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Reinhard Zimmermann - The Law of Obligations - Roman Foundations of The Civilian Tradition-Oxford University Press, USA (1996) PDF
Reinhard Zimmermann - The Law of Obligations - Roman Foundations of The Civilian Tradition-Oxford University Press, USA (1996) PDF
REINHARD ZIMMERMANN
Dr. iur (Hamburg)
Professor fur Privatrecht, Romisches Recht und Historische Rechtsvergleichung,
Vniversitat Regensburg; formerly W.P. Schreiner Professor of Roman
and Comparative Law, University of Cape Town
(There is nothing more worthy of a gentleman than the study of Law: in the first place the study
of that law which links man to man and nation to nation; then the study of the law of our
fatherland. No small part of this consists in the Roman law, adopted by most peoples, but in itself
also the most worthy of study, above all national laws, for having been developed and perfected
by the experiences of so great and longlived an empire. So apparent is the equity of that law in its
several parts, but especially in those which pertain to contract and unlawful damage, that it
prevails even among those peoples whom the Romans could never conquer by arms, and it does
so without any force, triumphing merely by virtue of its innate justice.)
II.
One further point must immediately be added. Roman law does not
only form the historical basis of only one particular, national legal
system; it provides the most essential foundations of the "civilian"
tradition. The term "civilian", in the terminology of English
comparatists, refers to the legal systems on the European continent. It
is used in contrast to the (English) common law. This distinction is
very valuable in one respect; however, one has to beware of two
different kinds of misconception.
On the one hand, it emphasizes correctly the basic unity of the
European legal tradition; for the modern division of the science of law
into national legal disciplines is of comparatively recent origin. From
the late Middle Ages until the time of the French Revolution, the
countries of Western and Central Europe had a common law and a
common legal science. The creation of this IUS commune was part of a
most dramatic and far-reaching civilizatory phenomenon: the so-called
Renaissance of the 12th century. Both the Roman Church and the
Roman Empire (of the German nation) claimed to be supreme and
universal authorities, and they needed rational legal systems as a source
of legitimacy and as a means of control and organization. Thus, the
new scholastic method of analysing and synthesizing was applied to the
authoritative texts: the canones, on the one hand, and the recently
rediscovered Justinianic law as compiled in what came to be known as
the Corpus Juris Civilis, on the other. Roman law thus became one of
the two principal ingredients of the medieval ius utrumquc; but its
counterpart, the canon law, was heavily influenced by it as well
{"Ecclesia vivit lege Romana"). It was this ius utrumque which was
taught at the universities and which the graduates, first of Bologna,
then of all the other law schools that spread over Europe, tended to
apply when they moved into key positions in the administration ot
their various kingdoms, principalities and cities. Large parts of Roman
law therefore came to be "usu rcceptum" and constituted the basis of a
European Roman-canon "common" law. This development tied in
well, if not with a political concept of a Roman continuity (the doctrine
countries would neglect their common historical basis at his peril. The
ms commune even today constitutes a unifying force ot great potential.
On the other hand (and here we come to the two more problematic
features of the terminological distinction referred to above), the
"European" ius commune and the "English" common law were (and
are) not really so radically distinct as is often suggested. This applies to
the methodological approach and framework within which the law
developed as much as to the substantive legal rules. Thus, firstly, the
continental ius commune of the 16th, 17th and 18th centuries displayed
many features that we like to regard today as typically English. For it
was not a professorial law characterized by impractical abstractions,
deductive reasoning and conceptual jurisprudence; to a large extent, it
was judicial law, juhsprudentia forensis, developing through lawyers'
interpretations and judicial opinions, creating a continuous literary legal
tradition and leading towards an authoritative communis opmio. It was
thus, incidentally, not very different in spirit from classical Roman law.
And secondly: England in reality was never completely cut off from
continental legal culture. Indeed, in its very inception, the common
law, which became a hallmark of English life, was not English at all. It
was "a species ot continental feudal law developed into an English legal
system by kings and justices of continental extraction" (Maitland).
Throughout the centuries, Roman (civil) law never ceased, through
various channels, to exercise a considerable influence on English law
and jurisprudence. This does not mean that the common law can be
described merely as an otfshoot of either Roman law or canon law. Of
course, a whole variety of indigenous threads were woven into its
tapestry; and even where there was some civilian influence, English
courts and writers have often proceeded to develop the law along
different lines than their continental counterparts. But it would appear
to be a fruitful exercise to try to explore a common basis for
comparative legal studies, to trace explicit as well as cryptic reception
processes, to concentrate one's attention, for once, not so much on the
distance and the differences between common law and civil law as on
their proximity and similarities; and to attempt a comparison of legal
solutions against the background of a common "Western" civilization.
It is tor this reason that I have included, wherever appropriate,
references to the English common law.
III.
The present book is based on seven years' experience of teaching
Roman law at the University ot Cape Town. I have tried to write the
type of book that I would have liked my students to have; or, which is
essentially the same, the type of book that 1 would have enjoyed to read
when I studied for my law degree at the University of Hamburg. I do
not think that Roman law can adequately be presented in terms of
IV.
A foreword not only confronts an author with the slightly awkward
task of explaining why he has set out to write his book, ofjustifying the
approach he has adopted, and of preparing the reader, as gently as
possible, for the arduous task that lies ahead. It also provides the
welcome opportunity of thanking all those persons who and
institutions which have made a special contribution towards its
existence.
First of all, it must be obvious to every reader how much the present
book owes, where it deals with classical Roman law, to the work of
Max Kaser. His three great handbooks, in particular, have shaped my
way of thinking on Roman law, and they have invariably provided the
starting point for my own research. I am very grateful to have had the
PART I
INT RODUCT ION —T HE CONCEPT OF AN OBLIG AT ION
AND ITS IMPLICATIONS
Chapter
1 Obligatio—Conceptual and Systematic foundations ........
1
2 Stipulatio alteri, Representation, Cession .......................... 34
PART II
VERBAL OBLIGATIONS
3 Stipulatio............................................................................. 68
4 Stipulatio poenac—Conventional penalties ........................ 95
5 Suretyship ........................................................................... 114
PART IV
CONSENSUAL OBLIGATIONS
8 Emptio venditio I — Sale (Basic Requirements)..................
230
9 Emptio venditio II — Sale (Main Effects) ........................... 271
10 Emptio venditio III— Sale (Warranty of Title and of
Proper Quality) ................................................................... 293
11 Locatio conductio I — Mainly Lease ...................................
338
12 Locatio conductio II—Contract of Employment, Contract
for Work .............................................................................. 384
13 Mandatum — Mandate......................................................... 413
xvii
CHAPTER 1 — OBLIGATIO
I. The Concept and its Historical Development .............. 1
1. Obligare—obligatio — obligation................................ 1
2. Delictual liability: from revenge to compensation. . . . 1
3. The origin of contractual liability ............................... 4
4. Dare facere praestare oportere .................................... 6
5. Unenforceable obligations ("obligationes naturales") 7
II. Divisio Obligationum ...................................................... 10
1. The contract—delict dichotomy ................................. 10
2. From twofold to tourtold subdivision......................... 14
3. Quasi-contractual and quasi-delictual obligations . . . . 15
4. The reception of Justinian's scheme............................ 18
(a) General observations ............................................ 18
(b) The distinction between delict and quasi-dehct. . 19
(cj The distinction between contract and quasi-
contract ................................................................. 20
5. The attitude adopted by the BGB .............................. 21
6. "De facto" contracts and implied promises ................ 22
III. The Place of Obligations within the System of
Private Law ....................................................................... 24
1. Gains: personae, res, actiones ...................................... 25
2. Justinian's Itistitutioncs and the relation between actions
and obligations.............................................................. 26
3. From Justinian's scheme to the "Pandektensystew".. . . 29
IV. Plan of Treatment ............................................................ 32
Page
2. Strategics to evade the restriction ................................... 38
3. Changes in post-classical law .......................................... 39
4. T he evolution of the m odern contract in favour of a
third party .......................................................................... 41
(a) A lteri stipulari nem o potest: rule and exceptions 41
(b) T he abandonm ent of the rule ................................. 42
(c) Privity of contract..................................................... 45
II. A ge n c y ....................................................................................... 45
1. D irect representation: introduction................................. 45
2. No general concept of agency in Rom an law ............... 47
3. A cting for (and through) others in Rom an law ............ 49
(a) Indirect representation and other substitute
devices.......................................................................... 49
(b) The paterfam ilias acting through his dependants 51
(c) Procuratio................................................................... 53
4. The erosion of the rule against agency........................... 54
5. The evolution of the m odern concept of agency ........... 56
III. C ession ........................................................................................ 58
1. N om ina ossibus inhaerent ................................................ 58
2. The use of novation and procuratio in rem suam . . . . 60
3. Post-classical developm ents, Corpus Juris and ius
com m une............................................................................. 62
4. T he turning of the tide ..................................................... 64
C HAPTE R 3 — STIPULAT IO
C H A P T E R 4 — ST IPU L A T IO PO E N A E
Page
IV. I d e m D e b it u m ....................................................................... 125
1. The classical principle of "Konsumptiouskonkurrefiz". . 125
2. From "Konsumptiotiskonkurrenz" to "Solutioiiskonkur-
retiz" .................................................................................... 126
3. Correality and solidarity .................................................. 128
V. Th e Tr ip let of Pr ivile ge s availab le to the
Fideiussor ................................................................................. 129
1. Bencficium excussionis vel ordinis ................................ 129
2. Bcneficium divisionis ....................................................... 131
3. Beneficium cedendarum actionum .................................. 132
(a) T he pr o b le m ot th e s ure t y' s ri g h t of re c o ur se
against the m ain de btor ............................................ 132
(b) The c onstruc tion of the be nefic ium cede ndarum
actionum ...................................................................... 134
(c) The recourse of the surety against his co-sureties 136
VI. Spec ial T ype s of S uretysh ip Tr an saction s ..................... 137
1. Promissio m demnitatis and hdeiussio fideiussoris. . . . 137
2. The use of emptio venditio for the purpose ot
suretyship ............................................................................ 138
3. The use ot mandatum, especially the mandatum
quahficatum ........................................................................ 139
VII. T h e Im p ac t of F id e iu ssio on M od er n Le gal
Syste m s..................................................................................... 142
1. Rom an-D utc h la w ............................................................. 142
2. Germ an la w a nd the E nglish com m on la w .................. 144
VIII. W om e n as S u r e tie s ............................................................... 145
1. The senatus consultum Vellaeanum ................................ 145
2. The policy of the senatus consultum .............................. 146
3. T he in te rpre ta ti on of the se na tus c on sul tum b y t he
Roman lawyers ................................................................... 148
(a) Protection of the w om an ......................................... 148
(b) Protection of the creditor ......................................... 150
(c) Policy conflict............................................................. 150
4. Justinian's contribution ..................................................... 151
5. The position in m odern law ............................................. 152
C H A P T E R 6 — M U T U UM
I. T he R om an C on tr act of M u tu u m ................................... 153
1. T he na ture of m utuum ..................................................... 153
2. M utuum and stipulatio ..................................................... 154
Page
3. The consensual elem ent of m utuum ............................... 156
(a) Consensus and rci interventio ................................. 156
(b) Ex m eo tuum facere .................................................. 158
(c) Towards a loan by agreem ent ................................. 160
(d) Contractus m ohatrae................................................. 161
4. On the "reality" of real contracts.................................... 163
II. The H istor y of the Interest Rate s and U sur y .................. 166
1. Policies of the Roman Republic........................................ 166
2. M a xim u m ra te s from the e n d of the R e pu blic u nt il
Justinian ............................................................................... 168
3. T he c a nonic a l prohibition on usury in the M iddl e
Ages...................................................................................... 170
4. A clash between theory and practice? ............................. 172
5. Usura non est lucrum , scd m erces ................................. 174
6. The flexible rule of the BGB ........................................... 175
III. S pe c ial T yp e s of L oan ........................................................... 177
1. Loans to sons in power .................................................... 177
(a) T he se na tus c onsultum M ac e donia num a nd its
policy ........................................................................... 177
(b) The a pplication of the se natus c onsultum by the
Rom an jurists ............................................................. 179
2. Loans to m erchants involved in overseas trade ............ 181
(a) Pecunia traiecticia as a form of marine insurance 181
(h) Greek custom and Rom an practice ........................ 183
3. Loans to professional sportsmen ..................................... 186
C H A P T E R 7 — C O M M O D A T U M , D E P O S IT U M , P IG N U S
I. C om m od atu m ......................................................................... 188
1. Com m oda tum and m utuum ............................................ 188
2. History and gratuitous nature of com m odatum ............ 189
3. Gratis habitare .................................................................... 191
4. The liability of the borrower ........................................... 192
(a) The diligentissim us paterfamilias............................ 192
(b) The nature of custodia liability ........................... 193
(c) The range of liability; instances of liability for vis
maior ........................................................................ 195
(d) The principle of utility.............................................. 198
(e) The actio furti of the borrower ............................... 200
5. The actio com m odati contraria ....................................... 200
(a) Com m odatum as im perfectly bilateral contract 200
(b) Reimbursement of expenses ..................................... 201
(c) Recovery of damages ................................................ 202
6. Loan for use today ............................................................ 203
Page
4. T he sale of res extra com m erciurn or of a free m an. . 241
(a) R es publicae, res divini iuris and the liber hom o 241
(b) T he availability of the actio em pti .......................... 241
(c) C ulpa in contrahendo ................................................ 244
5. E rnptio rei speratae and ernptio spei .............................. 245
(a) E m ptio rei speratae .................................................... 245
(b) E m ptio spei and its viability .................................... 246
(c) ". . . qua si a lca em itur" .......................................... 248
C HA P T E R 9 — E M PT IO V E N D IT IO II
Page
2. The duties of the vendor.................................................. 278
(a) Uti frui habere possidereque licerc ......................... 278
(b) Transfer of ownership?............................................. 278
(c) Practical im plications................................................. 279
(d) T he liability of the vendor ....................................... 280
III. T h e P assin g of th e R isk ........................................................ 281
1. Periculum est em ptoris ..................................................... 281
2. The position in classical law ............................................ 282
3. T he am bit of the rule ....................................................... 283
4. Excursus: the sale of wine................................................ 284
5. T he concept of periculum ................................................ 287
6. A fr. D . 19, 2, 33 et al.: evidence against periculum
em ptoris? ............................................................................. 288
7. E valuation of the R om an risk rule ................................. 290
8. Reception and rejection of periculum est em ptoris .. . 291
Page
(f) The actio rcdhibitoria ............................................... 317
(g) The actio qua nti m inoris; the sa le "sub c orona " 318
(h) The sale of iumenta ................................................... 318
6. Extended liability under the actio em pti........................ 319
(a) P om p. D . 19, 1, 6, 4 a nd other te xts .................... 320
(b) Reception of the aedilitian principles into the ius
civile............................................................................. 321
(c) The position under Justinian ................................... 322
7. Actio em pti and aedilitian remedies in the ius
c om m une ............................................................................ 322
(a) "M ire tur vero a liquis, cur Ae dile s introduxerunt
actiones." ............................................................................. 322
(b) M erging the remedies............................................... 323
(c) The scope of application of the actio redhibitoria 325
(d) Excursus: Special rules relating to the sale of
cattle ............................................................................ 326
(c) M odern Germ an law ................................................ 327
(f) The system of rem edies in Rom an-Dutch law . . 328
(g) Pham c v. Paizes ......................................................... 329
8. M ortuus redhibe tur ........................................................... 330
(a) The problem of the im possibility of restoration 330
(b) T he fic ti on of "m or tu us re dh ibe t ur" a nd pro b
lem s arising therefrom .............................................. 331
9. O nce a ga in: "S i va s" (P om p. D . 19, 1, 6, 4) .............. 334
(a) The de ve lopm ent of the "Pothicr" rule ................ 334
(b) The English Sale of Goods Act ............................... 336
C H A P T E R 1 1 — L O C A T I O C O N D U C T IO I
I. L oc atio C on duc tio in G en er al ............................................ 338
1. Locare and conducere ....................................................... 338
2. Three in one ....................................................................... 339
3. Historical developm ent..................................................... 340
II. T he S oc ial and E c on om ic Fr ame w ork of Le ase ........... 342
1. The que st for security of tenure ..................................... 342
2. Living conditions in Rom e .............................................. 344
3. Som e typical problem s..................................................... 347
4. The Roman lawyers and the law of lease ...................... 348
5. Legal rules and extra-legal restrictions .......................... 350
III. L oc atio C on d u c ti o R e i ......................................................... 351
1. The nature of lease ............................................................ 351
2. The objects of lease ........................................................... 351
Page
II. L ocatio C onductio O per is ................................................... 393
1. Essential characteristics and range of application.......... 393
2. Problems of classification ................................................. 394
3. Range of liability of the conductor ................................ 397
(a) Im pcntia and custodia .............................................. 397
(h) Gai. D. 19, 2, 25, 7 and the problem of vicarious
liability ........................................................................ 399
4. The problem of risk allocation ........................................ 401
(a) Periculum conductoris.............................................. 401
(b) Equitable distribution of the risks.......................... 402
5. Adprobatio operis ............................................................ 404
6. Lex Rhodia de iactu .......................................................... 406
(a) The reception of the lex Rhodia into Rom an law 406
(b) Subsequent history of the lex Rhodia .................... 409
C H A P TE R 13 — M AN D AT UM
Page
C HA P T E R 14 — N E G O T IO R U M G E ST IO
C HAPTER 15 — SOCIETAS
I. R om an L aw ............................................................................. 451
1. T he nature of societas ...................................................... 451
2. E volution of the contract of societas ............................. 451
(a) E rctum non citum .................................................... 451
(b) Pre-classical consortium and classical societas ... 452
3. Basic features of classical societas ................................... 454
4. T erm ination of the societas ............................................. 455
(a) Renuntiatio, m ors socii, insolvency....................... 455
(b) T he bringing of an actio pro socio ........................ 457
5. Freedom of contract and its lim itation.......................... 457
(a) The allocation of shares in profits and losses. . . . 457
(b) The societas leonina .................................................. 459
6. T he actio pro socio ........................................................... 460
7. L iability between the partners ........................................ 461
(a) T he problem of contribution .................................. 461
(b) Dolus liability ............................................................ 462
(c) E xtension: culpa lata, diligentia quam in suis,
culpa ............................................................................ 462
(d) Custodia and im peritia ............................................. 464
8. C reation and partition of joint ownership .................... 465
C HA P T E R 16 — D O N A TIO
Page
C HA P T E R 17 — P A C T A A N D IN N O M IN A T E R E A L
CONTRACTS
I. P acta in G ener al ..................................................................... 508
1. N uda pactio obligationem non parit ............................. 508
2. Pacta ex continent! adiecta ............................................... 509
II. P acta Praetoria ........................................................................ 511
1. C onstitutum debiti............................................................ 511
(a) The actio de pecunia constituta .............................. 511
(b) Constitutum debiti alieni ........................................ 512
(c) C onstitutum debiti proprii ...................................... 512
2. Receptum arbitri................................................................ 513
3. Receptum argentarii .......................................................... 514
4. Receptum nautarum cauponum stabulariorum ............. 514
(a) Actio dc rcccpto; custodia liability ......................... 514
(b) T he reasons for the actio de recepto ..................... 515
(c) Actio de recepto and special delictual actions ----- 517
(d) A ctio de recepto and actio locati............................ 517
(e) From accidentale to naturale negotii ..................... 519
(f) T he receptum in m odern law ................................. 520
(g) Range of application ................................................. 521
(h) The liability of com m on carriers ........................... 523
(i) R ange of liability under the ius com m une ........... 524
III. P ac ta Le gitim a: C om pr om issum as E xam p le ............... 526
1. Classical and post-classical com prom issum .................. 526
2. T he com prom issum of the ius com m une...................... 528
3. A rbiter, arbitrator and am icabilis com positor .............. 528
IV . C om b ine d Tr ansaction s: H ir e-pur ch ase in R om an
Law ............................................................................................. 530
V. Inn om in ate R eal C ontr acts ................................................. 532
1. Perm utatio and the rise of actiones praescriptis verbis 532
2. Range of transactions ....................................................... 534
3. A estim atum ........................................................................ 535
4. Innom inate contracts and the contractual schem e ------ 536
V I. T ow ar d s a G e n er al L aw of C ontr ac t B ase d on
C onsent ...................................................................................... 537
1. Contract and pacta in the C orpus Juris C ivilis............. 537
2. Pacta vestita and pacta nuda ........................................... 538
3. The contribution of (com m ercial) practice.................... 540
4. T he contribution of the canon lawyers ......................... 542
5. T he position of the natural lawyers; sum m ary ............ 544
Page
C HAPTER 19 — ERROR
1. Error and contractual theory ........................................... 583
(a) Cotton ex Peerless ...................................................... 583
(b) Discrepancy between intention and declaration.. 584
(c) Private autonom y and protection of expectations
engendered .................................................................. 584
(d) W ill theory and declaration theory ........................ 585
2. Basic types of error in Rom an law ................................. 587
(a) Vcrba and voluntas ................................................... 587
(b) Determi nati on of t he object of performance . . . . 588
(c) U lp. D. 18, 1, 9 pr. a nd error in c orpore ............. 589
(d) Error in pretio............................................................ 590
(e) Error in negotio ......................................................... 591
(f) Error in persona ........................................................ 592
3. The problem of error in substantia ............................... 592
(a) U lp. D. 18, 1, 9, 2 .................................................... 592
(b) Error relating to quality ........................................... 593
(c) Drawing the line: vinegar sold as wine ................. 594
(d) Further borderline cases ........................................... 595
4. Com m on m ista ke .............................................................. 596
5. Error in m otive and error in nom ine .............................. 597
6. Com m on error in nom ine ................................................ 598
7. W ill-orientation, mistake and the formal transactions 598
(a) Testaments.................................................................. 598
(b) Stipulations ................................................................. 599
8. Error and the protection of the prom isee ...................... 600
(a) Modern approaches: English law and German law 600
(b) The position in R om a n la w .................................... 602
9. Iuris ignorantia nocet, facti ignorantia non nocet . . . . 604
(a) Error iuris nocet: the position in Rom an law . .. 604
(b) Error vincibilis and invincibilis (ius com mune). . 606
(c) Error iuris (ius com m une and m odern law) .......... 608
10. The development of the m odern error doctrine .......... 609
(a) Usus m odernus pandectarum .................................. 609
(b) Error in persona ........................................................ 611
(c) The contribution of the natural lawyers ............... 612
(d) Error in Savigny's System and under the BGB . . 614
(e) Error in substantia .................................................... 616
(f) Developments in French and English law .............. 618
C H A P T E R 20 — IN T E R P R E T A T IO N O F C O N T R A C T S
Page
1. Pandectist doctrine ............................................................ 693
8. Recovery of dam ages ........................................................ 694
9. §§ 306 sq. B GB: evaluation ............................................. 695
III. Ille gality ..................................................................................... 697
1. The possible effects of illegality....................................... 697
(a) Subdivision of statutes according to their sanctio 697
(b) Leges m inus quam perfectae ................................... 698
(c) Leges imperfectae ...................................................... 699
(d) Leges perfectae ........................................................... 700
(e) T he lex N on dubium and § 134 B G B ................... 701
2. Transactions in fraudem legis .......................................... 702
(a) In fraudem legis agerc .............................................. 702
(b) Republican jurisprudence ......................................... 703
(c) Scire leges non est verba earum tcnere .................. 704
IV. Im m or alit y ............................................................................... 706
1. Freedom of contract and extra-legal standards.............. 706
2. References to the boni m ores in classical law ............... 707
3. Conditions contra bonos mores and late classical
jurisprudence ...................................................................... 709
4. T he effects of im m orality ................................................. 710
5. T he content of the boni m ores ........................................ 711
6. T he boni m ores and the ius com m une .......................... 712
7. Reference to the boni m ores in m odern law .................. 713
C H A P T E R 23 — C O N D IC IO A N D D IE S
I. Intr od uction ............................................................................. 716
1. The dynam ic nature of W estern contract law ............... 716
2. C onditions in general ....................................................... 717
II. C on dicio Su spe nsiva .............................................................. 718
1. T he nature of suspensive conditions.............................. 718
2. Im possible, illegal and im m oral conditions .................. 719
3. Casus perplexus ................................................................. 721
4. Condiciones casuales and potestativae ........................... 722
5. Positive and negative conditions .................................... 722
6. C ondicio pendet ................................................................ 723
(a) "N on e st pro eo , qu a si sit" .................................... 724
(b) T he spes debitum in ................................................. 725
7. T he effect of satisfaction of the condition .................... 726
(a) O peration ex nunc .................................................... 726
(b) Retroactive effect ...................................................... 726
(c) M odern interpretation.............................................. 727
Page
8. Interpretation of conditions .............................................. 728
(a) General considerations.............................................. 728
(b) Interpretatio in favorem libertatis ........................... 729
(c) C ondition prevented from m aterializing............... 730
III. R e solutive C on dition s ........................................................... 731
1. T he construction of resolutive conditions .................... 731
2. The adm issibility of resolutive conditions .................... 732
3. The effects of resolutive conditions ............................... 733
IV. P rovisions for C allin g O ff a Sale ....................................... 735
1. In diem addictio ................................................................. 735
(a) Functions..................................................................... 735
(b) Construction .............................................................. 736
(c) Interpretation ............................................................ 736
2. Lex com m issoria ............................................................... 737
3. Pactum displicentiae .......................................................... 739
(a) Function ...................................................................... 739
(b) Construction .............................................................. 740
V. D ie s.............................................................................................. 741
1. Dies certus and dies incertus quando ............................. 741
2. Dies ad quern ..................................................................... 741
3. Dies a quo ........................................................................... 742
4. Navis ex Asia ..................................................................... 742
VI. U su s H odier nu s ....................................................................... 743
C H A P T E R 24 — T E R M IN A T IO N O F O B L IG A T IO N S
I. S olutio ........................................................................................ 748
1. Praestatio eius quod debetur ........................................... 748
2. U num debitum ex pluribus causis.................................. 750
3. Tim e and place of perform ance ....................................... 750
4. Perform ance rendered by third parties/to third parties 752
5. D atio in solutum ............................................................... 753
II. Release........................................................................................ 754
1. Solutio per aes et libram and acceptilatio as actus
contrarii................................................................................ 754
2. T he rise of inform al solutio ............................................ 755
3. Form al release by way of solutio per aes et libram and
acceptilatio ........................................................................... 756
4. Excursus: the stipulatio Aquiliana .................................... 757
5. Informal release .................................................................. 757
III. O the r F or m s of " S olu tio Im pr op ria" .............................. 753
CHAPTER 28 — FURTUM
I. The Roman Concept of Furtum ..................................... 922
1. The definition of D. 47, 2, 1, 3................................... 922
2. D. 47, 2, 1, 3 and the modern German concept
compared ...................................................................... 923
3. D. 47, 2, 1, 3 and the Roman case law....................... 924
(a) Of mule drivers, peacocks, weights and spread
out togas ............................................................... 924
(b) The nature of Roman definitions......................... 925
(c) Furtum in ancient law .......................................... 927
(d) Developments in Republican and classical Roman
law......................................................................... 928
4. Complicity in theft....................................................... 930
II. The Actions Arising from Theft ................................... 932
1. Actio furti nee manifesti............................................... 932
(a) "Quanti es res fuit, duplum" .............................. 932
(b) The right to sue: ex iure dominii and custodia
liability .................................................................. 933
(c) The right to sue: emptio venditio and miscella
neous other cases .................................................. 935
C HAPTER 30 — LE X AQUILIA II
I. T h e Statu tor y D efinition of the D elict: In iur ia ............ 998
1. D am num iniuria datum .................................................... 998
(a) T he notion of "non iure facere" ............................. 998
(b) Self-defence................................................................. 999
(c) Necessity ..................................................................... 1000
(d) Actions of a m agistrate............................................. 1003
(c) Consent ....................................................................... 1003
2. The relationship betw een iniuria and culpa .................. 1004
(a) The new interpretation: dam num culpa datum . . 1004
(b) "O ccidere", "urere frangere rum pere" iniuria.. . 1005
(c) From (typical) dolus to fault at large..................... 1005
(d) W rongfulness and fault............................................. 1006
3 Aquilian culpa in classical Rom an law ......................... 1007
4. "Contributory negligence" in R om an law .................... 1010
(a) T he Rom an all-or-nothing approach ..................... 1010
(h) Of javelin-throwers and itinerant barbers ............. 1011
(c) Balancing of fault, preponderant negligence or
assum ption of risk? ................................................... 1012
II. The P r otec tion of a F re e m a n's B od ily In te gr ity ........... 1014
1. D am age to property ......................................................... 1014
2. L iberum corpus nullam recipit aestim ationem ............ 1015
3. Injury to sons in pow er ................................................... 1015
4. T he liber hom o bona fide serviens................................. 1016
III. T h e U su s M ode r n u s L e gis A q u iliae ................................. \()\1
1. Introduction........................................................................ 1017
2. The assessm ent clauses and litiscrescence ...................... 1019
3. T he Jjenal nature of the rem edy ..................................... 1019
4. Cum ulative liability .......................................................... 1020
5. Passive intransm issibility .................................................. 1020
(a) Canonist doctrine ...................................................... 1020
(b) Forum civile ............................................................... 1021
Page
2. T he actio de pauperic in Rom an law .............................. 1096
(a) The m eaning of pauperics ......................................... 1096
(b) T he principle of noxality ......................................... 1099
(c) Range of application ................................................. 1101
(d) T he "contra na turam " te st....................................... 1102
3. T he edictum de feris in Rom an law ................................ 1104
(a) W ild anim als in Rom e .............................................. 1104
(b) T he intervention of the praetor ............................... 1106
4. T he actio de pastu in Rom an law ................................... 1107
5. T he actio dc pastu in South A frican law ...................... 1108
6. T he edictum de feris in South A frican law ................... 1109
7. T he actio de pauperie in South A frican law ................. 1110
(a) T he nature of the rem edy ........................................ 1110
(b) Range of anim als ....................................................... 1113
(c) Contra HIS naturale .................................................... 1113
(d) C ontra naturam sui generis ..................................... 1114
(e) T he "reasonable cow " test ....................................... 1115
8. Liability for dam age done by anim als in m odern
G erm an law ........................................................................ 1116
II. V ic ariou s Liability.................................................................. 1118
1. T he principle of noxality ................................................. 1118
(a) R om an law ................................................................. 1118
(b) "[Njoxalium actionum nullus est usus" ................. 1118
2. L iab ility fo r oth ers in R om an law (apart from nox al
liability)................................................................................ 1120
(a) W ithin a contractual context ................................... 1120
(b) Custodia ...................................................................... 1121
(c) Delictual and quasi-delictual rem edies................... 1121
3. V icarious liability in South African law ........................ 1123
4. The position in m odern French and Germ an law . . . . 1124
III. Q u asi-de lic tu al Liability ...................................................... 1126
1. T he fate of the Rom an quasi-delicts ............................... 1126
2. Delictual and quasi-delictual liability ............................. 1128
IV . N e w In stan c e s of N o-fau lt L iab ility ............................... 1130
1. Legislation in the 19th century ........................................ ИЗО
2. Strict liability in disguise .................................................. 1132
3. 20th-century ad hoc legislation ....................................... 1133
V. Strict L iability in En glish Law ........................................... 1135
1. Vicarious liability .............................................................. 1135
2. L iability for dam age done by anim als............................ 1136
3. Rylands v. Fletcher .............................................................. 1138
4. T he quest for strict liability in m odern law .................. 1140
VI. O r igin an d A p p lic ation of A rt. 1384 C od e C ivil.......... 1141
col. column
Coll. Mosaicarum et Romanarum legum collatio
Columbia LR Columbia Law Review USA
Concl. Conclusio
Cons. Consilium
Const. Constantinus; Constitutio
Cowp Cowpcr's Reports, King's Bench Eng
Cox Cox's Equity Cases Eng
CP Law Reports, Common Pleas Eng
CPD Reports of the Cape Provincial Division SA
Cro Jac Croke's Reports temp. James!., King's Bench and
Common Pleas Eng
CT Codex Theodosianus
D Dunlop, Court of Session Cases (Scotland);
Durban and Coastal Local Division (South
Africa)
D&R Dowling & Rylands's Reports, King's Bench Eng
IX Digesta
DC Cir District of Columbia Court of Appeal Cases USA
Dec-. Decis. Decisio
Diocl. Diocletianus
Disp. Disputatio
Dist. Distinctio
Dougl Douglas' Reports, King's Bench Eng
Dr & Sm Drewry and Smale's Reports, Chancery Eng
E Spain
E I First draft of the German Civil Code (BGH) Ger
<-■■£-
tor example
East East's Reports, King's Bench Eng
ED Fjuidopedia del diritto 1
ed., eds. edition, editor; editions, editors
EDC Reports of the Eastern Districts Court ot the Cape
of Good Hope SA
EDL Reports of the Eastern Districts Local Division SA
Ednis. Eiendoms (— Proprietary)
Edw Edward Eng
EheG. Ehegesetz Ger
Eins. Eiendoms (— Proprietary)
El & Bl Ellis and Blackburn's Reports, Queen's Bench Eng
Eng England
Eq Equity Reports; Equity Cases Eng
esp. especially
Ex D Law Reports. Exchequer Division Eng
Exch Exchequer; Law Reports Exchequer Eng
Exerc. Exercitatio
F Federal Reporter USA
F2d Federal Reporter. 2nd Series USA
FC Federal Supreme Court of Southern
Rhodesia ZB
FIRA, vol. Ill У antes luris Romani Attteiustiniatii. Pars tertia,
Negotia (cd. V. Arangio-Ruiz), 2nd ed., 1972
Flor. Florcntinus
Foord Foord's Reports, Cape Supreme Court SA
Fr France
Fr. vat. Fragmenta vaticana
Gai. Gaius
Gall. Gallienus
Ger Germany
GG Grundgesctz Ger
gl- glossa
Gord. Gordianus
GriinhZ Zeitschrift fur das Privat- und OffentHche Recht der
Gegenwart Ger
H Greece
H& С Hurlstone & Coltman's Reports, Exchequer Eng
H Bl Henry Blackstone's Reports, Common
Fleas Eng
Harvard LR Harvard Law Review USA
Hastings International
and Comparative
LR Hastings International and Comparative Law Review USA
HCG Reports of the High Court of Griqualand SA
Негтоц. Hermogeniaims
HL House of Lords UK
HLC Clark's Reports, House of Lords Eng
HRG Handworterbuch zur deutschen
Rechtsgeschichte (see bibliography)
Italy
I Itp. Index Interpolationum
i.e. id est
i.f. in fine
lav. Iavolerms
ibia. ibidem
Imp. Imperator
Impp. Imperatores
Index Index, Quaderni camerti di studi romanistici I
Just. Jnstitutiones Justiniani
itp. interpolated
Iul. Iulianus
Jura Rivista internazionale di diritto romano e antico I
J
JA Judge of Appeal
Jhjb Jherings Jahrbiklier fir die Dogmatik des Inirgerlichen
Rechts Ger
JJP The Journal of Juristic Papyroiogy P
JP Judge President
JRS Journal of Roman Studies Eng
Juridical Review The Juridical Review Sc
Just. Justinian
King's Bench; La w Reports King's Bench
KB Division Eng
Kammergericht Ger
KG
li
IX
Obligatio
I. THE CONCEPT AND ITS HISTORICAL
DEVELOPMENT
1. Obligare—obligatio—obligation
"Nam fundi et aedes obligatac sunt ob Amoris praedium" said
Astaphium andlla in Plautus1 play Truculentus (at 214), thus providing
us with the oldest source in which the word "obligare" is used. The
substantive "obligatio" can be traced back to Cicero.1 As to the literal
meaning of the term, its root "lig-" indicates that something or
somebody is bound;2 just as we are all "bound back" (to God) by virtue
of our "re-ligio". This idea is still clearly reflected in the famous
definition which Justinian advanced in his Institutes, where he
introduced the subject of the law of obligations: "obligatio est iuris
vinculum, quo necessitate adstringimur alicuius solvendae rei secundum
nostrae civitatis iura."3 Today the technical term "obligation" is widely
used to refer to a two-ended relationship which appears from the one
end as a personal right to claim and from the other as a duty to render
performance. The party "bound" to make performance is called the
debtor (debitor, from debere), whilst at the other end of the obligation
we find the "creditor", who has put his confidence in this specific
debtor and relies (credere) on the debtor's will and capacity to perform.
