► Référence complète : CE, sect. du contentieux, 5ème et 6ème ch. réunies, 6 mars 2024, n° 461193 et 461195, Sté. Webgroup Czech Republic et autre

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🏛️lire la décision

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► Full Reference: M.-A. Frison-Roche, Compliance Obligation: build a compliance structure producing credible effects in the perspective of the Monumental Goals targeted by the Legislator, Working Paper, March 2024.

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📝 This Working Paper is the basis of the article "Compliance Obligation: build a compliance structure producing credible effects in the perspective of the Monumental Goals targeted by the Legislator", in📘 Compliance 'Obligation de Compliance,

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

Although it would be risky to transpose the expression and regime of contractual obligations to legal obligations put by legislation, starting from this observation in the evidentiary system of compliance of a plurality of obligations of means and of result, depending on whether it is a question of this or that technical compliance obligation, we must first classify them. It would then appear that this plurality will not constitute a definitive obstacle to the constitution of a single definition of the Compliance Obligation. On the contrary, it makes it possible to clarify the situation, to trace the paths through what is so often described as a legal jumble, an unmanageable "mass of regulations".

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

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

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

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🔓read the developments below⤵️

🌐follow Marie-Anne Frison-Roche on LinkedIn

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► 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

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

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► Référence complète : C. Granier, "La direction des banques au prisme de la compliance", in A. Maymont (dir.) dossier "Le banquier face à la compliance", RD bancaire et fin., n° 2, mars-avril 2024, dossier 11

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► Résumé de l'article (fait par l'auteure) : "Incontestable en matière bancaire, le développement de la compliance affecte la direction des banques. Elle pèse en premier lieu sur les organes dirigeants qui voient leur liberté d’organisation restreinte et leur charge alourdie, puisque celle-ci intègre désormais des préoccupations relevant de la compliance. En second lieu, les personnes physiques qui occupent des fonctions de direction sont également affectées du fait d’un alourdissement de leur responsabilité et de la nécessité de satisfaire à des exigences de nature personnelle.".

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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche

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► Référence complète : Th. Bonneau, "La construction d’un modèle de compliance européenne au sein du système bancaire et financier", in A. Maymont (dir.) dossier "Le banquier face à la compliance", RD bancaire et fin., n° 2, mars-avril 2024, dossier 8

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► Résumé de l'article (fait par l'auteur) : "Le modèle de la compliance européenne au sein du système bancaire et financier comporte trois dimensions. La première est éthique alors que les deux autres sont les dimensions préventive et procédurale.".

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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche

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🌐follow Marie-Anne Frison-Roche on LinkedIn

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► 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.

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📝read the article (in French)

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📝 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"

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

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► 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.

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

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

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

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► Full Reference: 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

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

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

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

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🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

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► Full Reference: M.-A. Frison-Roche & 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.

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► 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.

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🧮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.

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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.

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► 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.

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🏗️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.

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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 

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► 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.

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► 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.

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► 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.

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🏗️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.

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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 

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► 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.

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📝read the article (in French)

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

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📕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)

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📝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)

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► 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.

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► 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

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

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📺regarder en différé l'ensemble de la table ronde

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

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⚖️ 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 ....

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► 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.

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🔲consulter les slides servant de support à cette intervention

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► 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.

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► Full reference: J. Beyssade, "Compliance et gouvernance (exemple d'un groupe bancaire)" (Compliance and governance (example of a banking group)), interview conducted by M.-A. Frison-Roche on the occasion of a series of interviews on Compliance Law, in Fenêtres ouvertes sur la gestion (Open windows on management), broadcast by J.-Ph. Denis, Xerfi Canal, recorded December 12, 2023, recorded February 24, 2024

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🌐consult the presentation of Jacques Beyssade's interview on LinkedIn

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🎥view the full interview on Xerfi Canal

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► Starting point: In 2022, Jacques Beyssade wrote a contribution on 📝Feminisation of positions of responsibility in the workplace as a goal of Compliance, in 📘Compliance Monumental Goals

🧱read the presentation of this contribution ➡️click HERE

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► Summary of interview: 

Marie-Anne Frison-Roche. Question: Compliance and governance are often linked. Can you explain how, in the strategy of a banking group like BPCE, this link between compliance and governance is articulated?

