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Borowski - Drittwirkung
Borowski - Drittwirkung
Borowski - Drittwirkung
Germany [de]
Martin Borowski
Subject(s):
Constitutional interpretation — Freedom of religion — Judicial review of legislation — Powers and
jurisdiction of constitutional courts/supreme courts — Judicial review — Judicial decisions — Islamic
states — Censorship — Freedom of belief — Freedom of expression — Individual rights — Limitations on
rights
Published under the direction of the Max Planck Foundation for International Peace and the Rule of Law.
General Editors: Rainer Grote, Frauke Lachenmann, Rüdiger Wolfrum.
From: Oxford Constitutions (http://oxcon.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber:
Max Planck Foundation for International Peace and the Rule of Law; date: 19 August 2019
A. Definition
1. The German expression Drittwirkung (in literal translation ‘third-party effect’) refers to
effects of constitutional rights of one private party for another private party. This is to say
that if one private party (individual, private corporation, or other non-state-actor) is the
holder of a certain constitutional right against the state, this constitutional right has
Drittwirkung if and when it gives rise to legal effects for other private parties. Since this
phenomenon refers to legal effects between and among private parties on the horizontal
level (as opposed to the vertical level between the state and a private party), it can also be
called ‘horizontal effect’ or ‘horizontal application’ (→ horizontal application).
B. Origins
2. The issue of Drittwirkung was a fiercely debated issue in German constitutional law in
the 1950s and 1960s. Constitutional rights are addressed primarily to public authority. Are
there, however, also legal effects of constitutional rights at the horizontal level? Basically
two main models were proposed: indirect and direct Drittwirkung. Hans Carl Nipperdey,
president of the German Federal Labour Court from 1954 to 1963, defended the idea of
direct Drittwirkung (Currie (1994) 182–183; Cherednychenko 5; Papier 1336–1338). Günter
Dürig argued on behalf of a form of indirect Drittwirkung (Cherednychenko 5; Papier 1341–
1342). It was basically Dürig’s version of indirect Drittwirkung that the → Federal
Constitutional Court of Germany (Bundesverfassungsgericht) (‘FCC’) supported in the
seminal Lüth decision in 1958 (→ Lüth Case (Ger)). Erich Lüth, a politician from Hamburg,
called for a boycott of the then latest film of director Veit Harlan, who produced the
notorious anti-Semitic film Jud Süß at the behest of Joseph Goebbels in 1940. Harlan was
awarded damages because of ‘intentional damage contra bonos mores’ according to Section
826 of the German civil code, by the Higher Regional Court of Hamburg. Lüth’s
constitutional complaint brought the case before the FCC, which ruled that Lüth’s call to
boycott was justified by → freedom of expression as a constitutional right, so that the
expression ‘intentional damage contra bonos mores’ needs to be interpreted in conformity
with the constitution to the effect that Lüth’s case does not count as an instance. The court
ruled that constitutional rights also establish an objective order of values (objektive
Wertordnung). A judge who is called to decide a lawsuit between and among private parties
is not limited to apply private law as such; he or she is also empowered and required to
interpret private law against the backdrop of the objective order of constitutional values
(Lüth (1958) 205 (Ger); see Currie (1994) 181–185; Kommers 361–368).
3. The saga continued eleven years later with Blinkfüer (Blinkfüer (1969) (Ger)). The local
magazine, Blinkfüer, in the north of West Germany, continued to print the television
programmes of the German Democratic Republic even after the East German Regime
erected the Berlin wall in 1961. The conservative publishing house Springer threatened
newsagents that they would not continue to supply their papers to those who also sell
Blinkfüer. This was a serious economic threat, because newsagents generally depended on
the turnover and profit generated by Springer’s popular high-circulation papers. Most gave
in to the pressure. Blinkfüer sued Springer for damages and finally lost before the German
Federal Court of Justice (Bundesgerichtshof), because the court regarded Springer’s course
of action as protected by freedom of expression. The FCC disagreed, because a merely
economic threat does not count as a permissible means in a deliberative democracy such as
Germany (Blinkfüer (1969) 264–265 (Ger)).
