Section 1 ♦️ Théorie et pratique de la négociation dans la justice pénale (Theory and practice of negotiation in criminal justice), by 🕴️Sarah-Marie Cabon

Section 2 ♦️ La lutte anti-corruption : l’emprunt au modèle américain et à ses récentes évolutions (The fight against corruption: borrowing from the American model and its recent developments), by 🕴️Stephen L. Dreyfuss

Section 3 ♦️ Justice pénale négociée : avantages présents, risques à venir (Negotiated criminal justice: curent benefits, future risks), by 🕴️Alexis Bavitot

CHAPITRE II : FORMES ACTIVES DES DROITS DE LA DÉFENSE, LES DIALOGUES À L'OEUVRE OU À PARFAIRE DANS LA CJIP ET LA CRPC

(CHAPTER II: ACTIVE FORMS OF THE RIGHTS OF THE DEFENCE, DIALOGUES AT WORK OR TO BE PERFECTED IN THE FRENCH JUDICIAL PUBLIC INTEREST AGREEMENT AND THE FRENCH GUILTY PLEA PROCEDURE)

Section 1 ♦️ Combinaison des CRPC et des CJIP : le cas particulier des affaires de fraude fiscale (Combination of the French guilty plea procedure and the French Judicial Public Interest Agreement: the special issue of tax fraud cases), by 🕴️Marion David

Section 2 ♦️ Pour une justice pénale négociée plus équitable (For a fairer negotiated criminal justice), by🕴️Astrid Mignon Colombet

Section 3 ♦️ Les impacts, sur les droits de la défense, des disparités de la justice pénale négociée dans l’Union européenne (The impact on the rights of the defence of the disparities in negotiated criminal justice in the European Union), by 🕴️Emmanuel Moyne

Section 4 ♦️ L'évolution des rapports entre avocats et autorités de poursuites depuis l'introduction de la CJIP (Developments in relations between lawyers and prosecuting authorities since the introduction of the French Judicial Public Interest Agreement), by 🕴️Thomas Baudesson

CHAPITRE III : LE RÔLE SINGULIER DE L'AVOCAT DANS LA CJIP ET LA CRPC 

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law 

____

► Full Reference: M.-A. Frison-Roche "Circuler dans le temps pour mettre en phase Compliance et droits de la défense ("Moving through Time to align Compliance with the rights of the defence")", in M.-A. Frison-Roche et M. Boissavy (dir.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance",  2024, pp. 33-58.

____

📝read the article (in French)

____

🚧read the bilingual Working Paper on which this article is based, with additional developments, technical references and hyperlinks

____

📕read the general presentation of the book, Compliance et droits de la défense. Enquête interne – CJIP – CRPC, in which this article is published (in French)

____

📝read also the presentation of the other article published par Marie-Anne Frison-Roche in this book : "Connaitre les pratiques pour redessiner les frontières et accroître les points de contact entre Compliance et droits de la défense dans l’enquête interne, la CJIP et la CRPC" (Understanding practices to redraw the boundaries and increase the points of contact between Compliance and the rights of the defense in Internal Investigation, Judicial Public Interest Agreement and French guilty plea procedure)

____

► English Summary of this article: the subject of Compliance & rights of the defence is difficult to pin down because it often gives rise to totally opposing presentations, which express the initial confrontation between Compliance and rights of the defence, which seems irreducible. This initial confrontation must be acknowledged, and this is even more necessary to prevent it from becoming definitive(I)

But in a society governed by the Rule of Law, the rights of the defence are central, and the hierarchy of norms dictates that they remain the privilege of all those who risk being punished in the future. Admittedly, if we look at the course of events in a linear way, the Compliance mechanisms come in Ex Ante, whereas the rights of the defence would only be activated when the repressive procedures would later come to bear on the moral or natural person. The question would therefore not even arise, or not in a central way. But this reasoning creates a false compatibility between Compliance and the rights of the defence (II.

Indeed, it is the perspective of punishment in the future that forms the basis for the attribution of rights of the defence in the present. This consideration of the future not only allows but obliges the Law to "move in time", to always think in advance about what might happen tomorrow: this is how we must think about the Compliance methods of Internal Investigation, the DPA (or in the French legal system the Convention judiciaire d'intérêt public and the French Guilty plea procedure (CRPC) (III). As soon as these Compliance Tools are being used in practice, at the time they are being used, we must already think about how their results will be used, results which they have often been used for, because the Internal Investigation is a formidable piece of Evidence for obtaining a conviction and/or a DPA, etc. : therefore, the rights of the defence must shift over time, from the future to the present of the Information collect.