Jacques Beyssade. Answer. Compliance is not just a matter of obeying the rules, but also, and perhaps even more so, of respecting customers, suppliers, stakeholders and members. For a mutualist structure, customers and member-policyholders are closer, they are the same social body, and so it's a matter of governance.

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MaFR. Q.: Let's take a concrete example, where Compliance and governance serve a specific purpose: effective equality between men and women, for example. How does this work in your Group?

J.B. R.: This objective is in the genes of BPCE, and in particular of the savings banks. The Copé-Zimmermann law requires it. We go beyond this constraint, at the level of governance. The management board, or executive committee, is egalitarian, and this also works as an example. Compliance takes up the baton, for example, by identifying talent, particularly female talent, and correcting any anomalies. 

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MaFR. Q.: In the future, can we hope that this alliance between new governance and the power of Compliance, with the same Monumental Goals, will transform our societies?

J.B. R.: Changes in society come from the behavior of individuals and companies, as demonstrated by the opening of savings accounts to women in the 19th century. Both can do a great deal, within the framework of regulations, by going beyond them. Through governance, for example in a mutual bank like BPCE, it's the members who set the rules, reflecting social movements because they themselves are representative of society as a whole. In this way, through the alliance of governance and compliance, they can act to give concrete expression to the fundamental social movements they themselves represent, through the broad representation of the social body that the member-policyholders constitute.

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► Full Reference: M.-A. Frison-Roche, Compliance and conformity: distinguishing them to articulate them, Working Paper, February 2024.

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📝 this working paper was drawn up to serve as a basis for the article published in French in the Chronique MAFR -  Compliance Law, published in the Recueil Dalloz.  

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► Summary of this Working Paper: The words "conformité" and "compliance" are sometimes used interchangeably, presenting "conformité" as the translation into good legal French vocabulary of "compliance", which would come from the American system. This is not true, however, because each of these terms refers to two distinct and even opposing concepts. 

"conformity"' would require companies to show that they are actively obeying all the 'regulations' applicable to them, regardless of their content. "Compliance Law" is a new substantial branch of Law that derives its normativity from the "Monumental Goals" targeted by the political and public authorities: these monumental goals are intended to ensure that systems do not collapse in the future (Negative Monumental Goals), or even improve (Positive Monumental Goals). The systems concerned are banking, finance, energy, health, transport, digital and climate systems. The scope of Compliance Law is therefore both much more limited and more ambitious.

Distinguishing between the two allows us to put conformity back where it belongs, as a tool of Compliance Law. As such, conformity justifies the collation and correlation of information, with the algorithmic system playing a major role in this. On the other hand, the human concern that underpins Compliance Law justifies making training and the actions of in-house lawyers, attorneys and judges, central to it. The evidentiary system of Compliance that is currently being developed is based on evidentiary techniques rooted on the one hand in the tool of conformity and on the other in the culture of Compliance, which can be articulated as soon as they are no longer confused.

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► 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

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► 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.

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► 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

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

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► 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.

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► 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

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► 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.

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► 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

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

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

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► 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

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► 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 

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

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► 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.

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► 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

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► Summary of the article:

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► Full Reference: D. Latour, "Internal investigations within companies", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation,  Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2024, pp. 184-201

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

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► Summary of the article (): 

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

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► Référence complète : C. Prieto, "Les autorités administratives indépendantes et les sources du droit des affaires : l’exemple de l’Autorité de la concurrence", JCP E, n° 7-8, 15 février 2024, étude 1050, pp. 24-34

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► Résumé de l'article (fait par l'auteure) : "Les autorités administratives indépendantes ont-elles leur place dans les sources du droit des affaires ? À partir de l’exemple de l’Autorité de la concurrence, une réponse est apportée à la lumière des avancées du Conseil d’État et de la Cour de cassation.".

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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche

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► 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 

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

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► 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).

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► 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.

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► 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. 

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

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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.  

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► 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.

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► 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

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

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► 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.

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