Friday, 20 July 2012

BRANDEIS; Louis D.; WARREN, Samuel D. The Right to Privacy. Harvard Law Review, V. IV, No. 5, December 1890.

Harvard Law Review

Vol. IV
December 15, 1890
No. 5

THE RIGHT TO PRIVACY


"It could be done only on principles of private justice, moral fitness, and public convenience, which, when applied to a new subject, make common law without a precedent ; much more when received and approved by usage."
Willes, J., in Millar v. Taylor, 4 Burr. 2303, 2312
THAT the individual shall have full protection in person and in property is a principle as old as the common law; but it has been found necessary from time to time to define anew the exact nature and extent of such protection. Political, social, and economic changes entail the recognition of new rights, and the common law, in its eternal youth, grows to meet the new demands of society. Thus, in very early times, the law gave a remedy only for physical interference with life and property, for trespasses vi et armis. Then the "right to life" served only to protect the subject from battery in its various forms ; liberty meant freedom from actual restraint ; and the right to property secured to the individual his lands and his cattle. Later, there came a recognition of man's spiritual nature, of his feelings and his intellect. Gradually the scope of these legal rights broadened ; and now the right to life has come to mean the right to enjoy life, — the right to be let alone ; the right to liberty secures the exercise of extensive civil privileges ; and the term "property" has grown to comprise every form of possession — intangible, as well as tangible.
Thus, with the recognition of the legal value of sensations, the protection against actual bodily injury was extended to prohibit mere attempts to do such injury ; that is, the putting another in fear of such injury. From the action of battery grew that of assault.1 Much later there came a qualified protection of the individual against offensive noises and odors, against dust and smoke, and excessive vibration. The law of nuisance was developed.2 So regard for human emotions soon extended the scope of personal immunity beyond the body of the individual. His reputation, the standing among his fellow-men, was considered, and the law of slander and libel arose.3 Man's family relations became a part of the legal conception of his life, and the alienation of a wife's affections was held remediable.4 Occasionally the law halted, as in its refusal to recognize the intrusion by seduction upon the honor of the family. But even here the demands of society were met. A mean fiction, the action per quod servitium amisit, was resorted to, and by allowing damages for injury to the parents' feelings, an adequate remedy was ordinarily afforded.5 Similar to the expansion of the right to life was the growth of the legal conception of property. From corporeal property arose the incorporeal rights issuing out of it ; and then there opened the wide realm of intangible property, in the products and processes of the mind,6 as works of literature and art, 7 goodwill, 8 trade secrets, and trademarks. 9
This development of the law was inevitable. The intense intellectual and emotional life, and the heightening of sensations which came with the advance of civilization, made it clear to men that only a part of the pain, pleasure, and profit of life lay in physical things. Thoughts, emotions, and sensations demanded legal recognition, and the beautiful capacity for growth which characterizes the common law enabled the judges to afford the requisite protection, without the interposition of the legislature.
Recent inventions and business methods call attention to the next step which must be taken for the protection of the person, and for securing to the individual what Judge Cooley calls the right "to be let alone" 10 Instantaneous photographs and newspaper enterprise have invaded the sacred precincts of private and domestic life ; and numerous mechanical devices threaten to make good the prediction that "what is whispered in the closet shall be proclaimed from the house-tops." For years there has been a feeling that the law must afford some remedy for the unauthorized circulation of portraits of private persons ;11 and the evil of invasion of privacy by the newspapers, long keenly felt, has been but recently discussed by an able writer.12 The alleged facts of a somewhat notorious case brought before an inferior tribunal in New York a few months ago, 13 directly involved the consideration of the right of circulating portraits ; and the question whether our law will recognize and protect the right to privacy in this and in other respects must soon come before out courts for consideration.
Of the desirability — indeed of the necessity — of some such protection, there can, it is believed, be no doubt. The press is overstepping in every direction the obvious bounds of propriety and of decency. Gossip is no longer the resource of the idle and of the vicious, but has become a trade, which is pursued with industry as well as effrontery. To satisfy a prurient taste the details of sexual relations are spread broadcast in the columns of the daily papers. To occupy the indolent, column upon column is filled with idle gossip, which can only be procured by intrusion upon the domestic circle. The intensity and complexity of life, attendant upon advancing civilization, have rendered necessary some retreat from the world, and man, under the refining influence of culture, has become more sensitive to publicity, so that solitude and privacy have become more essential to the individual ; but modern enterprise and invention have, through invasions upon his privacy, subjected him to mental pain and distress, far greater than could be inflicted by mere bodily injury. Nor is the harm wrought by such invasions confined to the suffering of those who may be the subjects of journalistic or other enterprise. In this, as in other branches of commerce, the supply creates the demand. Each crop of unseemly gossip, thus harvested, becomes the seed of more, and, in direct proportion to its circulation, results in the lowering of social standards and of morality. Even gossip apparently harmless, when widely and persistently circulated, is potent for evil. It both belittles and perverts. It belittles by inverting the relative importance of things, thus dwarfing the thoughts and aspirations of a people. When personal gossip attains the dignity of print, and crowds the space available for matters of real interest to the community, what wonder that the ignorant and thoughtless mistake its relative importance. Easy of comprehension, appealing to that weak side of human nature which is never wholly cast down by the misfortunes and frailties of our neighbors, no one can be surprised that it usurps the place of interest in brains capable of other things. Triviality destroys at once robustness of thought and delicacy of feeling. No enthusiasm can flourish, no generous impulse can survive under its blighting influence.
It is our purpose to consider whether the existing law affords a principle which can properly be invoked to protect the privacy of the individual ; and, if it does, what the nature and extent of such protection is.
Owing to the nature of the instruments by which privacy is invaded, the injury inflicted bears a superficial resemblance to the wrongs dealt with by the law of slander and of libel, while a legal remedy for such injury seems to involve the treatment of mere wounded feelings, as a substantive cause of action. The principle on which the law of defamation rests, covers, however, a radically different class of effects from those for which attention is now asked. It deals only with damage to reputation, with the injury done to the individual in his external relations to the community, by lowering him in the estimation of his fellows. The matter published of him, however widely circulated, and however unsuited to publicity, must, in order to be actionable, have a direct tendency to injure him in his intercourse with others, and even if in writing or in print, must subject him to the hatred, ridicule, or contempt of his fellowmen, — the effect of the publication upon his estimate of himself and upon his own feelings nor forming an essential element in the cause of action. In short, the wrongs and correlative rights recognized by the law of slander and libel are in their nature material rather than spiritual. That branch of the law simply extends the protection surrounding physical property to certain of the conditions necessary or helpful to worldly prosperity. On the other hand, our law recognizes no principle upon which compensation can be granted for mere injury to the feelings. However painful the mental effects upon another of an act, though purely wanton or even malicious, yet if the act itself is otherwise lawful, the suffering inflicted is dannum absque injuria. Injury of feelings may indeed be taken account of in ascertaining the amount of damages when attending what is recognized as a legal injury ;14 but our system, unlike the Roman law, does not afford a remedy even for mental suffering which results from mere contumely and insult, but from an intentional and unwarranted violation of the "honor" or another.15
It is not however necessary, in order to sustain the view that the common law recognizes and upholds a principle applicable to cases of invasion of privacy, to invoke the analogy, which is but superficial, to injuries sustained, either by an attack upon reputation or by what the civilians called a violation of honor ; for the legal doctrines relating to infractions of what is ordinarily termed the common-law right to intellectual and artistic property are, it is believed, but instances and applications of a general right to privacy, which properly understood afford a remedy for the evils under consideration.