As far as the Roman terminology is concerned, "obligatio" could
denote the vinculum iuris looked at from either end; it could refer to the
creditor's right as well as to the debtor's duty. This obviously makes it
somewhat difficult to render the Roman idea in English, for the English
term "obligation" is merely oriented towards the person bound, not
towards the person entitled. With the words "my obligations" I can
refer only to my duties, not to my rights.4
2. Delictual liability: from revenge to compensation
The carving out of the concept of an "obligatio" and the development
of a law of obligations was one of the great contributions of classical
Roman jurisprudence to the science of law. Fritz Schulz refers to it as
1
Epistuiae ad M. Bmtum 1, 18, 3: see Schulz, CRL, pp. 45S sqq.
" The same connotation is inherent in the Dutch (and Afrikaans} word for obligation:
" verb ш ten is".
5
Inst. Ill, 13 pr. On the origin of this definition cf., most recently, Bernardo Albanese,
"Papiniano ela defmizionedi 'obligatio' inj. 3, 13, pr.", (1984) 50 SDHI166 sqq. According
to him, it is attributable to Papinian.
4
See, for example, Peter Birks, "Obligations: One Tier or Two?", in: Studies in
Justinian's Institutes in memory oj'J.A.C. Thomas (1983), pp. 19 sq.
* CRL, p. 463; cf. abo Kaser, RPr I, pp. 478 sq. (law of obligations is the area of the law
where ргс-classical and classical jurisprudence have accomplished their most valuable and
lasting creative achievements).
6
See, especially. Kaser, Altnimisches ins, pp. 179 sqq.; idem, RPr I. pp. 146 sqq.; Emilio
Bern, La stmttura dell' obbligazione romatta e il probletna della suagenesi (1955); Okko Behrends,
Der Zwolftafelprozess—Zur Geschiehte des rotnischen Obligationenrechts (1974), pp. 33 sqq. and
passim; Mario Talamanca, "Obbligaziom". in: ED, vol. 29 (1979), pp. 1 sqq.; Wieacker,
RR, pp. 256 sqq. Due to a lack of definite historical sources, many details of the development
(as, for example, the question of the historical priority of delict or contract) are disputed.
7
As to the term "familia", see Ulp. I). 50, 16, 195, 1-5.
8
With regard to the lex talionis certain texts from the Old Testament spring to mind,
especially Exodus 21, 23-25: ". . .if any harm follows, you shall give life for life, eye for eye,
tooth for tooth, hand for hand, foot for foot, burn for burn, wound for wound, stripe for
stripe. . . .'" For comment, see, most recently, Mervyn Tower, "Popular misconceptions: A
Note on the Lex Talionis", (19H4) 80/81 Law and Justice 25 sqq. Exodus 21, too. represents a
comparatively refined stage of the legal development. Cf still the song of Lamech (son of
Methusalem and father of Noah) m Genesis 4. 23 and 24: "Hear my voice, ye wives of
Lamcch. hearken unto my speech: for I have slain a man to my wounding, and a young man
to my hurt. If Cam shall be avenged sevenfold, truly Lamech seventy and sevenfold."
'' The word "pecunia" is derived from peeus. For further discussion of the origin of money
m Rome and of the etymology ot pecunia and pecus, see Wieacker, RR, pp. 238 sqq. (239).
1(1
Provisions such as § 267 I BGB ("It a debtor does not have to perform in person, a third party
may also make performance. The approval of the debtor is not necessary") go back to this
privilege that a debtor, liable for execution on his person, could be redeemed by third parties.
This account largely represents the prevailing opinion: the development of dehctual
liability is seen as an evolution from revenge (but cf. also Herman van den Brink, The
Charme of Legal History, 1974. pp. SI sqq.; Wieacker, RR, pp. 286 sq.) to compensation. Cf.
alreadyJhering, Geist I, pp. 118 sqq.; today: Kaser. op. en. For a different view based mainly
on comparative evidence derived from primitive societies, see Geoffrey MacCormack,
"Revenge and Compensation in Early Law". (1973) 21 The American Journal of Comparative
Law 12
69 sqq.
That liability, at that stage, had become redeemable by payment of a sum of money,
seems to have been the historical reason for a basic feature of the Roman law of civil
procedure: ornnis condemnatio pecuniaria. See Paul Koschaker. (1916) 37 /CSS 355 sqq.;
Kaser, RZ, p. 287.
'■ For details, see the XII Tables; especially Tables 3, 1: "Post deinde manus iniectio esto.
In ius ducito", 3, 2: "Ni iudicatum tacit aut quis endo eo in iure vindicit, secum ducito.
Vinci to aut nervo aut compedibus XV pondo ne maiore aut si volet minore vindicito" and
3. 6: "Tertiis nundinis partis secanto. Si plus minusve secuerunt, se fraude esto." These and
other provisions seem fairly harsh to us, but it was the aim of the XII Tables to protect the
debtor against arbitrary cruelty on the pare of the creditor. Thus the weight of the chains,
with which the debtor was kept imprisoned in the house of the creditor, was not to exceed
15 pounds. There are provisions as to how the debtor was to be fed. He had to remain
imprisoned for 60 days, then the creditor had to bring him to three successive market-days
(all this in order still to make redemption possible). It never seems to have happened in
practice that a debtor was ultimately killed (thrown down from the Tarpeian rock) or (in the
case of several co-creditors) cut into pieces (this probably referred only to his corpse); cf., for
example, Cassius Dio, Historia Romatia IV, 17, 8). Nevertheless, the old story of the creditor
demanding his pound of flesh from the debtor's body (immortalized by Shakespeare in his
Merchant of Venice) appears to have its origin in the "partes secanto" of the XII Tables.
Usually, the unredeemed debtor had to work off his debt in rhe service of the creditor. On
all this, see Behrends, op. cit., note 6, pp. 113 sqej. (he argues, however, contrary to
established doctrine, that the creditor acquired the same kind of power over his debtor that
a paterfamilias had over his dependants; but see Franz Horak, "Kreditvertrag und
Kreditprozess in den Zw6lftafeln", (1976) 93 ZSS 261 sqq.. 278 sqq.); cf. also Carlo
Augusto Cannata, "Tertiib nundinis partis secanto", in: Studi in onore di Arnaldo Biscardi, vol.
IV (1983), pp. 59 sqq. For a comparative analysis of concept and development of (delictual)
liability in ancient societies cf. Josef Kohler, Shakespeare vor dem Forum der Jurisprudenz (2nd
ed., 1919), pp. 50 sqq.
14
Buckland/Stein, pp. 429 sqq.; Francis de Zulueta, "The Recent Controversy about
Nexum", (1913) 29 LQR 137 sqq.; Jolowicz/Nicholas, pp. 164 sqq.; Kascr, Altrb'tnisches ius,
pp. 119 sqq., 138 sqq., 233 sqq.; idem, RPr I, pp. 166 sq.; Liebs, RR, pp. 229 sqq.; Ulrich
von Liibtow, "Zum Nexumproblem", (1950) 67 ZSS 112 sqq.; Maine, pp. 185 sqq.;
Talamanca, ED, vol. 29, pp. 4 sqq.; Herman van den Brink, lusjasque (1968), pp. 158 sqq.;
Wieacker, RR, pp. 336, 582. Recently, the existence of a specific nexum transaction has been
denied by Okko Behrends, "Das nexum im Manzipationsrecht oder die Ungeschichtlichkeit
des Libraldarlehens", (1974) 21 RIDA 137 sqq. That the Germanic tribes knew institutions
similar to nexum is testified by Tacitus, Germania XXIV, 2. As to the history of the penal
bond in the English common law ("a sophisticated form of self-pledge"), see Simpson,
History,
15
pp. 88 sqq., 123 sqq.
Even if he paid what he owed, a formal counteract per aes et libram was necessary to
discharge him. Otherwise the debtor would have remained obligatus. This solutio per aes et
libram survived in classical law as a means of releasing the debtor from his debt; cf. infra
p. 756.
16
For a comparative analysis of loan transactions in primitive legal systems, see Obrad
Stanojevic, "Observations sur le pret dans les droits primitifs", in: Studi in onore di Bdoardo
Volterra, vol. Ill (1971), pp. 429 sqq.
17
Plebeian nexi had to suffer considerable hardship from their patrician creditors (cf. e.g.
Livius, Ab urhe condita, Liber II, XXIII, 1 and 6); thus, nexum was probably prohibited in the
course of the 4th century as a result of the class struggles.
As to the famous conceptual difference between "Schuld" and "Haftung" (duty and
liability), sec Alois Brinz, "Der Begriff der obligatio", (1874) 1 QrunhZ 11 sqq.; De Zulueta,
Gaius II, pp. 144 sq.; Jolowicz/Nicholas, pp. 160 sqq.; Rabel, Gruttdziige, pp. 89 sq.;
Talamanca, ED, vol. 29, pp. 20 sqq.; as far as Germanic legal history is concerned, cf. e.g.
Otto von Gierke, Deutsches Privatrecht, vol. Ill (1917), pp. 8 sqq. For a general evaluation, see
Bemhard Diestelkamp, "Die Lehre von Schuld und Haftung", in: Helmut Coing, Walter
Wilhclm (eds.), Wissenschafi und Kodifikation im 19. Jahrhundert, vol. VI (1982), pp. 21 sqq.
19
"The i mage of a vinculum i uris col ours and pervades every part of the Roman l aw of
Contract and Delict": Mai ne, p. 190.
20
At this early stage of the development, both delictual and contractual obligations died
with the person liable; he had been the hostage, and when he died, there was nothing that
could devolve on the heirs. Delictual obligations in Roman law always remained passivel y
intransmissible: the request for expiation could be directed only against the person who had
committed the wrong. The liability of heirs under transactions entered into by the deceased,
on the other hand, was already recogni zed by the XII Tabl es. See Max Kaser, "Di e
altromische Erbenhaftung", (1952)1 AHDO-RIDA 507 sqq.; Voci, DER, vol. I, pp. 45 sqq.
For medi eval English law and its rule of "actio personalis moritur cum persona", see
Simpson, History, pp. 41 sq., 558 sqq. The situation changed only with the rise of assumpsit.
21
See, for example, Liebs, RR, pp. 231 sq. On solutio, see generally D. 46, 3 and
Buckl and/ St ei n, pp. 564 sq.; Kaser, RPr I, pp. 635 sqq. The old and origi nal meani ng of
solutio is still reflected in what Gaius tells us about the form of release per aes el libram. "Me
eo nomi ne a te solvo libroque" were the words, which had to be used by the person to be
released: Gai. Ill, 174.
22
This is Paulus' famous definiti on of an obli gation, cont ained in D. 44, 7, 3 pr.; on
whi ch, see, for exampl e, Tala manca, ED, vol. 29, pp. 28 sqq.
23
Gai. IV, 4.
24
Sturm, Stipulaiio Aquiliana, pp. I l l sqq. The term derives from "praesstare" (to stand
in as a hostage) and had been carried over from the days when the person liable was bound
as a hostage.
25
Sec Gai. IV, 2.
26
For a clear analysis of this fundamental distinction, sec Nicholas, Introduction, pp. 99
Cf. Buckland/Stein, pp. 552 sq.; Pierre Cornioley, Naturaiis obligatio (1964); Kaser, RPr
I, pp. 480 sqq.; Enrico M oscati, "Obbligazioni naturali", in: ED, vol. 29 (1979), pp. 35 3
sqq.; Gaetano Scherillo, "Le obbligazioni naturali", (1968) 175 Archivo giuridico 516 sqq.;
j.A.C. Thomas, "Naturalis obligatio pupilli", in: Sein und Werden im Recht, Festgabe fiir
Ulrich von Ltibtow (1970), pp. 457 sqq.; Paul van Warmelo, "Naturalis obligatio", in:
Huldigingsbundel Pont (1970), pp. 410 sqq.; Windscheid/Kipp, § 287 sqq. "Naturalis"
obligatio in this context, therefore, means as much as "non-ge nuine" obligation. Cf. Iul. D.
46, 1, 16, 4 "per a busione m ".
28
Cf. Iul . D. 46, 1, 16, 4; Ul p. D. 44, 7, 10.
29
Ulp. D. 4 6, 2, 1 pr., 1.
30
Ulp. D. 16, 2, 6 (but see Buckland/Stein, p. 552); Fensham v.Jacobson 1951 (2) SA 136
(T) at 137H-138F.
31
Cf. e.g. Gai. Ill, 119 a; William Burge, Commentaries on the Law of Suretyship (1849),
p. 7.
See Mario Rotondi, "Alcune considerazioni sul concetto di obbligazione naturale с sulla
sua evoluzione", (1977) 75 Rii'ista del diritto commentate 213 sqq.
33
Cf. especially the comprehensive analysis by Wessels, Contract, vol. I, pp. 386 sqq.
34
§ 656 BGB.
35
§§ 762 sqq. BGB. For South African law, cf. Fensham v.Jacobson 1951 (2) SA 136 (T)
and Gibson v. Van der Walt 1952 (1) SA 262 (A). Cf. also Pothier, Traitedujeu, n. 58; § 1271
ABGB, art. 514 II OR. On ga ming in Rome and on the reaction of the Roman a uthorities,
cf. Marek Kurylowicz, "Die Glucksspicle und das romische Recht", in: Studi in onore di
Cesare Saiifilippo, vol. IV (1983), pp. 267 sqq.
3fi
656 BGB has been severely criticized as being discriminatory and infringing the basic
rights ot the German "Grundgesetz"; it has been said to be pushing a trade with a legitimate
social function into the twilight of doubtful seriosity a nd thus im pe ding, rather tha n
facilitating, judicial control of real abuses. The c ourts are now increasingly faced wit h
difficult problems arising from situations where the fee paid to a marriage broker has bee n
pre-financed by the broker's bank. Also, a flourishing business of escort agencies has sprung
up in re ce nt ye ars to acc om m o date the inc re asing n um be r of "single s". Into whic h
contractual category do the various partnership service transactions fall? And is § 656 BGB
applicable in all these cases? On these questions, see Peter Gilles, "Partnerschaftsservice statt
Ehemakelei", 1983 Neue Juristische Wochenschrifi 362 sqq.
37
Is it really acceptable to maintain that the law has to prevent people from ruining
themselves by indulging in gaming a nd betting? A m ore pragma tic approach as to why
gaming and betting contracts should be unenforceable is advanced in judicial pronounce-
ments such as Graham v, Pollok (1848) 10 D 646 at 648 ("However laudable the sport may
be, we have far more serious matters to attend to") or Christison v. McBride (1881) 9 R 34
("The Que e n's Court doe s not e xist for settling dispute s a s to who dre w the winnin g
num ber in a lottery") (both Sc ottish cases).
18
§ 222 BGB; cf. also Pentecost & Co. v. Cape Meat Supply Co. 1933 CPD 472 and now ss
10, 17 of the South African Prescription Act 68/1969. For further discussion and comparative
material, see Karl Spiro, Die Begrenzung privater Rechte durch Verjdhrungs-, Verwirkungs- und
Fatalfristen, vol. I (1975), § 244.
34
See e.g. Staudinger/H. Dilcher (1979), § 222, n. 3.
40
Paul. D. 14, 6, 10. Another interesting case, where Roman lawyers used the term
"naturalis obligatio", concerned the actio de peculio. If the paterfamilias granted a peculium
to his son in power or slave, he was liable for all commercial debts incurred by that person
in power. This liability was "dumtaxat de peculio", limited by the amount of the peculium
at the moment of condemnation. As far as the computation of the value of the peculium was
concerned, whatever the paterfamilias "owed" to the peculium was added, whatever
"claims" he had against the peculium were deducted from it. Of course, any transactions
between two members of the same familia could never give rise to an "obligation". Yet they
were not a legal non-entity, because in the context of the calculation of the peculium they
were taken into consideration. In the course of time, quite a few other cases of "naturales
obligationes" were added: obligations incurred by a ward without auctoritas tutoris (Paul.
D. 12, 6, 13, 1), obligations extinguished due to capitis deminutio (Ulp. D. 4, 5, 2, 2) or litis
contestatio (Ulp. D. 46, 1, 8, 3) etc.
"It would be wholly incorrect to say that there were no general concepts in the Roman
law of the time of Justinian and before; on the contrary, Roman jurists eagerly discussed
situations in which a contract would be void because of'mistake', situations in which the
enforcement of an informal obligation was required by 'good faith', and various other types
of situations in which legal results involved a reference to concepts. . . . However, these
concepts were not treated as ideas which pervaded the rules and determined their
applicability. They were not considered philosophically. The concepts of Roman law, like
its numerous legal rules, were tied to specific types of situations. Roman law consisted of an
intrinsic network of rules; yet these were not presented as an intellectual system but rather
as an elaborate mosaic of practical solutions to specific legal questions. Thus one may say
that, although there were concepts in Roman law, there was no concept of a concept"
(Berman, Law and Revolution, pp. 149 sq.).
42
Cf. e . g. Co rni ol e y, o p. dr. , n ot e 2 7, pp . 2 56 sq q.; V an W a rme l o, H u l d i g i n g sbun d e t Po n t ,
pp. 419 sqq.
43
D . 12 , 6, 2 6 , 12 . Fo r al l de t ai l s, se e W ol f ga n g W al ds t e i n, O p e ra e l i b e rt o m m ( 1 98 6) ( on
Ulp. D. 12, 6, 2 6, 1 2 r. f. pp. 363 s qq.) .
4A
D . 5, 3, 2 5, 1 1.
45
Cf. e.g. Paul. D. 50, 17, 84, 1; 45, 1, 126, 2.
46
Cf. Van Warmelo, Huldigingsbundel Pont, p. 433, n. 1.
47
Cf. e.g. Voet, Commentarius ad Pandectas, Lib. XLIV, Tit. VI, III.
48
Cf. therefore Wessels, Contract, vol. I, p. 394: "Our law does not favour the extension
of t he scope of t he nat ural obli gation, and t herefore mere debt s of honour and promises
pietatis causa are not to be regarded as giving rise to natural obligations." Would gaming,
betting or marriage broking fall into this class of cases?
4
For an outline of the historical development, see J.E. Scholtens, De Geschiedenis der
natuurlijke Verbintenis sinds het Romeinsche Recht (1931); Van Warmelo, Huldigitigsbundel Pont,
pp. 421 sqq., Rotondi, (1977) 75 Rivista del diritto comnterciale 213 sqq.; cf also Savigny,
Obligationenrecht, vol. I, §§ 5 sqq.; Windscheid/Kipp, § 287 sqq.
50
Hausmaninger/Selb, p. 250.
51
On a similar note, Van Warmelo, Huldigingsbundel Pont (for m odern South African
law), concludes by saying: "Hierdie reelings sal en moet geha ndha af word, maar om hulle
(nou en dan) as natuurlike verbintenisse te noe m lei tot niks en skep eerder onduidelikheid
en onsekerheid."
52
See A. M. Honorc, Gaius (1962), pp. 97 sqq. (100); Witold Wol odkiewicz, "Lc fonti
delle obbligazioni nellc istituzioni di Gaio с nelle res cottidianac", (1970) 24 Rivista italiana per
le scienze giuridiche 138 sqq.
53
Gai. Ill, 88: "Nunc transeamus ad obligationes. quarum summa divisio in duas species
diducitur: omnis eni m obligatio vel ex contractu nascitur vel ex del icto."
54
See, for example, Arthur van Mehrcn, "A General View of Contract", in: International
Encyclopedia of Comparative Law, VII, 1, nn. 1 sqq.; Charles Fried, Contract as Promise (1981),
p. 4 and passim.
35
A.S. Burrows, "Contract, Tort and Restitution. A Satisfactory Division or Not?",
(1983) 99 LQR 217 sqq.; cf. also Fried, op. cit., note 54, pp. 2 sq.: "The law of property
defines the boundaries of our rightful possessions, while the law of torts seeks to make us
whole against violations of those boundaries, as well as against violations of the natural
boundaries of our physical person. Contract law ratifies and enforces our joint ventures
beyond those boundaries."
^ B.S. Markesinis, "The Not So Dissimilar Tort and Delict", (1977) 93 LQR 78 sqq.
57
See especially the two famous cases of MacPkerson v. Buick Motor Co. (1916) 217 NY
382, 111 NE 1050 and Donoghue v. Stevenson [1932] AC 562 (HL); Friedrich Kessler,
"Products Liability", (1966/67) 76 Yale LJ 887 sqq.; R.W.M. Dias/B.S. Markesinis, The
English Law of Torts: A Comparative Introduction (1976), pp. 61 sqq.
See, for example, H. Mazeaud, "La responsabilite civile du vendeur fabricant", (1955)
53 Revue trimestrielle de droit civil 611 sqq.
49
See Werner Lorenz, "Das Problem der Haftung fur primare Vermogensschaden bei der
Erteilung einer unrichtigen Auskunft", in: Festschrift fur Larenz (1973), pp. 575 sqq.
60
[1964] AC 465 (HL). For the broader context of this discussion, see Atiyah, Rise and
Fall, pp. 771 sqq.
61
Hans Dolle, furistische Entdeckungen, Verhandlungen des 42, Deutschenfuristentages, vol. II
(1959), pp. В 1 sqq.
62
Rudolf von Jhering, "Culpa in c ontra he ndo, odcr Sc ha de nsersatz bei nic htige n oder
nicht zur Perfektion gelangten Vertragen", (1861) 4 Jhjb 1 sqq.
63
Erich Schanze, "Culpa in contrahendo bei Jhering", (1978) 7 lus Commune 326 sqq.
M
For an overview of the development in German law, sec Peter Gottwald, "Die Haftung
fur culpa in contrahendo", 1982Juristische Schulung 877 sqq.; Dieter Medicus, V'erschulden bei
Vertragsverhandlungen, Gutachten und Vorschldge zur Uberarbeitung des Schuldrechts, vol. I (1981),
pp. 479 sqq. For a comparative analysis, see Friedrich Kcssler/Edith Fine, "Culpa in
Contrahendo, Bargaining in Good Faith, and Freedom of Contract: A Comparative Study",
(1964) 77 Harvard LR 401 sqq.