Two ambiguities that affect Compliance Law itself, ambiguities which the rights of the defence help to clarify, now appear more clearly.  The first concerns the place occupied by the consent of the person who could have been protected by the rights of defence but //who exercises his/her will to renounce them (IV). Consent, in relation to the will of which it is the expression, is also linked with the future and allows Compliance once again to take precedence over the prerogatives of the individual who chooses not to benefit from it. The omnipresence of 'consent' in Compliance is enlightening here... The second ambiguity concerns the place of secrecy (V). Secrecy seems to be the prerogative of the rights of the defence. But it can also be an effective Compliance Tool when Confidentiality enables the company to detect and prevent breaches. It may even constitute the very Monumental Goal of Compliance Law. This happens when the Goal of Compliance Law, in which legal normativity is placed, becomes the protection of the individual, as is the case for personal information. That guides the European Judge, in line with the humanism that underpins European Compliance Law, in finding the right balance, this protection and effectiveness, depending on whether the information must be given or must be not.

________

🌐suivre Marie-Anne Frison-Roche sur LinkedIn

🌐s'abonner à la Newsletter MAFR Regulation, Compliance, Law 

____

► Référence complète : M.-A. Frison-Roche, "Le juge dans les contentieux de vigilance", participation à la "table ronde sur le devoir de vigilance", audition par la Commission d'enquête du Sénat sur les moyens mobilisés et mobilisables par l'État pour assurer la prise en compte et le respect par le groupe TotalEnergies des obligations climatiques et des orientations de la politique étrangère de la France, 26 février 2024, 16h-17h30

____

 📺regarder la présentation préliminaire de Marie-Anne Frison-Roche relative à l'office du juge dans le devoir de vigilance

____

📺regarder en différé l'ensemble de la table ronde

____

📓lire le rapport de la commission d'enquête du Sénat

____

⚖️ Cette audition a été menée en considération de règles spécifiques à ma situation dans la mesure où d'une part le Droit interdit sous peine de sanction pénale à la personne convoquée de refuser de se présenter et ou d'autre part j'ai immédiatement rappelé au secrétariat de la Commission d'Enquête qu'ayant été Amica Curiae dans le litige opposant les associations Les Amis de la Terre et  autres en demande et le groupe TotalEnergie en défense, l'objet du litige portant sur des manquements allégués d'obligations découlant de devoir de vigilance, le statut d'Amica Curiae a conduit pendant cette instance à ne pas connaître le dossier et à continuer de ne pas le connaître pendant une période raisonnable après l'audience du 26 octobre 2022 et le jugement du 28 février 2024 dans le cas dit "Total Ouganda", ce qui conduit nécessairement par application aux règles juridiques et de déontologie à ne pas répondre à certaines questions. 

Dans le respect de ces contraintes, il est répondu le mieux possible pour éclairer la Commission d'Enquête.

Cette audition est à mettre en corrélation avec l'audition qui s'est déroulée devant la Commission ... de l'Assemblée Nationale ....

____

► Organisation de la Table Ronde : En accord avec le secrétariat de la Commission d'Enquête, et afin de rendre le plus fructueux possible le premier temps de cette table ronde ayant pour objet Le devoir de vigilance, dans la mesure où il apparaît que dans l'ensemble des auditions programmées, c'est sans doute là où se concentre le plus l'expertise juridique, les 4 intervenants se sont préalablement réunis pour éviter le double écueil soit de traiter deux fois la même chose soit de laisse une dimension du sujet non traité.

Ainsi la première intervenante traite de la façon dont les entreprises élaborent les plans de vigilance, le deuxième intervenant développe la façon dont elles intègrent leur devoir de vigilance dans leur déploiement international, notamment par des mécanismes contractuels, le troisième intervenant expose ce que, dans les contentieux, les demandeurs (qui sont souvent des ONG) allèguent, ce qui m'a conduit en dernier lieu à exposer ce qu'il en est de l'office du juge en la matière.

Il en résulte que mon intervention de 8 minutes aborde plus particulièrement de la question de l'office du juge dans la mise en application du devoir de vigilance.