The common law secures to each individual the right of determining, ordinarily, to what extent his thoughts, sentiments, and emotions shall be communicated to others.16 Under our system of government, he can never be compelled to express them (except when upon the witness stand); and even if he has chosen to give them expression, he generally retains the power to fix the limits of the publicity which shall be given them. The existence of this right does not depend upon the particular method of expression adopted. It is immaterial whether it be by word17 or by signs,18 in painting,19 by sculpture, or in music.20 Neither does the existence of the right depend upon the nature or value of the thought or emotions, nor upon the excellence of the means of expression.21 The same protection is accorded to a casual letter or an entry in a diary and to the most valuable poem or essay, to a botch or daub and to a masterpiece. In every such case the individual is entitled to decide whether that which is his shall be given to the public.22 No other has the right to publish his productions in any form, without his consent. This right is wholly independent of the material on which, the thought, sentiment, or emotions is expressed. It may exist independently of any corporeal being, as in words spoken, a song sung, a drama acted. Or if expressed on any material, as in a poem in writing, the author may have parted with the paper, without forfeiting any proprietary right in the composition itself. The right is lost only when the author himself communicates his production to the public, — in other words, publishes it.23 It is entirely independent of the copyright laws, and their extension into the domain of art. The aim of those statutes is to secure to the author, composer, or artist the entire profits arising from publication ; but the common-law protection enables him to control absolutely the act of publication, and in the exercise of his own discretion, to decide whether there shall be any publication at all.24 The statutory right is of no value, unless there is a publication ; the common-law right is lost as soon as there is a publication.
What is the nature, the basis, of this right to prevent the publication of manuscripts or works of art? It is stated to be the enforcement of a right of property ;25 and no difficulty arises in accepting this view, so long as we have only to deal with the reproduction of literary and artistic compositions. They certainly possess many of the attributes of ordinary property ; they are transferable ; they have a value ; and publication or reproduction is a use by which that value is realized. But where the value of the production is found not in the right to take the profits arising from publication, but in the peace of mind or the relief afforded by the ability to prevent any publication at all, it is difficult to regard the right as one of property, in the common acceptation of that term. A man records in a letter to his son, or in his diary, that he did not dine with his wife on a certain day. No one into whose hands those papers fall could publish them to the world, even if possession of the documents had been obtained rightfully ; and the prohibition would not be confined to the publication of a copy of the letter itself, or of the diary entry ; the restraint extends also to a publication of the contents. What is the thing which is protected? Surely, not the intellectual act of recording the fact that the husband did not dine with his wife, but that fact itself. It is not the intellectual product, but the domestic occurrence. A man writes a dozen letters to different people. No person would be permitted to publish a list of the letters written. If the letters or the contents of the diary were protected as literary compositions, the scope of the protection afforded should be the same secured to a published writing under the copyright law. But the copyright law would not prevent an enumeration of the letters, or the publication of some of the facts contained therein. The copyright of a series of paintings or etchings would prevent a reproduction of the paintings as pictures ; but it would not prevent a publication of list or even a description of them.26 Yet in the famous case of Prince Albert v. Strange, the court held that the common-law rule prohibited not merely the reproduction of the etchings which the plaintiff and Queen Victoria had made for their own pleasure, but also "the publishing (at least by printing or writing), though not by copy or resemblance, a description of them, whether more or less limited or summary, whether in the form of a catalogue or otherwise."27 Likewise, an unpublished collection of news possessing no element of a literary nature is protected from privacy.28
That this protection cannot rest upon the right to literary or artistic property in any exact sense, appears the more clearly when the subject-matter for which protection is invoked is not even in the form of intellectual property, but has the attributes of ordinary tangible property. Suppose a man has a collection of gems or curiosities which he keeps private : it would hardly be contended that any person could publish a catalogue of them, and yet the articles enumerated are certainly not intellectual property in the legal sense, any more than a collection of stoves or of chairs.29
The belief that the idea of property in its narrow sense was the basis of the protection of unpublished manuscripts led an able court to refuse, in several cases, injunctions against the publication of private letters, on the ground that "letters not possessing the attributes of literary compositions are not property entitled to protection ; "and that it was "evident the plaintiff could not have considered the letters as of any value whatever as literary productions, for a letter cannot be considered of value to the author which he never would consent to have published."30 But those decisions have not been followed,31 and it may not be considered settled that the protection afforded by the common law to the author of any writing is entirely independent of its pecuniary value, its intrinsic merits, or of any intention to publish the same and, of course, also, wholly independent of the material, if any, upon which, or the mode in which, the thought or sentiment was expressed.
Although the courts have asserted that they rested their decisions on the narrow grounds of protection to property, yet there are recognitions of a more liberal doctrine. Thus in the case of Prince Albert v. Strange, already referred to, the opinions of both the Vice-Chancellor and of the Lord Chancellor, on appeal, show a more or less clearly defined perception of a principle broader than those which were mainly discussed, and on which they both place their chief reliance. Vice-Chancellor Knight Bruce referred to publishing of a man that he had "written to particular persons or on particular subjects" as an instance of possibly injurious disclosures as to private matters, that the courts would in a proper case prevent ; yet it is difficult to perceive how, in such a case, any right of privacy, in the narrow sense, would be drawn in question, or why, if such a publication would be restrained when it threatened to expose the victim not merely to sarcasm, but to ruin, it should not equally be enjoined, if it threatened to embitter his life. To deprive a man of the potential profits to be realized by publishing a catalogue of his gems cannot per se be a wrong to him. The possibility of future profits is not a right of property which the law ordinarily recognizes ; it must, therefore, be an infraction of other rights which constitutes the wrongful act, and that infraction is equally wrongful, whether its results are to forestall the profits that the individual himself might secure by giving the matter a publicity obnoxious to him, or to gain an advantage at the expense of his mental pain and suffering. If the fiction of property in a narrow sense must be preserved, it is still true that the end accomplished by the gossip-monger is attained by the use of that which is another's, the facts relating to his private life, which he has seen fit to keep private. Lord Cottenham stated that a man "is that which is exclusively his," and cited with approval the opinion of Lord Eldon, as reported in a manuscript note of the case of Wyatt v. Wilson, in 1820, respecting an engraving of George the Third during his illness, to the effect that "if one of the late king's physicians had kept a diary of what he heard and saw, the court would not, in the king's lifetime, have permitted him to print and publish it ; "and Lord Cottenham declared, in respect to the acts of the defendants in the case before him, that "privacy is the right invaded." But if privacy is once recognized as a right entitled to legal protection, the interposition of the courts cannot depend on the particular nature of the injuries resulting.
These considerations lead to the conclusion that the protection afforded to thoughts, sentiments, and emotions, expressed through the medium of writing or of the arts, so far as it consists in preventing publication, is merely an instance of the enforcement of the more general right of the individual to be let alone. It is like the right not be assaulted or beaten, the right not be imprisoned, the right not to be maliciously prosecuted, the right not to be defamed. In each of these rights, as indeed in all other rights recognized by the law, there inheres the quality of being owned or possessed — and (as that is the distinguishing attribute of property) there may some propriety in speaking of those rights as property. But, obviously, they bear little resemblance to what is ordinarily comprehended under that term. The principle which protects personal writings and all other personal productions, not against theft and physical appropriation, but against publication in any form, is in reality not the principle of private property, but that of an inviolate personality.32
If we are correct in this conclusion, the existing law affords a principle from which may be invoked to protect the privacy of the individual from invasion either by the too enterprising press, the photographer, or the possessor of any other modern device for rewording or reproducing scenes or sounds. For the protection afforded is not confined by the authorities to those cases where any particular medium or form of expression has been adopted, not to products of the intellect. The same protection is afforded to emotions and sensations expressed in a musical composition or other work of art as to a literary composition ; and words spoken, a pantomime acted, a sonata performed, is no less entitled to protection than if each had been reduced to writing. The circumstance that a thought or emotion has been recorded in a permanent form renders its identification easier, and hence may be important from the point of view of evidence, but it has no significance as a matter of substantive right. If, then, the decisions indicate a general right to privacy for thoughts, emotions, and sensations, these should receive the same protection, whether expressed in writing, or in conduct, in conversation, in attitudes, or in facial expression.