65
The famous linoleum carpet case: RGZ 78, 239 sqq.
66
The veget abl e l eaf case: BGHZ 66, 51 sqq., i n whi ch culpa i n contrahendo and t he
contract with prot ective function in favour of a third party were combined.
67
Markesinis, (1977) 93 LQR 122; cf also J.C. Smith, "Economic Loss and the Common
Law Marriage of Contracts and Torts", (1984) 18 University of British Columbia LR 95 sqq.
68
See Grant Gil more's el egant seri es of l ectures "The Death of Contract " (1974). The
modern English law of contract grew up around the action of assumpsit. Historically, this
action was an offspring of the action of trespass on the case (that is, ot the law of torts): see
Si mpson, History, pp. 199 sqq. According to Gil more, contract is today being reabsorbed
into the mainstream of tort, the residual category of civil liability (pp. 87 sqq.). For the rise
(especially during the age of individualism since the latter half of the 18th century) and the
modern decline of contract (since about 1870) in Engl and, see the fascinating analysis by
Atiyah, Rise and Fall, esp. pp. 345 sqq., 388 sqq., 398 sqq., 681 sqq., 716sqq. Atiyah argues
that i n the English co mmon l aw benefit and reli ance (as opposed, especi all y, t o mere
promise) were the traditional key concepts of liability. Accordingl y, there was no inherent
difference between contractual and delictual obligations. It was only with "the settling of
classical contract theory" (developed during the age of freedom of contract, sti mulated by
and intimately linked to the rise of individualism, laissezfaire and the free market ideology,
legal formalism, positivism and principle orientation), that a firmer line between contractual
and non-contractual duties came to be established: due, mainly, to the creation (or
formulation) of general rules governing contractual relationships, with clearly defined
abst ract concept s and based on t he wil l t heory, by doct ri nal wri t ers (st arti ng wit h t he
treatises by Pollock and Anson) since the 1870s. These writers drew heavily on Roman law
and on modern continental lawyers such as Pothier or Savigny. Their works "continued to
exercise a domi nating influence on English contractual thought through the next hundred
years, and i ndeed, may be sai d t o still rul e us from their graves" (p. 682; cf . also F. H.
Lawson, "Doctrinal Writing: A Foreign Element in English Law?", in: lus Privatum Gentium,
Festschrift fur Max Rheinstein, vol. I (1969), pp. 191 sqq. and A.W.B. Simpson, "The Rise and
Fall of the Legal Treatise: Legal Principles and the Forms of Legal Literature", (1981) 48
University of Chicago LR 632 sqq.). In Atiyah's view, this later idea "that tort liabilities are
wholly different from contractual liabilities because the latter arise from consensual
obligations is not soundly based, either in logic or in history" (p. 505). He argues that with
the decline of contract a resurgence of benefit-based and reliance-based liabilities is taking
place today- Thus, in his opinion, the ti me "is plainly ripe for a new theoretical structure for
contract . . . (and for the) redrawing of conceptual categories of the law" (pp. 778, 779). Cf.
also Gerhard Kegel, "Verwirkung, Vertrag und Vertrauen", in: Festschrift fur Klemens Pleyer
(1986), pp. 528 sqq. and, for German law, Eduard Picker, "Vertragliche und deliktische
Schadenshaftung", 1987 Jurist enzeitung 1041 sqq. (also advocating abolition of the
dichotomy of contractual and delictual liability for damages; according to Picker, liability for
damages always arises ex lege and it is only the duty to render performance that is based on
private autonomy, i.e. contract).
69
§ 831 BGB allows the "person who employs another to do any work" to escape liability
for damage done by his employee, by proving that he has exercised the necessary care in the
selection of the employee and that, where he had to supply equipment or to supervise the
work, he has also exercised ordinary care as regards such supply or supervision. For a
comparative analysis of this rather unfortunate rule, see Zweigert/Kotz/Weir, pp. 294 sqq.;
cf. also infra pp. 1125 sq.
70
Cf. recently A.J.E. jaffey, "Contract in tort's clothing", (1985) 5 Legal Studies 77 sqq.,
who concludes his analysis of the case law with the comment: "By all means let the relevant
rules of contract be reformed. But to use tort at random to evade them leads to confusion,
uncertainty and inconsistency in the law" (p. 103).
71
[1964] AC 465 (HL) at 525-6.
72
In this vein, against the "Death of Contract" school see, for example, A.S. Burrows,
(1983) 99 LQR 217 sqq., 255 sqq., 263 sqq.; Fried, op. cit., note 54, pp. 1 sqq.; Smith, (1984)
18 University of British Columbia LR 108 sqq., 125.
73
Op. cit., note 54, n. 2. Owing to the availability of insurance, the tortfeasor who is
liable in delict today typically does not ultimately have to bear the loss. Delictual rules,
therefore, have to take into account the fact that in all likelihood losses will not be borne by
individuals but will be shifted to groups. Contractual relations involve different kinds of
risk; here, typically, the individual parties will bear the loss assigned to them.
74
M a x K a se r, "D i vi s i o o bl i ga t i on u m ", i n : S t u d i e s Th o m a s, p. 8 5 ; co nt r a: A r n ai d o
B i s c a r d i , "S o m e C r i t i c a l R e m a r k s o n t h e R o m a n L a w o f O b l i ga t i o n s ", ( 1 9 7 7 ) 1 2 T h e I r i sh
Jurist 372 sqq., according to whom Gaius saw the delict/contract dichotomy as exhaustive.
Cf. also Thomas, TRL, p. 2.
75
G ai . I l l , 9 1.
Gai . D . 44, 7, 1 pr.; cf. Wol odkie wi cz , ( 1970) 24 Ri vi sta i ta liana p e r le sc ien ze giu ridi che
7877sqq.
Inst. Ill, 13, 2. For details of the development of the divisio obligationum from Gaius'
cwo- and threefold down to Justinian's fourfold division, see Kaser, Studies Thomas, pp. 73
sqq.; Theo Mayer-Maly, "Divisio obligationum", (1967) 2 The Irish Jurist 375 sqq. (in
English); Giuseppe Grosso, II sistema romano dei contratti (3rd ed., 1963), passim; Talamanca,
ED, vol. 29, pp. 38 sqq. Cf. also Diosdy, pp. 112 sqq., who has recently advanced the
supposition that the trichotomy of the sources of obligations, as laid down in D. 44, 7, 1 pr.,
never existed in Roman law.
78
Cf. the (too severely) critical analysis by H. Goudy, "Artificiality in Roman Juristic
Classifications", in: Studigiuridici in onore di Carlo Fadda, vol. V (1906), pp. 209 ff. (214 sqq.).
79
That Justinian was very conscious of the role of symbolic numbers in the arrangement
of the Corpus Juris Civilis appears from § 1 of his Constitutio Tanta.
80
Some examples from the Bible: Three is the number of the Holy Trinity, three angels
visited Abraham, for three days Christ was buried, three ti mes Christ asked his Father that
the cup might pass, three ti mes Peter renounced Christ, three ti mes Christ showed hi mself
to his disciples after his resurrection. In our modern, heathen, usage, man no longer piously
accepts the harmonic structure of the world (as expressed in perfect numbers), but still clings
t o t he so me wh at superst it i ous aura at t achi ng t o t he "l ucky t hre e". For t he sy mbol i c
infl uence of t he number t hree i n Roman l aw, see H. Goudy, Trichot omy i n Roman Law
(1910).
81
For example the four cardinal points of the compass, the four seasons, the four
el ement s, the four t empera ments, t he four ground colours of the rainbow, t he four years
between two intercalary days, the sequence of the four empires according to St.
Hi eronymus, underl ying t he doctri ne of transl atio i mperii. For furt her discussi on, see
Desmond Varley, Seven, The Number of Creation (1976), pp. 43 sqq.
82
As to the importance for the Greeks of the number seven, cf, for example, Wilhelm H.
Roscher, Die Hebdomadenlehren der griechischen Philosophen und Arzte (1906); RE, vol. XIV,
col. 2579; Joachim Ritter, Historisches Worterbuch der Philosophic, vol. Ill (1974), pp. 1022 sq.;
for the Roma ns, cf., for e xa m ple, Aulus Gellius, Nodes Atticae, Lib. Ill, 10; cf. also the
com parative material in the a nnotations by Fritz Weiss, in: Aulus Gellius, Die Attischen
Nachte, vol. I (1875), pp. 193 sqq.; Varley, op. cit., note 81, pp. 19 sqq. a nd passim. The
book of Re velation contains no fe wer than 54 insta nces of Se vens.
83
Goudy, Trichotomy, p. 5, asks rhetorically: "W hat literary . . . a uthor nowa da ys, in
dividing his treatise into parts, books, etc., or dividing his subject-matter into hea ds a nd
categories or genera and species, would attach any special importance to what the num ber
of these might be?" However, one can point to Thomas Mann, whose entire work (esp. the
Magic Mountain, Joseph and his Brothers and Doctor Faustus) is profoundly influenced by the
sym bolism of num bers. Cf, for e xa m ple, the brillia nt essa y by the America n Germa nist,
Oskar Seidlin, "Das hohc Spiel der Zahlen", in: O. Seidlin, Klassische und modems Klassiker
(1972), pp. 103 sqq.; for the English version, see (1971) 86 Publications of the Modern Language
Association 924 sqq.
84
A legatum per damnationem gave rise to a personal claim of the legatee against the heir.
W e a re n ot c o nc e rne d he re wit h the othe r i m porta nt ty pe of le g a c y, the le ga t u m pe r
vindicationem. Here the legatee acquired ownership of the object left to him immediately at
the death of the de cuius, and as a result he could avail himself of the rei vindicatio. A third
type of legacy, the legatum sinendi modo, was of little practical relevance in classical times.
85
Inst. Ill, 27.
86
Inst. IV. 5.
87
That can mean either that the judge now has to step into the role of the defendant and,
in that se nse, brings a suit on him se lf, or tha t the judge has be c om e (e m otiona lly) so
entangled in the case that he lacks the necessary impartiality (he treats the case as if it were
his own). On this topic, see Kelly, Roman Litigation, pp. 102 sqq.; further David Pugsley,
"Litem suam facere", (1969) 4 The Irish Jurist 351 sqq. (with parallels in English law); D.N.
MacCormick, "Iudex Qui Litem Suam Fecit", 1977 Ada Juridica 149 sqq.; Geoffrey
MacCormack, "The Lia bility of thejudge in the Re public and Princ ipate", in: A\ ! RW, vol.
II, 14 (1982), pp. 5, 9 sq., 16 sqq.; Alvaro D'Ors, '"Litem suam facere"', (1982) 48 SDMI
368 sqq.; P.B.H. Birks, "A Ne w Argum e nt for a Na rrow Vie w of lite m sua m face re ",
(1984) 52 TR 373 sqq.
m
Cf. D. 9, 3; Inst. IV, 5, 1; Gai. D. 44, 7, 5, 5; further, for exam ple, Wittma nn,
Korpervertetzung, pp. 62 sqq.; Gia nnc tto Longo, "I quasi-delic ta—actio de effusis et
deiectis — actio de positis ac suspensis" in: Studi in onore di Cesare Sanfilippo, vol. IV (1983),
pp. 428 sqq.; Enrique Lozano у Corbi. "Popularidad у regime n de legitimacion en la 'actio
de effusis et deiectis'", in: Studi in onore di Arnaldo Biscardi, vol. V (1984), pp. 311 sqq.
80
Cf., for example, Alan Watson, "Liability in the Actio de Positis ac Suspensis", in:
Melanges Philippe Meylan, vol. I (1963), pp. 379 sqq.; William M. Gordon, "The Actio de
Posito Reconsidered", in: Studies Thomas (1983), pp. 45 sqq.; Longo, Studi Sanjilippo, vol.
IV, pp. 428 sqq.
90
Cf., for example, Wolodkiewicz, (1970) 24 Rivista italiana per le scienze giuridiche
210 sqq.
91
The connection between negotiorum gestio and tutela, on the one hand, and mandatum
(mandate) on the other, is obvious. In the case of indebitum solutum, the condictio (i.e. the
action applicable for the recovery of a loan-muiuum) was granted. On the historical
relationship between the claims for unjustified enrichment (the law of condictiones) and the
old procedural remedy of condictio, see infra, pp. 835 sqq. Communio resembled societas
(partnership), and in the case of legatum per damnationem the actio ex testamento was
granted, which was closely related to the actio ex slipulatu.
92
Buckland/McNair, pp. 395 sqq.
93
As there was no refuse collection in Rome, it seems that one usually got rid of one's
garbage by throwi ng it out of the window. Furt hermore, many people apparently found it
amusi ng t o throw thi ngs down on passers-by. As t he Ro man street s were narrow and t he
houses fairl y t all (fi ve to six st oreys were by no means uncommo n), one can understand
Juvenal's caustic warning that it would be frivolous to walk to a supper invitation without
having made one's last will first. On all this cf. Juvenal, Satura I I I , 268 sqq.; Carcopino,
pp. 57 sqq.; cf. al so t he eloquent and comprehensive not e by Johannes van der Linden,
printed in translation by Percival Gane, The Selective Voet, vol. II (1955), pp. 596 sqq.
94
Whether there was strict liability in the case of positum aut suspensum, is, however,
questionable. It depends on the interpretation of Ulp. D. 9, 3, 5, 10. Perhaps this case was
classified as a quasi-delict because it was so closely related to the actio de deiectis vel effusis
and because t here di d not have to be an i nj ury for li abi lit y t o ari se. The habi t at or was
therefore liable for the danger he had created. Strict liability is also disputed as far as the
iudex qui litem suam fecit is concerned: see Pet er Birks, "The Problem of Quasi-Delict",
(1969) 22 Current Legal Problems 172 sqq.; idem, (1984) 52 TR 373 sqq. Birks himself argues
that the key to quasi-delict "may lie in [thej possibility of liability without misfeasance from
which flows the need for the assumpti on of a special position" ((1969) 22 Current Legal
Problems 174). One of the decisive questions is how to interpret texts such as Gai. IV, 52,
where no reference to the judge's state of mind is made. Did a presumption of dolus operate
in these cases? Contra, inter alios, A. M. Honore, Gaius (1962), p. 102.
95
Cf. Inst. IV, 5, 3. As to the concept of culpa in eligendo, cf. Geoffrey MacCormack,
"Culpa in ehgendo", (1971) 18 RIDA 525 sqq. (here specifically pp. 547 sqq.).
96
Ulp. D. 9, 3, 1, 4; for the liability of the iudex {"licet per i mprudentiam"), Gai. D. 44,
7, 5, 4.
97
Cf. Hochstein, Obligations, pp. 26 sqq.; Peter Stein, "The Nature of Quasi-Delictual
Obligations in Roman Law", (1958) 5 RIDA 563 sqq. Cf. also Thomas, TRL, p. 377 ("a
kind of insurance for the victim of harm, dictated by public policy"); D'Ors, (1982) 48 SDHI
368 sqq. (objective liability); MacCormick, 1977 Acta Juridica 149 sqq. But see Witold
Wolodkiewicz, "Sulla cosidetta responsabilita dei 'quasi delkti' nel diritto romano ed il suo
influsso sulla responsibility civile moderna", in: Laformazione storica, vol. Ill, pp. 1277 sqq.
(no common denominator for the quasi-delicts); Longo, Studi Sanfilippo, vol. IV, pp. 401
For details, see Hans Hermann Seiler, Die Systematik der einzelnen SchuWverhaltnisse in
der neueren Privatrechtsgeschichte (Diss. Munster, 1957), pp. 15 sqq.; as far as 19th-century
codifications are concerned, cf. also Carlo Augusto Cannata, "Sulla classificazione delle fonti
delle obbligazioni dal 1804 ai nostri giorni", in: La formazione storica, vol. Ill, pp. 1177 sqq.
99
Cf. also Windscheid/Kipp, § 362, n. 1, albeit in very cautious terms: ". . . in letzterLinie
Sache des Taktes" (in the last resort a matter of tact).
100
See Pufendorf, De jure naturae et gentium, esp. Lib. V, but also already Hugo Grotius,
De jure belli ac pads, esp. Lib. II, Cap. XII, 1 sq. Cf. also the system of the Preussisches
All gemei nes Landrecht (Prussi an General Land Law), whi ch does not have a titl e on
obligations or even on contracts, but deals with the individual obligations in the context and
from the point of view of their function for acquisition, loss and transfer of ownership.
101
Cf., for exa mple, Mu hlenbruch, Doctrina Pandectarum, Lib. I l l , II (Singulae
obligationu m species); Windscheid/Kipp, IV. Buch, Zweites Kapitcl.
10
E.g. Antonius Merenda, Controversiarum iuris libri XXIV, Tom. HI (Bruxellis, 1746),
nn. 2, 11 sqq. ("distingui non possunt obligationes quasi ex contractu orientes ab iis, quae
nascuntur quasi ex maleficio").
■ Cf. Brinz, Pandekten, § 94 (Geschajtsfordemngen und Strajjorderungen); further Seller, op.
cit., note 9 8, pp. 9 4 sqq.
104
Windscheid/Kipp, IV. Buch, Zweites Kapitel III; Vangerow, Pandekten, 5. Buch, 4.-6.
Kapitel; cf. also art. 1370 II c.c.
Dat i ng back t o Mod. D. 44, 7, 52 pr., 5. On t hi s t ext and on t he conc ept of
obligationes ex lege generally, see Theo Mayer-Maly, "Das Gesetz als Entstehungsgrund
von Obligationen", (1965) 12 RIDA ATI sqq.; idem, (1967) 2 The Irish Jurist 380.
106
Mayer-Maly, (1965) 12 RIDA 449; cf. also art. 1173 codice civile.
107
Stru ve, Sy ntag ma , Ex erc. VIII, Lib. I V, T it. IX, C XIII ("[Q]u a si delict[u m] . . .
consistit in aliqua culpa, ut ita loquar, imputativa, hoc est quae alicui ex alieno facto eoru m,
quos quis adhibet, imputatur."); Samuel Stryk, Tractatus de actionibus forensibus (Wittember-
gae, 1708), Sectio I, X, § LV.
105
Johann Gottlieb Heincccius, Recitationes in elementa iuris civilis secundum ordinem
Institutionum (Vratislawiae, 1773), Lib. IV, Tit. V, § MXXXII. Further e.g. Pothier, Traite
des obligations, n. 116: "Ом appelie delit lefail par iequel une personne, par dot ou maiignite, cause
du dommage ou quetque tort une autre. Le quasi-delit est lefait par Sequel une personne, sans maiignite,
mais par une imprudence qui n'est pas excusable, cause quelque tort une autre."
109
T i e c ase s of st ri ct l i a bi l i t y l ai d do w n i n a rt t . 1 38 4- 13 86 do n ot f al l u n de r " q u a si -d e l i t"
but are generally referred to by the term "responsabilite". On the origin of these provisions,
see, most recently, Watson, Failures, pp. 1 sqq.
110
On the history of quasi-delicts generally, see Hochstein, Obligationes, pp. 34 sqq.; cf.
also Wolodkiewicz, in: La formazione storica, vol. Ill, pp. 1288 sqq.
''' Cf. in this context the observation already made by Lorenz von Stein, Zur
Eisenbahnrechts-Biidung (1872), p. 15: "Deutschland ist geradezu unerschb'pjlich in Abhandlungen
uber Ulpian und Papinian, aber vom Eisenbahnrecht weiss es so gut ah nichts" (Germany is just
about inexhaustible in treatises on Ulpian and Papinian, but of railway law it knows little
more than nothing). On the treatment of non-contractual liability for damages without fault
by the natural lawyers and in the codifications influenced by them, see Hans-Peter Benohr,
"Ausservertragliche Schadensersatzpflicht ohne Verschulden? Die Argumente der Natur-
rechtslehren
112
und -kodifikationen", (1976) 93 ZSS 208 sqq.
Cf., for example, Arndts, Pandekten, § 242 and passim; Puchta, Pandekten, 6. Buch, 2.
Kapitel; Vangerow, Pandekten, 5. Buch, 4. Kapitel.
113
But see, for example, Vangerow, Pandekten, §§ 623 sqq.; Puchta, Pandekten, Щ 304
sqq., who still puts loan and unjustified enrichment on a par.
Schweizerisches Obligationenrecht (1911), am. 62 sqq,
115
Andreas von Tuhr, Allgemeiner Teil des schweizerischen Obligationenrechts, 1. Halbband
(1924), p. 39.
The Italian codice civile (1942) subdivides the law of obligations into specific contracts,
unilateral promises, negotiable instruments, negotiorum gestio, unjustified enrichment and
delicts. South African law, incidentally, treats quasi-contracts without much kindness. They
are dealt with neither in textbooks on contract nor in those on delict. Even in a textbook on
the law of obligations (Lee and Honore" (2nd ed, 1978, by Newman and McQuoid-Mason)),
the quasi-contracts are not mentioned. In other works (such as Hosten/Edwards/Nathan/
Bosnian, Introduction to South African Law and Legal Theory (1980), pp. 506 sqq.), enrichment
appears as a brief appendix to the law of delict, negotiorum gestio, in turn, as an appendix
to enrichment. There is only one major monograph each on enrichment and negotiorum
gestio. On "quasi-contract" in the French Civil Code, c{., for example, Carlo Augusto
Cannata, "Das faktische Vertragsverhaltnis oder die cwige Wicderkunft des Gleichen",
(1987)
117
53 SDHI 310 sqq.
118
On the history of the BGB in this respect, sec Seller, op. cit., note 98, pp. 72 sqq.
Theo Mayer-Maly, "Vertrag und Einigung", in: Festschrift jiir H.C. Nipperdey, vol. I
(1965), p. 522. Cf. also Seiler, op. cit., note 98, pp. 112 sqq.; Helmut Coing, "Bemerkungen
zum uberkommenen Zivilrcchtssystem", in: Vom deutschen zum europa'ischen Recht, Festschrift
fur Hans DSlle, vol. I (1963), p. 25.
119
Christian Wolff, Institutions juris naturae et gentium, § 62.
120
Hochstein, Obligationes, pp. 11 sqq., 150 sq.; Heinz Hubner, "Zurechnung statt
Fiktion ciner Willenserklarung", in: Festschrift fur H.C. Nipperdey, vol. I (1965), pp. 397 sqq.;
Mayer- Mal y, (1965) 12 RIDA 450 sq.
121
S e i le r, op. ci t., note 98, pp. 95 sq. and passi m.
122
Jo se f E s se r, "D i e Z w e i s p u ri gke i t u nse re s H a ft p fl i c ht re c ht s ", 1 9 53 J u ri st e n ze i t u n g 1 2 9
sqq.; He i n K ot z , "G e f a hr du n gsh a ft u n g", i n: G u t a c h t e n u nd Vo rsc h l a g e zu r U be ra rbe i t u n g d e s
S c h u l d re c h t s, v o l . I I ( 1 9 8 1) , p p . 1 7 7 9 s q q. ; i n E n gl i s h , f o r e x a m p l e , L a w s o n / M a r ke s i ni s,
pp. 14 2 s qq., a nd Z we i ge rt/ K otz /We i r, p p. 3 09 sq q. with m a n y re f e re n ce s.
123
C f . e s p . C l a u s - W i l he l m C a n a r i s , "S c h u t z ge se t z e — V e r k e h r s p f l i c h t e n — S c h u t z p fl i c h
ten", in: II. Festschrift ?ir Karl Larenz (1983), pp. 27 sqq. (pp. 85 sqq.: "Die Haftung fur
'Schutzpflichtverletzungen' als 'dritte Spur' zwischen Delikts- und Vertragshaftung") with many
other references.
124
Cf. BG H Z 21, 319 s qq.; G unt e r Ha upt , U be r f a k t i sche Ve rt rag sve rha l tn i sse ( 1941) ; Karl
Lare nz , Al lg em ein e r Te i l de s Bu rge rli che n Re cht s ( 6t h e d., 1983) , pp. 525 sqq., cri t i ciz e d, i n t he
p re se nt c o nt e xt , b y M a ye r-M a l y, Fe st s c h ri f t N i p p e rd e y , v ol . I , p p. 5 1 4 sq q. ; i de m, ( 1 9 67) 2
Th e I ri sh J u ri st 3 76 s q q.; c f. a l s o E u ge n D i e t r i ch G r a ue , "V e rt r a gss c hl us s du r c h K o n se n s ? "
i n : R e c h t sg e l t u n g u n d Ko n se n s ( 1 9 7 6 ) , p p . 1 0 5 s q q . , 1 1 2 s q q . F o r a r a t h e r u n c o n v e n t i o n a l
h i s t o r i c a l e v a l u a t i o n o f t hi s t r e n d , c f . C a n n a t a , ( 1 9 8 7 ) 5 3 S D H I 2 9 7 s q q .
125
[ 1 9 1 4 ] A C 3 9 8 ( H L ) a t 4 1 5.
126
Simpson, History, pp. 489 sq.; cf. also Goff and Jones, Restitution, pp. 5 sqq.
127
Continent al writers, too, have someti mes argued that the obligations quasi ex
contractu are based on a consensus fictivus or praesumptus: see, for example, Van Leeuwen,
Censura Foremis, Pars I, Lib. IV, Cap. XXV; Voet, Commentarius ad Pandectas, Lib. XLIV,
Tit. VII, v. ("Quasi contractus sunt praesumtae conventions, ex quibus mediante facto
valida nascitur obligatio"). But see the critical analyses by Vinnius, Institutions, Lib. Ill, Tit.
XXVIII pr., n. 3 sq. and Pothier, Traite des obligations, nn. 113, 117; they derive the
quasi-contracts from aequitas (utilitas). On Vinnius' view and the response it drew (on the
Continent as well as in England), see Peter Birks, "English and Roman Learning in Moses v.
Macferlcm", (1984) 37 Current Legal Problems 11 sqq. Cf. further Cannata, (1987) 53 SDH/306
sqq. For a more detailed analysis of civilian opinion on the dogmatic foundation of
quasi-contractual liability, see now Peter Birks/Grant McLeod, "The Implied Contract
Theory of Quasi-Contract: Civilian Opinion Current in the Century Before Blackstone",
(1986) 6 Oxford Journal of Legal Studies 46 sqq., 55 sqq.
128
Cf. Birks, (1969) 22 Current Legal Problems 165. A very different perspective on these
developments is adopted by Atiyah, Rise and Fall, pp. 181 sqq., 480 sqq. According to him,
the close affinity between contract and quasi-contract is confusing only to the modern
lawyer, and on the basis of the will theory of contract. Eighteenth-century lawyers, on the
other hand, were concerned primarily about the recompense of benefits; whether a man
promised to make a reco mp ense or failed to pro mise whe n he pl ainly ought to make a
recompense was a secondary matter.
129
Cf., for example, John Austin, Lectures on Jurisprudence (5th ed., 1911), pp. 911 sqq.,
984 sq.; Maine, pp. 201 sq.; Birks, (1984)37 Current Legal Problems 9 sqq. According to Birks,
it was Lord Mansfield (Moses v. Macferlan (1760) 2 Burr 1005) who introduced the notion of
quasi-contract into the English common law. "It is as certain as anything can be", writes
Birks, "that no Roman lawyer ever intended quasi ex contractu to suggest the shadow of a
contract . . . [But] it is likely that [Lord Mansfield] . . . understood] it as 'sort-of-contract'
because that interpretation was already current among contemporary civilians" (p. 10). This
is the "dark side" of the famous decision in Moses v. Macferlan (on its "bright side", see infra
p. 894). Whatever Lord Mansfield's reasons for appealing to Roman law in order to explain
the non-contractual range of indebitus assumpsit (on which cf. infra pp. 892 sq.) may have
been, it was the kmd of appeal which "beckons to disaster" (p. 5). With Moses v. Macferlan
contractual doctrine started to overshadow and to deform the English law of restitution. Via
Blackstone's Commentaries on the Law of England (Book III, Chapter 9) the "anti-rational"
(p. 23) fiction be ca me fir mly ingrai ned in t he English co mmon l aw. Cf. further Birks/
McLeod, (1986) 6 Oxford Journal of Legal Studies 46 sqq., 77 sqq.
130
For a com parison betwee n quasi-contract in Roma n a nd English la w, see Buc kla nd/
M c Nair, pp. 329 sqq.
131
Fibrosa Spolka Akcyjna v. Fairbairn Lawson Combe Barbour Ltd. [1943] AC 32 (HL) at 62.
132
Per Lord Atkin, United Australia Ltd. v. Barclay's Bank Ltd. [1941] AC 1 (HL) at 29.
133
Cf., for example, A.S. Burrows, "Contract, Tort and Restitution. A Satisfactory
Division Or Not?", (1983) 99 LQR 217 sqq.; for further discussion, see infra pp. 893 sqq.
134
Cf. Mod. D. 44, 7, 52 pr.: "Obligamur aut re aut verbis aut simul utroque aut
consensu aut lege aut iure honorario aut necessitate aut ex peccato." On obligari lege, cf.
Theo Mayer-Maly. (1965) 12 RIDA 437 sqq.; on obligari necessitate, cf. Theo Maycr-Maly,
(1966) 83 ZSS 47 sqq.