From: Oxford Constitutions (http://oxcon.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber:
Max Planck Foundation for International Peace and the Rule of Law; date: 19 August 2019
4. Although criticism in the literature never fell silent (see, for example, Hager), the FCC
confirmed this case law in a great many subsequent decisions (see, among others, Soraya
(1973) (Ger); Arzthaftung (1979) (Ger); Handelsvertreter (1990) (Ger); Bürgschaft (1993)
(Ger); Parabolantenne (1994) (Ger); Caroline von Monaco I (1998) (Ger) (→ Caroline von
Monaco Case (Ger)); Caroline von Monaco II (1999) (Ger); Benetton I (2000) (Ger);
Benetton II (2003) (Ger); Stasi-Streit (2005) (Ger); Abstammungsfeststellung (2007) (Ger);
Caroline von Monaco III (2008) (Ger); Le Corbusier (2011) (Ger); VBL (2014) (Ger);
Auskunftsanspruch des Scheinvaters (2015) (Ger); Abstammungserklärung (2016) (Ger);
Sampling (2016) (Ger)). The idea of indirect Drittwirkung as the rule with only exceptional
rights to which direct Drittwirkung is attributed proved to be a model that was adopted by
many constitutional systems.
7. To be sure, an act or omission of the state vis-à-vis one private party often has necessary
effects vis-à-vis another private party. For example, if and when the state enacts a criminal
statute that prohibits this or that fraudulent behaviour in commercial activities, this counts
as an interference with an individual’s liberty to pursue one’s profession as one wishes.
From the point of view of negative rights the question is whether this interference can be
justified. The addressees of this criminal prohibition can base a claim on a constitutional
right against the state to have the constitutionality of the relevant act reviewed. If the
criminal prohibition is upheld, there is an effect for third parties. Certain fraudulent
activities are banned, so that third parties are protected from falling victim to these
fraudulent activities. The question is, however, whether such an effect is a merely factual
From: Oxford Constitutions (http://oxcon.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber:
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phenomenon or actually a legally relevant effect. It is a legally relevant effect if and when
there are rights to protection against the state as instances of positive constitutional rights.
8. The moral foundation of constitutional rights and international fundamental rights
counts as an argument to perceive such horizontal effect as legally relevant. These rights
objectively claim to transform human rights as moral rights into the law (Borowski (2007)
40–41; Alexy (2014) 19–20). Moral rights as such, which do not presuppose the law, the
state, or any other institutional framework, are rights erga omnes (Alexy (1998) 247–248;
Borowski (2001) 46). If an individual has a → right to life, this is a right erga omnes that no
other individual, or no corporation, private or public, deprives the former individual of its
life. With the institutionalization of the state and the law, these moral rights with their erga
omnes structure are transformed into legal rights in the form of constitutional rights and
international fundamental rights, which are technically addressed to the state as the
omnicompetent power that governs society. This is not to say that any relevant effect for
third parties is necessarily lost in this transformation; there are still good moral arguments
for Drittwirkung of the legal instruments. The hypothetical example of a state that does not
criminalize murder and homicide and does not replace a criminal prohibition of these acts
with other effective means of the protection of its citizens’ lives is telling: would we say that
the indirect protection of life to which a criminal prohibition of murder and homicide gives
rise is a merely factual effect rather than a legally relevant effect? Would we say that an
individual does not have any right to protection against the state to the effect that no other
individual deprives the former individual of its life, if and when the state has effective
means at its disposal, that the former individual has not? These rhetorical questions suggest
that the question of the existence of Drittwirkung or horizontal effect needs to be answered
positively. In particular, large private → corporations in their roles as employers, landlords,
or bankers can be so powerful vis-à-vis individuals that the situation calls for some form of
constitutional protection.
11. Two forms of such direct horizontal effect can be distinguished. According to the first
form, another private party simply takes the place of the state in the vertical relationship
between private parties and the state. It is easy to see that this cannot work, for the
provisions on constitutional rights are tailored to the state and its specific powers—for
example, the state is empowered to limit constitutional rights, while private parties are not.