It may be urged that a distinction should be taken between the deliberate expression of thoughts and emotions in literary or artistic compositions and the casual and often involuntary expression given to them in the ordinary conduct of life. In other words, it may be contended that the protection afforded is granted to the conscious products of labor, perhaps as an encouragement to effort.33 This contention, however plausible, has, in fact, little to recommend it. If the amount of labor involved be adopted as the test, we might well find that the effort to conduct one's self properly in business and in domestic relations had been far greater than that involved in painting a picture or writing a book ; one would find that it was far easier to express lofty sentiments in a diary than in the conduct of a noble life. If the test of deliberateness of the act be adopted, much casual correspondence which is now accorded full protection would be excluded from the beneficent operation of existing rules. After the decisions denying the distinction attempted to be made between those literary productions which it was intended to publish and those which it was not, all considerations of the amount of labor involved, the degree of deliberation, the value of the product, and the intention of publishing must be abandoned, and no basis is discerned upon which the right to restrain publication and reproduction of such so-called literary and artistic works can be rested, except the right to privacy, as a part of the more general right to the immunity of the person, — the right to one's personality.
It should be stated that, in some instances where protection has been afforded against wrongful publication, the jurisdiction has been asserted, not on the ground of property, or at least not wholly on that ground, but upon the ground of an alleged breach of an implied contract or of a trust or confidence.
Thus, in Abernethy v. Hutchinson, 3 L. J. Ch. 209 (1825), where the plaintiff, a distinguished surgeon, sought to restrain the publication in the "Lancet" of unpublished lectures which he had delivered as St. Bartholomew's Hospital in London, Lord Eldon doubted whether there could be property in lectures which had not been reduced to writing, but granted the injunction on the ground of breach of confidence, holding "that when persons were admitted as pupils or otherwise, to hear these lectures, although they were orally delivered, and although the parties might go to the extent, if they were able to do so, of putting down the whole by means of short-hand, yet they could do that only for the purposes of their own information, and could not publish, for profit, that which they had not obtained the right of selling."
In Prince Albert v. Strange, I McN. & G. 25 (1849), Lord Cottenham, on appeal, while recognizing a right of property in the etchings which of itself would justify the issuance of the injunction, stated, after discussing the evidence, that he was bound to assume that the possession of the etching by the defendant had "its foundation in a breach of trust, confidence, or contract," and that upon such ground also the plaintiff's title to the injunction was fully sustained.
In Tuck v. Priester, 19 Q.B.D. 639 (1887), the plaintiffs were owners of a picture, and employed the defendant to make a certain number of copies. He did so, and made also a number of other copies for himself, and offered them for sale in England at a lower price. Subsequently, the plaintiffs registered their copyright in the picture, and then brought suit for an injunction and damages. The Lords Justices differed as to the application of the copyright acts to the case, but held unanimously that independently of those acts, the plaintiffs were entitled to an injunction and damages for breach of contract.
In Pollard v. Photographic Co., 40 Ch. Div. 345 (1888), a photographer who had taken a lady's photograph under the ordinary circumstances was restrained from exhibiting it, and also from selling copies of it, on the ground that it was a breach of an implied term in the contract, and also that it was a breach of confidence. Mr. Justice North interjected in the argument of the plaintiff's counsel the inquiry: "Do you dispute that if the negative likeness were taken on the sly, the person who took it might exhibit copies?" and counsel for the plaintiff answered: "In that case there would be no trust or consideration to support a contract." Later, the defendant's counsel argued that "a person has no property in his own features ; short of doing what is libellous or otherwise illegal, there is no restriction on the photographer's using his negative." But the court, while expressly finding a breach of contract and of trust sufficient to justify its interposition, still seems to have felt the necessity of resting the decision also upon a right of property,34 in order to bring it within the line of those cases which were relied upon as precedents.35
This process of implying a term in a contract, or of implying a trust (particularly where a contract is written, and where these is no established usage or custom), is nothing more nor less than a judicial declaration that public morality, private justice, and general convenience demand the recognition of such a rule, and that the publication under similar circumstances would be considered an intolerable abuse. So long as these circumstances happen to present a contract upon which such a term can be engrafted by the judicial mind, or to supply relations upon which a trust or confidence can be erected, there may be no objection to working out the desired protection though the doctrines of contract or of trust. But the court can hardly stop there. The narrower doctrine may have satisfied the demands of society at a time when the abuse to be guarded against could rarely have arisen without violating a contract or a special confidence ; but now that modern devices afford abundant opportunities for the perpetration of such wrongs without any participation by the injured party, the protection granted by the law must be placed upon a broader foundation. While, for instance, the state of the photographic art was such that one's picture could seldom be taken without his consciously "sitting" for the purpose, the law of contract or of trust might afford the prudent man sufficient safeguards against the improper circulation of his portrait ; but since the latest advances in photographic art have rendered it possible to take pictures surreptitiously, the doctrines of contract and of trust are inadequate to support the required protection, and the law of tort must be resorted to. The right of property in its widest sense, including all possession, including all rights and privileges, and hence embracing the right to an inviolate personality, affords alone that broad basis upon which the protection which the individual demands can be rested.
Thus, the courts, in searching for some principle upon which the publication of private letters could be enjoined, naturally came upon the ideas of a breach of confidence, and of an implied contract ; but it required little consideration to discern that this doctrine could not afford all the protection required, since it would not support the court in granting a remedy against a stranger ; and so the theory of property in the contents of letters was adopted.36 Indeed, it is difficult to conceive on what theory of the law the casual recipient of a letter, who proceeds to publish it, is guilty of a breach of contract, express or implied, or of any breach of trust, in the ordinary acceptation of that term. Suppose a letter has been addressed to him without his solicitation. He opens it, and reads. Surely, he has not made any contract ; he has not accepted any trust. He cannot, by opening and reading the letter, have come under any obligation save what the law declares ; and, however expressed, that obligation is simply to observe the legal right of the sender, whatever it may be, and whether it be called his right or property in the contents of the letter, or his right to privacy.37
A similar groping for the principle upon which a wrongful publication can be enjoined is found in the law of trade secrets. There, injunctions have generally been granted on the theory of a breach of contract, or of an abuse of confidence.38 It would, of course, rarely happen that any one would be in possession of a secret unless confidence had been reposed in him. But can it be supposed that the court would hesitate to grant relief against one who had obtained his knowledge by an ordinary trespass, — for instance, by wrongfully looking into a book in which the secret was recorded, or by eavesdropping? Indeed, in Yovatt v. Winyard, I J.&W. 394 (1820), where an injunction was granted against making any use or of communicating certain recipes for veterinary medicine, it appeared that the defendant while in the plaintiff's employ, had surreptitiously got access to his book of recipes, and copied them. Lord Eldon "granted the injunction, upon the ground of there having been a breach of trust and confidence;" but it would seem difficult to draw any sound legal distinction between such a case and one where a mere stranger wrongfully obtained access to the book.39
We must therefore conclude that the rights, so protected, whatever their exact nature, are not rights arising from contract or from special trust, but are rights as against the world ; and, as above stated, the principle which has been applied to protect these rights is in reality not the principle of private property, unless that word be used in an extended and unusual sense. The principle which protects personal writings and any other productions of the intellect of or the emotions, is the right to privacy, and the law has no new principle to formulate when it extends this protection to the personal appearance, sayings, acts, and to personal relation, domestic or otherwise.40
If the invasion of privacy constitutes a legal injuria, the elements for demanding redress exist, since already the value of mental suffering, caused by an act wrongful in itself, is recognized as a basis for compensation.
The right of one who has remained a private individual, to prevent his public portraiture, presents the simplest case for such extension ; the right to protect one's self from pen portraiture, from a discussion by the press of one's private affairs, would be a more important and far-reaching one. If casual and unimportant statements in a letter, if handiwork, however inartistic and valueless, if possessions of all sorts are protected not only against reproduction, but also against description and enumeration, how much more should the acts and sayings of a man in his social and domestic relations be guarded from ruthless publicity. If you may not reproduce a woman's face photographically without her consent, how much less should be tolerated the reproduction of her face, her form, and her actions, by graphic descriptions colored to suit a gross and depraved imagination.