Just as in modern English law, where private law is not seen as a system cither. Cf.
Schulz, Principles, p. 57; on the approach of the Roman lawyers towards abstraction
(and systcmatization) generally, cf. already pp. 40 sqq. and idem, RLS, p. 257.
137
Schulz, RLS, p. 94. Cf. also, for example, Frier, Roman Jurists, p. 171: "Quintus
Mucius is the father of Roman legal science and of the Western legal tradition. He is the
inventor of the legal profession"; generally on Quintus Mucius, see Richard A. Bauman,
Lawyers in Roman Republican Politics (1983), pp. 340 sqq.; Wieacker, RR. pp. 549 sqq.,
595 sqq. 630 sq.
nK
D. 1,2 , 2, 41. For details, see Alan Watson, Law Making in the Later Roman Republic
(1974), pp. 143 sqq., 179 sqq.
139
C f . P e t e r S t e i n , "T h e D e v e l o p m e n t o f t he I n s t i t u t i o n a l S ys t e m ", i n : S t u d i e s T h o m a s ,
p p . 1 5 1 s q q . ; c f . f u r t h e r F r i e r , R o m a n J u ri s t s , p p . 1 5 5 s q q . ; W i e a c k e r , R R , p p . 5 9 7 s q q .
140
Gai . I, 8; cf. e spe ci all y Ste in, Studies Thomas, pp. 154 sqq.; Jol owi cz , Roman
Fo un da t ion s, pp. 61 sqq.; Bu ckl and/ St e i n, pp. 5 6 sqq. T hus, G a i us w as mo vi n g f rom
"divisio" (i.e. dividing the material merely into categories) to "partitio" (breaking it down
into
141
its constituent elements). Cf. generally Dieter Norr, Divisio und Partitio (1972).
Cf., for example, De Zulueta, Gaius II, pp. 23 sq.; Jolowicz, Roman Foundations,
pp. 63 sqq.
Cf. Hans Kreller, "Res als Zentralbegriff des Institutionensystems", (1948) 66 ZSS 572
Sq
?43
"A decidedly heterogeneous assemblage": Schulz, RLS, p. 160.
144
Gai. II, 14. One would expect ownership, like any other right, to be a res incorporalis.
By a strange sort of logical leap, however, dominium was treated as a res corporalis and thus
identified with its object. On the res corporalis/incorporalis distinction in modern law, see
Krcller, (1948) 66 ZSS 592 sqq.
145
Gai. Il, 97.
146
Gai. III, 82 sqq.
147
Gai. II, 97.
148
Gai. Ill, 88.
149
Principles, p. 56.
150
Stein, Studies Thomas, p. 154.
1 i
Not only, incidentally, on the Continent, but also in Scotland, namely on Lord Stair's
influential Institutions of the Law of Scotland (1681) (sec D.M. Walker, "The Structure and
Arrangement of the Institutions", in: Stair, Tercentenary Studies (1981), pp. 100 sqq.); and
even in England. Sir Matthew Hale, who for the first time attempted to tidy up and
systematize the whole of the English common law (until then a casuistic jumble, as is well
reflected in Sir Edward Coke's writings) based his scheme on Justinian's Institutes. Hale's
Analysis of the Laws of England (1713), was then in turn adopted by Blackstone (himself
essentially a civilian and an academic) in his famous Commentaries on the Laws of England
(1765-69). See Simpson, (1981) 48 University of Chicago LR 632 sqq.; Peter Stein, Roman Law
ana English Jurisprudence Yesterday and Today (Inaugural Lecture, Cambridge, 1969),
pp. 7 sqq.; F. H. Lawson, "Institutes", in: Festschrift fur Imre Zajtay (1982), pp. 339 sqq. More
specifically on the role of Sir Matthew Hale in the development of English jurisprudence,
and on the influence of civilian methodology on his thinking, see Daniel R. Coquillette, The
Ci v i l i a n Wri t e r s o f D o c t o rs' Co m m o n s ( L on d on , 1 98 8) , p p . 26 4 s qq .
152
J ol o wi cz , R o m a n Fo u nd a t io n s, p. 6 2.
153
C f. St e i n, S t u d i e s Th o m a s , p p. 1 5 9 s q q.
154
F o r d e t a i l s , s e e e s pe c i a l l y K a s e r , R Z , p p . 4 1 0 s q q .
b5
See the analysis by Stein, Studies Thomas, pp. 160 sqq. On obligatio and actio in
classical law, cf. Emilio Betti, La struttura dell' obbligazione romana (2nd ed., 1955);
Honsell/Mayer-Maly/Selb, pp. 218 sqq.
Ь6
On actions in post-classical law, Kaser, RPr II, pp. 65 sqq.; RZ, pp. 467 sqq.; c(. also
Jolowicz, Roman Foundations, pp. 75 sqq.
157
Theophilus, Paraphrases institutionum, Lib. Ill, Tit. XIII: " дтітерЕс -yap таѵ аушушѵ at
^VO YCU ."
1
This is the difference to English law; c(. Buckland, "Cause of action: English and
Roman", (1943) 1 Seminar 4 sqq.
159
If the action had been brought, that is, if litis contestatio had taken place, no other
action could be brought under the same contract: the barring effect of litis contestatio.
160
Cf. Jolowicz, Roman Foundations, pp. 62 sqq.; for the usus modernus, Coing, p. 393;
questions of the law of obligations were still occasionally treated as part of the law of actions.
161
System, vol. I, pp. 401 sqq.
162
V 'i n ni u s, I n s t i t u t i o n s , Li b. I l l , T i t . X I V , 2.
163
It was only in the 18th century that the French lawyer Pothier set himself the task of
putting the texts of the Digest into a systematic order; see his Pandecta Iustinianae in novum
ordinem Digestae.
164
Cf. the accounts given by Jolowicz, Roman Foundations, pp. 61 sqq.; Peter Stein, "The
Fate of the Institutional System", in: Huldigingsbundel Paul van Warmelo (1984), pp. 218 sqq.;
Andreas B. Schwarz, "Zur Entstehung des modernen Pandektensystems", (1928) 42 ZSS 578
sqq. and Lars Bjorne, Deutsche Rechtssysteme im 18. und 19. Jahrhundert (1984), pp. 131 sqq.
More specifically on the system developed by the Spanish scholastics (which was based on
their restitution doctrine), see Gunther Nufer, Uber die Restitutionslehre der spanischen
Spatscholastiker und ihre Ausstrahlung auf die Folgezeit (unpublished Dr. iur. thesis, Freiburg,
1969),
16
pp. 16 sqq., 59 sqq.; Coing, pp. 190 sq.
" The system of Justinian's Institutes was also essential in the shaping of the national legal
systems in the 17th and 18th centuries; on these "Institutes of National Law", see Klaus
Luig, 1972 Juridical Review 193 sqq. Luig has coined the term "Institutionalists" on the model
of the "Institutional writers" of Scottish law, i.e. the authors of systematic expositions of
private law. As far as Institutional writing in Scotland, England and America is concerned,
see Lawson, Festschrift Zajtay, pp. 339 sqq.
166
The composition o( Book Three is based on the system adopted by Donellus,
Cotnmentarii de Jure Civili. As to the Prussian Code, which was based on a totally different
system, cf. supra, note 100.
!f 7
' Cf. his Grundriss eines Systems des gemeinen Civilrechts zum Behuf von Pandekten-
Vorlesungen (1807).
168
II, I, 58.
169
II, I, 59. The fi rst book i s entitl ed "Van de begi nsel en der recht en ende van der
menschen rechteiiche gestaltenisse".
170
Ot h ers h ad rat h er bl u rr ed t hi s di st i nct i on. Th e e xt ent t o whi c h t he qu est i on of
systematization had been controversial is demonstrated by the fact that, while traditionally
obligations had been dealt with as part and parcel of "res", attempt s were not wanting to
accommodate, the other way round, the l aw of things within the framework of the law of
obligations. Cf. e.g. jean Domat, Les loix civiles dans leur ordre naturel, who subdivided the
law into engagements and successions.
171
This systematic approach goes back to Samuel Pufendorf, De jure naturae et gentium
(1672). It found legislative realization in the Prussian Code.
172
Cf., for example, the structure of Christian Wolff's Institutiones iuris naturae et gentium
and of part II, 2 PrALR.
173
On the history, content and value of the general part, see Schwarz, (1921) 42 ZSS 587
sqq.; Wieacker, Privatrechtsgeschichte, pp. 486 sqq.; Ernst Zitelmann, "Der Wert eines
'allgemeinen Teils' des burgerlichen Rechts", (1906) 33 GrunhZ 1 sqq.; Philipp Heck, "Der
allgemeine Teil des Privatrechts", (1939) 146 Archiv far die civilistische Praxis 1 sqq.; Gustav
Boehmer, Ein?hrung in das burgerliche Recht (2nd ed., 1965), pp. 73 sqq.; Bjorne, op. cit.,
note 164, pp. 250 sqq.
174
On the "German Abstract Approach to Law" and for comme nts on the system of the
BGB, see Folkc Schmidt, (1965) 9 Scandinavian Studies in Law 131 sqq.
175
See, for example, art. 2 ZGB (Switzerland): Everyone must act in good faith in
exercising his rights and performing his duties.
176
Cf., for exampl e, Boehmer, op. cit., not e 173, pp. 71 sq.
177
Gai. Ill, 89 (also 119 a); cf. also Gai. D. 44, 7, 1, 1; Inst. Ill, 13, 2. This scheme is
discussed by Ulrich von Lubtow, Betrachtungen zum gaianischen Obligationenschema, Atti
Verona, vol. Ill (1951), pp. 241 sqq.; Max Kaser, "Gaius und die Klassiker", (1953) 70 ZSS
(RA) 157 sqq.; Grosso, Sistema, pp. 73 sqq.; Carlo Augusto Cannata, "La 'distinctio'
re-verbis-liiteris-consensu et les problemes de la pratique", in: Sein und Werden im Recht,
Festgabe fiir Ulrich von Lubtow (1970), pp. 431 sqq. ; cf. also idem, "Sulla 'divisio
obligationum1 nel diritto romano repubblicano e classico", (1970) 21 Iura 52 sqq. On the
further history and reception of this classification, see Seiler, op. cit., note 98, passim.
178
The rather mysterious (Vincenzo Arangio-Ruiz, Istituzioni di diritto romano (14th ed.,
1968), p. 328) obligatio litteris mentioned (only!) in the Institutes of Gaius (II I, 128 sqq.) will
be passed over since it did not form part of the legacy of classical Roman law to the European
ius commune. It may have originated as a consequence of the expansion of trade and
commerce during the time after the second Punic war, when it became increasingly
inconvenient to use the form of a stipulation (requiring the presence of both parties in one
and the same place) in order to oblige somebody to pay a sum of money. The obligatio
litteris (giving rise to an obligatio stricti iuris) arose as a result of the entry ("expensum
ferre": cf. Gai. Ill, 129; Cicero, Pro Q. Roscio comoedo, I, 2) by the creditor into his codex
accepti et expensi. This codex (mentioned by Cicero, op. cit., II, 5 sqq.) appears to have been
a kind of inventory which was drawn up by a Roman paterfamilias (usually monthly) in
order to record (in chronological sequence) all receipts, expenses, claims and debts. It thus
reflected the development of a family's financial position and was the basis of the accounting
system of a Republican household; as such it enjoyed a specific vis, diligentia and auctoritas
(cf. Cicero, op. cit., II, 5 sqq., when he also refers to the codices as "aeterna, servantur
sancte, perpetuae existimationis fidem ct religionem amplectuntur"). The entry that gave
rise to the obligatio litteris appears to have been made by the creditor at the request of his
debtor (usually in the form of a—written—iussum); it was based on a fictitious loan (a
pecuniam credere with regard to which neither a datio (cf. infra, p. 153) nor a stipulation had
been effected) and had a novatory effect: it replaced another obligation, for instance one
arising from a contract of sale. For a thorough analysis along these lines, cf. Ralf Michael
Thilo, Der Codex accepti et expensi im Romischen Recht (1980), pp. 42 sqq., 79 sqq. (on the
Roman bookkeeping and accounting system), pp. 162 sqq. (on the codex accepti et expensi),
pp. 276 sqq. (on the contract litteris); c{. further, for example, Savigny, Vermischte Schriften,
vol. I (1850), pp. 205 sqq.; De Zulueta, Gaius II, pp. 163 sqq.; Thielmann, Privatauktion,
pp. 110 sqq.; 196 sqq.; Watson, Obligations, pp. 18 sqq.; Pierrejouanique, "Le codex accepti
et expensi chez Ciceron", (1968) 46 RH 5 sqq.; M.W.E. Glautier, "A Study in the
development of Accounting in Roman Times", (1972) 19 RIDA 310 sqq.; Honsell/Mayer-
Maly/Selb, pp. 251 sqq.
1
Cf. also Inst. II, 9, 5. On this maxim, see, most recently Rcnato Quadrato,
"Rappresentanza", in: ED, vol. 38, 1987, pp. 426 sqq. (proposing a new and very narrow
construction
2
of the crucial term "extraneus"; it did not, for instance, cover liberti and amici).
Schmidlin, Rechtsregeln, pp. 70 sqq.
34
3
Wesenberg, Vertrage zugunsten Dritter, pp. 11 sq., but see infra, pp. 72 sqq.
4
Kaser, RPr I, pp. 539 sq., 543, n. 49.
5
Schmidlin, Rechtsregeln, pp. 71 sq.; cf. also Okko Behrends, "Uberlegungen гипл
Vertrag zugunsten Dritter im romischen Privatrecht", in: Studi in onore di Cesare Sanfilippo,
vol. V (1984), pp. 1 sqq.
6
Q.M. Scaevola D. 50, 17, 73, 4. The reference to pacta and leges dictae has often been
regarded as interpolated. However, in this fragment Scaevola succinctly refers to the three
possibilities which might conceivably create effects in favour of third parties, and there is no
reason why such enumeration should not be classical. Contracts are probably not mentioned
because the naming of a third party was regarded by the jurist as such a deviation from the
typical pattern that it was treated as an incidental provision (lex dicta); cf. Wesenberg,
Vertrage zugunsten Dritter, pp. 9 sq. Further on D. 50, 17, 73, 4, see Wieacker, RR, p. 578.
On pacta in favorem tertii, see Peter Apathy, "Zur exceptio pacti auf Grund eines pactum
in favorem tertii", (1976) 93 ZSS 97 sqq.
7
On this text and its implications, cf., most recently, Behrends, Studi Sanfilippo, vol. V,
pp. 5 sqq.
H
Cf. the criticism by Schulz, CRL, n. 822.
9
Cels. D. 42, 1, 13 pr.; 45, 1, 97, 1; Pomp. D. 45, 1, 112, 1; Pap. D. 45, 1, 118, 2; c(.
Medicus, Id quod interest, pp. 217 sqq. 10 Kaser, RZ, pp. 286 sqq.
1
Cf. Ulp. D. 40, 7, 9, 2; Voci, Le obbligazioni romane, vol. I, 1 (1969), pp. 229 sqq.
12
Cf. e.g. the condictio certae rei: "Si paret Num Num Ao Ao tritici Africi optimi
modios centum dare oportere, quanti ea res est, tantam pecuniam iudex Num Num Ao Ao
condemnato,
13
si non paret, absolvito."
In the case of certa pecunia (cf. the condictio certae pecuniae) condemnation was for that
specific sum of money.
14
Cf. e.g. the actio empti: "Quod As As de No No hominem Stichum emit, quidquid ob
earn rem Num Num Ao Ao dare facere oportet ex fide bona, eius iudex Num Num Ao Ao
condemnato,
15
si non paret, absolvito."
16
Cf. generally Medicus, Id quod interest; H. Honsell, Quod interest; and infra pp. 826 sq.
Cf. the general statement in Inst. Ill, 19, 20; C. 8, 38, 3 pr. (Diocl. et Max.) (see the
interpretation by Max Kaser, "Zur Interessenbestimmung bei den sog. unechten Vertragen
zugunsten Dritter", in: Festschrift fiir Erwin Seidl (1975), pp. 82 sqq.).
Towards the ward the second tutor is in any event liable for maladministration under
the actio tutelae. Normally the cautio would have been concluded between tutor and ward.
It mainly served the function of providing a basis for suretyship stipulations.
18
Even though only in subsidio. On the liabilities of co-tutors, especially the relationship
of tutor gerens and cessans, see Ernst Levy, "Die Haftung mehrerer Tutoren", (1916) 37
ZSS
19
14 sqq., 59 sqq.
A different interpretation is given by Wesenberg, pp. 12 sqq. But see Max Kaser, "Die
romische Eviktionshaftung nach Weiterverkauf", in: Sein und Werden im Recht, Festgabe?ir
Ulrich von Lubtow (1970), p. 491; Alejandro Guzman, Caucion lutelar en derecho romano (1974),
pp. 272 sqq.
20
Cf. Kaser, Festschrift Seid!, pp. 75 sqq.; Apathy, (1976) 93 ZSS 102 sqq.
21
Cf. e.g. supra, notes 12 and 13.
22
Hans Ankum,/' Une nouvell e hypothese sur l'origi ne de l a regl e Al teri dan stipulari
nemo potest", in: Etudes offertes a Jean Macqueron (1970), pp. 21 sqq.
23
Cf. Gai. III, 103; also Paul. D. 45, 1, 126, 2. See Ankum, Etudes Macqueron, pp. 25 sq.
24
That is, with regard to contracts for incertum dare or facere. But see Pap. D. 45, 1, 118,
2, where the alteri certum dari is regarded from the point of view of the stipulator as facere,
i.e. an incertum.
25
Interestingly, an "interest-theory" of a very similar kind ("He that hath interest in the
promise shall have the action") playe d a crucial role in the shaping of the English "privity
of c ontra ct" doctrine (on whic h see infra, p. 45). For a m odern a nalysis, se e Vernon V.
Palmer, "The History of Privity—The Formative Period (1500-1680)", (1989) 33 American
Journal of Legal History 7 sqq.
26
Cf. Ulp. D. 45, 1, 38, 17, which, from this point of view, has to be regarded as partially
interpolated. See Kaser, Festschrift Seidl, p. 87. Paul. D. 45, 1, 126, 2 seems to have escaped
the attention of the com pilers.
27
Cf. infra, pp. 95 sq.
28
Cf. in this context the interesting considerations of Wesenberg, Vertrage zugunsten
Dritter, p. 20; he argues that the main function of the modern contract in favour of a third
person (as, for example, regulated in the BGB) is to make provision for relatives. The father
of a family wants to protect wife and children against the possibility that the estate might not
suffice for their maintenance after his death. In Roman times the subsistence minimum of the
civis Romanus and his relatives was provided for by other means (cf., for example, the cura
annonae).
29
This institution has been analysed in great detail by the Roman lawyers. Cf. the
casuistry in Pothier, Pandectae justinianae IV (1819), pp. 266 sqq.; Wesenberg, Vertrage
zugunsten Dritter, pp. 20 sqq.
30
Cf. Paul. D. 44, 7, 44, 5; infra, pp. 98 sq.
31
Gai. Ill, 103 and Schmidlin, Rechtsregeln, pp. 72 sqq.
32
On whi ch, see infra, p. 78.
33
This is the line taken by Justinian: Inst. I l l , 19, 4. Cf. also lav. D. 45, 1, 110 pr.
34
The creditor authorizes the debtor to make performance to a third person; cf. e.g. Afr.
D. 46, 3, 38. 1.
35
An accessory creditor, who was entitled both to receive performance and to sue; his
right, however, depended on that of the main creditor. Cf. Gai. HI, 110 sqq.; Schulz, CRL,
pp. 491 sqq.
36
Cf. Wesenberg, Vertrage zugunsten Dritter, pp. 29 sqq.; Ankum, Etudes Macqueron, p. 23.
37
Vat. 286.
38
They arc specified and discussed by Wesenberg, Vertrage zugunsten Dritter, pp. 23 sqq.
Cf. also Wind scheid/Kipp, § 316, 2; Hans Ankum, De voorouders van een tweehoojdig twistziek
monster (1967), pp. 15 sqq.; Behrends, Studi Sanfitippo, vol. V, pp. 48 sqq.
39
"Si, cum venderet creditor pignus, convenerit inter ipsum et cmptorem, ut, si solvent
debitor pecuniam pretii emptori, liceret ei recipere rem suam, scripsit Iulianus et est
rescriptum ob haue conventionem pigneratieiis actioni bus teneri creditorem, ut debitori
mandet ex vendit o acti one m adversus empt orem. sed et i pse debitor aut vi ndi carc re m
poteril aut in factum actione adversus emptorem agere."
40
"Si res tuas commodavir aut deposuit is, cuius preeibus meministi, adversus tenentem
ad exhibendum vel vindicatione uti potes. Quod si pactus sit, ut tibi restituantur, si quidem
ei qui deposuit successisti, iure hereditario depositi actione uti non prohiberis: si vero nee
civili nee honorario iure ad te hcreditas eius peninet, intellegis nullam te ex eius pacto contra
quem supplicas actionem stricto iure habere: utilis autem tibi propter aequitatis rationem
dabitur depositi actio" (Diocl. et Max.).
41
Th e co mmon d eno mi nat or of al l t hese e xc ept i ons see ms t o be t hat an a cti on was
grant ed "t o t he t hi rd person . . . agai nst one who t ook a t hi ng wi th noti ce of [t he t hi rd
person's] right ": Thomas, TRL, p. 247.
42
Kaser, RPr II, pp. 339 sq.; Emilio Albertario, "I contratti a favore di terzi", in:
Festschriftfiir Paul Koschaker, vol. II (1939), pp. 26 sqq.
43
See Ankum, De voorouders, op. cit., note 38, pp. 17 sqq.; Coing, pp. 423 sqq.; Ulrich
Muller, Die Entwicklung der direkten Stellvertretung und des Vertrages zugunsten Dritter (1969),
pp. 29 sqq.; Wesenberg, Vertrage zugunsten Dritter, pp. 101 sqq.; Johannes Christiaan de Wet,
Die ontwikkeling van die ooreenkoms ten behoewe van 'n derde (1940), pp. 28 sqq.
44
De Wet, op. cit., note 43, e.g. pp. 63 sqq., 68 sqq., 140.
4-1
Cf. for the humanists, for example, Franciscus Duarenus. In Tit. de Pactis, cap. Ill, 7 sq. ;
for the usus modernus e.g. Benediktus Carpzovius, Definitions Foreuses ad Constitutions
Electorales Saxonicas, Lipsiae et Francofitrti (1694), Pars II, Constitutio XXIX, Def. XX, nn. 1
sqq. ; Consti t uti o XXXIII, Def/ XXVII.
46
Dionysius Gothofredus, Corpus Juris Civilis Romani, Lib. XLV, Tit. I, 38, § 17, t; cf.
also e.g. Vinnius, Institutiones, Lib. Ill, Tit. XX, 4, n. 3, but see also 19.
47
Cf. Stryk, Usus modernus pandectarum, Lib. II, Tit. XIV, § 12: ". . . et sic non negatur
aptitudo, per alium quaerendi obligationem, sed negatur regalia [sic; regula?]."
48
Savigny, Obiigationenrecht, vol. II, pp. 81 sqq.
Cf. the analysis by Muller, op. cit., note 43, pp. 44 sqq.; Wesenberg, Vertrage zugunsten
Dritter, pp. 102 sqq.; as to the discussion amongst the medieval legists and canonists
generally, cf. also Hans Ankum, "Die Vertrage zugunsten Dritter in den Schriften einiger
mittelalterlicher Romanisten und Kanonisten", in: Sein und Werden im Recht, Festgabe fur
Ulrich von Lubtow (1970), pp. 559 sqq.; idem, De voorouders, op. ci t . , note 38, pp. 17 sqq. 50
Cf. already Accursius, gl. Nihil agit ad I. 3. 20, 4. This exception was based mainly on Ulp. D.
46, 6, 2-4, which deals with a servus publicus. Cf. csp. Hermann Lange, " 'Alteri stipulari
nemo potest' bei Legisten und Kanonisten", (1956) 73 ZSS 279 sqq.; Coing, p. 425.
31
C f . L a n ge , ( 1 9 5 6 ) 7 3 Z S S 2 9 7 s q q . N o t e i n t h i s c o n t e x t t h e p r o m i s e r e q u i r e d o f
s chi s m at i c bi sh o p s w h o re t ur ne d t o t he ch u r c h: ". . . p r o mi t t o t i bi N . e t pe r t e s a n ct o Pe t r o
a p o st ol o r u m p ri n c i pi , at q u e e i u s V i c a ri o N . be a t i ss i m o G r e go r i o, v e l s u c c e ss o ri b u s i ps i us . "
52
Cf. C oin g, p. 4 25.
53
Cf. infr a, pp. 5 37 sq q.
54
O n t h e e s se n c e a n d s i gn i f i c a n c e o f st i p ul a t i o n s u n d e r t h e i u s c o m m u n e c f ., h o w e v e r ,
infra, pp. 546 sqq.
55
T his line of a r g um e nt ( de spite n ot be in g s u p p orte d b y the R om a n so urc e s) a lso
commended itself to some writers of the German usus modernus (cf. Stryk, Usus modernus
pandeetarutn, Lib. II, Tit. XIV, § 12) a nd of Roma n-Dutc h la w (Va n Lee uwe n, Censura
Forensis, Pars I, Lib. IV, Tit. XVI, n. 8); cf. also Grotius, De jure belli ac pads. Lib. II,
Ca p. XI, § 10.
" Especially by the humanists; c{. Muller, op. cit., note 43, pp. 73 sqq.
57
Cf. Bri nz , Pa n d e kt en , § 374 ( p. 1627) . Cf. al so S avi gn y, O bi i g a t ion en re c ht , vol . I I , p. 84
(stating that, from the point of view of "good a nd accurate theory" the doctrine has to be
rejected "out of ha nd").
58
B r u n ne m a n n , Co m m e n t a ri u s i n Pa n d e c t a s , L i b. X L I V , T i t . V I I I , A d . L. 1 1, n . 1 .
59
D one l l u s, Co m m e n t a n t d e Ju re Ci v i l i , Li b. X I I , C ap. X V I , 9 sq.; S avi gn y,
O bliga tion en re cht , vol . II , p. 76.
60
§ 375.
61
Se e e s pe ci a l l y A n k u m , D e v o o ro u d e r s, o p . c i t . , n ot e 3 8, p p. 2 7 s q q .; D e W e t , o p. c i t .,
note 43, pp. 1 04 sq q.; M ulle r, op. cit., note 43, p p. 98 sq q.
h2
Cf. Didacus de Covarruvias a Leyva, "Vanae Resolutiones Juridicae". in: Opera Omnia
(Francofurti, 1573), Lib. I, Cap. XIV. 11. Both Muller, op. ci t ., note 43, and Coing, p. 430,
emphasize that the break with the "aiteri stipulari nemo potest" rule ultimately originated in
Spanish legal science; cf., for example, the discussion in Perezius, Praeletittones. Lib. VIII,
Tit. LV, n. 9 .
f3
' Exercitationes, Ad Regulas juris. Disput. XI, 1. 73, 5 (should read: 16).
64
Pars I, Lib. IV, Cap. XVI, 8. The discussion among the Dutch jurists has been summed
up by Voet, Gommentarius ad Pandectas, Lib. XLV, Tit. I, I I I ; cf. also Groenewegen. De
legibu s a brogatis, Inst. Lib. Ill, Tit. XX. § 19 a lteri.
fi ;>
Cf. Reinha rd Zimmerma nn/Da vid Carey-Miller, "Hugo Grotius—Generis hu marri
iuris consultus", V)S4 Jura 1 sqq.
^ I II , I, 36; but see also I I I , I I I , 38.
67
Lib. II, Ca p. XI. § 18. As so often (cf. Otto Wilhelm Krause, Naturtechtler des
sechzehnten Jahrhunderts (1982), pp. 150 sqq.), Grotius built on the foundations laid by the late
scholastic Spanish legal science (cf. supra, note 62.).
6H
Wieacker, Privatrechtsgeschichte, pp. 293 sq. and especially, Diesselhorst, Hugo Grotius,
passim: cf. infra, p. 544.
M
It is hardly surprising that both sometimes get mixed up in South African law; c(. e.g.
Leslie Rubin, "The Legal Consequences of Contracts Concluded by a negotiorum gestor",
3954 Butterworth's South African LR 131 sq.; Lee, Introduction p. 439.
70
§ 75 I 5 PrALR.
Thcil 4. Cap. 1, § 13 Codex Maximilian eu s.
72
§ 854 Sachsisches Gesetzbuch.
73
§ 881 ABGB; reformed, however, by the third T heilnovcllc in 191 6.
74
Traite des obligations, mi. 54 sqq.
D
Art. 1165 code civil; on the origin of the provisions regarding contracts in favour of a
third party in the French and Dutch codifications, see Ankum, De voorouders, op. c i t. , note
38, pp. 30 sqq.; as far as French la w is concerned, cf. also Edouard Lambert, Du contrat en
faveur des tiers (1893), passim.
7(1
This provision has been received in Louisiana (but has been changed subsequently). On
the history of "stipulations pour autrui" in Louisiana, see J. Denson Smith, (1936) 11 Ttilane
LRJS sqq.