What is more, the neutral state is under a stronger obligation to consider an individual’s
need for protection than another autonomous individual. It is hardly surprising that this
simplified form of direct horizontal effect has received little if any support in the literature;
it was and is rather used as an artefact by supporters of indirect Drittwirkung as an attempt
to reduce the idea of direct horizontal effect on the whole ad absurdum. According to the
second, more reasonable form of direct Drittwirkung, an individual’s obligation stemming
from constitutional rights is modified with an eye to scope and strength compared to the
From: Oxford Constitutions (http://oxcon.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber:
Max Planck Foundation for International Peace and the Rule of Law; date: 19 August 2019
obligation of the state. The debate on this more reasonable form of direct horizontal effect
largely turns on the wording of the relevant provisions, most of which assume that only the
state is the addressee of constitutional rights. By exception, there are some very few
provisions on constitutional rights whose wording suggests direct Drittwirkung.
From: Oxford Constitutions (http://oxcon.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber:
Max Planck Foundation for International Peace and the Rule of Law; date: 19 August 2019
rights is often emphasized (see, for example, Alexy (2002) 360–365; Cherednychenko 6;
Gardbaum (2011) 397; O’Cinneide and Stelzer 177).
(d) Conclusion
18. Where the provisions of a → bill of rights suggest that the state rather than a private
party is the addressee of constitutional or human rights, indirect Drittwirkung in the form
of Drittwirkung mediated by rights against the state offers the most convincing
reconstruction.
From: Oxford Constitutions (http://oxcon.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber:
Max Planck Foundation for International Peace and the Rule of Law; date: 19 August 2019
1. US Constitutional Law and the State Action Doctrine
20. According to the state action doctrine in US constitutional law, constitutional rights are
protections against state action. The → Supreme Court of the United States held at the end
of the nineteenth century that the Fourteenth Amendment is not addressed to private
individuals (Virginia v Rives (1880) 318 (US); recently confirmed in United States v
Morrison (2000) (US)). This doctrine, which applies generally to all constitutional
protections (on exceptions see Chemerinsky 495–517), is based on (i) textual arguments, (ii)
the idea that common law covered the horizontal relationship between and among private
parties sufficiently, and (iii) for the sake of preservation of autonomy of the individual
(Chemerinsky 489–492). The last argument was also used in the German debate as a key
argument against direct Drittwirkung; it does not necessarily rule out indirect Drittwirkung
in its classic form. Just as in the case of German classic indirect Drittwirkung, judicial
enforcement of private interests can be regarded as state action that is committed to the
constitution (see Shelley v Kraemer (1948) 18 (US); New York Times v Sullivan (1964) 265
(US) (→ New York Times v Sullivan Case (US)); Cohen v Cowles Media Co (1991) 668 (US);
see, however, also Evans v Abney (1970) 454 (US); on this case law see Giegerich 284–450;
Saunders). This covers only, however, the negative side of Drittwirkung (and even that not
fully, owing to areas in which ‘state action’ is denied). With an eye to the positive side of
Drittwirkung, an additional problem is posed by the fact that in US constitutional law there
is much hesitation to regard constitutional rights as positive rights (Currie (1986);
Gardbaum (2011) 401–402). This is to say that indirect Drittwirkung is rather limited in the
US (Ferreres Comella and Kumm; O’Cinneide and Stelzer 179–180).
21. Insofar as constitutional rights exhibit no horizontal effect, the standards they set to
public authority can, however, be made applicable to private parties by means of an Act of
Congress (Chemerinsky 489–490).
