Food for thoughts

Référence complète : Grandjean, J.P., rapporteur, Rapport sur l'avocat chargé d'une enquête interne, Conseil de l'Ordre des Avocats, Paris, 8 mars 2016. 

Lire le rapport. 

Référence complète : Gauvain, R. et Marleix, O., Rapport d'information sur l'évaluation de l'impact de la loi n° 2016-1691 du 9 décembre 2016 relative à la transparence, à la lutte contre la corruption et à la modernisation de la vie économique, 2021.

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Lire le rapport. 

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► Full Reference: S. Pottier, "In Favour of European Compliance, a Vehicle of Economic and Political Assertion", in M.-A. Frison-Roche (ed.), Compliance Monumental Goals, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2023, pp. 459-468

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

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► Summary of the article (donne by the Journal of Regulation & Compliance - JoRC): Today's monumental goals, particularly environmental and climatic ones, are of a financial magnitude that we had not imagined but the essential stake is rather in the way of using these funds, that is to determine the rules which, to be effective and fair, should be global. The challenge is therefore to design these rules and organize the necessary alliance between States and companies.

It is no longer disputed today that the concern for these monumental goals and the concern for profitability of investments go hand in hand, the most conservative financiers admitting, moreover, that concern for others and for the future must be taken into account, the ESG rating and the "green bonds" expressing it.

Companies are increasingly made more responsible, in particular by the reputational pressure exerted by the request made to actively participate in the achievement of these goals, this insertion in the very heart of the management of the company showing the link between compliance and the trust of which companies need, CSR also being based on this relationship, the whole placing the company upstream, to prevent criticism, even if they are unjustified. All governance is therefore impacted by compliance requirements, in particular transparency.

Despite the global nature of the topic and the techniques, Europe has a great specificity, where its sovereignty is at stake and which Europe must defend and develop, as a tool for risk management and the development of its industry. Less mechanical than the tick the box, Europe makes the spirit of Compliance prevail, where the competitiveness of companies is deployed in a link with States to achieve substantial goals. For this, it is imperative to strengthen the European conception of compliance standards and to use the model. The European model of compliance arouses a lot of interest. The duty of vigilance is a very good example. It is of primary interest to explain it, develop it and promote it beyond Europe.

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The procedural guarantees from which the person benefits are mainly the right of action, the rights of defense and the benefit of the adversarial principle.

While the rights of the defense are subjective rights which are advantages given to the person at risk of having his situation affected by the decision that the body which is formally or functionally legally qualified as a "tribunal", may take, the adversarial principle is rather a principle of organization of the procedure, from which the person can benefit.

This principle, as the term indicates, is - as are the rights of the defense - of such a nature as to generate all the technical mechanisms which serve it, including in the silence of the texts, imply a broad interpretation of these.

The adversarial principle implies that the debate between all the arguments, in particular all the possible interpretations, is possible. It is exceptionally and justified, for example because of urgency or a justified requirement of secrecy (professional secrecy, secrecy of private life, industrial secrecy, defense secrecy, etc.) that the adversarial mechanism is ruled out. , sometimes only for a time (technique of deferred litigation by the admission of the procedure on request).

This participation in the debate must be fully possible for the debater, in particular access to the file, knowledge of the existence of the instance, the intelligibility of the terms of the debate, not only the facts, but also the language (translator, lawyer , intelligibility of the subject), but still discussion on the applicable legal rules). So when the court automatically comes under the rules of Law, it must submit them to adversarial debate before possibly applying them.

The application of the adversarial principle often crosses the rights of the defense, but in that it is linked to the notion of debate, it develops all the more as the procedure is of the adversarial type.

The Office of Communications (Ofcom) is the UK's communications regulator.

This independent regulator is competent both for television, radio and television services, but also for the post office.

In addition, there are very diverse missions, such as not only the allocation of licenses but also data protection or public policies of diversity and equality.

