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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",  to be published.

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🚧read the bilingual Working Paper on wihch this article is based, with additional developments, technical referenctes 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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► English Summary of this article: 

he 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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► Full Reference: M.-A. Frison-Roche, Moving through Time to align Compliance with the rights of the defence, Working Paper, September 2023.

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📕This working paper has been drawn up as the second part of the book Compliance et droits de la défense (Compliance and the rights of the defence), a first section summarising this book.

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📝This Working Paper was drawn up to serve as a basis for this second section, which sets out the general way in which the rights of the defence and the compliance system can be articulated, thank to this movement of moving back in time.

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► Summary of this Working Paper: 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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🔓read the Working Paper developments below ⤵️

►  Full Reference: Frison-Roche, M.-A., Ex Ante Responsibility, Working Paper, December 2021.

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📝This Working Paper has been the basis for an article written in French in the Archives de Philosophie du droit (APD), in the book La Responsabilité (2022).

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►  Working Paper Summary: Quel est le temps auquel s'articule la responsabilité ? La question est si classique que toutes les réponses ont été dessinées : si l'on est responsable plus aisément par rapport au temps, car l'on peut alors plus aisément faire un lien entre la situation appréhendée, sa réalisation dans le passé la rendant plus facilement connaissable, et le poids de "responsabilité" que l'on impute sur une personne, l'on peut articuler la responsabilité avec le futur. Si l'on brise le poids de cette responsabilité avec un évènement ou une situation, par exemple. Le Principe Responsabilité de Jonas ou l'Ethique de la Responsabilité font ainsi voyager la Responsabilité dans le temps, par un rapport entre le Droit et l'Ethique. 

D'ailleurs l'on pourrait soutenir que le Droit peut faire ce qu'il veut et imputer une responsabilité à quiconque pour le temps qu'il désigne, par exemple désigne comme porteur d'une responsabilité, c'est-à-dire d'un poids, celui qu'il veut. Le "responsable" serait alors le titulaire d'une sorte de "poids pur", qui le charge parce que le Droit l'a voulu pour le temps qu'il veut, par exemple un devoir d'agir pour que le futur soit dessiné comme le veut le Droit, alors même que le Responsable n'a rien à se reprocher dans le passé. 

Mais les Cours constitutionnelle défendent un rapport minimal entre la Responsabilité et le poids que celle-ci fait porter une personne, fut-t-elle morale, gardant ainsi le lien consubstantiel entre le Droit et la Morale, la technique juridique de la Responsabilité ne pouvant équivaloir à celle d'un prélèvement obligatoire.

Ainsi l'idée d'une Responsabilité Ex Ante est simple dans son principe (I). Elle est celle d'un poids juridiquement posé sur une personne soit par elle-même (engagement), soit par la Loi ou par le Juge sur une personne de faire quelque chose pour que n'advienne pas quelque chose qui adviendrait ou pour qu'advienne quelque chose qui n'adviendrait pas si elle ne le faisait pas.

Mais les conditions juridiques pour admettre un tel poids alors même que le lien avec une situation passée serait brisé est plus difficile (II). On continue certes continuer à voir dans le futur le passé, ce qui facilite le voyage dans le temps, et fonda par exemple le contrôle Ex Ante du contrôle des concentrations. Mais l'on peut se briser même de cette facilité et regarder non plus le rapport entre le passé et le futur, mais le présent et le futur : ce que l'on sait déjà aujourd'hui du futur, ce qui met en jeu le rapport entre le Droit et la Science ; ce que l'on observe de l'emprise de la personne présente sur le moment présent, c'est-à-dire le Pouvoir, ce qui fait en jeu le rapport entre le Droit et l'Economie politique.

Dans cette dimension-là, la contrainte de la Responsabilité Ex Ante est alors maniée par le Juge, dont l'office lui-même devient un office Ex Ante. Les pouvoirs obligés Ex Ante par une telle responsabilité maniée par le Juge étaient les personnes en situation de pouvoir, sont non seulement les entreprises, mais encore les Etats, qui perdent le privilège - partagé avec les contractants - de disposer juridiquement du futur, et notamment en leur sein le Législateur. 

Une telle révolution, qui se déroule sous nos yeux, s'explique parce qu'il faut agir maintenant pour que le futur ne soit pas catastrophique. La science nous informe qu'il le sera entéléchiquement. Il est donc juridiquement requis de désigner des responsables, non pas parce qu'ils auraient fait quelque chose, la dimension Ex Post n'étant pas le sujet, mais pour qu'ils fassent quelque chose, la Responsabilité Ex Ante étant un élément central de cette nouvelle branche du Droit qu'est le Droit de la Compliance.