23. There has also been a protracted debate in Latin America, in which the erga omnes
nature of human and fundamental rights has been emphasized in the context of
Drittwirkung, so that → amparo proceedings can also be instituted against private parties
(Brewer-Carias 18–19; Mijangos González). The → Inter-American Court of Human Rights
(IACtHR) has found a violation of a Convention right not only in cases of state action, but
also where the state allowed an act to take place ‘without taking measures to prevent it or
to punish those responsible’ (Velásquez Rodríguez v Honduras (IACtHR) (1988); Godínez
Cruz v Honduras (IACtHR) (1989)). In more recent judgments, the Court emphasized
positive obligations of the state that reflect Drittwirkung (Masacre de Mapiripán v Colombia
(IACtHR) (2005); Ximenes-Lopes v Brazil (IACtHR) (2006)). In its Advisory Opinion OC
18/03 of 17 September 2003, the IACtHR developed another strand in its case law,
according to which Convention rights give rise to ius cogens (see Mijangos González 15–
23).
From: Oxford Constitutions (http://oxcon.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber:
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24. In the Commonwealth, debates on horizontal effect of fundamental rights were
sparked, in particular, by seminal cases in Canada (RWDSU v Dolphin Delivery Ltd (1986)
(Can); see generally Weinrib and Weinrib; O’Cinneide and Stelzer 183–184; Barak 19–20)
and South Africa (Du Plessis v De Klerk (1996) (S Afr); see generally Cheadle). Owing to the
characteristics of the constitution and the legal system of the United Kingdom there is a
particular debate on the domestic horizontal effect of the rights of the ECHR, which have
been given ‘further effect’ by the Human Rights Act 1998 (Phillipson; Hunt;
Cherednychenko 14–21).
27. There has also been a protracted debate on horizontal effect of treaty provisions or
primary law in general. The Court of Justice of the European Union (‘CJEU’) ruled on
several occasions that treaty provisions may give rise to legal effects between and among
private parties (see, for example, Defrenne v SABENA (CJEU) 39 (1976); The International
Transport Workers’ Federation and The Finnish Seamen’s Union (CJEU) 56–66 (2007)). The
literature on this issue is divided (see Ehlers 198–199; Lohse; Papier 1353–1360; Schepel;
Caro de Souza).
28. Horizontal effect of primary EU law needs to be clearly distinguished from the issue of
horizontal effect of secondary EU law, most notably from the classical problem of direct
horizontal effect of directives (see Craig and de Búrca 204–220 with further references).
Select Bibliography
Alexy, R, ‘Die Institutionalisierung der Menschenrechte im demokratischen
Verfassungsstaat’ in Gosepath, S, and Lohmann, G, (eds), Philosophie der
Menschenrechte (Suhrkamp 1998) 244.
Barak, A, ‘Constitutional Human Rights and Private Law’ in Friedman, D, and Barak-
Erez, D, (eds), Human Rights in Private Law (Hart 2001) 13.
From: Oxford Constitutions (http://oxcon.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber:
Max Planck Foundation for International Peace and the Rule of Law; date: 19 August 2019
Borowski, M, ‘Classifying and Qualifying Properties of Fundamental Rights’ in Ollero,
A, (ed.), Human Rights and Ethics (Steiner 2007) 37.
Caro de Souza, P, ‘Horizontal Expression of Vertical Desires: Horizontal Effect and the
Scope of the EU Fundamental Freedoms’ (2013) 2 Cambridge Journal of International
and Comparative Law 479.
Castan, SJ, and Castan, M, The International Covenant on Civil and Political Rights—
Cases, Materials, and Commentary (3rd edn OUP 2013).
Cheadle, H, ‘Third Party Effect in the South African Constitution’ in Sajó, A, and Uitz,
R, (eds), The Constitution in Private Relations (Eleven 2005) 55.
Craig, P, and de Búrca, G, EU Law—Texts, Cases and Materials (6th edn OUP 2015).
Harris, DJ, O’Boyle, M, Bates, EP, and Buckley, CM, Law of the European Convention
on Human Rights (3rd edn OUP 2014).
Hunt, M, ‘The ‘Horizontal Effect’ of the Human Rights Act’ (1998) Public Law 423.
From: Oxford Constitutions (http://oxcon.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber:
Max Planck Foundation for International Peace and the Rule of Law; date: 19 August 2019
Jarass, HD, Charta der Grundrechte der Europäischen Union (2nd edn Beck 2013).