The right to privacy, limited as such right must necessarily be, has already found expression in the law of France.41
It remains to consider what are the limitations of this right to privacy, and what remedies may be granted for the enforcement of the right. To determine in advance of experience the exact line at which the dignity and convenience of the individual must yield to the demands of the public welfare or of private justice would be a difficult task ; but the more general rules are furnished by the legal analogies already developed in the law of slander and libel, and in the law of literary and artistic property.
  1. The right to privacy does not prohibit any publication of matter which is of public or general interest.
    In determining the scope of this rule, aid would be afforded by the analogy, in the law of libel and slander, of cases which deal with the qualified privilege of comment and criticism on matters of public and general interest.42 There are of course difficulties in applying such a rule ; but they are inherent in the subject-matter, and are certainly no greater than those which exist in many other branches of the law, — for instance, in that large class of cases in which the reasonableness or unreasonableness of an act is made the test of liability. The design of the law must be to protect those persons with whose affairs the community has no legitimate concern, from being dragged into an undesirable and undesired publicity and to protect all persons, whatsoever ; their position or station, from having matters which they may properly prefer to keep private, made public against their will. It is the unwarranted invasion of individual privacy which is reprehended, and to be, so far as possible, prevented. The distinction, however, noted in the above statement is obvious and fundamental. There are persons who may reasonably claim as a right, protection from the notoriety entailed by being made the victims of journalistic enterprise. There are others who, in varying degrees, have renounced the right to live their lives screened from public observation. Matters which men of the first class may justly contend, concern themselves alone, may in those of the second be the subject of legitimate interest to their fellow-citizens. Peculiarities of manner and person, which in the ordinary individual should be free from comment, may acquire a public importance, if found in a candidate for public office. Some further discrimination is necessary, therefore, than to class facts or deeds as public or private according to a standard to be applied to the fact or deed per se. To publish of a modest and retiring individual that he suffers from an impediment in his speech or that he cannot spell correctly, is an unwarranted, if not an unexampled, infringement of his rights, while to state and comment on the same characteristics found in a would-be congressman could not be regarded as beyond the pale of propriety.
    The general object in view is to protect the privacy of private life, and to whatever degree and in whatever connection a man's life has ceased to be private, before the publication under consideration has been made, to that extent the protection is likely to be withdrawn.43 Since, then, the propriety of publishing the very same facts may depend wholly upon the person concerning whom they are published, no fixed formula can be used to prohibit obnoxious publications. Any rule of liability adopted must have in it an elasticity which shall take account of the varying circumstances of each case, — a necessity which unfortunately renders such a doctrine not only more difficult of application, but also to a certain extent uncertain in its operation and easily rendered abortive. Besides, it is only the more flagrant breaches of decency and propriety that could in practice be reached, and it is not perhaps desirable even to attempt to repress everything which the nicest taste and keenest sense of the respect due to private life would condemn.
    In general, then, the matters of which the publication should be repressed may be described as those which concern the private life, habits, acts, and relations of an individual, and have no legitimate connection with his fitness for a public office which he seeks or for which he is suggested, or for any public or quasi public position which he seeks or for which he is suggested, and have no legitimate relation to or bearing upon any act done by him in a public or quasi public capacity. The foregoing is not designed as a wholly accurate or exhaustive definition, since that which must ultimately in a vast number of cases become a question of individual judgment and opinion is incapable of such definition ; but it is an attempt to indicate broadly the class of matters referred to. Some things all men alike are entitled to keep from popular curiosity, whether in public life or not, while others are only private because the persons concerned have not assumed a position which makes their doings legitimate matters of public investigation.44
  2. The right to privacy does not prohibit the communication of any matter, though in its nature private, when the publication is made under circumstances which would render it a privileged communication according to the law of slander and libel.
    Under this rule, the right to privacy is not invaded by any publication made in a court of justice, in legislative bodies, or the committees of those bodies ; in municipal assemblies, or the committees of such assemblies, or practically by any communication in any other public body, municipal or parochial, or in any body quasi public, like the large voluntary associations formed for almost every purpose of benevolence, business, or other general interest ; and (at least in many jurisdictions) reports of any such proceedings would in some measure be accorded a like privilege.45 Nor would the rule prohibit any publication made by one in the discharge of some public or private duty, whether legal or moral, or in conduct of one's own affairs, in matters where his own interest is concerned.46
  3. The law would probably not grant any redress for the invasion of privacy by oral publication in the absence of special damage.
    The same reasons exist for distinguishing between oral and written publications of private matters, as is afforded in the law of defamation by the restricted liability for slander as compared with the liability for libel.47 The injury resulting from such oral communications would ordinarily be so trifling that the law might well, in the interest of free speech, disregard it altogether.48
  4. The right to privacy ceases upon the publication of the facts by the individual, or with his consent.
    This is but another application of the rule which has become familiar in the law of literary and artistic property. The cases there decided establish also what should be deemed a publication, — the important principle in this connection being that a private communication of circulation for a restricted purpose is not a publication within the meaning of the law.49
  5. The truth of the matter published does not afford a defence. Obviously this branch of the law should have no concern with the truth or falsehood of the matters published. It is not for injury to the individual's character that redress or prevention is sought, but for injury to the right of privacy. For the former, the law of slander and libel provides perhaps a sufficient safeguard. The latter implies the right not merely to prevent inaccurate portrayal of private life, but to prevent its being depicted at all.50
  6. The absence of "malice" in the publisher does not afford a defence.
    Personal ill-will is not an ingredient of the offence, any more than in an ordinary case of trespass to person or to property. Such malice is never necessary to be shown in an action for libel or slander at common law, except in rebuttal of some defence, e.g., that the occasion rendered the communication privileged, or, under the statutes in this State and elsewhere, that the statement complained of was true. The invasion of the privacy that is to be protected is equally complete and equally injurious, whether the motives by which the speaker or writer was actuated are taken by themselves, culpable or not ; just as the damage to character, and to some extent the tendency to provoke a breach of the peace, is equally the result of defamation without regard to motives leading to its publication. Viewed as a wrong to the individual, this rule is the same pervading the whole law of torts, by which one is held responsible for his intentional acts, even thought they care committed with no sinister intent ; and viewed as a wrong to society, it is the same principle adopted in a large category of statutory offences.
The remedies for an invasion of the right of privacy are also suggested by those administered in the law of defamation, and in the law of literary and artistic property, namely: —
  1. An action of tort for damages in all cases.51 Even in the absence of special damages, substantial compensation could be allowed for injury to feelings as in the action of slander and libel.
  2. An injunction, in perhaps a very limited class of cases.52
It would doubtless be desirable that the privacy of the individual should receive the added protection of the criminal law, but for this, legislation would be required.53 Perhaps it would be deemed proper to bring the criminal liability for such publication within narrower limits ; but that the community has an interest in preventing such invasions of privacy, sufficiently strong to justify the introduction of such a remedy, cannot be doubted. Still, the protection of society must come mainly through a recognition of the rights of the individual. Each man is responsible for his own acts and omissions only. If he condones what he reprobates, with a weapon at hand equal to his defence, he is responsible for the results. If he resists, public opinion will rally to his support. Has he then such a weapon? It is believed that the common law provides him with one, forged in the slow fire of the centuries, and to-day fitly tempered to his hand. The common law has always recognized a man's house as his castle, impregnable, often, even to his own officers engaged in the execution of its command. Shall the courts thus close the front entrance to constituted authority, and open wide the back door to idle or prurient curiosity?