We can consider that these are the broadest competences that can be conferred on a regulator with regard to "communication" activities!footnote-767.

► Full Reference: E. Maclouf, "Industrial Entities and Compliance Obligation", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

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

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

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

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

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

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

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

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

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

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

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

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► Full Reference: L. Rapp, "Compliance, Value Chains and Service Economy", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

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

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► Summary of the article (done by the author, translated by the Journal of Regulation & Compliance - JoRC): Based on an analysis of the value chains of companies in the space sector and their recent evolution, this contribution examine the role, place and current transformations of compliance policies and strategies in the context of an industrial transformation that has become essential: the transition from an industrial economy to a service economy.

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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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The term "breach" is new in Law. In the legal order, the term "fault" is that which is retained to designate the behavior of a person who deviates from a rule and must be sanctioned, because by this act he has manifested a fraudulent intention which may is reproached to him. But the legal notion of fault, which was central in the classic Law of civil liability and was essential in criminal liability Law has the major drawback of calling for proof: that of the intention to "do wrong". This seems all the less adequate when it comes to assessing the behavior of organizations, such as companies, whose behavior and power must be controlled more than the faulty behavior of their leaders sanctioned.

This is why both to lighten the burden of proof concerning natural persons, in particular those with the power and the function of deciding for others (managers, "senior executives") and to better correspond to the distribution of the power of The action, which is now held by organizations, in particular companies, are "failures" and no longer faults or negligence which constitute the triggering events triggering their liability or justifying repression.

It is more particularly an administrative repression, the end of which is not to sanction misconduct but to effectively protect the regulated sectors. The sanction for breaches is therefore both easier, because it is always necessary to prove the intention, and more violent, because the sanctions attached can relate to a share of the profits withdrawn, to a share of the turnover. business of the operator or can take the form of commitments by the operator for the future, a very restrictive and new form of sanction that the compliance technique has inserted into the law.

Thus the breach can be defined as a behavior, even an organization which is away from the behavior or the situation that the author of a text has posed as being that which he posits as adequate. This definition, which is at the same time broad, abstract, teleological and prescription, which makes it possible to apprehend not only behaviors but also structures, makes the sanction of breaches a daily tool of Regulatory Law.

► Référence complète : Fr. Berrod, "Introduction au DMA : un esprit pionnier de la régulation des plateformes numériques", Dalloz IP/IT, 2023, pp. 266-271

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► Résumé de l'article (fait par l'auteur) : "Le Digital Markets Act (DMA) a été proposé en même temps que son jumeau le Digital Service Act et ils ont été négociés en parallèle et stabilisés par la présidence française de l'Union européenne. Il est applicable à partir du 2 mai 2023. Sa négociation fut menée de façon remarquablement rapide (moins de seize mois pour obtenir l'accord politique sur la proposition de la Commission du 15 déc. 2020), si l'on rappelle la difficulté de ces deux textes, tant technique que juridique. Le DMA vient modifier les directives (UE) 2019/1937 et (UE) 2020/1828. Le titre technique choisi reflète l'ambition de ce texte, consacré « aux marchés contestables et équitables dans le secteur numérique ». Nous retracerons dans cette contribution les principaux éléments de compréhension du DMA.".

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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 : Queinnec, Y et Constantin, A., Devoir de vigilance. Les organes de gouvernance des entreprises en première ligne, in Le Big Bang des devoirs de vigilance ESG : les nouveaux enjeux de RSE et de droit de l'homme, doss., Revue Lamy Droit des Affaires, n°104, mai 2015, p.68-74.

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► Full Reference: R. Sève, "Compliance Obligation and changes in Sovereignty and Citizenship", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

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

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

The contribution describes "les changements de philosophie du droit que la notion de compliance peut impliquer par rapport à la représentation moderne de l’Etat assurant l’effectivité des lois issues de la volonté générale, dans le respect des libertés fondamentales qui constituent l’essence du sujet de droit." ("the changes in legal philosophy that the notion of Compliance may imply in relation to the modern representation of the State ensuring the effectiveness of laws resulting from the general will, while respecting the fundamental freedoms that constitute the essence of the subject of law").