____

🔲consulter les slides servant de support à cette intervention

____

► Présentation de l'intervention préliminaire : En premier lieu, j'ai souligné qu'en l'état du droit positif, le droit français repose sur le juge puisque la loi pose une Obligation de Vigilance, qui est à la fois une obligation générale et de moyens, l'entreprise devant montrer qu'elle fait ses "meilleurs efforts", cette obligation générale, qui n'est pas limitée à l'environnement, étant déclinée d'une façon particulière par l'entreprise en fonction de ses risques particuliers et de ses engagements propres, notamment contractuels, tandis que le juge applique ce système au cas par cas. 

La loi de 2017 a voulu confier ce pouvoir au juge et a voulu un système simple en donnant la seule compétence au seul Tribunal Judiciaire de Paris, ce qui permet d'obtenir une interprétation jurisprudentielle, aussi bien sur les questions procédurales et substantielles, immédiatement unifiée, le dialogue des juges devant être toujours favorisé, tandis que la spécialisation et la formation de ces juges étant un enjeu auquel les juridictions ont répondu concrètement, la Cour d'appel de Paris ayant mis en place une chambre spécialisée, tandis qu'une formation spécialisée sur ces "contentieux systémiques émergents" d'un type nouveau se met en place. Cette spécialisation rend moins impérieuse l'établissement d'une Autorité administrative de supervision.

Cette présence du juge ne doit pas être présentée ni perçue comme pathologique car le procès de vigilance est dans l'ordre des choses, les parties prenantes trouvant une voie d'expression : d'une part plus les entreprises développeront en amont le dialogue et moins il y aura de contentieux et d'autre part le procès lui-même, en continuum, doit favoriser ce dialogue, par le contradictoire et par la médiation.. C'est une part essentielle de l'office du juge qui doit aussi faire respecter le Droit et apporter des solutions à ces enjeux systémiques, la remédiation (plutôt que trancher et sanctionner) étant une voie de son office à développer.

Parce que les juridictions concernées ont su ajuster leur organisation interne et les juges adapter leur office, la généralité de la loi de 2017 permettant précisément cela, la question de l'adoption ou de la non-adoption de la directive CS3D n'étant de ce fait pas un enjeu dramatique parce que le juge est déjà au centre de la vigilance, il convient plutôt de laisser le temps que l'oeuvre de jurisprudence se fasse.

________

► Full Reference: S. Merabet, "Vigilance, being a judge and not judge", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2024, pp. 218-228

____

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

____

► Summary of the article:

____

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

________

► Full Reference: J. Heymann, "The Legal Nature of the Facebook “Supreme Court”", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2024, pp. 167-182

____

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

____

► Summary of the article (done par the Author): Taking place in the general theme aiming at making “words and things coincide”, the article offers some thoughts on the “conditions of the discourse” – in the sense in which Foucault understood it in his Archéologie des sciences humaines – relating to the phenomenon of “jurisdictionalization” of Compliance.

The thoughts are more specifically focusing on the nature of the so-called “Supreme Court” that Facebook instituted to hear appeals of decisions relating to content on the digital social networks that are Facebook and Instagram. Is this really a “Supreme Court”, designed in order to “judge” the Facebook Group?

A careful examination of the Oversight Board – i.e. the so-called “Supreme Court” created by Facebook – reveals that the latter, in addition to its advisory mission (which consists of issuing policy advisory opinions on Facebook’s content policies), exercises some form of adjudicative function. This is essentially conceived in terms of compliance assessment, of the content published on the social networks Facebook or Instagram with the standards issued by these corporations on the one hand, of content enforcement decisions taken by Facebook with the Law on the other hand. The legal framework of reference is yet rather vague, although its substantial content seems to be per se evolutive, based on the geographical realm where the case to be reviewed is located. An adjudicative function can therefore be characterized, even if the Oversight Board can only claim for a limited one.

The author can ultimately identify the Oversight Board as a preventive dispute settlement body, in the sense that it seems to aim at avoiding any referral to state courts and ruling before any court’s judgement can be delivered. Some questions are thus to be raised, relating with both legitimacy and authority of such a Board. But whatever the answers will be, the fact remains that the creation of the Oversight Board by a private law company already reveals all the liveliness of contemporary legal pluralism.