Samuel D. Warren,
Louis D. Brandeis.

BOSTON, December, 1890.
[Originally published in the Harvard Law Review, V. IV, No. 5, December 1890.]

ACÓRDÃO N.º 353/2012 do TC português - modulação dos efeitos - subsídios do natal; igualdade

(...)
O princípio da igualdade na repartição dos encargos públicos, enquanto manifestação específica do princípio da igualdade, constitui um necessário parâmetro de atuação do legislador. Este princípio deve ser considerado quando o legislador decide reduzir o défice público para salvaguardar a solvabilidade do Estado. Tal como recai sobre todos os cidadãos o dever de suportar os custos do Estado, segundo as suas capacidades, o recurso excecional a uma medida de redução dos rendimentos daqueles que auferem por verbas públicas, para evitar uma situação de ameaça de incumpri­mento, tam­bém não poderá ignorar os limites impostos pelo princípio da igualdade na repartição dos inerentes sacrifícios. Interessando a sustentabilidade das contas públicas a todos, todos devem contribuir, na medida das suas capacidades, para suportar os rea­justamentos indispensáveis a esse fim.
É indiscutível que, com as medidas constantes das normas impugnadas, a repartição de sacrifícios, visando a redução do défice público, não se faz de igual forma entre todos os cidadãos, na proporção das suas capacidades financeiras, uma vez que elas não têm um cariz universal, recaindo exclusivamente sobre as pessoas que auferem remunerações e pensões por verbas públicas. Há, pois, um esforço adicional, em prol da comunidade, que é pedido exclusivamente a algumas categorias de cidadãos.

(...)

Apesar de se reconhecer que estamos numa gravíssima situação económico-financeira, em que o cumprimento das metas do défice público estabelecidas nos referi­dos memorandos de entendimento é importante para garantir a manuten­ção do financiamento do Estado, tais objetivos devem ser alcançados através de medi­das de diminuição de despesa e/ou de aumento da receita que não se traduzam numa repartição de sacrifícios excessivamente diferenciada.
Aliás, quanto maior é o grau de sacrifício imposto aos cidadãos para satisfa­ção de interesses públicos, maiores são as exigências de equidade e justiça na repartição desses sacrifícios.
A referida situação e as necessidades de eficácia das medidas adop­tadas para lhe fazer face, não podem servir de fundamento para dispensar o legisla­dor da sujeição aos direitos fundamentais e aos princípios estruturantes do Estado de Direito, nomeadamente a parâmetros como o princípio da igualdade proporcional. A Constituição não pode certamente ficar alheia à realidade económica e financeira e em especial à verificação de uma situação que se possa considerar como sendo de grave dificuldade. Mas ela possui uma específica autonomia normativa que impede que os objetivos económicos ou finan­ceiros prevaleçam, sem quaisquer limites, sobre parâme­tros como o da igualdade, que a Constituição defende e deve fazer cumprir.
Deste modo se conclui que as normas que prevêem a medida de suspensão do pagamento dos subsídios de férias e de Natal ou quaisquer prestações corresponden­tes aos 13.º e, ou, 14.º meses, quer para pessoas que auferem remunerações salariais de entidades públicas, quer para pessoas que auferem pensões de reforma ou aposenta­ção através do sistema público de segurança social, durante os anos de 2012 a 2014, violam o princípio da igualdade, na dimensão da igualdade na repartição dos encargos públicos, consagrado no artigo 13.º da Constituição.
Por esta razão devem ser declaradas inconstitucionais as normas constantes dos artigos 21.º e 25.º, da Lei n.º 64-B/2011, de 30 de dezembro (Orçamento do Estado para 2012), tornando-se dispensável o seu confronto com outros parâmetros constitucio­nais invocados pelos Requerentes.
Apesar de a situação específica dos reformados e aposentados se diferenciar da dos trabalhadores da Administração Pública no activo, sendo possível quanto aos primeiros convocar diferentes ordens de considerações no plano da constitucionalidade, em face da suficiência do julgamento efectuado, tendo por parâmetro o princípio da igualdade, tal tarefa mostra-se igualmente prejudicada.
6. Estas medidas de suspensão do pagamento de remunerações e de pen­sões inserem-se, como ficou aludido, no quadro de uma política económico-financeira, tendente à redução do défice público a curto prazo, de modo a dar cumprimento aos limites (4,5% do PIB em 2012) impostos nos memorandos acima mencionados, os quais condicionam a concretização dos empréstimos faseados acordados com a União Europeia e com o Fundo Monetário Internacional.
Sendo essencial para o Estado Português, no atual contexto de grave emer­gência, continuar a ter acesso a este financiamento externo, o cumprimento de tal valor orçamental revela-se, por isso, um objetivo de excecional interesse público.
Ora, encontrando-se a execução orçamental de 2012 já em curso avançado, reconhece-se que as consequências da declaração de inconstitucionalidade acima anun­ciada, sem mais, poderiam determinar, inevitavelmente, esse incumprimento, pondo em perigo a manutenção do financiamento acordado e a consequente solvabilidade do Estado. Na verdade, o montante da poupança líquida da despesa pública que se obtém com a medida de suspensão do pagamento dos subsídios de férias e de Natal ou prestações equivalentes a quem aufere por verbas públicas, assume uma dimensão relevante nas contas públicas e no esforço financeiro para se atingir a meta traçada, pelo que dificil­mente seria possível, no período que resta até ao final do ano, projetar e executar medidas alternativas que produzissem efeitos ainda em 2012, de modo a poder alcançar-se a meta orçamental fixada.
Estamos, pois, perante uma situação em que um interesse público de excep­cional relevo exige que o Tribunal Constitucional restrinja os efeitos da declaração de inconstitucionalidade, nos termos permitidos pelo artigo 282.º, n.º 4, da Constituição, não os aplicando à suspensão do pagamento dos subsídios de férias e de Natal, ou quaisquer prestações correspondentes aos 13.º e, ou, 14.º meses, relativos ao ano de 2012.
Decisão
Pelos fundamentos expostos:
a) Declara-se a inconstitucionalidade, com força obrigatória geral, por viola­ção do princípio da igualdade, consagrado no artigo 13.º da Constituição da República Portuguesa, das normas constantes dos artigos 21.º e 25.º, da Lei n.º 64-B/2011, de 30 de dezembro (Orçamento do Estado para 2012).
b) Ao abrigo do disposto no artigo 282.º, n.º 4, da Constituição da República Portuguesa, determina-se que os efeitos desta declaração de inconstitucionalidade não se apliquem à suspensão do pagamento dos subsídios de férias e de Natal, ou quaisquer prestações correspondentes aos 13.º e, ou, 14.º meses, relativos ao ano de 2012.
Lisboa, 5 de julho de 2012.- João Cura Mariano – Ana Guerra Martins – Joaquim de Sousa Ribeiro – Maria João Antunes – Carlos Fernandes Cadilha – Gil Galvão – Catarina Sarmento e Castro (com declaração, quanto ao efeitos) – Carlos Pamplona de Oliveira (vencido quanto à alínea b), nos termos da declaração junta) – J. Cunha Barbosa (com declaração de voto quanto aos efeitos) – Vítor Gomes (Vencido, quanto à al. a) da decisão, nos termos da declaração anexa). – Maria Lúcia Amaral (vencida, quanto à alínea a) da decisão, nos termos da declaração anexa) – Rui Manuel Moura Ramos (Vencido, quanto à alínea a) da decisão, nos termos da declaração anexa).