' The most important parts of the "vast edifice which the French courts have constructed
on th e fra il fou n da tion o f a rt. 1 1 2 1 ". esp e cia lly De spr etz c. W a nn ebr ou c q, Ca ss. civ.
16.I.1888, are easily accessible in Kahn-Freund/Levy/Rudden, A Source-hook on French Law
(2nd ed., 1979), pp. 454 sqq.; cf. also Nicholas, h'LC, pp. 177 sqq.
™ Zweigert/Kotz/Weir, pp. 126 sqq., 138.
7
'' Cf. esp ecia lly Wi nd sch eid/ Kip p. § 3 16 . In § 3 16 a , a va riety of theorie s a nd
constructions (mostly based on fictions) is discussed which were proposed in the course of
the 19th century in order to get around the effects of the "alten stipulari nemo potest" rule.
II. AGENCY
1. Direct representation: introduction
Not only the contract in favour of a third party but also the modern law
of agency have been developed, in the civil-law systems, largely in
opposition to the situation in Roman law. Again, it was the "alten
stipulari nemo potest" principle which stood in the way; again,
however, matters were complicated by the fact that the Corpus Juris
Civilis did not really present a very clear and consistent picture. Again,
it was Hugo Grotius who had a major impact on the development; m
particular, he advanced the legal analysis by distinguishing for the first
time between contracts in favour of a third party and agency: "Solent
Cf. in this context the polemic though instructive remarks by von Kirchmann. Die
Werthlosiqkeit der Jurisprudenz als Wissenschaft (1848), as quoted by Zwcigcrt/Kutz/Weir.
p. m126.
Cf. e.g. Mutual Life Insurance Co. of New York v. Hotz 1911 AD 556 sqq.; McCullogh v.
Fernwood Estate Ltd. 1920 AD 204 sqq. and the criticism by Dc Wet, op. cit., note 43,
pp. 146 sqq.; Dc Wet en Yeats, pp. 94 sqq. For a different view, see J. Kerr Wylie,
"Contracts
81
in favour of third parties", (1943) 7 THRHR 94 sqq.
Cf. the comparative analysis by Zweigert/Kotz/Weir. pp. 124 sqq.
H
~ Cf. the comparative analysis by Zweigert/Kotz/Weir, pp. 133 sqq.; and the historical
analysis by Palmer, (1989) 33 American Journal of Legal History 3 sqq.
ю
Ъип!ор Pneumatic Tyre Co. Ltd. v. Selfridge and Co. Ltd. [1915] AC 847 (HL) at 853;
cf.84also Beswick v. Beswick [1967] 2 All ER 1197 (HL); Treitel, Contract, pp. 458 sqq.
Cf. Buckland/McNair, pp. 214 sqq.; Arthur L. Corbin. Contracts for the Benefit of Third
Persons, (1930) 46 LQR 12 sqq.; Louise Wilson, "Contract and Benefits for Third Parties",
(1987) 11 Sydney LR 230 sqq.
85
De jure belli ac pads. Lib. II, Cap. XI, 18.
1
The distinction is sometimes blurred; cf., tor example, supra, notes 48, 69. ' Thus, one
person acts, but the effects of that act arise in a third party. Rabel, "Die Stellvertretung
in den hellenistischen Rechten und in Rom", in: Atti del congresso internazionale di
diritto romano, vol. I (1934), p. 238, has called this a legal miracle ("Ursprunglich
%ibt es nirgends eine direkte Stellvertretung. Sie ist ein juristisches Wunder").
HH
Cf. Raul/D. 45, l', 83 pr.; Windscheid/Kipp, § 317; Klaus-Peter Martens, "Rechts-
geschaft und Drittinteressen", (1977) 177 Archiv jur die civilistische Praxis 139 sqq. The
validity of such a transaction is (in modern times) incompatible with the autonomy of each
individual to enter into legal transactions (Privatautonomie). In the case of agency, this
problem docs not arise, as the principal has conferred the power of agency on the agent.
89
Cf., for example, Windscheid/Kipp, § 73, n. 15; Wolfram Muuer-Freienfels, Die
Vertretung beim Rechtsgeschaft (1955), pp. 15 sqq.; Karsten Schmidt, "Offene Stellvertretung"
1987Juristische Schulung 425 sqq.; cf. also art. 1984 code civil; art. 1388 codice civile. For a
comparative evaluation, see Philippos Doris, "Die unmittelbare Stellvertretung des BGB im
99
Cf. Mitteis, op. cit., note 97, pp. 13 sqq.; Kaser, RPr I, p. 260. A totally different
hypothesis has recently been advanced by Claus, Stellvertretung, pp. 14 sqq. According to
hi m, (anci ent ) Roman l aw di d not obj ect to agency in t he sense that a free person coul d
acquire rights and incur obligations on behalf of somebody else. Taking as his point of
departure what Erwin Seidl (for example in: Agyptische Rechtsgeschichte der Saiten- und
Perserzeit (2nd ed., 1968), pp. 45 sqq.) has called "the principle of necessary remunerative-
ness"— which, according to Seidl, originally applied in Roman law just as in all other (early)
legal systems (cf. for England the doctrine of consideration)—he argues that if the
remuneration had come from the property of a third party or if what had been acquired had
benefited the property of the third party, that third party, and not the person concluding the
contract, would be liable and entitled under the transaction. Only later on, when the will of
the parties began to be emphasized and ultimately replaced the principle of necessary
remunerativeness as the basis of the contractual transactions (that is, since the end of the third
century B.c.) did the jurists introduce the prohibition of agency. For a refutation of this
theory,
100
see Kaser, (1974) 91 ZSS 146 sqq.
On this topic generally, see Schulz, Principles, pp. 83 sqq.; Dieter Norr, "Zum
Traditionalismus der romischen Juristen", in: Festschrift ?ir Werner Flume, vol. I (1978),
pp. 153 sqq.
1111
102
Muller-Freienfels, Vertretung, op. cit., note 89, p. 53.
Cf. M.I. Finley, The Ancient Economy (1973); Tenney Frank (ed.), An Economic Survey of
Ancient Rome, vol. I, v (1959); M. Rostovtzeff, The Social ana Economic History of the Roman
Empire (1926); and the essays collected in M.I. Finley (ed.), Studies in Ancient Society (1974)
and Helmmh Schneider (ed.), Zur Sozial- und Wirtschaftsgeschichte der spaten romischen
Republik
03
(1976); Wieacker, RR, pp. 347 sqq.
As to what follows cf. especially the clear and instructive analysis by Kaser, (1970) 9
Romanitas 333 sqq.; also Rabel, Grundzuge, §§ 118sqq. On the reasons for an increasing need
for agency (and thus: for the intervention of the praetor), see Powell, 1956 Butterworth's South
African LR 42 sqq.
104
But cf. W.M. Gordon, "Agency and Roman Law", in: Studi in onore di Cesare
San?lippo, vol. Ill (1983), pp. 341 sqq., who argues that "Roman law gradually reached a
position where the advantage of going further was more theoretical than practical and
Roman law reached this situation in a way which gave practical results which were in certain
respects preferable to those which would follow from the adoption of direct agency"
(p. 343). For a critical evaluation of the traditional opinion, see also Quadrato, ED, vol. 38,
pp. 417 sqq.
H>s
Cf. esp. Max Kaser, "Zur Methode der romischen Rechtsfindung", in: Ausgewahlte
Schriften, vol. I (1976), pp. 3 sqq.
10
The institutions of buying commission and commission for sale are modern examples
of indirect agency. They are based on the desire to make use of independent entrepreneurs
at foreign trading centres and on the preference of the buyers or sellers at these foreign
trading centres to contract with the representative on the spot rather than with some
unfamiliar and far-off principal. Transactions through commission agents were very popular
in the 19th century; owing to the modern means of transport and communication their
importance has decreased considerably, cf. Karsten Schmidt, Handelsrecht (3rd ed., 1987),
pp. 762 sqq. Agency, for the fathers of the BGB, meant "direct agency" (cf. supra, p. 46);
they regarded (rules about) indirect agency as obsolete and dispensable. Time has shown that
this attitude was too rigid; the need for indirect agency in certain circumstances has had to
be accommodated by the courts (cf., for example, the Geschaft fur den, den es angeht
(transaction for whom it concerns), on which, see Karl August Bettermann, Vom
stellvertretenden Handeln (1937), pp. 90 sqq.; Klaus Muller, "Das Geschaft fur den, den es
angeht", 1982 Juristenzeitung 777 sqq.). As far as Roman law is concerned, the importance
of indirect agency as a satisfactory alternative to direct agency is stressed by Gordon, Studi
Sanfilippo, vol. Ill, pp. 344 sqq.
1 7
Ratihabitio is subsequent assent; cf., for instance, Ulp. D. 46, 8, 12, 1; 3, 5, 5, 11. On
the theory and history of ratification in the law of agency, see Gualtiero Procaccia, (1978-79)
4 Tel Aviv University Studies in Law 9 sqq.
app|ies to t^e informal transactions only. Where, for example, formal oral
declarations by the stipulator and promisor are required (stipulatio), the parties could not
make use of nuntii.
10 4
As to the concept of a nuntius, ct. Flume, AT, § 43, 4; Gotz Hueck,
"Bote—Stellvertreter im Willen—Stellvertreter in der Erklarung", (1952-53) 152 Archivfiir
die civilistische Praxis 432 sqq.; Mitteis, op. cit., note 97, pp. 128 sqq.
110
Paul. D. 18, 1, 1, 2: "Est autem emptio iuris gentium, et ideo consensu peragitur et
inter absentes contrahi potest et per nuntium et per litteras."
111
Gai. II, 60.
112
Kaser, RZ, pp. 152 sqq.; Claus, Stellvertretung, pp. 52 sqq.
113
As, for example, where the impubes was still an infans or where he was absens.
114
Paul. D. 26, 7, 27: "Tutor, qui tutelam gerit, quantum ad providentiam pupillarem
domini loco haberi debet."
115
Cf. especially Max Kaser, "Ruhende und verdrangende Hausgewall im alteren
romischen Recht", (1939) 59 ZSS 31 sqq. (35 sqq.).
116
Ner. D. 41, 1, 13, 1; Paul. D. 41, 2, 1, 20.
117
118
Cf. Ulp. D. 26, 7, 9 pr.; Ulp. D. 13, 5, 5, 9.
Cf. Scaev. D. 36, 3, 18, 2.
119
Actiones utiles were also granted for and against municipia on account of the acts of
their actor (representative in court): Paul. D. 3, 4, 10; Ulp. D. 13, 5, 5, 7 sqq.; cf. further
Ulp. D. 12, 1, 27.
™
121
Cf. Gai. D. 41, 1, 9, 4; Ulp. D. 6, 1, 41, 1; Paul. D. 13, 7, 20 pr.
Cf. recently Wolfgang Kruger, Erwerbszurechnung kraft Status (1979), pp. 21 sqq.; as far
as Ehe acquisition of possession through persons in power is concerned, see Hans-Peter
Benohr, Der Besitzerwerb durch Gewaltabhangige im klassischen romischen Recht (1972). On the
problems arising in situations where a slave has several domini, see Geoffrey MacCormack,
"Nomination: Slaves and Procurators", (1976) 23 RIDA 191 sqq.
122
Cf. Gai. I I , 86 sqq.
123
( 1970) 9 R o man i ta s 343 sqq.
124
We find the same idea in public law: populus Romanus and municipia act through their
magistratus. Cf. also the post-classical concept of the delegatus prindpis (C. 1, 50 and 51).
Cf., for exam ple, Gai. D. 50, 17, 133: "Melior condicio nostra per servos fieri potest,
deterior fieri non potest." Could slaves alienate property for their masters? For details, see
Hans Ankuin, "Mancipatio by Slaves in Classical Roman Law?", 1976 Acta Juri dice 1 sqq.;
idem, "Mancipatio by Slaves in Classical Roma n La w", in: Huldigingsbundel Paul van
Warmelo (1984), pp. 6 sqq.
126
Cf., for e xa m ple, Ulp. D. 44, 7, 14.
127
Cf. generally e.g. Claus, Stellvertretung, pp. 64 sqq. and passim. The term has its origin
in Pa ul. D. 14, 1, 5, 2: "[H]oc e nim e dicto non tra nsfertur actio, sed a dicitur."
128
D. 15, 4; C. 4, 26.
129
Gai. IV, 72a-74a; Itist. IV, 7, 4-4c; D. 15, 1; C. 4, 26.
130
D. 14, 1; C. 4, 25.
131
"Non tarnen omne, quod cum institore [se: vel exercitore] geritur, obligat eum qui
praeposuit, sed ita, si eius rei gratia cui praepositus fuerit, contractum est, id est dumtaxat
ad i d quod eum praeposuit" (Ulp. D. 14, 3, 5, 11).
132
D. 14, 3; C. 4, 25.
133
On the interpretation of the term "institor", cf. the analysis by Nikolaus Benke, "Zu
Papinians actio ad exemplum institoriae actionis", (1988) 105 ZSS 597 sqq.
4
" D. 15, 3.
135
Gai. IV, 71; Ulp. D. 14, 1, 1, 4; Ul p. D. 14, 3, 7, 1.
136
Liability in solidum = several persons owe one performance in such a manner that each
of them is bound to effect the whole performance, but the creditor is entitled to demand the
performance onl y once. Cf. today, for exampl e, § 421 BGB.
137
Cf. Marcell./ Ulp. D. 14, 3, 1; Paul. D. 46, 5, 5.
13M
Piero Angelini, II procurator (1971); Okko Behrends, "Die Prokuratur", (1971) 88 ZSS 215
sqq.; Hamza, (1983) 25 Acta Juridica Academiae Scientiarum Hungaricae 97 sqq.; J.-H. Michel,
"Quelques observations sur l'evolution du procurator en droit romain", in: Etudes offertes a
Jean Macqueron (1970), pp. 515 sqq.; Kaser, RPrll, pp. 100 sq.; idem, (1974)91 ZSS 186 sqq.;
Rcnato Quadrato, "D. 3, 3, i pr. e la definizione di 'procurator'" (1974) 20 Labeo 210 sqq.;
idem,
139
ED, vol. 38, pp. 422 sqq.; Watson, Obligations, pp. 193 sqq.
Cf., for example, Gai. II, 95; (on which, see Claus, Stellvertretung, pp. 174 sqq., but
also Quadrato, ED, vol. 38, pp 426 sqq.); Inst. II, 9, 5. Nomination by the procurator
determined whether he or his principal acquired: see MacCormack, (1976) 23 RIDA 191 sqq.
140
Pap./Ulp. D. 19, 1, 13, 25.
141
Pap. 14, 3, 19 pr.; Pap./Ulp. D. 19, 1, 13, 25; Pap./Ulp. D. 17, 1, 10, 5; Ernst Rabel,
"Ein Ruhmesblatt Papinians", in: Festschrift?ir Ernst Zitelmann (1913); Claus, Stellvertretung,
pp. 259 sqq.; Qua drato, ED, vol. 38, pp! 431 sqq.; Be nke, (1988) 105 ZSS 607 sqq.
142
Cf., for e xa m ple , Ulp. D. 43, 26, 6, 1; Ulp. D. 4, 9, 1, 3.
143
Cf. e.g. Afr./Ulp. D. 12, 1, 9, 8; Scaev. D. 39, 5, 35, 2; Paul. D. 45, 1, 126, 2; Kaser,
(1974) 91 ZSS 177 sqq.; Ulric h von Lubtow, "Die Darle he nsge wa hrung durc h de n
Prokurator", in: Studi in onore di Edoardo Volterra, vol. I (1971), pp. 149 sqq.; Fritz
Pringshcim, Der Kauf mit fremdem Geld (1916), p. 109.
14
Ulp. D. 14, 1, 1, 18; Pa ul. D. 14, 5, 8. On the cognitio extra ordinem, the latest form of
civil proceedings in Roman taw, which was first concurrent with, but later replaced the
form ulary procedure, cf. Kaser, RZ, pp. 339 sqq., pp. 410 sqq.; Honsell/Mayer-Maly/Selb,
pp 557 sqq.
Levy, Obiigationenrecht, pp. 60 sqq. On the post-classical developments, see also
Sandro Angelo Fusco, "Pecuniam commodore" (1980), pp. 44 sqq.
146
Cf. the de t ails in K a se r , R Pr I I , p p. 9 9 s qq. ; Cl a us, S te llv e rtre t u n g , pp. 3 37 sq q.
Probably the most important change related to the acquisition of possession (and through
possession, ownership) through extranei which was now no longer restricted to tutores and
procuratores, but generally admitted: Inst. II, 9, 5; C. 7, 32, 1. This generalization, however,
possibly dates back already to late classical times: cf. Alan Watson, "Acquisition of
Ownership by 'traditio' to an 'extraneus' " (1967) 33 SDHI189 sqq.; Kaser, (1974) 91 ZSS
194 sq.
147
Irnerius, "gl. danda ad D. 3, 3, 27, 1", in: Enrico Besta, L'opera d'Imerio, vol. II (1896),
p. 42.
148
Especially at the time of the glossators and the humanists. For a general discussion, see
Coing, pp. 423 sqq.; J.C. de Wet, " 'n Bydrae tot die geskiedenis van die ontwikkeling va n
direkte vertee nwoordiging by die sluiting van ooreenkomste", (1942) 6 THRHR 99 sqq.,
210 sqq.; Muller, op. cit., note 43, pp. 29 sqq.; Paolo Cappellini, "Rappresentanza", in: ED,
vol. 38 (1987), pp. 435 sqq.; Hasso Hofmann, Reprasentation (1974), pp. 152 sqq.; for the
more modem history, see W olfram M uller-Freienfels, "Die Abstraktion der Vollmacht-
serteilung im 19. Jahrhundert", in: Helmut Coing, Walter Wilhelm (eds.), Wissenschaft und
Kodifikation des Privatrechts im 19. Jahrhundert, vol. II (1977), pp. 144 sqq. For a discussion of the
(com parative) history of agenc y, see also Gualtiero Procaccia, "On the History of Age ncy",
(1976) 2 Tel Aviv University Studies in Law 56 sqq.
І49
See, for e xa m ple, Adalbert Erler, in HRG, vol. I (1971), cols. 798 sq.
The oft-quoted brocard (esp. in English law) "qui facit per alium, facit per se" goes
back to two regulae contained in the Liber Sextus, Lib. V, Tit. XII, De regulis iuris LXVIII
and LXXII (Bonifacius VIII). It was, however, hardly more than a guideline and did not
establish a legal rule about agency (in private law) which would have abrogated the Roman
principle. Cf. He rma nn La nge, (1956) 73 ZSS 286 sqq.; M uller, op. cit., note 43, pp. 62
sqq., but see also Procaccia, (1976) 2 Tel Aviv University Studies in Law 70 sqq.
1
One may think, for instance, of Christ's death as satisfactio vicaria for Adam's fall
(likewise a peccatum vicarium) or of the Pope as vicarius Christi. Also the hierarchical
struc ture of the Churc h has alwa ys ne cessita te d acting for oth ers. For details cf., for
exa m ple, J. Ratzinger, "Stellvertretung", in: H. Fries (e d.), Handbuch theologischer
Grundbegriffe (1963), vol. II, pp. 566 sqq.; Hofmann, op. cit., note 148, pp. 47 sqq., 116 sqq.
and passim; Settimio Carmigna ni Caridi, Rappresentanza, in: ED, vol. 38 (1987), pp. 485
sqq. O n the de velo pm e nt of a ge nc y in the ea rly c a no n la w, cf. Anto n Kra de po hl,
Stellvertretung und katholisches Eherecht (1964), pp. 28 sqq. On agency in the conclusion of a
marriage acc ording to canon la w, see Kra depohl, pp. 64 sqq.
152
Cf. Vangerow, Pandekten, § 608 (vol. Ill, pp. 293 sqq.); Muhlenbruch, Doctrina
Pandectarum, § 131.
53
". . . in his quae a de o sunt personalia, quod e x persona proc uratoris non possunt
tra nsire in dom inum proc urator re praese ntat persona dom ini direc to sic ut nunc ius":
Bartolus, Commentaria, D. 39, 2, 13, § Si alieno, 3. This thought was based on texts such as
Ulp. D. 14, 3, 1; Pa ul. D. 46, 5, 5; vide supra, note 137.
4
Cf. e.g. Bartolus, Commentaria, D. 3, 3, 67, § Proc urator qui pro evictione.
155
Cf. supra, p. 41 (note 49).
156
But it was a pprove d a nd ta ke n over in the 16th c e ntury by Fra nciscus Hotoma nus;
cf. the a nalysis by M uller, op. cit., note 43, pp. 96 sq.
157
Obligationenrecht, vol. II, § 57.
1SH
Obligationenrecht, vol, II, § 56.
159
On the relationship a nd m utual im pact of the actio de in re m verso and a ge nc y, see
Kupisch, Versionsklage, pp. 30 sqq.
It is rather surprising to see how, for insta nce, some of the hum anists c onde m ne d
slavery as not being reconcilable with the Christian teaching, but nevertheless extensively
discussed and regarded as binding the sources of Roman law relating to the legal position of
slaves (for instance, in the present context, as one of the exceptions to "alten stipulari nemo
potest"). But see, on the other hand, Simon van Leeuwen (Censura Forensis, Pars i, Lib. II,
Cap. XII, n. 2), who argued that since slavery had been abolished, the Roman rules relating *
to acquisition through slaves had to be applied to those free persons ("famulos, et ministros
liberos homines, qui nobis operis suis inserviunt") who ha d take n their place.
161
Cf. a nalysis a nd refere nces in M uller, op. cit., note 43, pp. 55 sqq .
162
Cf. De Wet, (1942) 6 THRHR 210 sqq.; D.J. Joubert, Die Suid-Afrikaanse
Verteenwoordigingsreg (1979), pp. 13 sqq.
163
Disputationes Iuris Fundamentales (Franequerae, 1688), Disp. LI, n. 9.
164
Commenterais ad Pandectas, Lib. XVII, Tit. I, IX.
165
In the sa me passage, Voet, incide ntally, c om pares proc urators a nd nuntii: ". . . quia
proc uratores hodie in negotiis contrahendis considerantur ma gis ut nuncii." This has been
translated by Percival Gane (The Selective Voet, vol. I l l (1956) in the following way; ". . .
because agents are rather regarded today in making business contracts as messengers." On
that basis, Voet's opinion has been criticized in (1910) 27 SALJ 385. According to Muller,
op. cit., note 43, p. 109, Voet is saying that the agent is more than a nuntius.
166
Censura Forensis, Pars I, Lib. IV, Cap. Ill, n. 10.
167
Cf. supra, pp. 43, 45 sq., and Muller, op. cit., note 43, pp. 123 sqq. This was then also
taken over in the usus modernus, cf. e.g. Lcyscr, Meditationes ad Pandectas, Spec. DXIX; for
France, see Pothier, Traite des obligations, im. 74 sqq. For details of the development, see, in
particul ar, Coing, pp. 426 sqq., 429 sq.; Cappellini, HD, vol. 38, pp. 447 sqq.
168
Cf. § 85 I 13 PrALR; §§ 1002 sqq. ABGB; Theil 4, Cap. У, § 7 Codex Maximihaneus;
§ 788 Sachsisches Gesetzbuch; artt. 1984, 1998 code civil.
169
Brinz, Pandekten, §371.
170
Wi ndscheid/ Kipp, § 73 (pp. 350 sqq.).
171
This had been Savigny's opinion (Obligationenrecht, vol. II, §§ 54 sqq., 57, 59)
("('•eschafisherrntheorie"; organ theory); for an analysis, see Heinz Mohnhaupt, "Savignys
Lehre von der Stellvertretung", (1979) S lus Commune 60 sqq.; cf. for England also Stoljar,
op. cit., note 93, pp. 14 sq.
172
Cf., for example, § 166 BGB; Flume, AT, § 43, 3. This is also the situation pertaining
in modern Roman-Dutch l aw; see, for exampl e, De Wet en Yeats, p. 87 sq.; Joubert, op.
cit., note 162, pp. 24 sqq.
m
"Die Stellvertretung bei dem Abschluss von Rechtsgeschaften nach dem Allgemeinen
Deutschen Handelsgesetzbuch", (1866) 10 ZUR 183 sqq.
III. CESSION
1. Nomina ossibus inhaerent
Finally, assignment (cession)!180 "Nomina ossibus inhaerent" said the
medieval lawyers in their metaphorical way:181 the action arising from
the obligation hinges on the bones and entrails of the creditor and can
no more be separated from his person than the soul from the body. If
the obligation is something highly personal, a vinculum iuris that
attains its individuality by virtue of having been created between two
specific parties, it is clear that it could not be regarded as transferable in
174
Cf. especially Muller-Freienfels, in: Wissenschaft und Kodifikation, op. cit., note 148,
pp. 144 sqq.; for a comparative view, see also Procacda, (1976) 2 Tel Aviv University Studies
in Law 81 sqq.; Gerd Justus Albrecht, Vollmacht und Auftrag (unpublished Dr. iur. thesis,
Kiel, 1970), passim.
175
Cf. e.g. §§ 164 sqq. BGB; am. 1387 sqq. codice civile; §§ 211 sqq. Civil Code
(Greece). For a comparative analysis of agency in modern civil-law systems, see Wolfram
Muller-Frei enfels, "The Law of Agency", in: A. N. Yi annopoul os (ed. ), Ci vil Law i n the
Modem World (1965), pp. 77 sqq.
176
Cf., for exampl e, Fridman, op. cit., not e 94, pp. 8 sqq.
177
Zweigert/Kotz/Weir, p. 101. On the history of age nc y (a nd its relationship with the
privity requireme nts of m odern contractual doctrine), see, m ost recently, Palmer, (1989) 33
American Journal of Legal History 28 sqq.
178
J-C. De Wet, "Agency and Representation", in: Joubert (ed.), The Law of South Africa,
vol. I (1976), n. 115.
179
These arc the words of art. 1984 code civil. They are based on Pot hier, Traite des
obligations, nn. 74 sqq. In South African law this view is maintained by A.J. Kerr, The Law
of Agency (1979), pp. 1 sqq., 15 sqq., whose whole treatise is, in turn, greatly influenced by
Pothier. (The Traite du contrat de mandat has, incidentally, been translated into English: B.G.
Rogers, Pothier's Treatise on the Contract of Mandate (1979).)
The word "assignment" is derived from assignare (assignatio), cession from cedere
(cessio).
1HI
Only the latter expression occurs in the Roman sources (C. 4, 35, 22 sq.).
Cf., for example, Azo, Summa Codicis, ad C. 4, 10 (p. 118, left col.); cf. Erich
Genzmer, "Nomina ossibus inhaerent", in: Melanges Philippe Meylan, vol. I (1963), pp. 159
sqq.
1K2
Cf. Schulz, CRL, p. 628: "It could not be otherwise. A law in which execution on the
person of the debtor is a living institution cannot allow a creditor to transfer his right to
another without the consent of the debtor, thereby perhaps substituting a harsh creditor for a
mild one." For the same consideration in Jewish law, see S.J. Bailey, "Assignment of
Debts in Engl and from the Twel fth to t he Twentiet h Century", (1931) 47 LQR 535.
183
Cf. already Hugo Donellus, Commentarii de Jure Civili, Lib. XV. Cap. XLIV, VIII
("Nam et hae sunt in bonis nostris").
184
Cf. the analysis in Zwcigcrt/Kotz/ Weir, pp. 108 sqq.
185
§ 398 BGB. As to the history of this section d. Klaus Luig, Zur Geschichte der
Zessionslehre (1966), pp. 100 sqq., 130 sqq. In the civil-law systems we speak of singular
succession to obligations (as opposed to the universal succession of the heir). The assignment
is usuall y based on a sal e of t he ri ght: t he cont ract of sal e provi des the obl igationary
agreement to cede or, put differently, the assignment is the real agreement executing the
obligation incurred by virtue of the sale of the right. (The situation is thus similar to the sale
of corporeal objects, where both traditio and a "real" agreement arc necessary to transfer
ownership; cf, infra, p. 239). This applies to legal systems (such as the German and the South
African) which require an act separat e from the obligationary contract (e.g. of sal e) to
transfer the right. The matt er is di fferent in French l aw, where ownershi p of corporeal
objects passes on account of the contract of sale. Consequently, the French Code also deals
with cession de creance in the context of the law of contract.
186
Artt. 1689 sq. code civil. These provisions are based on the writings of Domat and
Pothi er and, through them, ulti mately on the Coutume de Paris (wi th the famous rule: un
simple transport ne saisit point—a mere cession does not place the "assignee" in "possession"
of the claim); cf. Frans Heinrich Grosskopf, Die geskiedenis fan die sessie van vorderingsregte
(1960), pp. 78 sqq. Even though they have been not inconsiderably modified by the courts,
they have proved to be too cumbersome for commercial practice. Both legislator and courts
have found ways to get around them, as, for instance, by using the institution of "subrogation
personnelle" (artt. 1249 sqq.). Cf. Ghestin, "La transmission des obligations en droit francais
positif", in: La transmission des obligations (IXes Journees d'etude juridique Jean Dabin, 1980),
pp. 3 sqq., 36 sqq.