The contributor believes that the definition of Compliance is due to authors who « jouer un rôle d’éclairage et de structuration d’un vaste ensemble d’idées et de phénomènes précédemment envisagés de manière disjointe.  Pour ce qui nous occupe, c’est sûrement le cas de la théorie de la compliance, développée en France par Marie-Anne Frison-Roche dans la lignée de grands économistes (Jean-Jacques Laffont, Jean Tirole) et dont la première forme résidait dans les travaux bien connus de la Professeure sur le droit de la régulation. » ( "play a role in illuminating and structuring a vast set of ideas and phenomena previously considered in a disjointed manner.  For our purposes, this is certainly the case with the theory of Compliance, developed in France by Marie-Anne Frison-Roche in the tradition of great economists (Jean-Jacques Laffont, Jean Tirole) and whose first form was in her well-known work on Regulatory Law").

Drawing on the Principles of the Law of the American Law Institute, which considers compliance to be a "set of rules, principles, controls, authorities, offices and practices designed to ensure that an organisation conforms to external and internal norms", he stresses that Compliance thus appears to be a neutral mechanism aimed at efficiency through a move towards Ex Ante. But he stresses that the novelty lies in the fact that it is aimed 'only' at future events, by 'refounding' and 'monumentalising' the matter through the notion of 'monumental goals' conceived by Marie-Anne Frison-Roche, giving rise to a new jus comune. Thus, "la compliance c’est l’idée permanente du droit appliquée à de nouveaux contextes et défis." ("Compliance is the permanent idea of Law applied to new contexts and challenges"). 

So it's not a question of making budget savings, but rather of continuing to apply the philosophy of the Social Contract to complex issues, particularly environmental issues. 

This renews the place occupied by the Citizen, who appears not only as an individual, as in the classical Greek concept and that of Rousseau, but also through entities such as NGOs, while large companies, because they alone have the means to pursue the Compliance Monumental Goals, would be like "super-citizens", something that the digital space is beginning to experience, at the risk of the individuals themselves disappearing as a result of "surveillance capitalism". But in the same way that thinking about the Social Contract is linked to thinking about capitalism, Compliance is part of a logical historical extension, without any fundamental break: "C’est le développement et la complexité du capitalisme qui forcent à introduire dans les entités privées des mécanismes procéduraux d’essence bureaucratique, pour discipliner les salariés, contenir les critiques internes et externes, soutenir les managers en place" ("It is the development and complexity of capitalism that forces us to introduce procedural mechanisms of a bureaucratic nature into private entities, in order to discipline employees, contain internal and external criticism, and support the managers in place") by forcing them to justify remuneration, benefits, and so on.

Furthermore, in the words of the author, "Avec les buts monumentaux, - la prise en compte des effets lointains, diffus, agrégés par delà les frontières, de l’intérêt des générations futures, de tous les êtres vivants - ,  on passe, pour ainsi dire, à une dimension industrielle de l’éthique, que seuls de vastes systèmes de traitement de l’information permettent d’envisager effectivement." ("With the Monumental Goals - taking into account the distant, diffuse effects, aggregated across borders, the interests of future generations, of all living beings - we move, so to speak, to an industrial dimension of ethics, which only vast information processing systems can effectively envisage").

This is how we can find a division between artificial intelligence and human beings in organisations, particularly companies, or in decision-making processes.

In the same way, individual freedom does not disappear with Compliance, because it is precisely one of its monumental goals to enable individuals to make choices in a complex environment, particularly in the digital space where the democratic system is now at stake, while technical mechanisms such as early warning will revive the right to civil disobedience, invalidating the complaint of "surveillance capitalism".

The author concludes that the stakes are so high that Compliance, which has already overcome the distinctions between Private and Public Law and between national and international law, must also overcome the distinction between Information and secrecy, particularly in view of cyber-risks, which requires the State to develop and implement non-public Compliance strategies to safeguard the future.