Thursday, 19 July 2012

Asylbewerber - Menschenwürde - Bundesverfassungsgericht

Zitierung: BVerfG, 1 BvL 10/10 vom 18.7.2012, Absatz-Nr. (1 - 140), http://www.bverfg.de/entscheidungen/ls20120718_1bvl001010.html
Frei für den nicht gewerblichen Gebrauch. Kommerzielle Nutzung nur mit Zustimmung des Gerichts.

"Where we going, man?"; "I don't know but we gotta go." - On the Road


"Sal, we gotta go and never stop going till we get there."

"Where we going, man?"

"I don't know but we gotta go."

Dean and Sal, Ch. 10, p. 240, On the Road, Jack Kerouac

"(...) the only people for me are the mad ones" - On the Road

They danced down the streets like dingledodies, and I shambled after as I've been doing all my life after people who interest me, because the only people for me are the mad ones, the ones who are mad to live, mad to talk, mad to be saved, desirous of everything at the same time, the ones that never yawn or say a commonplace thing, but burn, burn, burn like fabulous yellow roman candles exploding like spiders across the stars and in the middle you see the blue centerlight pop and everybody goes "Awww!"

Sal, Chap. 1, p. 5, On the Road, Jack Kerouac.

Tuesday, 17 July 2012

Fünf Jahre nach EU-Beitritt Europäische Union stellt Rumänien unter Aufsicht

Fünf Jahre nach EU-Beitritt Europäische Union stellt Rumänien unter Aufsicht

17.07.2012, 17:14
Er leitete ein Amtsenthebungsverfahren gegen den Präsidenten ein und beschnitt die Befugnisse des Verfassungsgerichts: Dafür bekommt Rumäniens Premier Ponta jetzt ein verheerendes Zeugnis von der Europäischen Kommission ausgestellt. Nach dem sanften Staatsstreich in Bukarest hält Brüssel die Demokratie für akut gefährdet - und fordert schnelle konkrete Änderungen.
Die Europäische Kommission sieht die Rechtsstaatlichkeit in Rumänien ernsthaft gefährdet und will das Land deshalb stärker als bisher bei der Umsetzung geforderter Reformen überwachen. Das geht aus dem Entwurf des "Fortschrittsberichts Rumänien" hervor, den die Europäische Kommission an diesem Mittwoch dem Europaparlament und den 27 europäischen Staaten übergeben will. Er liegt der Süddeutschen Zeitung vor.
- Bild vergrößern Rumäniens Premier Victor Ponta vergangene Woche während eines Gesprächs mit Journalisten in der rumänischen Vertretung in Brüssel. (© AFP)
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Die jüngsten politischen Turbulenzen in Bukarest hätten "Bedenken verstärkt", dass Rumänien sein Staatswesen wirklich "unumkehrbar und nachhaltig" reformiere, heißt es darin. Der Glaube an Rumänien könne "nur zurückgewonnen werden durch den Beweis, dass Recht über Parteiinteressen stehe, durch Respekt vor Rechtsstaatlichkeit und nachhaltige Reformen."
Damit stellt die EU-Kommission dem Land fünf Jahre nach seinem Beitritt zur EU ein verheerendes Zeugnis aus. Weil der Beitritt bereits 2007 umstritten war, wurde damals vereinbart, für Rumänien - und Bulgarien - jährlich per Bericht zu dokumentieren, wie die noch von Korruption und Vetternwirtschaft durchsetzten Länder demokratische Standards umsetzen.
Ein hoher EU-Beamter sagte am Dienstag, die diesjährige Beurteilung sei "im Lichte der Ereignisse der vergangenen Wochen" erfolgt. Rumäniens Premier Victor Ponta hatte ein Amtsenthebungsverfahren gegen den Präsidenten Traian Basescu eingeleitet und dabei per Eilverordnung verfügt, dass künftig das Verfassungsgericht die Beschlüsse des Parlaments nicht mehr beurteilen dürfe. Dieses Vorgehen war heftig kritisiert worden. Kommissionspräsident José Manuel Barroso hatte Ponta nach Brüssel einbestellt und aufgefordert, die Beschlüsse rückgängig zu machen.
Ponta sicherte Barroso zwar zu, dies zu tun. Dennoch baute die Kommission ihre Forderungen zunächst weiter aus. Auf drei Seiten listete sie in dem Bericht auf, welche Reformen Rumänien bis Ende des Jahres zu erledigen habe. Einige der am heftigsten kritisierten Maßnahmen der vergangenen Wochen sollten rückgängig gemacht werden. So sollte das Parlament die Zuständigkeit für das Amtsblatt zurückerhalten. Ponta hatte es unter Kontrolle gebracht, um zu verhindern, dass missliebige Gesetze in Kraft treten. Zudem sollte ein parteiübergreifend akzeptierter Volksanwalt zur Korruptionsbekämpfung eingesetzt sowie der Generalstaatsanwalt und der Chef der Anti-Korruptionsbehörde transparent bestimmt werden.
Den größten Nachholbedarf listete der Bericht im Justizwesen auf. Das Rechtssystems müsse "durch die Aufstellung und Umsetzung eines umfassenden Reformkonzepts" erneuert werden, hieß es. Dazu zählten die Neuordnung der Gerichte und der Staatsanwaltschaften.
Am Dienstagabend, unmittelbar vor Veröffentlichung des Berichts, teilte die Kommission mit, Premier Ponta habe inzwischen schriftlich zugesagt, alle Reformen umzusetzen. Ob das gelingt, ist allerdings offen, weil das Parlament zustimmen muss. Brüssel will Rumänien bis Ende des Jahres Zeit geben. Die Kommission wird dies durch "regelmäßige Missionen" vor Ort überprüfen und im Dezember einen neuen Bericht vorlegen.

Wednesday, 11 July 2012

Fünf-Prozent-Sperrklausel im Europawahlrecht verfassungswidrig


Bundesverfassungsgericht - Pressestelle -

Pressemitteilung Nr. 70/2011 vom 9. November 2011

Urteil vom 9. November 2011
2 BvC 4/10, 2 BvC 6/10, 2 BvC 8/10

 

Fünf-Prozent-Sperrklausel im Europawahlrecht verfassungswidrig
 
 

Leitsatz
zum Urteil des Zweiten Senats vom 9. November 2011
- 2 BvC 4/10 -
- 2 BvC 6/10 -
- 2 BvC 8/10 -
Der mit der Fünf-Prozent-Sperrklausel in § 2 Abs. 7 EuWG verbundene schwerwiegende Eingriff in die Grundsätze der Wahlrechtsgleichheit und Chancengleichheit der politischen Parteien ist unter den gegebenen rechtlichen und tatsächlichen Verhältnissen nicht zu rechtfertigen.
 Der Zweite Senat des Bundesverfassungsgerichts hat mit seinem heute 
verkündeten Urteil entschieden, dass die bei der Europawahl 2009 (7. 
Wahlperiode) geltende Fünf-Prozent-Sperrklausel unter den gegenwärtigen 
Verhältnissen gegen die Grundsätze der Wahlrechtsgleichheit und der 
Chancengleichheit der politischen Parteien verstößt, und daher die der 
Sperrklausel zugrunde liegende Vorschrift des § 2 Abs. 7 
Europawahlgesetz (EuWG) für nichtig erklärt. Demgegenüber hat der Senat 
die von einem Beschwerdeführer gerügte Verhältniswahl auf der Grundlage 
„starrer“ Listen nicht beanstandet. 

Die Verfassungswidrigkeit der Fünf-Prozent-Sperrklausel führt jedoch 
nicht dazu, die Wahl zum Europäischen Parlament des Jahres 2009 für 
ungültig zu erklären und eine Neuwahl anzuordnen. 