____

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

_________

► Full Reference: A. Bruneau, "The company judges itself: the Compliance function in the bank", in M.A. Frison-Roche, (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", 2024, pp. 127-145

____

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

____

► Summary of the article: First, it should be remembered that the compliance function was born within finance, and that by being structured, it has evolved to support the transition from regulatory law to compliance law. Through these changes, compliance has gone from an ex-post controlling function to an ex-ante binding function. The LIBOR crisis imperfectly illustrates the primacy of this transition. The evolution of this role is illustrated by concrete examples. Firstly, the management of reputational risk is a fundamental part of the company as prosecutor and judge of itself. Reputational risk is a significant element for a financial institution, because it can have negative consequences on its capitalization, or even culminate in a systemic crisis. Avoiding a large-scale financial crisis is also part of the monumental goals of compliance.

In order to avoid complex and inopportune scenarios, compliance law intervenes as early as possible and identifies issues that may impact reputation. The regulations require the implementation of certain ex ante mechanisms. The French law known as "Sapin 2" requires the implementation of tools that concern all companies (and not just banks). Indeed, beyond the risk of reputation, it is essential to consider the risk of corruption. Consideration of reputational risk may justify refusing to execute certain transactions. From this perspective, compliance must assess the potential consequences of entering into a relationship with a new client upstream, sometimes to decline the provision of services. The compliance function therefore unilaterally judges the relationship with a view to managing the company reputational risk.

Secondly, the internal sanction mechanism established by compliance law is also discussed in this article, in particular the internal sanctions adopted by compliance in a financial institution.

Compliance can act as a prosecutor via management committees set up within the business lines. In addition, compliance can determine and apply sanctions against employees. In this way, there is a dual role of prosecutor and judge for the compliance function within the framework of an extraordinary mechanism of ordinary law.

Finally, the analysis deals with the case of the "judge-judged": following a decision by the bank, the regulator may take an even stricter position by believing that the bank is applying its guidelines incorrectly. Thus, the compliance law, which takes hold within the banking enterprise, finds itself under the judgment of its own regulator. The company finds itself judged and comes to be a prosecutor and judge of itself, but also of its clients.

____

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

________

► Full Reference: J.-M. Coulon, "Compliance Law in the construction industry and the contradictions, impossibilities and deadlocks that companies face", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2024, pp. 148-154 

____

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

____

► The summary below describes an article following the colloquium The Entreprise instituted Judge and Prosecutor of itself by Compliance Law) , co-organized by the Journal of Regulation & Compliance (JoRC) and the Faculté de Droit Lyon 3. This manifestation was designed under the scientific direction of Marie-Anne Frison-Roche and Jean-Christophe Roda and took place in Lyon on June 23, 2021. During this colloquium, the intervention was shared with Christophe Lapp, who is also a contributor in the book (see the summary of the Christophe Lapp's Article).

In the book, the article will be published in Title I, devoted to:  L'entreprise instituée Juge et Procureur d'elle-même par le Droit de la Compliance (The Entreprise instituted Judge and Prosecutor of itself by Compliance Law).

____

► Summary of the article (done by the author): The construction industry is not a regulated sector. Its market is made up of a superposition of territorial strata which are all relevant markets, to which corresponds a specific microcosm of companies. Finally, the temporary association between companies for the purposes of carrying out a project or a work is consubstantial with this sector.

The penetration of Compliance in this sector is inevitably very heterogeneous and results from both exogenous factors (other partners within temporary associations, influence of economic operators from other sectors of activity, capital providers and lender, incitations from professional organizations ) the endogenous (submission to a Financial Regulatory Authority because the company is listed ; application of the laws on duty of vigilance, and French Law called "Sapin 2"). For example, subject to all these factors combined, the Bouygues group is particularly sensitive to compliance.

Not only internal "legislator", the Bouygues group finds itself in turn "prosecutor and judge" both of itself and of others. Indeed, leading an investigation, filing a complaint, triggering an ethics alert, making use of the leniency program, this group is, however, no other than a sort of assistant for the Prosecutor. In addition, scrutinizing its stakeholders, sanctioning its employees, resorting to a Convention Judiciaire d'intérêt public (judicial agreement in the public interest) or negotiating its sanction within the framework of a procedure instituted by a multilateral bank, it fulfills the function of a judge. Legislator, prosecutor, judge, the Bouygues group is faced with a paradox, in a way encouraged to exercise “sovereignty”, yet it does not benefit from the attributes attached to it or from the unwavering support of the competent Public Authorities.