Mijangos González, J, ‘The Doctrine of the Drittwirkung der Grundrechte in the Case
Law of the Inter-American Court of Human Rights’ (2008) InDret 1.
Papier, H-J, ‘Drittwirkung der Grundrechte’ in Merten, D, and Papier, H-J, (eds),
Handbuch der Grundrechte in Deutschland und Europa vol. II (Müller 2006) 1331.
Phillipson, G, ‘The Human Rights Act, ‘Horizontal Effect’ and the Common Law: A
Bang or a Whimper?’ (1999) 62 ModLRev 824.
Saunders, C, ‘Constitutional Rights and the Common Law’ in Sajó, A, and Uitz, R,
(eds), The Constitution in Private Relations (Eleven 2005) 183.
Weinrib, LE, and Weinrib, EJ, ‘Constitutional Values and Private Law in Canada’ in
Friedman, D, and Barak-Erez, D, (eds), Human Rights in Private Law (Hart 2001) 43.
Select Cases
Abstammungserklärung 1 BvR 3309/13 (19 April 2016) BVerfGE 141, 186 (Ger).
Abstammungsfeststellung 1 BvR 421/05 (13 February 2007) BVerfGE 117, 202 (Ger).
Arzthaftung 2 BvR 878/74 (25 July 1979) BVerfGE 52, 131 (Ger).
Auskunftsanspruch des Scheinvaters 1 BvR 472/14 (24 February 2015) BVerfGE 138,
377 (Ger).
Benetton I 1 BvR 1762/95, 1 BvR 1787/95 (12 December 2000) BVerfGE 102, 347
(Ger).
Benetton II 1 BvR 426/02 (11 March 2003) BVerfGE 107, 275 (Ger).
From: Oxford Constitutions (http://oxcon.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber:
Max Planck Foundation for International Peace and the Rule of Law; date: 19 August 2019
Blinkfüer 1 BvR 619/63 (26 February 1969) BVerfGE 25, 256 (Ger).
Bürgschaft 1 BvR 567/89, 1 BvR 1044/89 (19 October 1993) BVerfGE 89, 214 (Ger).
Caroline von Monaco I 1 BvR 1861/93, 1 BvR 1864/96, 1 BvR 2073/97 (14 January
1998) BVerfGE 97, 125 (Ger).
Caroline von Monaco II 1 BvR 653/96 (15 December 1999) BVerfGE 101, 361 (Ger).
Caroline von Monaco III 1 BvR 1602/07, 1 BvR 1606/07, 1 BvR 1626/07 (26 February
2008) BVerfGE 120, 180 (Ger).
Godínez Cruz v Honduras (Judgment) (IACtHR) (20 January 1989) Series C No. 5.
Soraya 1 BvR 112/65 (14 February 1973) BVerfGE 34, 269 (Ger).
Stasi-Streit 1 BvR 1696/98 (25 October 2005) BVerfGE 114, 339 (Ger).
The International Transport Workers’ Federation and The Finnish Seamen’s Union
Case C-438/05 (CJEU) (11 December 2007) ECLI:EU:C:2007:772.
From: Oxford Constitutions (http://oxcon.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber:
Max Planck Foundation for International Peace and the Rule of Law; date: 19 August 2019
VBL 1 BvL 9/12, 1 BvR 1145/13 (6 May 2014) BVerfGE 136, 152 (Ger).
Velásquez Rodríguez v Honduras (Judgment) (IACtHR) (29 July 1988) Series C No. 4.
Select Documents
Charter of Fundamental Rights of the European Union (done 7 December 2000,
entered into force 1 December 2009) (2001) 40 ILM 266.
Treaty on European Union (signed 7 February 1992, entered into force 1 November
1993) [1992] OJ C191/1 (Maastricht Treaty).
From: Oxford Constitutions (http://oxcon.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved. Subscriber:
Max Planck Foundation for International Peace and the Rule of Law; date: 19 August 2019