1H7
Cf. esp. Biondo Biondi, "Cessione di crediti e di aim diritti", in: Novissimo Digesto
Italiano, vol. Ill (1959), pp. 152 sqq.; Luig, op. cit., note 185, pp. 2 sqq.; Georg H. Маісг,
"Zur Geschichte der Zession", in: Festschrift fur Ernst Rabel, vol. II (1954), pp. 205 sqq.;
Wladyslaw Rozwadowski, "Studi sul trasferimento dei crediti in diritio romano", (1973) 76
BIDR 11 sqq. On the possibility of achieving a change of creditors by way of an oath
(iusiurandum), see Frit z St urm, "Der Eid i m Di enst e von Abtretung und Schulduber-
nahme", in: Studi in onore di Gaetano Scherillo, vol. (I (1972), pp. 514 sqq.
188
Gai. II, 38.
189
Paolo Cosentino, "Osservazioni in tema di mandatum e di delegatio", (1966) 69 BIDR
299 sqq.; Wolfgang Endemann, Der Begriff der Delegatio im klassischen Romischen Recht (1958).
19(1
Ulp. D. 46, 2, 1 pr.: "Novatio est prioris debiti in aliam obligationem vel civilem vel
naturalem transfusio atque translatio, hoc est cum ex praecedenii causa ita nova constituatur,
ut prior perematur novatio enim a novo nomen aeeepit et a nova obligatione." Cf. also Gai.
Ill,191176 and Kaser, RPr I, pp. 647 sqq.
The power to act as cognitor was conferred by formal declaration upon the procedural
opponent (cf. e.g. Gai. IV, 83). The appointment of a procurator in rem suam required
neither a formal act nor a declaration to the procedural opponent; an internal arrangement
between dominus litis and procurator was sufficient. Cf. Kaser, RZ, pp. 152 sqq. On the
role of "paraprofessional" cognitores within the Roman judicial system, see Frier, Roman
Jurists, pp. 65 sqq,
192
"Sine vero hac novatione non poteris tuo nomine a gere, se d de bes ex persona m ea
quasi cognitor aut procurator meus ехрегігі": Gai. II, 39. Cf. Wulf-Dieter Gehrich, Kognitur
und Prokuratur in rem suam als Zessionsformen des klassischen romischen Rechts (1963);
Rozwadowski, (1973) 76 BIDR 39 sqq.
193
The contract of mandatum would be invalid, because t he whol e transaction is "tua
tantum gratia", cf. infra, p. 422.
194
Cf. Kaser, RPr I, pp. 265 sq., 653. Thus, a distinction has to be drawn between the
authority as such (iussum) and the causal transaction giving rise to the granting of such
aut hority, e.g. t he purchase of the clai m (or, in the case of procuratio in rem alienam a
mandatum stricto sensu).
193
In the case of iudicia legitima and as far as actiones in personam were concerned, litis
contestatio had the effect of extinguishing the cause of action (dare facere oportere) and
re placin g it by a c on de m na ri oportere, the de fe n da nt's subj ection to the possible
conde mnation (actio consumitur): Gai. Ill, 180. The similarity to novation is obvious. One
of the differences, however, lies in the fact that accessory rights did not fall away with the
extinction of the old obligation: cf., for e xa m ple, M arci. D. 20, 1, 13, 4 for hypothe ka.
196
Whet her liti s cont est at i o had t hi s effect onl y i n regard t o a cognit or or also t o a
procurator in rem suam is disputed: cf. Gehrich, op. cit., pp. 74 sqq.; Rozwadowski, (1973)
76 BIDR 97 sqq.
197
Cf. Paul. D. 3, 3, 16, 7; Paul. D. 3, 3, 42, 2.
198
That does not already follow from the intransmissibility of the contract of mandatum,
for we are concerned here with a iussum. As to the death of the dominus litis, see UIp. D.
3, 3, 15 pr., a text which has since the times of the French humanist, Antonius Faber, often
been regarded as spurious—the question is very controversial: Gehrich, op. cit., note 192,
pp. 28 sqq.; Grosskopf, op. cit., note 186, pp. 9 sqq.; Maier, op. cit., note 187, pp. 207 sqq.;
Rozwadowski, (1973) 76 BIDR 70 sqq. For the death of the "assignee", see C. 8, 53, 33 pr.
199
See Rabel, Gmndzuge, p. 130.
200
Cf. Gai. II, 252; Maier, op. c i t . , note 187, pp. 218 sqq.; Rozwadowski, (1973) 76 BIDR 73
sqq. 20 Г С. 4, 10, 1 (Gord.).
202
Ul p. D. 2, 14, 16 pr. : "Si cum e mpi ore heredi t at es pact um sit fa ctu m et vendi t or
hereditatis petat, doli exceptio nocet, nam ex quo rescriptum est a divo Pio utiles actiones
emptori hereditatis dandas, merito adversus venditorem hereditatis exceptione doli debitor
hereditarius uti potest."
203
Di ocl. et Max., C. 4, 39, 8.
204
Val. et Gall., C. 4, 10, 2.
205
He closed the last gap by deciding the case that a claim had been donated: C. 8, 53, 33.
206
Cf. generally Fridolin Eisele, Die actio utilis des Zessionars (1887); Max Kaser, "Zum
'pienus nominis' ", (1969) 20 Iura 177 sqq.; Rozwadowski, (1973) 76 BIDR 124 sqq.
7
His name would thus appear in the intentio of the formula; in the case of procedural
representation, the intentio gives the name of the "assignor", while only the condemnatio is
framed in favour of the representative. 2 08 Luig, op. cit., note 185, pp. 6 sq.
209
Cf. Al ex., C. 8, 16, 4; Gord., C. 8, 41, 3 (probably interpolat ed).
210
Discussion and references in Rozwadowski, (1973) 76 BIDR 91 sqq., 155 sqq.; Luig,
op. cit., note 185, pp. 6 sqq. On the significance of the denuntiatio in the ius commune (does
"d enu nt i at i o si mpl e x" s uffi ce or i s t he d ra wi n g up —a n d h andi ng ov er —of a fo r mal
instrument required?; what is the effect of denuntiatio or—in France—insinuatio?),
cf. Coing, pp. 447 sq.
211
As Groenewegen, Tractatus de legibus abrogates, Cod. Lib. ѴШ, Tit. XLII, 1. 3, n. 3,
aptly put it: "Sed quemadmodum hodie sublatis actionum formulis, . . . extra ordinem, . . .
et suppresso actionum nomine . . . jus dicitur, ideoque directae et utilis actionis distinctio
penitus sublata est."
212
Cf. Levy, Obiigationetirecht, pp. 155 sqq. In the Codex we find terms such as "actiones
transmittere" (C. 8, 53, 33) and "actiones per cessionem transferre" (C. 5, 12, 31 pr.).
For t he hi st ory of assi gn ment i n t he Euro pea n i us co mmune, see t he works by
Grosskopf and Lui g, also t he overvi ew by Coi ng, pp. 445 sqq.; Bruno Huwil er, Der
Begriff der Zession in der Gesetzgebung seit dem Vernunftrecht (1975), pp. 1 sqq.; Susanna
214
Johanna Scott, Sessie in die Suid-Afrikaanse reg (1977), pp. 4 sqq. Cf. the analysis by
Grosskopf, op. cit., note 186, pp. 43 sqq.
15
Cf. the desperate exclamation by Cacheranus, as quoted by Grosskopf, op. cit., note
186, p. 75: "Videtis igitur, doctissimi Lectores, varias Doctorum opiniones, et doctrinas, a
quibus facile se extricare non est, nisi elevemus oculos ad Christum Iesum, Dei veritatem et
sapientiam."
Cf., for example, Christian Friedrich Muhlenbruch, Die Lehre von der Cession der
Forderungsrechte (3rd ed., 1836), p. 22; Mackeldey, Systema iuris Romans, § 333; Vangerow,
Pandekten, § 574, n. 1.
217
Muhlenbruch, op. cit., note 216, pp. 147 sqq.
218
As far as the pandectist literature is concerned, cf. Luig, op. cit., note 185, pp. 47 sqq.
19
Generally on the use officiions, see Maine, pp. 13 sqq.; Gustav Demclius, Die
Rechtsfiktion in ihrer geschichtlichen und dogmatischen Bedeutung (1858); Josef Esser, Wert und
Bedeutung der Rechtsfiktionen (2nd ed., 1969); Lon L. Fuller, Legal Fictions (1967); Karl Larenz,
Methodenlehre der Rechtswissenschaft (5th ed., 1983), pp. 251 sqq.; Peter Birks, "Fictions
Ancient and Modern", in: The Legal Mind, Essays for Tony Honore (1986), pp. 83 sqq.;
Wiea cker, RR, pp. 324 sqq.; Toma sz Giaro, "Uber methodologische Werk mittel der
Roma nistik", (1988) 105 ZSS 223 sqq.
220
Die Actio des romischen Civitrechts vom Standpunkte des heutigen Rechts (1856), pp. 148 sqq.;
also
±l
in Windscheid/Kipp, §§ 329 sqq.
"Zur Zessionslehre", (1857) 1 Jhjb 351 sqq.
222
Cf. also already §§ 376 sqq. I 11 PrALR.
223
Adversariorum iuris tractatus. Tract. Ill, Pars I, Cap. I, 5.
224
Cf. the analysis by Grosskopf, op. cit., note 186, pp. 103 sqq., 116 sqq.
225
Vide Johann Schilter, Praxis iuris Romani in foro Germanico, Francofurti et Lipsiae (1713),
Exercitatio ad Pana. XXX, §§ LXI1 sqq.
226
Cf. De Wet en Yeats, pp. 225 sqq.; P. M. Nienaber, in: Joubert (ed.), The Law of South
Africa, vol. II (1977), nn. 324 sqq.; Susanna Johanna Scott, The Law of Cession (1980). Very
influential in South Afri can practi ce has been Johann van de Sande's book De Actionum
Cessione. Being, however, a Frisian author, he can be regarded as authority for
Roman-Dutch law strictu senso only with circumspection. The reception of Roman law in
Friesland has been more far-reaching than in Holland. The problem of cession provides a
good exampl e, for in accordance with what t hey underst ood the Ro man l aw t o be, bot h
Van de Sande and Ulrich Huber did not regard claims as transferable (cf. e.g. Van de Sande,
Cap. VIII, 19: "[actio] intra viscera ejus, cui debetur, haere[a]t").
7
Cf. e.g. Christian Wolff, Institutions juris naturae et gentium, §§ 313 sqq.; Darjes,
Institutiones iurisprudentiae universalis, §§ 489 sqq. For a detailed analysis, see Huwiler, op.
cit., note 213, pp. 45 sqq.
228
On the concept of cession in the codifications influenced by natural law (Codex
Maximilianeus Bavancus, PrALR and ABGB), see Huwiler, op. cit., note 213, pp. 103 sqq.
Even though we woul d not t oday regard the hol der of a ri ght as its "owner", assignment
(as with transfer of ownership) both in German and South African law is an abstract legal
act (abstract, that is, from the obligational agreement; a different view based on the
tradition of "cessio sine causa facta non valet" was still adopted, for instance, by Van de
Sande, De Actionum Cessione, Cap. II, 3). As to the development of the concept of cession
as an abstact legal act, see Klaus Luig, "Zession und Abstraktionsprinzip", in: Coing/Wilhelm
(ed.), Wissenschaft und Kodifikation des Privatrechts im 19. Jahrhundert, vol. II (1977), pp. 112
sqq.
Cf. especially Luig, in: Wissenschaft und Kodifikation, op. cit., note 229, pp. 112 sqq.
231
Cf. Paul. D. 18, 4, 5; § 404 BGB; Van Zyl v. Credit Corporation of SA Ltd. 1960 (4) SA
582 (A) at 588F-H. The general principle in South African law, as in German law, seems to
be that the position of the debtor must not be adversely affected as a result of the cession:
cf. Voet, Commentarius ad Pandectas, Lib. XVIII, Tit. IV, XIII; De Wet en Yeats, pp. 231 sq.
As to the position of the debtor where assignor and assignee have tried, by means of the
assignment, to deprive him of his counterclaims, see the fascinating decision L.T.A.
Engineering Co. Ltd. v. Seacat Investments Ltd. 1974 (1) SA 747 (A) with a full discussion by
Jansen JA of Ulp. D. 3, 3, 33, 5 and Gai. D. 3, 3, 34. Cf. Paul van Warmelo, (1974) 91 SALJ
298 sqq.; Zimmermann, RHR, pp. 66 sq.
232
Cf. C. 8, 16, 4 ( Ale x.) ; § 407 BGB; Lo ve ll v . Pax ino s and Plot kin : in re Un ion Shop f it te rs
v. Hansen 1937 WLD 84 at 86. In French practice (since about the 16th century) the debtor
has been protected in a different manner: by formalizing the act of cession and requiring
"signification" of the debtor. Only such signification (denuntiatio) was seen to transfer the
claim; cf. e.g. supra, pp. 59, 63.
333
The lex Anastasiana: C. 4, 35, 22. Cf. still Windscheid/Kipp, § 333; Van de Sande, De
Actionum Cessione, Cap. XI, and also artt. 1699 sqq. code civil. The rule has not been adopted
in the BGB; in South Africa it is regarded as having been abrogated by disuse: cf. Seaville v.
Cotley (1892) 9 SC 39.
234
Cf. , for exa mpl e, Hol dswort h, HEL, vol . VII (2nd ed., 1937), p. 520: ". . . t he
assignment of such a right of action by the act of t wo parties was unthinkable." ^ Pol lock
and Maitl and, vol. II, pp. 224 sq.
236
On t hi s i nt erest i ng epi sode and on t he t races t hat it l eft i n Engl ish l aw (as, for
example—possibly—the common-taw exceptions in favour of such assignments as
concerned the King; the Jews, as the King's villains, were considered to be dealing in his
propert y and on his behalf), see Bail ey, (1931) 47 LQR 516 sqq. As t he reasons for the
rej ection of the cust oms of the Jewry (which would have made debts freel y assignabl e)
Bailey refers to the unpopularity of their originators, the reaction of a people released from
hated oppression, and the obstinat e inertia of the common law.
237
As to this term (which is still in use today), see Holdsworth, HEL, vol. VII, pp. 515
8
On the historical development in England, see Percy H. Winfield, "Assignment of
Choses in Action in Relation to Maintenance and Champerty", (1919) 35 LQR 143 sqq.;
Bailey, (1932) 48 LQR 248 sqq., 547 sqq. Bailey sums up his analysis in the following words
(p. 579): "The history of this subject shows clearly that the common law Courts obstructed
the development of a sound and uniform doctrine of assignment. . . . This was due to their
inability to harmonize any such doctrine with the general principles which they evolved."
1
Others were the dotis dictiu and the promissio operarum of a libertus: Gai. Ill, 95 a, 96;
for an overview cf. Albanese, Atti negoziali, pp. 68 sqq.; specifically on the promissio
operarum liberrorum cf. Wolfgang Waldstein, Operae libertorum (1986), pp. 239 sqq.
2
3
Gai. Ill, 92; cf. also Inst. Ill, 15 pr. and 1.
л
Kaser, RPr I, p. 538.
s
CLR, p. 474.
Nodes Atticae, Lib. XVI, II. ("They say that it is a rule of the dialectic art that if there
is inquiry and discussion of any subject and you are called upon to answer a question which
is asked, you should answer the question by a simple 'yes' or 'no'. And those who do not
observe that rule . . . are thought to be both uneducated and unobservant of the customs and
laws of debate . . . For a discussion will become endless and hopelessly involved, unless it
is confined to simple questions and answers"; trans. John C. Rolfe, The Attic Nights of Aulus
Gellius, vol. Ill (1928), p. 133.)
68
It is one of the main aims of legislative consumer protection against the "small print"
to ensure that special attention is drawn to the standard clauses and that the consumer is
provided
7
with a reasonable opportunity to take note of their contents; cf. e.g. § 2 AGBG.
8
Cf. Oratio pro A. Caecina III —7.
The point is made by Rudolf von Jhering, Geist II, pp. 556 sqq., quoting
J. Christiansen,
9
Institutionen des romischen Rechts.
On the attitude of Roman lawyers towards abstraction (reserve and disinclination), see
Schulz,
10
Principles, pp. 40 sqq.
11
Cf. also Maine, pp. 193 sq.
12
See Schulz, CRL, p. 474.
Schulz, Principles, pp. 223 sqq.; Luigi Lombardi, Dalla "fides" alia "bona fides" (1961),
pp. 1 sqq.; Harald Fuchs and Ernst Meyer, in: Hans Oppermann (ed.), Romische Wertbegriffe
(1983), pp. 23 sqq., 529 sqq.; Wieacker, RR, pp. 506, 643 sq.
13
Deofficiis, 1, VII—23.
14
Gai. Ill, 105.
15
Gai. Ill, 136 (in fine); Paul. Sent. V, VII, 2 ("Verborum obligatio inter praesentes non
etiam inter absentes contrahitur.").
16
C. 2, 55, 4, 7; generally on the contemptuous attitude of the Byzantines towards the
oral forms of Roman law, see Riccobono/Kerr Wylie/Beinart, pp. 86 sqq.
17
The necessity for formalities designed to provide evidence may not have been felt so
strongly in former times because, until fairly recently, the memory of most people was
much more reliable than it is today.
1H
On the origin and early history of stipulatio and sponsio, see Okko Bchrends, Der
Zwotftafelprozess (1974), pp. 34 sqq.; David Daube, "Sponsor and the History of Contract",
(1946) 62 LQR 266 sqq.; Rudolf Dull, "Zur romischen Stipulatio", (1951) 68 ZSS 191 sqq.;
Jolowicz/Nicholas, pp. 280 sqq.; Kaser, Altromisches ius (1949), pp. 256 sqq.; idem, RPr I,
pp. 168 sqq.; but cf. also Pierre Cornioley, "De 1a 'sponsio' a 1a stipulation: procedure et
'contrat'", in: Sodalitas, Scriiti in onote di Antonio Guarino, vol. VI (1984), pp. 2891 sqq.
Generally on the increased use of writing in Roman law, see Jolowicz/Nicholas, pp. 414
sqq.; Kaser, RPr I, pp. 230 sqq.
"The degeneration of the purely oral stipulation is twofold. On the one hand . . . the
strictness of the formal oral requirements is relaxed. . . . On the other hand . . . the oral
stipulation eventually disappears from practical use and gives place entirely to the written.
This is, indeed, not degeneration at all, but atrophy. It is, moreover, impossible, and is likely
to remain so, to determine how far advanced this atrophy was at any particular period":
Barry Nicholas, "The Form of the Stipulation in Roman Law", (1953) 69 LQR 241. 21
Riccobono/Kerr Wylie/Beinart, p. 84.
Cf. Levy, Obligationenrecht, p. 53: "Fasziniert von der Mission, als Restaurator der goldenen
Zeit des romischen Rechtes in die Geschichte einzugehen, und tief beeindruckt von der lichtvollen
Durcharbeitung, die einst der Verbalvertrag empfangen hatte, versucht er durch weite Strecken, die
klassische Analyse zu retten." (Fascinated by the mission to go down in history as the restorer
of the golden age of Roman law and deeply impressed by the inspired manner in which the
verbal contract had been shaped, he sought to a large extent to save the classical analysis.)
23
Cf. e. g. Kaser, RPrl , p. 169.
24
Cf. e.g. Behrends, op. c i t . , note 24, p. 35.
Or a symbolic binding with a haul m (stipula)? For these and other hypotheses c{., for
example, Dull, (1951) 68 ZSS 191 sqq.; Detlef Liebs, "Contrarius actus. Zur Entstehung des
romischen Erlassvertrags", in: Sympotica Franz Wieacker (1970), pp. 134 sq.; Geoffrey
MacCormack, "Formalism, Symbolism and Magic in Early Roman Law", (1969) 37 TR 453
sqq. Cf. also already Inst. III, 15 pr.: "Quae hoc nomine inde utitur, quia stipulum apud
veteres firmum appellabatur, forte a stipite descendens."
26
Gai. Ill, 93, 94. On the relationship between sponsio and stipulatio, see, most recently,
Cornioley, Scntti Guarino, vol. VI, pp. 2891 sqq.; Malte Dobbertin, Zur Auslegung der
Stipulation im klassierten romischen Recht (1987), pp. 45 sqq.
"The Form of the Stipulation in Roman Law", (1953) 69 LQR 63 sqq.
28
Cf. e.g. Annemarie Winkler, "Gaius III, 92", (1958) 5 RIDA 603 sqq.; De Zulueta,
Gaius II, pp. 153 sqq.
29
Ulp. D. 45, 1, 1, 6; Gai. Ill, 93; Inst. Ill, 15, 1. Thus, in developed law there was no
magic in the use of particular words. As to the use of "Poenum . . . vel Assynum . . .
lingua" cf. Riccobono/Kerr Wylic/Bcinart, pp. 39 sq.
^° Ven. D. 45, 1, 137 pr.
" "Arma virumque cano" (Aeneis, Lib. I, 1); cf. Flor. D. 45, 1, 65 pr.
32
D. 45, 1, 137 pr.: ". . . ceterum si post interrogationem aliud acceperit, nihil proderit,
quamvis eadem die spopondisset."
"" Riccobono/Kerr Wylie/Beinart, pp. 35 sq.
34
D. 45, 1, 1, 2: "Si quis ka interroget 'dabis?' respondent 'quid ni?' et is utiquein ea causa
est, ut obligetLir: contra si sine verbis adnuisset."
3:1
36
Cf. the example given in Ulp. D. 45, 1, 1, 3.
Ulp. D. 45. 1. 29 pr.; D. 45, 1, 86; Paul. D. 45. 1, 140 pr.; cf. Schmidlm, Rechtsregeln,
pp 73 sq.
Ulp. D. 45, 1, 1, 5: ". . . Scichi adiectionem pro supervacuo habendam puto: . . . duae
sunt quodammodo stipulationes, uni utilis, alia inutilis, neque vitiatur utilis per hanc
inutilem."
ie
313
Ulp. D. 45, 1, 1, 4.
Cf., for example, Wunner, Contractus, pp. 204 sq.; Hans Josef Wieling, Testamentsaus-
legung im romischen Recht (1972), pp. 92 sq., 125 sq., 266. For details of the application and
significance of this maxim cf., in particular, Ralph Backhaus, "In maiore minus inest",
(1983) 100 ZSS 136 sqq.
40
Cf. e. g. Gai . Ill , 102; Gi ovanni Cri scuoli , La n uil ita pa rzia le de l n ego zi o giu ridi co ( 1959) ,
p p. 2 7 s q.
41
Cf. e . g. P a ul K re tsc h m a r, "K riti k de r I nte r pol atio n c nk ritik ", ( 1 93 9) 59 ZS S 18 6 s q.
42
T h i s i s t he vi e w , f o r i n st a n c e , o f Be t t i , D i r i t t o R o m a n o , p p . 3 3 3 s q .
43
Cf . H a n s He r m a nn Se i l e r, "U t i l e pe r i n ut i l e n o n vi t i at ur ", i n: Fe s t sc h ri f t f u r Ma x Ka se r
( 1 9 7 6) , p p. 1 2 7 s q q .
44
Paul. D. 18, 1, 34 pr.: "Si in emptione fundi dictum sit accedere Stichum servum neque
intellegatur, quis ex pluribus accesserit, cum de alio emptor, de alio venditor senserit, nihilo
minus fundi venditionem valerc constat."
45
Paul. D. 13, 6, 17 pr.: "In commodato haec pactio, ne dolus praestetur, rata non est."
46
Ulp. D. 28, 4, 2: "Ca ncella verat quis testa m e ntum vel induxe rat et si propter unum
heredem facere dixerat: id postea testamentum signatum est. quaerebatur de viribus
testameiiti deque portione cius, propter quern se ca ncellasse dixera t. diceba m, si quide m
unius ex heredibus nomen mduxerit, sine dubio ceteram partem testamenti valere et ipsi soli
de ne gari actiones. . . ."
4
Gai, III. 103; the second part of this stipulation infringes the rule "alten stipulari nemo
potest." Cf. supra, pp. 34 sqq. In the present context it is of interest to note that neither the
Proc uliani nor the Sabmiani advocated invalidity of the whole promise.
48
For further discussion, see Seiler, Festschrift Kaser, pp. 128 sqq.
49
Cf., for example, Marci. D. 18, 1, 44, as discussed by Seiler, Festschrift Kaser, pp. 130 sq.
50
Criscuoli, op. ci t . , note 40, pp. 49 sqq.. Theo Mayer-Maly, "Uber die Teilnichtigkeit",
in: Privatrechtliche Beitrage, Gedenkschrift Franz Gschnitzer (1969), pp. 281 sq.
51
Accursius, gl. Per hanc inutilem, ad. D. 45, 1, 1, 5.
52
Cf. e.g. Dernburg, Pandekten, vol. I, § 124, 3.
53
Cf. Puchta, Pandekten, % 67.
54
Cf. Windsc heid/Kipp, § 82, n. 12.
55
For a comparative analysis, see Alexander Ligeropoulos, "Teilnichtigkeit des
Rechtsgeschafts unter Ausschluss der Gesamtnichtigkeit", (1971) 24 RHDI 1 sqq.
ав
Cf. e.g. art. 20 II OR; art. 1419 II codice civile (on which, see Criscuoli, op. cit., note
40, pp. 59 sqq.).
f Cf. art. 1172 c ode civil; Art. 181 Gree k Civil Code.
58
§ 139 BGB. But see, m ore recently, § 6 I ABGB. dealing with partially invalid
standard contract terms. Here the German legislator has returned to utile per inutile non
vitiatur.
5
'' Mayer-Maly, in: Munchener Kommentar, vol. I (2nd ed., 1984), § 139, nn. 24 sqq.
ьп
The German c ourts use this discretion to avoid invalidity of the whole transaction to a
far greater extent than envisage d by the legislator. Thus, one might ask whether the
presumption of utile per inutile vitiatur still reflects the practice of the courts.
61
Seiler, Festschrift Kaser, p. 147; ct'. also Honsell/Mayer-Maly/Selb, p. 116.
(2
' Cf. Christie, Contract, pp. 360 sqq.. 379 sqq.; Wessels, Contract, vol. I, nn. 605 sqq.
(3
' Cf. Chitty on Contracts, vol. I, nn. 1181 sqq. As is pointed out in n. 1183, many
authorities cannot easily be reconciled with these principles. The confusion in the law of
severance (which does not really commend itself for reception purposes) seems to be
attributable on the one hand to the fact that the courts have traditionally distinguished
between promises rendered illegal by statute and promises illegal at common law ("The
statute is like a tyrant; when he comes he makes all void; but the common law is like a
nursing father, makes void only that part where the fault is and preserves the rest": see
Twisden J, in Maleverer v. Redshaw (1669) 1 Mod. Rep. 35 sq.); on the other hand, it is
attributable to the tendency of certain tests "to crystallize into a firm rule of law, divorced
from the underlying considerations of public policy which originally inspired [them]"—cf.
esp. the rule that a consideration which is partly illegal can never be severed: Norman S.
Marsh,
(j4
"The Severance of Illegality in Contract'', (1948) 64 LQR 230 sqq. (231), 347 sqq.
Thus, English law places less emphasis on the (presumed or real) intention of the
parties: cf. Marsh, (1948) 64 LQR 230 sqq.
65
Cf. e.g. Attwood v. Lament [1920] 3 KB 571 (CA) at 577-8.
66
The problem of quantitative severability of contracts: cf. Zimmermann. Moderations
recht, pp. 19 sqq. and passim; contra: Johannes Hager, Gesetzes- und sittenkonforme Auslegung
und Aufrechterhaltung von Rechtsgeschaften (1983); Alfons Burge, Rechtsdogmatik und
Wirtschaft—Das richterliche Moderationsrecht beim sittenwidrigen Rechtsgeschaft im Rechtsver-
qleich—Bundesrepublik Deutschland—Schweiz—Osterreich—Frankreich (1987).
67
Lord Moulton, in Mason v. Provident Clothing and Supply Co. Ltd. [1913] AC 724 (HL)
at 745.
68
The literature on this topic is abundant. The details of the development are
controversial; see esp. (of the more recent literature) Ka ser, RPr II, pp. 373 sqq.: Levy,
Obligationenrecht, pp. 34 sqq.; Geoffrey MacCormack, "The Oral and Written Stipulation in
the Institutes", in: Studies in Justinian's Institutes in memory ofJ.A.C. Thomas (1983), pp. 96
sqq.; Nichola s, (1953) 69 LQR 77 sqq., 233 sqq.; J.C. va n Oven, "La stipulation a -t-elle
degenere?", (1958) 26 TR 409 sqq.; Fritz Pringsheim, in: Gesammeitc Abhandlungen, vol. II
(1961), pp. 194 sqq.; Riccobono/Kerr Wylie/Beinart, pp. 48 sqq., 55 sqq., 91 sqq.; Dieter
Simon, Studien zur Praxis der Stipulationskiausel (1964), pp. 26 sqq.; Dietrich V. Simon,
Konstantinisches Kaiserrecht (1977), pp. 93 sqq.