____

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

________

► Full Reference: Ch. Lapp, "Compliance in Companies: The Statutes of the Process", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie,  2024, pp. 155-166 

____

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

____

► The summary below describes an article following the colloquium L'entreprise instituée Juge et Procureur d'elle-même par le Droit de la Compliance (The Entreprise instituted Judge and Prosecutor of itself by Compliance Law) , co-organized by the Journal of Regulation & Compliance (JoRC) and the Faculté de Droit Lyon 3. This manifestation was designed under the scientific direction of Marie-Anne Frison-Roche and Jean-Christophe Roda and took place in Lyon on June 23, 2021. During this colloquium, the intervention was shared with Jan-Marc Coulon, who is also a contributor in the book (see the summary of the Jean-Marc Coulon's  Article).

In the book, the article will be published in Title I, devoted to:  L'entreprise instituée Juge et Procureur d'elle-même par le Droit de la Compliance (The Entreprise instituted Judge and Prosecutor of itself by Compliance Law ).

____

► Summary of the article (done by the Author): The Company is caught in the grip of Compliance Law, the jaws of which are those of Incitement (1) and Sanction that the Company must apply to ensure the effectiveness of its processes to which it is itself subject (2 ).

First, the Company has been delegated to fabricate reprehensible rules that it must apply to itself and to third parties with whom it has dealings. To this end, the Company sets up "processes", that is to say verification and prevention procedures, in order to show that the offenses that it is likely to commit will not happened.

These processes constitute standards of behavior to prevent and avoid that the facts constituting the infringements are not themselves carried out. They are thus one of the elements of Civil Liability Law in its preventive or restorative purposes.

Second, the sanction of non obedience of Compliance processes puts the Company in front of two pitfalls. The first  dimension place the company, with regard to its employees and its partners, in the obligation to define processes which also constitute the quasi-jurisdictional resolution of their non-compliance, the company having to reconcile the sanction it pronounces with the fundamental principles of classical Criminal Law, constitutional principles and all fundamental rights. The processes then become the procedural rule.

The second dimension is that the Company is accountable for the effectiveness of the avoidance by its processes of facts constituting infringements. By a reversal of the burden of proof, the Company is then required to prove that its processes are efficient. at least equivalent to the measures defined by laws and regulations, the French Anti-Corruption Agency (Agence Française Anticorruption - AFA), European directives and various communications on legal tools to fight breaches of probity, environmental attacks and current societal concerns. The processes then become the constitutive element, per se, of the infringement.

Thus, in its search for a balance between Prevention and Sanction to which it is itself subject, the Company will not then be tempted to favor the orthodoxy of its processes over the expectations of the Agence Française Anticorruption - AFA , regulators and judges, to the detriment of their efficiency?

In doing so, are we not moving towards an instrumental and conformist Compliance, paradoxically disempowering with regard to the Compliance Monumental Goals of Compliance?

____

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

________

► Full Reference: L.-M. Augagneur, "The jurisdictionalisation of reputation by platforms", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", 2024, pp.109-125 

____

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

____

► Summary of the article (done by the Author): The large platforms are in the position of arbiter of the reputation economy (referencing, notoriety) in which they themselves act. Although the stakes are usually low on a unit basis, the jurisdiction of reputation represents significant aggregate stakes. Platforms are thus led to detect and assess reputation manipulations (by users: SEO, fake reviews, fake followers; or by the platforms themselves as highlighted by the Google Shopping decision issued by the European Commission in 2017) that are implemented on a large scale with algorithmic tools.

The identification and treatment of manipulations is itself only possible by means of artificial intelligence tools. Google thus proceeds with an automated downgrading mechanism for sites that do not follow its guidelines, with the possibility of requesting a review through a very summary procedure entirely conducted by an algorithm. Tripadvisor, on the other hand, uses an algorithm to detect false reviews based on "fraud modeling to identify electronic patterns that cannot be detected by the human eye". It only conducts a human investigation in limited cases.