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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 : L. d'Avout,  La cohérence mondiale du droit, Cours général de droit international privé, Académie de droit international de La Haye, t.443, 2025, 692 p.

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► Référence complète : B. Lecourt, "Des obligations d'information en matière de droit de l'homme et d'environnement au devoir de vigilance", in B. Lecourt (dir.) Lebvre - Dalloz, coll. "Thèmes et commentaires", 2025, pp

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📗lire une présentation générale de l'ouvrage, Le devoir européen de vigilance, dans lequel cet article est publié

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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 : J.-Fr. Bohnert, "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", in M.-A. Frison-Roche et M. Boissavy (dir.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", à paraître.

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📕consulter une présentation générale de l'ouvrage, Compliance et droits de la défense - Enquête interne, CIIP, CRPC, dans lequel cet article est publié

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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : Dans une présentation très proche des lignes directrices du Parquet national financier (PNF) de 2023 et du droit souple produit avec l'Agence française anticorruption (AFA), l'auteur expose la façon dont l'entreprise doit dans un climat de confiance et de collaboration. Il s'agit pour l'entreprise de rechercher objectivement ce qui pourrait engager sa responsabilité pénale d'une façon transparente et loyale en gardant à l'esprit la collaboration possible dans la perspective d'une CJIP avec le PNF et la valorisation que celui-ci fait des diligences de l'entreprise dans la menée d'une enquête interne, de la même façon que des attitudes contraires sont logiquement considérés comme des éléments inverses dans le calcul.

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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: Segonds, M., Compliance, Proportionality and Sanction. The example of the sanctions taken by the French Anticorruption Agency, in Frison-Roche, M.-A. (ed.),Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.

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► Article Summary:  Before devoting the developments of his article to the sole perspective of sanctions imposed under "Anti-corruption Compliance", the author recalls in a more general way that, as is the sanction, Compliance is in essence proportional: Proportionality is inherent to Compliance as it conditions any sanction, including a sanction imposed under Compliance.

This link between Proportionality and Compliance has been underlined by the French Anti-Corruption Agency (Agence française anticorruption - AFA) with regard to risk mapping, which must measure risks to arrive at effective and proportional measures. This same spirit of proportionality animates the recommendations of the AFA which are intended to apply according to the size of the company and its concrete organisation. It governs sanctions even more, in that punitive sanctions refer on one hand to Criminal Law, centered on the requirement of proportionality. Punitive sanctions It governs sanctions even more, in that punitive sanctions refer on the other hand to the disciplinary power of the manager who, from other sources of law, must integrate the legal requirement of proportionality when he/she applies external and internal compliance norms.

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📘see the general presentation of the book, Compliance Monumental Goals, in which this article is published

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► Full Reference: V. Magnier, "The transformation of governance and due diligence", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

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

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

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

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

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

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

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Référence complète : Boy, , "Réflexion sur le "droit de la régulation". A propos du texte de Marie-Anne Frison-Roche",  D., chron., 2001, p.3031 et s.

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Référence complète : Terré, F., Concurrence et proportionnalité, in Parléani, G. (coord.), Mélanges en l'honneur du Professeur Claude Lucas de Leyssac, LexisNexis, novembre 2018, pp.467-471. 

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Lire une présentation générale des Mélanges dans lesquels l'article a été publié.

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► Référence complète : S-M.. Cabon, "Théorie et pratique de la négociation dans la justice pénale", in M.-A. Frison-Roche & M. Boissavy (dir.), Compliance et Droits de la défense - Enquête interne, CIIP, CRPC, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", à paraître.