Über den Sachverhalt, der den drei Wahlprüfungsbeschwerden zugrunde 
liegt, informiert die Pressemitteilung Nr. 23/2011 vom 29. März 2011. 
Sie kann auf der Homepage des Bundesverfassungsgerichts eingesehen 
werden. 

Die Entscheidung ist mit 5:3 Stimmen ergangen. Die Richter Di Fabio und 
Mellinghoff haben ein Sondervotum abgegeben. 

Das Urteil beruht im Wesentlichen auf folgenden Erwägungen:
 
1. Das Europawahlgesetz ist als deutsches Bundesrecht an den im 
Grundgesetz verankerten Grundsätzen der Wahlrechtsgleichheit und 
Chancengleichheit der politischen Parteien zu messen. Der Grundsatz der 
Gleichheit der Wahl gebietet bei der Verhältniswahl, die auch für die 
Wahl der Abgeordneten des Europäischen Parlaments gilt, dass - über die 
Zählwertgleichheit hinaus - jeder Wähler mit seiner Stimme den gleichen 
Einfluss auf die Zusammensetzung der zu wählenden Vertretung haben muss. 
Der Grundsatz der Chancengleichheit der Parteien verlangt, dass jeder 
Partei grundsätzlich die gleichen Möglichkeiten im gesamten 
Wahlverfahren und damit gleiche Chancen bei der Verteilung der Sitze 
eingeräumt werden. 

Die Fünf-Prozent-Sperrklausel bewirkt eine Ungleichgewichtung der 
Wählerstimmen hinsichtlich ihres Erfolgswerts, weil diejenigen 
Wählerstimmen, die für Parteien abgegeben worden sind, die an der 
Sperrklausel gescheitert sind, ohne Erfolg bleiben. Zugleich wird durch 
die Fünf-Prozent-Sperrklausel der Anspruch der politischen Parteien auf 
Chancengleichheit beeinträchtigt. 

Differenzierende Regelungen bei der Wahlrechtsgleichheit und 
Chancengleichheit der Parteien bedürfen stets eines besonderen, sachlich 
legitimierten, „zwingenden“ Grundes. Sie müssen zur Verfolgung ihrer 
Zwecke geeignet und erforderlich sein. 

Der Gesetzgeber hat eine die Wahlgleichheit und die Chancengleichheit 
berührende Regelung des Wahlrechts zu überprüfen und gegebenenfalls zu 
ändern, wenn die verfassungsrechtliche Rechtfertigung dieser Norm durch 
neue Entwicklungen in Frage gestellt wird. 

Für Differenzierungen verbleibt dem Gesetzgeber nur ein eng bemessener 
Spielraum. Die Ausgestaltung des Europawahlrechts unterliegt einer 
strikten verfassungsgerichtlichen Kontrolle, weil die Gefahr besteht, 
dass der deutsche Wahlgesetzgeber mit einer Mehrheit von Abgeordneten 
die Wahl eigener Parteien auf europäischer Ebene durch eine Sperrklausel 
und den hierdurch bewirkten Ausschluss kleinerer Parteien absichern 
könnte. Die allgemeine und abstrakte Behauptung, durch den Wegfall der 
Fünf-Prozent-Sperrklausel werde der Einzug kleinerer Parteien und 
Wählergemeinschaften in die Vertretungsorgane erleichtert und dadurch 
die Willensbildung in diesen Organen erschwert, kann den Eingriff in die 
Grundsätze der Wahlrechtsgleichheit und der Chancengleichheit nicht 
rechtfertigen. Zur Rechtfertigung der Fünf-Prozent-Sperrklausel bedarf 
es vielmehr der mit einiger Wahrscheinlichkeit zu erwartenden 
Beeinträchtigung der Funktionsfähigkeit der Vertretungsorgane. 

2. Nach diesen Maßstäben durfte die Fünf-Prozent-Sperrklausel nicht 
beibehalten werden. Die bei der Europawahl 2009 gegebenen und 
fortbestehenden tatsächlichen und rechtlichen Verhältnisse bieten keine 
hinreichenden Gründe, die den mit der Sperrklausel verbundenen 
schwerwiegenden Eingriff in die Grundsätze der Wahlrechtsgleichheit und 
der Chancengleichheit der politischen Parteien rechtfertigen. 

Die Einschätzung des Gesetzgebers, dass das Europäische Parlament mit 
dem Wegfall der Fünf-Prozent-Sperrklausel in seiner Funktionsfähigkeit 
beeinträchtigt werde, kann sich nicht auf ausreichende tatsächliche 
Grundlagen stützen und trägt den spezifischen Arbeitsbedingungen des 
Europäischen Parlaments sowie seiner Aufgabenstellung nicht angemessen 
Rechnung. Zwar ist zu erwarten, dass ohne Sperrklausel in Deutschland - 
sowie unter Berücksichtigung einer möglichen Beseitigung von 
Zugangsbeschränkungen in anderen Mitgliedstaaten - die Zahl der nur mit 
einem oder zwei Abgeordneten im Europäischen Parlament vertretenen 
Parteien zunimmt und es sich dabei auch nicht um eine zu 
vernachlässigende Größenordnung handelt. Ohne Sperrklausel in 
Deutschland wären statt aktuell 162 dann 169 Parteien im Europäischen 
Parlament vertreten. Es ist jedoch nicht erkennbar, dass dadurch die 
Funktionsfähigkeit des Europäischen Parlaments mit der erforderlichen 
Wahrscheinlichkeit beeinträchtigt würde. Zentrale Arbeitseinheiten des 
Europäischen Parlaments sind die Fraktionen, die über eine erhebliche 
Integrationskraft verfügen und es über die Jahre hinweg vermocht haben, 
namentlich die im Zuge der Erweiterungen der Europäischen Union 
hinzutretenden Parteien trotz der großen Bandbreite der verschiedenen 
politischen Strömungen zu integrieren. Nach diesen Erfahrungen ist 
jedenfalls grundsätzlich davon auszugehen, dass auch weitere 
Kleinparteien, die beim Fortfall der Sperrklauseln im Europäischen 
Parlament vertreten wären, sich den bestehenden Fraktionen anschließen 
können. 

Gleiches gilt für die Fähigkeit der Fraktionen, durch Absprachen in 
angemessener Zeit zu Mehrheitsentscheidungen zu kommen. Die 
„etablierten“ Fraktionen im Europäischen Parlament haben sich in der 
parlamentarischen Praxis kooperationsbereit gezeigt und sind in der 
Lage, die erforderlichen Abstimmungsmehrheiten zu organisieren. Es ist 
nicht ersichtlich, dass bei Wegfall der Fünf-Prozent-Sperrklausel mit 
Abgeordneten kleiner Parteien in einer Größenordnung zu rechnen wäre, 
die es den vorhandenen politischen Gruppierungen im Europäischen 
Parlament unmöglich machen würde, in einem geordneten parlamentarischen 
Prozess zu Entscheidungen zu kommen. Schließlich zeigt die Entwicklung 
des Europäischen Parlaments, dass entsprechende Anpassungen der 
parlamentarischen Arbeit an veränderte Gegebenheiten wie etwa eine 
Zunahme der Zahl fraktionsloser Abgeordneter zu erwarten sind. 

Zwar ist von den in der mündlichen Verhandlung gehörten Sachkundigen und 
Abgeordneten des Europäischen Parlaments übereinstimmend die Erwartung 
geäußert worden, dass mit dem Einzug weiterer Kleinparteien in das 
Europäische Parlament die Mehrheitsgewinnung erschwert werde. Damit 
allein ist jedoch noch keine hinreichend wahrscheinlich zu erwartende 
Beeinträchtigung der Funktionsfähigkeit des Europäischen Parlaments 
dargelegt. 