This jurisdictionality of reputation has little in common with that defined by the jurisprudence of the Court of Justice (legal origin, contradictory procedure, independence, application of the Rules of Law). It is characterized, on the one hand, by the absence of transparency of the rules and even of the existence of rules stated in predicative form and applied by deductive reasoning. It is replaced by an inductive probabilistic model by the identification of abnormal behaviors in relation to centroids. This approach of course raises the issue of statistical bias. More fundamentally, it reflects a transition from Rule of Law, not so much to "Code is Law" (Laurence Lessig), but to "Data is Law", that is, to a governance of numbers (rather than "by" numbers). It also comes back to a form of collective jurisdictionality, since the sanction comes from a computational apprehension of the phenomena of the multitude and not from an individual appreciation. Finally, it appears particularly consubstantial with compliance, since it is based on a teleological approach (the search for a finality rather than the application of principles).

On the other hand, this jurisdictionality is characterized by man-machine cooperation, whether in the decision-making process (which poses the problem of automaticity bias) or in the contradictory procedure (which poses, in particular, the problems of discussion with the machine and the explicability of the machine response).

Until now, the supervision of these processes has been based essentially on the mechanisms of transparency, a limited adversarial requirement and the accessibility of appeal channels. The French Law Loi pour une République Numérique ("Law  for a Digital Republic"), the European Legislation Platform-to-Business Regulation and the Omnibus Directive, have thus set requirements on the ranking criteria on platforms. The Omnibus Directive also requires that professionals guarantee that reviews come from consumers through reasonable and proportionate measures. As for the European Digital Services Act, it provides for transparency on content moderation rules, procedures and algorithms. But this transparency is often a sham. In the same way and for the moment the requirements of sufficient human intervention and adversarial processes appear very limited in the draft text.

The most efficient forms of this jurisdictionality ultimately emerge from the role played by third parties in a form of participatory dispute resolution. Thus, for example, FakeSpot detects false Tripadvisor reviews, Sistrix establishes a ranking index that helped establish the manipulation of Google's algorithm in the Google Shopping case by detecting artifacts based on algorithm changes. Moreover, the draft Digital Services Act envisages recognizing a specific status for trusted flaggers who identify illegal content on platforms.

This singular jurisdictional configuration (judge and party platform, massive situations, algorithmic systems for handling manipulations) thus leads us to reconsider the grammar of the jurisdictional process and its characteristics. If Law is a language (Alain Sériaux), it offers a new grammatical form that would be that of the middle way (mesotès) described by Benevéniste. Between the active and the passive way, there is a way in which the subject carries out an action in which he includes himself. Now, it is the very nature of this jurisdictionality of compliance to make laws by including oneself in them (nomos tithestai). In this respect, the irruption of artificial intelligence in this jurisdictional treatment undoubtedly bears witness to the renewal of the language of Law.

____

🦉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

____

► Full Reference: M.-A. Frison-Roche, "Main Aspects of the Book. Compliance Jurisdictionalisation", in M.-A. Frison-Roche, (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2024, pp. 11-38

____

📝This article constitutes the first part of the Introduction of the book; its access is free

____

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

____

► Summary of the article (done by the Journal of Regulation & Compliance - JoRC) : This free access article ⤵️ explains firstly the general purpose of the book and secondly how the book is structured in 4 chapters.

Then, thirdly and following the table of contents, this article takes up in a few lines each of the contributions.

This is how the "main aspects" of the book Compliance Jurisdictionalisation become even clearer

____

🔓read this article in full text⤵️

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche, "Adjusting General Procedural Law to Compliance Law by the Nature of things", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2024, pp. 273-28. 

____

📝read the article

____

🚧read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks

____

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

____

The principal elements of this articles had been presented during the scientific manifestation held on September 23, 2021, at Dauphine University in Paris, coorganised by the Journal of Regulation & Compliance (JoRC) and the Institute Droit Dauphine. 

In the book this article is placed in the chapter II about the General Procedural Law in the Compliance Law.  

____

► Summary of the article (done by the Journal of regulation & Compliance - JoRC): General Procedural Law is an invention, essentially due to Professor Motulsky, going well beyond the gain that one always has in comparing types of procedures with each other. As he asserted, there is Natural Law in General Procedural Law, in that as soon as there is the Rule of Law Principle there cannot be, whatever the "procedure", even the "process", such and such way of doing things: for example, to decide, to seize the one who decides, to listen before deciding, to contest the one who has decided.