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📕consulter une présentation générale de l'ouvrage, Compliance et Droits de la défense - Enquête interne, CIIP, CRPC, dans lequel cet article est publié

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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : L'auteure définit la technique de "négociation" comme celle par laquelle "chaque interlocuteur va tenter de rendre compatibles par un jeu de coopération et de concessions mutuelles", ce qui va donc être utilisé dans la justice pénale française non pas tant par attraction du modèle américain, mais pour tenter de résoudre les difficultés engendrées par le flux des contentieux, le procédé s'étant élargi aux contentieux répressif, notamment devant les autorités administratives de régulation. Le principe en est donc la coopération du délinquant.

L'auteur souligne les satisfactions "pratiques" revendiqués, puisque les cas sont résolus, les sanctions sont acceptées, et les inquiétudes "théoriques", puisque des principes fondamentaux semblent écartés, comme les droits de la défense, l'affirmation étant faite comme quoi les avantages pratiques et le fait que rien n'oblige les entreprises à accepter les CJIP et les CRPC justifient que l'on ne s'arrête pas à ces considérations "théoriques".

L'article est donc construit sur la confrontation de "l'Utile" et du "Juste", parce que c'est ainsi que le système est présenté, l'utilité et le consentement étant notamment mis en valeur dans les lignes directrices des autorités publiques.

Face à cela, l'auteur examine la façon dont les textes continuent, ou pas, de protéger la personne qui risque d'être in fine sanctionnée, notamment dans les enquêtes et investigations, le fait qu'elle consente à renoncer à cette protection, notamment qu'elle apporte elle-même les éléments probatoires de ce qui sera la base de sa déclaration de culpabilité tandis que l'Autorité publique ne renonce pas encore au même moment à la poursuite étant problématique au regard du "Juste".

La seconde partie de l'article est donc consacrée à "l'Utile contraint à être Juste". A ce titre, l'auteur pense que l'indépendance du ministère public devrait être plus forte, à l'image de ce qu'est le Parquet européen, et le contrôle du juge judiciaire plus profond car la procédure actuelle de validation des CJIP semble régie par le principe dispositif, principe qui ne sied pas à la justice pénale.

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► Full Reference: M. Torre-Schaub, "La compliance environnementale et climatique" ("Environmental and Climate Compliance"), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", to be published

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📕lire une présentation générale de l'ouvrage, L'Obligation de Compliance, dans lequel cet article est publié

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► Summary of this contribution  (done by the Journal of Regulation & Compliance) : The author starts from the fact that Compliance Law, in that it is not limited to conformity process, and Environmental Law are complementary, both based above all on the prevention of risks and harmful behaviour, environmental crises and the right to a healthy environment involving the strengthening of Environmental Vigilance. It is all the more important to do this because definitions remain imprecise, not least those of Environment and Climate, which are diffuse concepts.

Firstly, the contribution sets out the purpose of Environmental Compliance, which is to ensure that companies are vigilant with regard to all kinds of risks: they put in place and follow a series of processes to obtain "progress" in accordance with a standard of "reasonable vigilance". This requires them to go beyond mere conformity and encourages them to develop their own soft law tools within a framework of information and transparency, so that the climate system itself benefits in accordance with its own objectives.

Then the author stresses the preventive nature of Environmental Vigilance mechanisms, which go beyond providing Information to managing risks upstream, in particular through the vigilance plan, which may be unified or drawn up risk by risk, and which must be adapted to the company, particularly in the risk mapping drawn up, with assessment being carried out on a case-by-case basis.

Lastly, in the light of recent French case law, the author describes the implementation of the system, which may bring the parties before the Tribunal judiciaire de Paris (Paris Court of First Instance) and then the specialised chamber of the Paris Court of Appeal. The author believes that judges must clarify the obligation of Environmental Vigilance so that companies can adjust to it, and these 2 courts are in the process of doing so.

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

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

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

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

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

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

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

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

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

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

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

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► Full Reference: J.-Ph. Denis & N. Fabbe-Costes, "Legal Constraints and company Compliance Strategies", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

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

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

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

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The procedural safeguards enjoyed by a person whose situation may be affected by a future judgment are principally the right to bring proceedings before the court, the rights of the defense and the benefit of the contradictory principle.