69
Such cautio stipulatoria could contain all the elaborate details of the transaction which
it woul d ha ve b ee n di ffi cul t t o i ncl ude m t he oral qu est i on-and -ans wer for m. To t hi s
document the parties could then si mply refer in their stipulation ("Ea omni a, quae supra
scripta sunt, dari?": Paul. D. 45. 1, 140 pr.; c(. also Paul. D. І7, 2, 71 pr.) and record the oral
act in a stereotype clause appended to the cautio; cf. Ulp. D. 2, 14, 7, 12 (". . . novissi ma
part e pact orum it a sol et i meri 'rogavit Titius, spopondit Maevi us' . . .").
70 71
Contra: Diosdi, pp. 51 sqq. Cf. e.g. Gai. Ill , 134; Diosdi, pp. 62 sq.
72
Cf. Cicero (Topica, XXVI—96), who took stipulations to be res quae ex scripto aguntur.
73
Kaser, RPr II, pp. 374 sq.
74
Cf. supra, note 69, and especially Pringshei m, op. cit., note 68, pp. 194 sqq.; Di eter
Si mon, op. cit., not e 68, pp. 1 sqq.
7r>
The importance ot the constitutio Antoniniana for the degeneration of the stipulation is
emphasized by Schulz (CRL, p. 476) in the following words: "With [this enact ment] the
stipulation was doomed. It was too closely connected with Roman customs and the peculiar
Roman temperament and too alien to Eastern legal thought to be fully understood and
properl y applied by t he vast mass of new Ro man citizens. "
It was appended i n a curiousl y overcautious and tremulous way, not unco mmon for
notaries, to all sorts of contracts and even to wills or documents relating to a release from slavery.
77
However, during the time up to Justinian, there seems to have been a shift from
"promissorische Sanktionsklausel" to "konfirmatorische SanktionsklauseV; see the detailed analysis
of the sources by Dieter Simon, op. cit., note 68 , pp. 41 sqq.
78
Cf. e.g. Ulp. D. 2, 14, 7, 12.
79
C. 8, 37, 1 (Sev. et Ant.). This rescript is dated April 200. At this time, as Tony Honore
has argued, Papinian was secretary a libellis: cf. Emperors and Lawyers (1981), pp. 56 sqq.
Ж)
Cf. further, for example, Paul. D. 24, 1, 57; 45, 1, 134, 2.
Ml
C. 8, 37, 10 (a. 472). Interpretation and evaluation of this Constitution provide a good
example of the disputes surrounding the later history of the Roman stipulation. On the one-
ha nd, it is held that late classic al la w ha d alre a dy gone the whole wa y from ve rba to
scriptura, so that Leo's Constitution merely (re-)states what was already recognized (cf. e.g.
Jors/Kunkel/Wenger, p. 98). On the other hand, it is suggested tha t, up to the time of Leo,
the formality of oral question and answer reigned supreme. Leo dispensed with the necessity of
formal question and answer, but did not change the nature of the stipulation as an oral act. Only
Justinian replaced the oral act by the written document (cf. e.g. Riccobono/Kerr
W ylie/Beinart, pp. 51 sqq.). Others, again, see this transformation as having take n place
with Le o's Constitution; according to them, each written contract was to be ta ken as a
stipulation (e.g. Levy, Obligationenrecht, p. 39). Nicholas, (1953) 69 LQR 63 sqq., 233 sqq.
argues that e ve n Le o still retaine d the form of (oral) question and answer; the purpose of
C. 8, 37, 10 was only to do away with what he believes to have been the numerus clausus
of the formal words (cf. Gai. Ill, 92 and supra, p. 72) and to allow the use of other than these
"sollemnia verba". According to van Oven, (1958) 26 TR 415 sqq., too, Leo's Constitution
did not change very much. He sees the sollemnitas that was abolished in the correspondence
of the verb used in question and answer. Also according to MacCormack, Siudies 'I'homas,
pp. 99 sq., the stipulation remained an oral act. He, however, takes the constitution to have
been of a purely declaratory nature (". . . fit] cannot have abolished any particular
requirement") and argues that the correspondence requirement had already been watered
down in classical law. For older literature, see Windscheid/Kipp, § 312, n. 2.
82
Inst. Ill, 19, 12; C. 8, 37, 14, 2.
83
Inst. Ill, 19, 12.
84
C. 8, 37, 14, 2.
85
To show his di spl easure at t hese kinds of st ori es, Justi ni an used strong l anguage
("i mprobis aliegationibus").
* 6 Riccobono/ Kerr Wylie/Beinart, p. 57.
Differently, MacCormack, Studies Thomas, pp. 96 sqq.; to some extent also Diosdi,
pp. 61 sq.
8g
As to the "two souls in Justinian's bosom" in this context, see, Levy, Obligationenrecht,
p. K9
59.
For the later history of stipulation cf. infra, pp. 546 sqq.
90
One of the best accounts is still that by R. von Jhering, Geist II, pp. 470 sqq.; cf. also
Ludwig Mitteis, Romisches Privatrecht bis auf die Zeit Diokletians, I (1908), pp. 225 sqq.
У1
Differently, for example, art. 1341 code civil, which prescribes that all transactions of
more than 5 000 ffrs must take the form of private writing or of a notarial document. But
non-observance of the form does not entail invalidity of the transaction. Only the testimony
of witnesses is excluded; in other words, the informal transaction cannot be proved in court.
Also, according to the Statute of Frauds (1677, England), transactions which do not observe
the prescribed forms ("a note or memorandum of the agreement in writing and signed by
the party to be charged therewith") are nor void, but rather unenforceable; on the Statute of
Frauds, Simpson, History, pp. 599 sqq. For alternative consequences of a lack of form in
German law, cf. Rudolf Westerhoff, "Wie begrunden wir Formnichtigkeit?", (1984) 184
Archiv fiir die civilistische Praxis 376 sq.
92
"Zur Lehre vom Rechtsgeschaft im klassischen romischen Recht", in: Festschrift fur
Fritz Schulz, vol. I (1951), pp. 160 sqq. Cf. also Jors/Kunkel/Wcnger, p. 90; Kaser, RPr I,
pp. 39 sq.
уз
Cf. Kaser, Altromisches ins, pp. 301 sqq.; idem, RPr I, p. 28; Dulckeit, Festschrift Schulz,
vol. I, pp. 162 sq.; contra: Geoffrey MacCormack, "Formalism, Symbolism and Magic in
Early Roman Law", (1969) 37 TR 439 sqq., 447 sqq.; idem, "Hacgerstroem's Magical
Interpretation of Roman Law", (1969) 4 The Irish Jurist 153 sqq.
94
As to the pontifical nature of the ancient Roman jurisprudence, cf. Jhering, Geist II,
pp. 390 sqq.; Kaser, Altromisches ins, pp. 345 sqq.; Schulz, RLS, pp. 6 sqq., 15 sqq.;
Wi eacker, RR, pp. 310 sqq. and passi m.
95
Gai. IV, 11; cf. also IV. 30.
ь
Cf. E. Kaufmann, in: HRG, vol. I, col. 1163 sqq.; for grotesque extremes in the
13th/14th centuries cf., for example, 68, 7 of the Lehenrecht of the Sachsenspiegel, where Eike
von Repgow found it necessary to state: "Wenn der Mann im Lehengericht sich die is'ase putzt
oder sich schneuzt oder spuckt oder gahnt oder wenn er hustet oder niest oder auj der anderen Seite seines
Vorsprechers steht, als er zunachst stand, oder wenn er sich schicklich umschaut oder Fliegen, Mucken
oder Bremsen schicklich von sich scheucht, so hat er deswegen kein Strafgeld verwirkt, obwohl dies einige
Leute glauben" (cf. the edition by C. Schott, 1984) (If, in the feudal court, the man blows
his nose or spits or yawns or when he coughs or sneezes or stands on the other side of his
prompt than he first stood, or if he turns around in gentlemanly fashion or brisks away in
gentlemanly fashion flies, mosquitoes or horseflies, he does not on that account incur a
penalty, although some people think so).
97
The same applies to other early legal systems. Two examples from the Bible spring to
mind: Jacob's marriage to Leah and Isaac's blessing given to Jacob instead of to Esau were
both unquestionably valid despite Jacob's and Laban's deceit.
98
Along the same line Cclia Wasserstein Fassberg, "Form and Formalism: A Case
Study", (1983) 31 American Journal of Comparative Law, 630: "Nothing had happened if the
form was absent because only by means of form were the public, religious requirements of
certainty and society fulfilled. For the same reason, just as not hing had happened in law,
not hing had happened i n fact. "
"Jhenng, Gei st II, p. 492.
l
™ Wilhelm Ebel, Recht und Form (1975), pp. 13 sq.; Wieacker, Vom romischen Recht, p. 76;
idem, RR, pp. 320 sqq.
101
Cf. e.g. Jolowicz/Nicholas, pp. 414 sqq. W2
Kaser, RPr I I , pp. 73 sqq.
103
Kaser, RPr I I , pp. 76 sq., 376 sq.
104
Cf. Heinrich Brunner, Zur Rechtsgeschichte der romischen und germanischen Urkunde
(1880), pp. 44 sqq., 86 sqq.; H.-A. Schultze von Lasaulx, Beitrage zur Geschichte des
Wertpapierrechts
1ІЪ
(1931), pp. 25 sqq.
The notary in Germany is entrusted with the recording oflegal transactions; there is no
comparable official in English law.
10
Cf. the comparative analysis by Zweigert/Kotz/Weir, pp. 53 sqq.
107
Cf. § 313 BGB; s. 40 Law of Property Act (1925, England); Alienation of Land Act,
68/1981 (South Africa); for a thorough comparative discussion, see Bernd von Hoffmann,
Das Recht des Grundstuckskaufs (1982), pp. I l l sqq.
1UK
Questioned by Zweigert/Kotz/Weir, p. 51 (". . . [this consideration] gives immovable
property a special status not justified by modern conditions, but it is in any case unavoidable
to require some degree of formality for transactions in land since otherwise there would be
no clear basis for making entries in the Land Register"). Cf. also von Hoffmann, op. cit.,
note
109
107, pp. 4 sqq.
S 766 BGB; Statute of Frauds.
110
§ 518 BGB, art. 931 code civil.
111
Cf. supra, note 6.
112
Writing required in the case of instalment sales (so that the purchaser's attention is
drawn to the financing charges).
113
Cf., tor example, as to the provisions of the PrALR, the comment by Jhering, deist II,
PP- 483 sq.
"English Judges have done their best to restrict the area of application of the Statute of
Frauds, helped in their tortuous construction by the remarkable opacity of the statutory
text": Zweigert/Kotz/Weir, p. 46. In France the courts have watered down art. 1341 code
civil by means of a widely construed doctrine of "commencement de preuve par ecrit":
testimony ot witnesses is admitted, whenever the leading of evidence can at least be started
off113with a written document. For the attitude of the German courts, see n. 119.
This was the reason for the enactment of the Statute of Frauds: "For the prevention of
many fraudulent Practices which are commonly endeavoured to be upheld by Perjury and
Subornation of Perjury", i.e. fraudulent plaintiffs bringing claims on non-existent contracts;
the background is sketched by Simpson, History, pp. 599 sq.; cf. further esp. Ernst Rabel,
"The Statute of Frauds and Comparative Legal riistory", (1947) 63 LQR 174 sqq. An
amusing example of the evidentiary function of form is related by Paul Vinogradoff, Outlines
of Historical Jurisprudence, vol, I (1920), p. 364: in early Bavaria and Alemannia transfers of
land had to be performed in the presence of a certain number of" small boys who, after
attending the ceremony, were treated to a box on the ear in order that they might keep a
vivid remembrance of what had happened. Without such a box, the transfer was void.
116
Cf. e.g. Karl Heldnch, "Die Form des Vertrages", (1941) 147 Archiv fur die civilistische
Praxis 91 sqq.; Lon L. Fuller, "Consideration and Form". (1941) 41 Columbia LR 799 sqq.
(who adds what he refers to as the "channeling function").
17
The law of (testate) succession is, of course, one of the main battlefields with regard to
this problem. See, for instance, for Germany, the classic monograph by Fritz von Hippel,
Formalismus und Rechtsdogmatik (1935); for a recent comparative survey Fassberg, (1983) 31
American Journal of Comparative Law 627 sqq.; and for South Africa, see Ellison Kahn, "The
Will that Won't", in: Huldigingsbundel Paul van Warmelo (1984), pp. 128 sqq.
11R
On formal and formalistic reasoning in contract law, see P.S. Atiyah, "Form and
Substance in Legal Reasoning; the Case of Contract", in: The Legal Mind, Essays for Tony
Honore (1986), pp. 19 sqq.
9
The line of the Federal Supreme Court has varied; cf. the analysis by Joachim
Gernhuber, "Formnichtigkeit und Treu und Glauben", in: Festschrift fur Walter Schmidt' Rimpler
(1957), pp. 151 sqq.; Ludwig Hasemeyer, Die gesetzliche Form der Rechtsgeschafte (1971), pp.
36 sqq.
120
On the advantages and disadvantages of form, see Jhering, Geist II, pp. 47U sqq.; on
form and substance in legal reasoning cf. Atiyah, Essays Honore, pp. 19 sqq., 33 sqq.
121
A frontal attack on the forma] requirements for wills has been launched by Gerhard
Kegel, "Die lachenden Doppelerben", in: Festschrift ?ir Werner Flume (1978), vol. I, pp. 545
sqq. In case of a failure of a will as a result of the testator's lawyer's negligence, the intended
benefici ary, according to Kegel, may take directly under the will (and thus dethrone the
intestate heir). The Federal Supreme Court, on the other hand, has adopted the view that the
intended beneficiary may claim damages from the negligent lawyer (as a result of which we
would have, in actual fact, one person taking under the will, the other by way of clai ming
damages). Against both solutions cf. Reinhard Zi mmermann, "Lachende Doppclerben?—
Erbfolge und Schadensersatz bei Anwaltsverschulden", 1980 Zeitschrift ?ir das gesamte
Familienrecht 99 sqq. Cf. also John G. Fleming, "Comparative Law of Torts", 4 Oxford
Journal of Legal Studies 239 sq.; Owen Rogers, "The Action of the Disappointed
Beneficiary", (1986) 103 SALJ 583 sqq.
122
As a negative exam ple, cf. the formalities required for the holograph will before the
Testamentsgesetz of 1938; a will was void, even if only the place where it had been drawn up
ha d not been writte n by ha nd, beca use it was printed on the letter pa per of a hotel.
123
Cf. the English doctrine of part performa nce: on its evolution by the Court of
Chancery, see Simpson, History, pp. 613 sqq.; cf. also the (American) Restatement Contracts
2d ^1982), § 129.
'"4 Zimmermann, Moderationsrecht, pp. 189 sq. This developm ent from self-assured
prim itivity to artistic perfection c ouple d with form al disinte gration a nd de ple tion of
meaning is usually well illustrated by the developme nt of art; a com parison between the
early Greek kouroi with their strictly mathematical and rectilinear frame of reference with the
Hellenistic sculptures is particularly instructive.
125
Cf. Cicero, De qfficiis 1, X—33, probably of Greek origin; cf. Georg Eisser, "Zur
Deutung von 'sum mum ius summa iniuria' im romischen Recht", in: Summum ius summa
iniuria (1963), pp. 1 sqq. Thus, Rudolf von Jhering could state, in a seemingly paradoxical
way: "Die Form ist die geschworene Feindin der Willkur, die Zwillingsschwester der Freiheit" (Form
is the archfoe of arbitrariness, the twin sister of freedom): Geist II, p. 471.
126
As to the "classicity" of classical Roman law, cf. also Schulz, RLS, pp. 99 sqq. As far
as the concept "classical" is concerned, see generally, in the sense indicated in the text above,
Fritz Schachermeyr, Forschungen und Betrachtungen zur griechischen und romischen Geschichte
(1974), pp. 145 sqq.
127
Cf. generally Schulz, Principles, pp. 66 sqq.; also jhering, Geist III, pp. 139 sqq., 178
5
ЯЧ-
ns
Ernst Rabel, "Nachgeformte Rechtsgeschafte", (1906) 27 ZSS 29U sqq. ; (1907) 18 ZSS
311 sqq.; cf. also Liebs, Sympotka Wieacker, pp. I l l sqq.
129
But see F. H. Lawson, "Analogues of the Stipulatio in English Law", in: XXth century
Comparative and Conflicts Law, Legal Essays in Honor ofHessel E. Yntema (1961), pp. 117 sqq.
However, Lawson does not deal so much with the form of the stipulation but highlights two
other aspects: the fact that the promisee, if he is to be able to sue on the promise, must extract
it from the promisor, and that he must draft the terms that he wants, i.e. that the promisee
must take the initiative.
130
Cf. e.g. Riccobono/Kcrr Wylie/Beinart, pp. 26 sq.; Siber, Romisches Privatrecht,
pp. 178 sq.
131
Gai. IV, 136
u
" Gai. IV, 136.
132
Sc hulz, CRL, p. 478.
133
Cf. infra, pp. 509 sqq.
134
Cf. infra, pp. 236 sqq.
135
Ka ser, RZ, pp. 335 sq.
136
The unilateral nature of legal relationships in the old Roman law is stressed by Jhering,
Geist III, pp. 199 sqq. and ties in with the principle of simplicity. "Der Gedanke der
Gegenseitigkeit ist kein ursprunglicher Gedanke des romischen Zivilrechts, das spezifisch Romische ist
die Einseitigkeit. . . . Die einseitige Obligation ist nicht bloss die einfachste Obligationsform im
analytischen Sinne, sondern auch im praktischen Sinn, d.h. die am leichtesten zu handhabende" (The
notion of reciprocity is not an original idea of Roman private law; unilaterality is the
specifically Roman notion . . . The unilateral obligation is not only the simplest type of
obligation from an analytical perspective, but also from a practical point of view, i.e. it is the
one that can most easily be handled). Cf. also Wieacker, RR, pp. 327 sq.
~ As will be seen, the two reciprocal stipulations could also be connected by means of an
exceptio (in this instance the exceptio mercis non traditae would have been applicable).
138
Therefore the text has been regarded as spurious (Riccobono/Kerr Wylie/Beinart, pp.
105 sqq.)- Wunner, Contractus, pp. 206 sqq., on the other hand, accepts the text as evidence
for both the prevalence of voluntas over quod dictum est in the law of stipulation and for
quantitative severability of contracts. Contra Zimmermann, Moderationsrecht, pp. 132 sq. On
the principles governing interpretation cf. infra, pp. 621 sqq.
139
Cf., for e xa m ple, Ulp. D. 45, 1, 75, 6.
140
Cf. Wolf, Causa stipulationis, pp. 1 sqq., 76 sqq.; Andreas Wacke, "Zur causa der
Stipulation", (1972) 40 TR 237 sqq.; Dobbertin, op. cit., note 26, pp. 60 sqq.
t AX
Gai. IV, 126 a; lui. D. 19, 1, 25; cf. Thielmann, Prwatauktion, pp. 141 sqq.
142
See esp. Ernst Levy, "Die querela non numeratae pecuniae", (1953) 70 ZSS 214 sqq.;
Buckland/Stein, pp. 442 sq.; Kaser, RPrl, p. 542; idem, RPrli, pp. 379 sq.; Thomas, TRL,
pp. 268 sq.; and, most recently, Maria Rosa Cimma, De non numerata pecunia (1984); Herve
Trofi moff, "La cause dans l'exception non numeratae pecuniae", (1986) 33 RIDA 215 sqq.
143
Cf. e.g. Ga i. IV, 116 a, 119; Ulp. D. 44, 4, 2, 3.
101
Gai. IV, 116 a.
102
Ulp- D. 44, 4, 4, 16 (on which cf. e.g. Ci mma, op. cit., note 142, pp. 38 sqq.).
11)3
Cf., however, Levy, (1953) 70 ZSS 219 sqq.
1 4
Cf. e.g. C. 4, 30, 4 (Ant.); for a recent discussion, see Jean Philippe Levy, "A quels
faits 1a 'querela non numeratae pecuniae' tendait-elle a remedier?", in: Studi in onore di Cesare
Sanfilippo, vol. IV (1983), pp. 339 sqq.; Cimma, op. cit., note 142, pp. 60 sqq., 166 sqq.;
Trofi moff, (1986) 33 RIDA 236 sqq.
105
C. 4, 30, 14 pr.; Inst. Ill, 21; generally, for Justinian's law on the topic, cf. C. 4, 30,
14-16 and Ci mma, op. c i t . , not e 142, pp. 171 sqq.
106
On the usus modernus of the exceptio non numeratae pecuniae, see Coing, pp. 470 sq.;
for the 19th century, see Windscheid/Kipp, § 372 (concluding, de lege ferenda, on a very
critical note). The exceptio has not been incorporated into the modern codifications. It is still
in use in South African law (though usually renounced by the parties to the loan); cf. D.J.
Jouberl, in: Joubert (ed.), The Law of South Africa, vol. 15 (1981), n. 293.
Stipulatio poenae
1. The functions of penalty clauses
The imposition of penalties is generally seen today as a concern of the
State authorities. Penal elements in private law are very much the
exception. Yet all civil-law jurisdictions recognize the possibility of
voluntary subjection to a private penalty: a person may promise
payment of a sum of money in the event of his doing, or refraining
from doing, some act, especially in the event of his not performing an
obligation which he has undertaken, or not performing it in the proper
manner. Such conventional penalty clauses are useful for two reasons. 1
On the one hand they serve as a means of exerting pressure on the other
party to behave or not to behave in a specific way; on the other hand,
they relieve the creditor of the necessity of assessing and proving his
claim for damages in case of non-compliance.
(a) Assessment of damages
Roman lawyers were familiar with both these functions. 2 Their
conventional penalty was normally cast in the form of a stipulation. 3
The use of such stipulationes poenae was highly recommended by
Justinian:
"Non solum res in stipulatum deduci possunt, sed etiam facta: ut si stipulemur fieri
aliquid vcl non fieri, et in huiusmodi stipulationibus optimum erit poenam subicere,
ne quantitas stipulationis in incerto sit ac necesse sit actori probare, quid eius
intersit."4
In the same vein, we find Venuleius arguing:
"In eiusmodi stipulationibus, quae 'quanti ea res est' promissionem habent,
commodius est certam summam comprehendere, quoniam plerumque difficilis
probatio est, quanti cuiusque intersit, et ad exiguam summam dedudtur." 5
It is often difficult and cumbersome to establish "quanti ea res est", that
is, the amount in which the judge was instructed to condemn, where
1
Cf. "Motive", in: Mugdan, vol. II, p. 275; Alfred Sotlner, in: Munchener Kommentar, vol.
II (2nd ed., 1985), Vor § 339, n. 3; Detlev Fischer, Vertragsstrafe und vertragliche
Schadensersatzpauschaliemng
2
(1981), passim.
Knutel, Stipulatio poenae, pp. 45 sqq. Early Roman law (like all early legal systems) had
focused on the "in terrorem" function; the penalty was used as a sanction for a private
wrong. In the course of time the compensatory function came to the fore; it was, in turn, to
dominate the scene during the development of the ius commune. Classical Roman taw
presents
3
the model of a well-balanced bifunctional approach.
A penalty could, however, also be added to one of the consensual contracts by way of
a pactum adiectum. The penalty could then be claimed with the bonae fidei action arising
from
4
that contract.
5
Inst. Ill, 15, 7.
D. 46, 5, 11.
95
9
C. 8, 38, 2 and today § 1297 II BGB. Differently § 113 II 1 PrALR.
Vide infra, pp. 107 sq. In the Middle Ages penal bonds were very popular, but in theory
their function was apparently compensatory. Even where—as was commonly done—the
penalty was fixed at twice the sum owed, ir served to compensate the creditor for his loss of
interesse. The practice of relieving defaulting debtors from forfeiture of the penalty "in
equity" (that is, by the Court of Chancery) led to the decline of the penal bond and finally
to the rejection of penalties by the common law. On the history of penal bonds, on their
decline and on the establishment of the compensatory principle, see Simpson, History, pp. 90
sqq., 118 sqq., 123 sqq. Not dissimilar is the development that took place under the influence
of canon law in the early ius commune. Cf. Andre Fliniaux, "L'evolution du concept de
clause penale chez les canomstes du Moyen-Age", in: Melanges Paul Fournier (1929),
pp.11233 sqq.
l2
Vide supra, p. 38.
Ulp. D. 45, 1, 38 pr.
13
14
D. 44, 7, 44. 5.
Mentioned, but rather in passing and by no means fully regulated, in § 343 II BGB.
South African law, like most other modern legal systems, does not recognize an undertaking
of this kind as a penalty: cf. De Wet en Yeats, p. 218 and Guenther H. Treitcl, "Remedies
for Breach of Contract", in: International Encyclopedia of Comparative Law, vol. VII, 16 (1976),
p. 91, discussing the English case of Alder v. Moore [1961] 2 QB 57 (CA), where a
professional football player who received a sum of money from an insurance company on
account of a personal injury undertook to repay that money in the event of his playing
professional soccer again.
15
The practical and dogmatic importance of the independent conventional penalty has
been emphasized by Eduard Botticher, "Wesen und Arten der Vertragsstrafe sowie deren
Kontrolle"
16
1970 Zeitschrift fur Arbeitsrecht 3 sqq.
17
Cf. Ulp. D. 4, 8, 27, 7.
Cf. Tab. Here. 76. On this fragment and on the structure and content of the
compromissum, see Ziegler, Privates Schiedsgericht, pp. 47 sqq. (64, 93).
18
Mod. D. 4, 8, 38.
19
Knutel, Stipulatio poenae, pp. 62, 65 sqq.
20
Gai. IV, 17 a.
21
The conditional promise was probabl y preceded, historicall y, by an alternati ve one
("Stichum aut decern dari spondes?"): cf. Kaser, RPr I, pp. 170, 519.
22
The process was reversed in the interesting fragment Paul. D. 38, 1, 39 pr.: an invalid
independent (!) penalty is reinterpreted (converted) into a valid promise of what had been in
condicione. Cf. Knutel, Stipulatio poenae, pp. 76 sqq.
23
Si mpson, History, p. 53.
24
Idem, History, pp. 90, 112 sqq.
25
Idem, History, p. 112.
26
I n m a n y m o d e r n s ys t e m s t h e c o n c e p t o f a " p e n a l t y c l a u s e " i s c o n f i n e d t o t he s e c a s e s .
Cf., for example, Treitel, op. cit., note 14, p. 94: ". . . the general principle that a penalty
clause contains a merely accessory obligation". Treitel also quotes art. 2117 of the Louisiana
Civil Code, where the accessory nature of the penalty clause is expressed very clearly: "A
penal clause is a secondary obligation entered into for the purpose of enforcing performance
of a primary obligation." As to the consequences of the accessoriness (if principal obligation
is invalid, penalty is invalid, as well; assignment of principal obligation involves assignment
of the penalty, etc.), cf. § 344 BGB; Sollner, op. cit., note 1, § 339, nn. 6 sqq.; De Wet en
Yeats, pp. 219 sq.
27
Cf. Pap. D. 45, 1, 115, 2; Paul. D. 17, 2, 71 pr.
28
Cf., for exampl e, l ui. D. 19, 1, 28. Also settlements and ot her pact a on t he basis of
which the praetor would grant an exceptio pacti could be secured by penalties: cf. e.g. Scaev.
D. 45, t, 122, 3; Paul. D. 23, 4, 12, 2.
29
"On the problem of a penal stipulation combined with another, the sources are in a sad
state of confusion": David Daube, "Slightly Different", (1961) 12 Iura 91. But see Levy,
Konkurrenz, vol. II, 1, pp. 117 sqq. and, more recently, the detailed discussion by Knutel,
Stipulatio poenae, pp. 262 sqq. (double stipulations), pp. 291 sqq. (pacta), pp. 320 sqq. (bonae
fidei contracts).
30
Wi ndscheid/Kipp, § 285. 4.
31
Paul. D. 44, 7, 44, 6.
32
Even though, after forfeiture of the penalty, there were, strictly speaking, two
obligations, both valid and enforceable, cumulation was generally regarded as inequitable by
the Roman lawyers (Lab./ Ulp. D. 44, 4, 4, 7; Sab./ Ulp. D. 2, 14, 10, 1; Mela/ Paul. D. 23,
4, 12, 2) and has been accepted only under exceptional circumstances.
33
"Quasi novatio". Stricto sensu we cannot speak of a novatio, because "navem facere"
and "cent u m" are nor "i dem debi tu m". Cf. supra, p. 60 and i nfra, pp. 634 sq.
34
Knutel, Stipulatio poenae, p. 269.
35
See also art. 1229 code civil; § 1336 I ABGB and, for South African law, De Wet en
Yeats, pp. 220 sq.
36
§ 340 II BGB, art. 161 II OR.
37
On such agreeme nts between the parties as to the conc urrence of actions, see Knutel,
Stipulatio poenae, pp. 281 sqq.
38
Interpolated, according to, for example, Levy, Konkurrenz, vol. II, 1, pp. 126 sqq.; but
see Knutel, Stipulatio poenae, pp. 320 sqq.; Liebs, Klagenkonkurrenz, p. 208.
39
Cf. e. g. Po mp. D. 19, 1, 6, 1.
40
Vide infra, pp. 509, 667, 674.
41
Knutel, Stipulatio poenae, p. 363.