General Procedural Law therefore depends on the nature of things. However, Compliance Law organizes things in a new way. Therefore, both the simple and iron principles of General Procedural Law creep in where we do not expect them at first sight, because there is no judge, this character around whom ordinary procedures fit together. The principles of General Procedural Law are essential in companies. Even if the regulations do not breathe a word about it, it is up to the Judges, in particular the Supreme Courts, to recognize this nature of things because on this effect of nature that  General Procedural Law is built: when compliance mechanisms oblige companies to strike, General Procedural law must oblige, even in the silence of the texts, to arm those who can be hit, even stand up against devices that would set aside too much these defenses that are easily considered contrary to efficiency (I).

But because it is a question of making room for this nature of the things of which the Rule of Law Principle entrusts the custody to the Judge and the Lawyer, the General Procedural Law must also adjust itself to what the extraordinary new branch of Law Compliance Law is. Indeed, Compliance Law is extraordinary in that it expresses the political pretention to act now so that the future will not be catastrophic, by detecting and preventing the realization of systemic risks, or even that it is better, by building effective equality or real concern for others. Because it is the Monumental Goals that defines this new branch of Law, a disputed systemic issue, possibly disputed by several parties before a judge, the procedural principles used by the court must be broadened considerably: they must then include civil society and the future (II).

General Procedural Law thus naturally acquires an even more place than in the classic branches of Law since on the one hand it imposes itself outside of trials, particularly in companies and on the other before the courts it involves people who had hardly any place to speak and thinks themselves, especially the systems entering the "causes" of Compliance now debated before the Judge.

________

► Full Reference: A. Bavitot, "Shaping the Company through Negotiated Criminal Justice Agreements. French Perspective", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2024, pp. 203-215

____

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

____

► Summary of the article (done by the author): Negotiated justice is "the situation in which the criminal conflict is the object of a trade in the etymological sense of the term negotio, i.e. a debate between the parties to reach an agreement".

Thus, the French legislator has succumbed to globalized mimicry by creating the Convention judiciaire d'intérêt public (Public Interest Judicial Agreement), first in matters of probity and then in environmental matters. What is the nature of this deal of justice? Validated by a judge's order, it does not entail any declaration of guilt, has neither the nature nor the effects of a judgment of conviction and is not registered in the judicial record. Possible at the investigation stage as well as at the pre-trial stage, the Public Interest Judicial Agreement is original in that it makes it possible to avoid either the prosecutor's proceedings or the judge's wrath.

A detailed study of the agreements signed shows that in order to negotiate in the best possible way, the company can and must shape itself. The company will shape the facts of its agreement, shape its charge and, finally, shape its sentence. The article offers a concrete analysis of these three dimensions of corporate shaping to better approach understanding the legal nature of negotiated criminal justice agreements.

____

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

________

► Full Reference: C. Granier, "Reflections on the existence of companies’ jurisprudence through Compliance matters", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2024, pp. 95-107

____

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

____

► Summary of the article (done par the author): Because Compliance shakes up established frameworks, Compliance forces to look at certain concepts in a new light, which until then seemed to be well tamed. This is particularly the case with the notion of "Jurisprudence". Recent developments in Compliance indeed raise questions about the possible existence of "jurisprudence" (case law) that would be produced by companies during the implementation of compliance procedures.

At first glance, the concept of "business jurisprudence" may appear unnatural because case law is traditionally understood as the fruit of the office of the Judge and, more particularly, of the State Judge. However, the observation that the company can position itself as a Judge with regard to itself and others in the context of the implementation of Compliance legitimately raises the question of the possibility for the latter. to produce case law. The example of Facebook's supervisory board and the first decisions rendered by this body increases the legitimacy of this crucial question.

Thinking about the concept of "Jurisprudence of companies" implies to compare the process of emergence of the case law standard emanating from the Judge with the process of emergence of a "Jurisprudence" that would be produced by companies during their "jurisdictional functions". On the material level, an analogy between State case law and company case law seems conceivable. It then remains to overcome an obstacle of an organic nature: can an institution other than the judge be understood as producing case law?

In view of contemporary developments in Law and the practical interest that exists in designing business case law, it seems appropriate to adopt a broader view of case law, which is detached from the traditional organic criterion. It therefore seems that it is possible but above all that it is necessary to think about the concept of "business case law" in order to highlight a new facet of the normative power of companies in the context of compliance, in particular with a view to its supervision.

____ 

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

________

► Référence complète : Cass. Com., 14 février 2024, n° 22-10.472, Bloomberg

____

🏛️lire la décision

________