The legal action was for a long time considered as a "power", that is to say, a mechanism inserted in the organization of the judicial institution, since it was by this act of seizure, access by which the person enters the judicial machine, through the latter starts up.

But in particular since the work of René Cassin and Henri Motulsky, legal proceedings are considered as a subjective right, that is to say, a prerogative of any person to ask a judge to rule on the claim that the plaintiff articulates in an allegation, that is a story mixing the fact and the law in a building and on which he asks the judge to give an answer, such as the cancellation of an acte, or the award of damages, or the refusal to convict him (because the defense is also the exercise of this right of action).

The legal action is now recognized as a "right of action", the nature of which is independent of the application made to the court, a subjective procedural right which doubles the substantive subjective right (eg the right to reparation) and ensures the effectiveness of the latter but which is autonomous of it. This autonomy and this uniqueness in contrast with the variety of the sort of disputes (civil, criminal or administrative) makes the right of action a pillar of the "Procedural Law" on which a part of European and Constitutional Law are built. In fact, Constitutional Law in Europe is essentially constituted by procedural principles (rights of defense, impartiality, right of action), since the principle of non bis in idem is only an expression of the right of action. Non bis in idem is a prohibition of double judgment for the same fact which does not prohibit a double trigger of the action (and criminal, civil and administrative). This unified due process of Law has helped to diminish the once radical separation between criminal law, administrative law and even civil law, which are clearly separated from one another in the traditional construction of legal systems and which converge today in the Regulatory and Compliance Law.

Moreover, the subjective right of action is a human right and one of the most important. Indeed, it is "the right to the judge" because by its exercise the person obliges a judge to answer him, that is to say to listen to his claim (the contradictory resulting therefore from the exercise of the right of action ).

Thus the right of action appears to be the property of the person, of the litigant, of the "party". This is why the attribution by the law of the power for the Regulators to seize itself, which is understood by reason of the efficiency of the process, poses difficulty from the moment that this constitutes the regulatory body in "judge and party", since the Regulator is in criminal matters regarded as a court, and that the cumulation of the qualification of court and of the quality of party is a consubstantial infringement of the principle of impartiality. In the same way, the obligation that Compliance Law creates for operators to judge themselves obliges them to a similar duplication which poses many procedural difficulties, notably in internal investigations.

There is a classical distinction between public action, which is carried out by the public prosecutor, by which the public prosecutor calls for protection of the general interest and private action by a person or an enterprise, which seeks to satisfy its legitimate private interest. The existence of this legitimate interest is sufficient for the person to exercise his or her procedural right of action.

In the first place, the person could not claim the general interest because he or she was not an agent of the State and organizations such as associations or other non-governmental organizations pursued a collective interest, which could not be confused with the general interest. This procedural principle according to which "no one pleads by prosecutor" is today outdated. Indeed, and for the sake of efficiency, Law admits that persons act in order that the rule of law may apply to subjects who, without such action, would not be accountable. By this procedural use of the theory of incentives, because the one who acts is rewarded while and because he or she serves the general interest, concretizing the rule of law and contributing to produce a disciplinary effect on a sector and powerful operators, procedural law is transformed by the economic analysis of the law. The US mechanism of the class action was imported into France by a recent law of 2014 on "group action" (rather restrictive) but this "collective action" , on the Canadian model, continues not to be accepted in the European Union , Even if the European Commission is working to promote the mechanisms of private enforcement, participating in the same idea.

Secondly, it may happen that the law requires the person not only must have a "legitimate interest in acting" but also must have a special quality to act. This is particularly true of the various corporate officers within the operators. For the sake of efficiency, the legal system tends to distribute new "qualities to act" even though there is not necessarily an interest, for example in the new system of whistleblowers, which can act even there is no apparent interest.

Référence complète : Lagarde, Ch., A regulatory Approch to FinTech, mai 2018. 

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