Des Weiteren sind die Aufgaben des Europäischen Parlaments durch die 
europäischen Verträge so ausgestaltet, dass es an zwingenden Gründen, in 
die Wahl- und Chancengleichheit einzugreifen, fehlt. Eine - bei der Wahl 
zum Deutschen Bundestag - vergleichbare Interessenlage besteht auf 
europäischer Ebene nach den europäischen Verträgen nicht. Das 
Europäische Parlament wählt keine Unionsregierung, die auf seine 
fortlaufende Unterstützung angewiesen wäre. Ebenso wenig ist die 
Gesetzgebung der Union von einer gleichbleibenden Mehrheit im 
Europäischen Parlament abhängig, die von einer stabilen Koalition 
bestimmter Fraktionen gebildet würde und der eine Opposition 
gegenüberstünde. Zudem ist die unionale Gesetzgebung nach dem 
Primärrecht so konzipiert, dass sie nicht von bestimmten 
Mehrheitsverhältnissen im Europäischen Parlament abhängig ist. 

3. Die gegen die Wahl nach „starren“ Listen erhobene Rüge greift dagegen 
nicht durch. Nach dem Unionsrecht bleibt es den Mitgliedstaaten 
vorbehalten, sich entweder für eine Wahl mit gebundenen - durch den 
Wähler nicht veränderbaren - Listen oder für offene - die Möglichkeit 
der Veränderung der Reihenfolge der Wahlbewerber auf den Wahlvorschlägen 
gewährende - Listen zu entscheiden. Das Bundesverfassungsgericht hat 
bereits für nationale Wahlen wiederholt festgestellt, dass die Wahl nach 
„starren“ Listen verfassungsrechtlich nicht zu beanstanden ist. Neue 
Argumente, die für die Europawahl Anlass zu einer anderen Beurteilung 
geben könnten, sind nicht vorgetragen worden. 

4. Die Verfassungswidrigkeit der Fünf-Prozent-Sperrklausel hat die 
Nichtigerklärung der sie regelnden Bestimmung des § 2 Abs. 7 EuWG zur 
Folge. Der Wahlfehler führt jedoch nicht dazu, die Wahl zum Europäischen 
Parlament des Jahres 2009 in Deutschland für ungültig zu erklären und 
eine erneute Wahl anzuordnen. Denn im Rahmen der gebotenen Abwägung ist 
dem Bestandsschutz der im Vertrauen auf die Verfassungsmäßigkeit des 
Europawahlgesetzes zusammengesetzten Volksvertretung Vorrang gegenüber 
der Durchsetzung des festgestellten Wahlfehlers einzuräumen. Eine 
Neuwahl in Deutschland wirkte sich störend und mit nicht abschätzbaren 
Folgen auf die laufende Arbeit des Europäischen Parlaments aus, 
insbesondere auf die Zusammenarbeit der Abgeordneten in den Fraktionen 
und Ausschüssen. Demgegenüber ist der Wahlfehler nicht als 
„unerträglich“ anzusehen. Er betrifft nur einen geringen Anteil der 
Abgeordneten des deutschen Kontingents und stellt die Legitimation der 
deutschen Abgeordneten des Europäischen Parlaments in ihrer Gesamtheit 
nicht in Frage. 

Sondervotum der Richter Di Fabio und Mellinghoff: 

Die Richter Di Fabio und Mellinghoff tragen die Entscheidung in Ergebnis 
und Begründung nicht mit. Sie sind der Auffassung, dass die 
Senatsmehrheit durch eine zu formelhafte Anlegung der Prüfungsmaßstäbe 
den Eingriff in die Wahlrechtsgleichheit und die Chancengleichheit 
politischer Parteien nicht überzeugend gewichte. Der Senat ziehe den 
Gestaltungsspielraum des Wahlgesetzgebers zu eng und nehme eine mögliche 
Funktionsbeeinträchtigung des Europaparlaments trotz dessen gewachsener 
politischer Verantwortung in Kauf. 

Die Fünf-Prozent-Sperrklausel sei keine bereits dem Grunde nach 
verbotene Differenzierung. Sie stelle vielmehr eine ergänzende Regelung 
zum Verhältniswahlrecht dar. Das Verhältniswahlsystem mit der 
Annexbedingung einer Fünf-Prozent-Sperrklausel sei aus Sicht der 
Erfolgswertgleichheit weitaus weniger einschneidend als ein - vom 
Grundgesetz ebenfalls erlaubtes - einstufiges Mehrheitswahlsystem, 
welches dazu führen könne, dass sogar mehr als 50% der im Wahlkreis 
abgegebenen Stimmen ohne jede Mandatswirkung blieben. Die Wahlgrundsätze 
aus Art. 38 GG nötigten nicht zur Ausgestaltung eines reinen 
Wahlsystems, sondern ließen Modifikationen und Mischungen zu. Die 
verfassungsgerichtliche Prüfung dürfe kein einzelnes Element eines 
Wahlsystems herausgreifen und daran strenge Gleichheitsanforderungen 
richten. Wahlrechtsfragen seien der politischen Gestaltung des 
Gesetzgebers unterworfen, dessen Regelungsauftrag angesichts der 
Allgemeinheit der Wahlgrundsätze dem Bundesverfassungsgericht 
Zurückhaltung auferlege. 

Die Fünf-Prozent-Sperrklausel sei sachlich gerechtfertigt, um für das 
deutsche Kontingent eine zu weitgehende Zersplitterung der im 
Europaparlament vertretenen politischen Parteien zu verhindern. Dabei 
trage Deutschland zusammen mit den anderen Mitgliedstaaten insgesamt 
Verantwortung für die Funktionsfähigkeit des Europaparlaments. Gerade 
die Staaten mit größeren Mandatskontingenten leisteten in ihrem 
Gestaltungsrahmen durchaus Beiträge gegen eine weitere Zergliederung des 
Europaparlaments. Neben Sperrklauseln enthielten die Wahlsysteme in den 
Mitgliedstaaten der Europäischen Union auch wahltechnische 
Ausgestaltungen, die ohnehin zu Differenzen in der Erfolgswertgleichheit 
führten. Mit der isolierten Aufhebung der deutschen 
Fünf-Prozent-Sperrklausel durch den Senat werde daher im europäischen 
Umfeld ein Sonderweg beschritten. Der Differenzierungsgrund der 
Funktionsbeeinträchtigung des Parlaments werde durch den Senat letztlich 
auf eine Funktionsunfähigkeit begrenzt, ohne dass die Rechtsprechung des 
Bundesverfassungsgerichts hierfür eine Grundlage biete. Ein sachlicher 
Grund für die Rechtfertigung der Fünf-Prozent-Sperrklausel bestehe 
bereits in der Verringerung möglicher Funktionsbeeinträchtigungen des 
Europaparlaments und liege nicht erst dann vor, wenn dessen künftige 
Handlungsunfähigkeit zu erwarten sei. 

Der Umstand, dass es dem Europaparlament bisher - unter Bedingungen 
großer Heterogenität - gelungen sei, eine mehrheitsfähige Willensbildung 
herbeizuführen, könne kein Argument dafür sein, dass die Verhinderung 
einer zusätzlichen parlamentarischen Zergliederung die Sperrklausel 
nicht rechtfertigen könne. Jede weitere politische Fragmentierung erhöhe 
den zeitlichen und personellen Aufwand, Konsens herbeizuführen und 
verkleinere größere politische Richtungen mit Wiedererkennungswert für 
die Wähler. Dem Gesetzgeber müsse, gerade vor dem Hintergrund, dass sich 
das Europaparlament nach Inkrafttreten des Vertrages von Lissabon in 
einer neuen Phase seiner Entwicklung befinde, ein Spielraum für die 
Beurteilung von Funktionsrisiken zugebilligt werden.