42
Cf., for example, Adolf Berger, Die Strafklauseln in den Papyrusurkunden (1911), pp. 102
sqq.
* See e.g. Alf./Paul. D. 17, 2, 71 pr. On this fragment, see Daube, (1961) 12 Iura 88 sqq.
44
Cf. the "stipulatio ex bonis moribus concepta" in Pap. D. 45, 1, 121, 1, which had been
promised by a husband in case he would fall back into "consuetudo concubinae". Otherwise
penalty stipulations in the field of family law were often disapprove d of for moral reasons;
cf., for e xa m ple, supra, pp. 96 sq.
45
Restrictions of the freedom of testation by means of stipulationes poenae ("si heredem
m e non fec eris, ta ntum dare sponde s? ") we re re ga rde d a s invalid: lui. D. 45, 1, 61. The
question was disputed in the later ius comm une (cf. Windscheid/Kipp, § 529, n. 4); the BGB
(§§ 2302, 344) has returned to the Roman solution.
46
Vide supra, pp. 98 sq., and infra, pp. 295 sq. and 526 sqq.
47
Gai. IV, 184.
4Я
Cf. Kaser, RZ, pp. 167 sq.
49
Cf. Pap. D. 45, 1, 115 pr.
50
Cf. Gai. IV, 186.
51
Cf. the discussion by Kniitel, Stipulatio poenae, pp. 71 sqq.
52
Lab./ Ven. D. 45, 1, 137, 7; cf. also Ul p. D. 45, 1, 71.
" Otherwise, expiry of the time set for performance would mark the forfeiture of the
penalty: Pomp. D. 45, 1, 27, 1.
34
Sab./Pap. D. 45, 1. 115, 2: "Item si quis ita stipuletur: 'si Pamphilum non dederis,
centum dari spondes?' . . . Sabinus . . . existimabat ex sententia contrahentium, postquam
homo potuit dari, confestim agendum. . . ."
j5
Peg./Pap. D. 45, 1, 115, 2: "Pegasus respondit non ante committi stipulationem, quam
desisset posse Pamphilus dari."
56
Pap. D . 4 5, 1, 1 15, 2.
57
For t hi s p ri n ci p l e , se e U l p . D . 45, 1, 4 1, 1; Po mp . D . 50, 1 7. 14; c f. al so I n st . HI , 1 5, 2.
58
V i de i n f r a , pp . 6 39 s q.
59
Se e , t o o, K nu t e l , S t i p u l a t i o p o e n a e , p p. 13 1 s q.
60
гл
Pap. D. 45, 1, 124.
Paul. D. 45, 1, 8.
6
Frezza, Garanzie, vol. I, pp. 347 sqq.; Jors/Kunkel/Wenger, p. 181; Kaser, RPr I,
pp. 520 sq.; Pasquale Voci. "La responsabilita del debitore da stipulatio poenae", in: Studi in
onore di Edoardo Votterra, vol. Ill (1971), pp. 319 sqq.; Windscheid/Kipp, § 285. 3. The
question has now been comprehensively investigated by Knutel, Stipulatio poenae, pp. 195
Щ
%
' Pap. D. 45, 1, 115, 2. relating to "si Pamphilum non dederis. centum dari spondes?".
6
Cf., for example, Iul./Afr. D. 44, 7, 23 (for poena traiecticiae pecuniae); on which
cf. infra, p. 185.
6S
Lab. D. 22, 2, 9.
66
C e ls./U lp . D . 4 , 8 , 2 3 , 3 .
67
C f. i n f r a, p p. 3 8 5, 7 3 0 , 7 8 5 s q q ., 8 2 0 , 8 2 2 .
ш
Serv./Ulp. D. 22, 2, 8; Pomp. D. 4, 8, 40.
69
Kni i t el , S ti pu la ti o po en ae , pp. 198 sq q.
7
"U lp . D . 2 , 1 1 , 2 , 3 -8 .
71
U lp . D . 2 , 1 0 , 1 , 3 .
72
C( . § 33 9 B G B ( ". . . t he pe n a l t y i s f o r f e i t i f he i s i n de f a u l t "; m o r a de bi t on s ( de f a u l t )
e nt ai l s f a ul t : § 2 85 B GB) ; i mpl i ci t l y al so D e We t e n Y e at s, pp. 21 7 s q q. ( b re a c h o f c ont r ac t ) ;
cf. also Treitel, op. cit., note 14, p, 94 ("Thus if'fault' on the part of a debtor is an essential
ingredient of contractual liability, it must exist before the penalty can be exacted").
73
For a comparative analysis, sec Treitcl, op. cit., note 14, pp. 90 sqq., 97 sqq.; James J.
Cox, "Penal Clauses and Liquidated Damages", (1958)33 Tulane LR 180sqq.iJ.C- de Wet,
Opuscula Miscellanea (1979), pp. 209 sqq.
'4 Cf. artt. 1152 and 1231 code civil, amended, however, and brought into line with the
other Continental systems in 1975. Cf. e.g. Fischer, op. cit., note 1, pp. 132 sqq.; Nicholas,
PLC, pp. 229 sqq. '
73
Commentarius ad Pandectas, Lib. XLV, Tit. I, XII.
76
Dunlop Pneumatic Tyre Co. Ltd. v. New Garage and Motor Co. Lfd. [1915] AC 79 (HL)
at 86.
77
Cf., for example, Treitel, Contract, pp. 769 sqq.
7H
Dunlop Pneumatic Tyre Co. Ltd. v. New Garage and Motor Co. Lid. [1915] ЛС 79 (HL)
at 87.
79
Treitel, op. cit., note 14, p. 103. Strangely enough, the German courts have more
recently cumbered themselves with very much the same problem. They have started
distinguishing between penalty clauses (which, however, contrary to English law, are not
invalid, but subject to the rules laid down in § 339 sqq.) and liquidated damages (which arc
not subject to these provisions of the code). In the literature, too, attempts have not been
wanting to confine application of the § 339 sqq. to "in terrorem" clauses. Cf. the critical
discussion by Fischer, op. cit., note 1, pp. 42 sqq.
H
" § 343 BGB; cf. also § 1336 ABGB, art. 163 III OR, art. 1384 codice civile.
S1
Cf. Heinrich Siber, in: Planck, Kommentar zum Burgerlichen Gesetzbuch (4th ed.), vol. II,
1 (1914), § 343, 1: "anomales Recht" and Zimmermann, Moderationsrecht, pp. 89 sq.
Cf. "Protokolle", in: Mugdan, vol. II, pp. 722 sqq.; cf. also Verhandlungen des 20,
Deutschen Juristentages, vol. II (1889), pp. 23 sqq., 43 sqq.
83
A notorious constitution, the wording of which (according toJ.C. de Wet, Opusmla
Miscellanea (1979), p. 205) is "so confused and obscure that it defies interpretation and even
translation". Yet it became part and parcel of the ius commune. On C. 7, 47 in Roman law,
see Medicus, Id quod interest, pp. 288 sqq.; H.J. Erasmus, " 'n Regshistonese Beskouing van
Codex 7, 47", (1968) 31 THRHR 213 sqq.; on the ius commune, see Coing, pp. 438 sqq.
and H.J. Erasmus, "Aspects of the History of the South African Law of Damages", (1975)
38 THRHR 115 sqq.; for modern South African law, see Erasmus, (1968) 31 THRHR 237
sqq.4 For further details cf. also intra pp. 828 sqq.
Carolus Molinaeus, Tractatus de eo quod interest (Venetiis, 1574), n. 159.
Нэ
As can be seen from this argument, the focus was very much on the purely
compensatory function of penalty clauses. This attitude dates back to canon law empha-
(emphasizing, for moral reasons, [he protection of the debtor and arguing that whatever was
beyond a reasonable pre-estimate of damages constituted an unjustified gain for the creditor)
and prevailed down to the time of the natural-law codifications. Only the 19th century saw
a renascence of the "in terrorem" function of penalty clauses; their character, as private
sanctions for the wrong of breach of contract, was (re-)accentuated—conventional penalties
as "e ine du rch Pri vat wiuk ur beg runde te Crim ina lan sta lt im Kl e inen" ( Savi gn y) .
8fi
C f., fo r e xa mpl e , Pot hi e r, Tra i t e d e s o bl i ga ti on s, n. 345.
87
§ 3 0 1 I 5 P r A LR .
8H
C f ., f o r e x a m pl e , F a ch i n a c u s, Co n t ro v e rsi a e i u ri s, vo l . I , p . 5 0; Gl u c k, vo l . I V , p . 5 32 ,
n. 3.
нч
V a n Le e u w e n , Ce n su ra Fo re n si s, P a r s 1 , L i b. I V , C a p. X V , 2 .
90
Co n im en ta ri i t s ad Pa nd ec ta s, Li b. X LV , T i t . I . X II .
91
Co m m e n t a ri u s a d Pa n d e c t a s, Li b . X LV , T i t . I , X I I I ; c f . al s o G r oe n e we ge n, D e l e g i bu s
a b ro g a t i s, C o d. Li b . V I I , T i t . X L V I I , n. 1 0 .
y2
A c t 1 5 / 1 9 62 . C f . D e We t e n Y e a t s , p p. 2 1 1 s q q. ; J. C . de We t , O p u sc u l a M i s c e l l a n e a
( 19 7 9) , p p. 2 0 6 sq q.
93
C f . S t e y t l e r v . S m u t s ( 1 8 3 3) 1 M e n z 4 0 ; Ma n n a n d H a m s v , Co h e n 1 9 0 2 T H 2 6 1 .
94
O t t o v . La t e g a n ( 1 89 2) 9 SC 25 0; Co m m i ss i o n e r o f Pu bl i c Wo rk s v . H i l l s [1 9 06 | A C 36 8
(PC).
3
Pearl Assurance Co. Ltd. v. Union Government 1933 AD 277. 96
Pearl Assurance Co. v. Union Government 1934 AD 560 (PC).
97
Tobacco Manufacturers Committee v. Jacob Green and Sons 1953 (3) SA 480 (A) at 493F.
98
Conventional Penalties Act 15/1962. Sec. 3 of this Act provides: "If upon the hearing
of a claim for a penalty, it appears to the court that such penalty is out of proportion to the
prejudice suffered by the creditor by reason of the act or omission in respect of which the
penalty was stipulated, the court may reduce the penalty to such extent as it may consider
equitable in the circumstances. . . . "
99
Cf. supra, pp. 104 sqq.
100
It was specifically excluded by § 306 I 5 PrALR. As to modern German law,
cf. Sollner, op. c i t . , note 1, § 339, nn. 17 sqq.
101
Rolf Knutel. "Verfallsbereinigung, nachtraglicher Verfall und Unmoglichkeit bei der
Vertragsstrafe", (1975) 175 Archiv fur die civilistische Praxis 44 sqq.
102
Cels./Ulp. D. 4, 8, 23 pr.; cf." also Gai. D. 21, 2, 57, 1 and Voci, Studi Volterra, vol. I I I ,
pp. 335 sqq.
103
Cel s. / Ul p. D. 4, 8, 21. 12, Paul . D. 4, 8, 22, Cel s. / Ul p. D. 4, 8, 23 p r . : "Int r a
quantum autem tcmporis, nisi detur quod arbiter iusserit, committatur stipulatio, videndum
est. et si quidem dies adiectus non sit, Celsus senbit libro secundo digestorum messe
quoddam modicum tempus: quod ubi praeterierit, poena stamm peti potest: et tarnen,
inquit, et si dedent ante aeeeptum iudicium, agi ex stipulatu non potent: utique nisi eins
interment tunc solvi. Celsus ait, si arbiter intra kalendas Septembres dari iusserit nee datum
erit, licet postea offeratur, attamen semel commissam poenam compromisse non evanescere,
quoniam semper verum est intra kalendas datum non esse: sin autem oblatum accepit,
poenam petere non potest doli exceptione removendus." Cf. also Marci. D. 4, 8. 52; Scaev.
D. 45, 1, 122, 2. For a full discussion, see Knutel, Stipulatio poenae, pp. 147 sqq.
104
Kaser, RZ, pp. 225 sq.
Because, as a consequence of this interpretation, he had to accept the belated
performance. 1fhe did not do so (that is, if the fulfilment of the condition was brought about
by the party to whose advantage it operated), the condition was deemed not to have been
fulfilled.
106
Vide infra, p. 729.
Paul. D. 4, 8, 22.
107
In a similar vein, see Kmitel, (1975) 175 Archiv fiir die civilistische Praxis 56 sq.
108
Pa ul. D. 21, 2, 35: "Evictus a ute m a cre ditore tunc videtur, c um fere spes ha be ndi
abscisa est: itaque si Scrviana actione evictus sit, committitur quidem stipulatio: sed quoniam
soluta a de bitore pec unia potest servum ha bere, si soluto pignore ve nditor c onve niatur.
poterit uli doli e xceptione." For a very interesting parallel in the old English c omm on law
(to which Professor R. Kniitel, Bonn, has drawn my attention), see the decision by
Bereford CJ in Umfraville v, Lonstede YB 2 a nd 3 Edw II (Seiden Society) 58 a nd the
com me nt by F.W. Maitland in his Introduction (p. xiii) to this volume: "A ma n has bound
himself to pay a certain sum if he does not hand over a certain document on a certain day.
Being sued upon his bond, he is unable to deny that he did not tender the document on the
da y fixe d for the tra nsfer; but he te nde rs it now, e xc use s him self by sa ying that he was
be yon d the sea , ha ving left the doc um e nt with his wife for delivery, a nd urges that the
plaintiff has suffere d no da ma ge. . . . To our surprise, Bereford CJ . . . exclaims: 'W hat
equity would it be to a ward you the de bt whe n the doc ume nt is te ndere d a nd you ca nnot
show that you have been damaged by the detention?' (Quel equite serra de awarder a vous le dette
de pus que l'escrit est prest, si vous ne porriez monstrer que vous justes endamage par la detenue?) In
the e nd the plaintiff is told that he will ha ve to wait se ve n years for his judge me nt. Here
certainly we see m to see 'relief a gainst pe nalties' a nd relief that is gra nte d in the na me of
'equity', though it takes the clumsy form of an indefinite postpone ment of that judge ment,
whic h is dicta te d by the rigours of the la w."
104
On which see infra pp. 916 sq., 1099 sq., 1118 sq.
110
Already in its original form, i.e. before the alteration in 1975. Cf. also art. 1384 codice
civile.
Suretyship
I. IN TRO DU C TIO N
1. The contract of suretyship
Where someone incurs a contractual obligation towards another, he
will often be asked by his new creditor to promise a penalty in case of
non-fulfilment. Stipulationes poenae can therefore be seen as one way
of ensuring that promises are honoured. However, they give the
creditor only another actio in personam against the debtor. Thus they
do not protect him against the risk that the debtor may, once the debt
has fallen due, have become insolvent or have disappeared. The creditor
will therefore normally try to minimize the risk of losing out in one of
two ways: he will either ask to be allocated a specific item belonging to
the debtor (or to a third party) from which he will, in case of default or
non-performance, be able to obtain satisfaction; or he may ask some
other party (or parties) to guarantee fulfilment of the principal
obligation. In other words, he will try to secure his position either by
way of a real right (ownership, right of pledge, mortgage) or by actions
in personam against one or more additional debtors (personal security).
Traditionally, the most important type of personal security is the
contract of suretyship, where, in the words of the BGB, the surety
binds himself to the creditor of a third party to be responsible for the
fulfilment of the obligation ofthat third party. 1 Suretyship is well
known in all modern (and ancient) legal systems. 2 Roman law
displayed a striking predilection for this type of security transaction
(adpromissio). Like conventional penalties, adpromissiones had to be
cast in the form of a stipulation. Three different types were known in
classical Roman law: sponsio, fidepromissio and fideiussio. Their
refined and elaborate structure made them a model for all times; thus,
the rules governing suretyship today are still essentially Roman.
1
§ 765 I BGB.
Cf. especially the contributions published under the title "Les suretes personnelles" as
vols. 28 (1974), 29 (1971) and 30 (1969) of the Recueils de la societe Jean Boain pour l'histoire
comparative des institutions. For more than 1 800 pages, the law of suretyship is discussed in
a wide variety of historical and contemporary legal systems. The contributions range from
Sumerian-Akkadian to (for example) Cambodian Saw. Neither Hungarian law from the 13th
to the 18th century nor medieval Lotharingian law is neglected (although Roman-Dutch and
Scottish law are). Very useful, too, for the modern comparative history of suretyship is
William Burge, Commentaries on the Law of Suretyship (1849); cf. further Ralph Slovenko,
"Suretyship" (1964-65) 39 Tulane LR 427 sqq.; Philip K. Jones, "Roman Law Bases of
Suretyship in Some Modern Civil Codes", (1977-78) 52 Tulane LR 129 sqq.
114
3
On the relative importance of personal and real security generally, see John Gilissen,
"Esquisse d'une histoire comparee des suretes personnelles", in: Les suretes personnelles,
vol. 28, pp. 87 sqq.
* Pomp. D. 5U, 17, 25.
э
Cf. especially Schulz, CRL, pp. 400 sqq. and also Kaser, RPr I, pp. 660 sq.; Nicholas,
Introduction, pp. 149 sqq.
6
Schulz, Principles, pp. 233 sqq.; Karl Meister, "Die Freundschaft bei den Griechen und
Romern", (1950) 57 Gymnasium 5 sqq.
Cicero, Luelius de amicitia, XXII, 82.
8
Schulz, Principles, p. 237.
9
Laelhis de amicitia, XXIII 86.
111
Cf. Justus Wilhelm Hedemann, Die Fortschritte des Zivilrechts im XIX. Jahrhundert, II, 2
(1935), pp. 6 sq. (the quotations (a real plague; something dreadful) are taken from Thibaut
and Hugo).
1
Sc hulz, CRL, p. 404.
12
Sc hulz, CRL, p. 404.
13
Justus Wilhelm Hedemann, Die Fortschritte des Zivilrechts im XIX. Jahrhundert. II, 1
(1930), pp. 42 sqq., 94 sqq.
14
Cf. Hedemann, Fortschritte, II, 1, p. 98.
71
Cf. Wolfgang Hromadka, Die Entwicklung des Faustpfandprinzips im 18. und 19,
Jahrhundert (1971), pp. 41 sqq.
16
Cf. e.g. Andreas Wacke, Das Besitzkonstitut als Ubergabesurrogat in Rechsgeschichte und
Rechtsdogmatik (1974), pp. 59 sqq.
1
Details of the economically most important areas in Walther Hadding, Franz Hauser,
Reinhard Welter, "Burgschaft und Garantie", in: Gutachten und Vorschlage zur Uberarbeitung
des Schuldrechts, vol. Ill (1983), pp. 584 sqq.
18
Gai. Ill, 116.
19
Cf- supra, pp. 71, 72.
20
Cf. especially Ludwig Mitteis, "Uber die Herkunft der Stipulation. Eine Hypothese",
in: Aus romischem und burgerlichem Recht, Festschrift fur Ernst Immanuel Bekker (1907), pp. 107
sqq.; also, for e xa m ple, De Zulueta, Gaius II, pp. 145 sq., 152.
Cf e.g. Robert Feenstra, "Die Burgschaft im romischen Recht und ihr Einfluss auf die
mittelalterliche und spatere Rechtslehre", (1974) 28 Recueils (op. cit., note 2) 307 sqq.
22
Cf. esp. Ernst Levy, Sponsio, fidepromissio, fideiussio (1907), pp. 1 sqq.
23
Cf. Jean Triantaphyllopoulos," "Sponsor", (1961) 8 RIDA 373 sqq.
24
Boggling at this discrepancy in meaning between verb and agent noun, many writers
have attempted to harm onize the two. W hile some authors have im puted the wide range o(
"spondere" to "sponsio" (cf., for exam ple, Levy, loc. c i t . ) , others have argued that the verb
was originally used in the same narrow sense as the noun (cf., for example, Mitteis, loc. cit.).
Both views have been criticized by David Daube (Roman Law, Linguistic, Social and
Philosophical Aspects (1969), pp. 4 sqq.), who finds any argument based on the assumption of
a bsolute a gre e m e nt be twe e n a verb a nd its a ge nt nou n "utte rly u nc on vinc ing ". Da u be
shows tha t the a ge nt no u n "te n ds to be c onfine d to the striking" (p. 2) a nd gi ve s the
following illustration: "Merere or mereri means to earn, meretrix, literally, the earneress.
Was the noun at one time wide, including a schoolmistress? Or was the verb narrow and
there is no profit and no merit but goes back to the example set by the call-girl? In reality
the noun is from the outset confined to a sector of the verb. The lady is called earneress
because she makes a profession of earning, because she sets about earning in a rather special
fashion, and indeed because the very fact that a woman earns is striking-—there were not at
the time many other ways, this kind of woman is the earneress" (p. 10). In the same way.
according to Daube, the agent noun sponsor describes him "whose promise stands out"
(P-5)-
3
Cf. supra, p. 72, furthermore, especially, Vincenzo Arangio-Ruiz. "'Sponsio' e
'stipulatio' nella terminologia romana", (1962) 65 BIDR 193 sqq., who shows that the terms
"stipulatio" and "sponsio", at least as far as we can trace them back, have always indicated
the two sides of one and the same transaction. For a brief summary of the discussion relating
to 26
the origins of stipulatio, cf. also Jolowicz/Nicholas, pp. 280 sq.
Cf. Kaser, AhrOmisches ius, pp. 270 sqq.; Wesener, RE, Suppl. vol. XIV, pp. 447 sqq.;
Teresa Gimenez-Candela, "Notas en torno al 'vadimonium'", (1982) 48 SDMI 126 sqq.
"' "Gesteiiungsbiirgschafi" by means of vades or praedes had been turned into the promise
of vadimonium or cautio pro praede (both in the form of stipulations). The old praedes
survived only in exceptional cases; cf. e.g. Jolowicz/Nicholas, p. 299.
2K
Gai. Ill,'119.
24
This would be the case of joint debtors (plures rei promittendi): see Inst. Ill, 16 pr.
3U
Frezza, Garanzie, vol. I, pp. 23 sqq.
31
Cf. Peter Apathy, "Zur Abgrenzung von Novation und Burgschaft", (1971) 18 RIDA
381 sqq., 399 sqq., 409 sqq., 427 sqq.
~ For a general outline, see Jean Triantaphyllopoulos, "La legislation romaine sur 1c
cautionnement", (1961) 39 RH 501 sqq.; Frezza, Garanzie, vol. I, pp. 14 sqq.
33
Gai . I I I , 122.
34
G ai . I I I , 1 21.
35
Gai. IV. 22.
3(1
Gai. III. 121 a.
37
Gai. Ill, 123.
3M
Gai. Ill, 120.
39
Cf. supra , p. 72 and Ka ser, RPr I, pp. 168 sq.. cf. further Levy, Sponsio, pp. 45 sqq.
4(1
De Zulueta, Gaius I I , p. 161.
41
As to fidepromissio, see Jea n Trianta phyllopou los, "Peregrinu s fidepromissor (Ga i.
inst. 3, 120)", in: Melanges d'histoire ancienne offerts a William Seston (1974), pp. 473 sqq. and
also Franz Wi eacker, "Zum Ursprung der boii ae fidei iudi cia", (1963) 80 ZSS 13 sq.
42
That fideiussio was developed mainly in order to evade the suretyship legislation is the
prevailing opinion; see e.g. De Zulueta, Gaius II, p. 161; Fcenstra, op. cit., note 21. p. 315;
Jolovvicz/Nicholas, p. 300. Contra: Levy, Sponsio, pp. 124 sqq.; We rner Flume, Studien zur
Akzessoritat der romischen Burgscha?sstipuhtionen (1932), pp. 36 sqq.
On t he notion of "fi des" as part of t he decl arations required for "fide-iussio", see
Flume, op. cit., not e 42, pp. 52 sqq.
44
A lex Cornelia (81 B . C .), limiting the sum for which one person could stand surety for
the same debtor to the same creditor in any one year to 20 000 sesterces, did, however, apply
to all three types of suretyship promises: Gai. Ill, 124.
45
Gai. Ill, 120.
4(1
Gai. Ill, 119 a.
47
Gai. Ill, 118.
4
Wilhelm Girtanner, Die Burgschaft nach gemeinem Civilrechc (1850-51), pp. 20 sqq.;
Fl ume, op. cit ., not e 42, pp. 64 sqq.; Schul z, CRL, pp. 495 sqq.
4У
Cf. e.g. John Gilissen, "Esquisse d'une histoire comparee des suretes personnelles",
(1974) 28 Recueils (op. cit., note 2) 100 sqq.; Albert Kiralfy, "History of the Law of Personal
Guarantee in England since 1500", (1971) 29 Recueils (op. cit., note 2) 411 sqq., 421 sqq.;
L.R. Caney, CF. Forsyth, The Law of Suretyship in South Africa (1982), p. 28; Burge,
Suretyship, p. 3.
50
§ 767; cf. already the pandectist writers, e.g. Girtanner, op. cit., note 48, pp. 402 sqq.
э1
Cf. e.g. Ernst Levy, "Principal and Surety in Classical Roman Law", (1951) 14/15
BIDR 217: "No doubt, the liability of the fideiussor was accessory, i.e. dependent in some
way upon the principal's obligation. How far, however, this dependence made itself felt, is
anot her matt er."
52
Gai. Ill, 119.
53
Gai. Ill, 126.
54
Gai. Ill, 126.
55
Cf. supra, p. 74 (note 39).
36
As Justinian put it: "Non solum enim in quantitate, sed etiam in tempore minus et plus
intellegitur" {Inst. Ill, 20, 5). 57 Cf. Inst. Ill, 20, 5.
5K
This text is discussed by Fritz Schulz. "'Condictio indebiti' und die Accessor!etat der
'sponsio' und 'fideiussio' (D. 12. 6. 47.)", (1952) 3 Iura 15 sqq. and Max Kaser, "Celsus D.
12. 6. 47 und die Akzessorietat der Burgschaft", in: Festgabe fur Arnold Herdliti'zka (1972),
pp. 143 sqq.
"^ The most important of the unjustified enrichment claims. For details, see infra
pp. 848 sqq.
'■"Cf. e.g. Ulp. D. 17, 1, 29 pr.; Pap. D. 46, 1, 49 pr.; lui. D. 46. 1, 15 pr.; Ulp. D. 36.
4, 1 pr.
(l1
(2
Kaser, RZ, pp. 316 sq.
' Inst. IV, 14, 4.
M
Kascr, RPrl, pp. 661, 663. 70
Levy, (1951) 14/15 RIDR 217.
1
An example of this method is the restoration of the Celsus text (D. 12, 6, 47, discussed
supra, p. 123) by Schulz. (1952) 3 Lira 18. Contra: Kaser, Festgabe Herdlitczka, pp. 143 sqq.,
146 sqq.
- Levy, Obligationenrecht, pp. 196 sqq.
■ Cf. Gai. Ill, 119: ". . . inierdum ipse qui promised t non fuerit obligat us, velut si mulier
aut pupilhis sine tutoris auctoritatc. aut quilibet post mortem suam, dari promiserit. at illud
quaeritur, si servus aut peregrinus spopondent. an pro eo sponsor aut hdepromissor
obligetur."
Robert Feenstra, "Le caractere accessoire des differents types de cautionnement 'verbis'
en droit romain classique", in: Etudes offertes a Jean Macqueron (1970), pp. 301 sqq.; Kaser,
Festgabe Herdlitczka, pp. 154 sqq.
5
Cf. e.g. Levy, Konkurrenz, vol. I, pp. 190 sqq.: Liebs, Klagenkonkurrenz, p. 250. 76
Quintilianus, Declamations, 226; cf. Levy. Sponsio. pp. 48 sqq.; Kaser, Altromisches ius, pp.
115 sqq.
Hence the old saying (Gai. III. 180): "Ante litem contcstatam dare debitor oportet, post
litem contestatam condemnari oportet, post condemnationem iudicatum facere oportet."
For a discussion, see Detlef Liebs, "Die Klagenkonsumption des romischen Rechts", (1969)
86 78
ZSS 169 sqq.
Gai. Ill, 180 sq., IV, 106 sq.; in the case of all other actions, consumption was effected
by granting to the defendant the exceptio rei ludicatae vel in iudicium deductae.
As to the barring effect of litis contestatio. cf. Kaser, RZ, pp. 229 sqq.;
Buckland/Stcin, pp. 695 sqq.; cf. also supra p. 61, note 195.
1
This is the Hue of argument adopted by William Warwick Buckland, "'Principal and
Fideiussor. Consumptio litis", (1941) 53 juridical Review 281 sqq.
But see Buckland, (1941) 53Juridical Review 281 sqq., who disputes eadem res as far as
fideiussio vas concerned. His view, shared e.g. by Schulz, C.RL, p. 501, has been refuted by
Ernst Levy, "Principal and Surety in Classical Roman Law", (1951) 14/15 BIDR 207 sqq.;
cf. also Fr'zza, Qaranzie, vol. I, pp. 129 sqq. Schulz, incidentally, comes to the same
conclusion for sponsio and fidepromissio (p. 497); if the creditor sued the principal debtor,
so he argues, the obligation of the sponsor/fidepromissor remained intact. This is a
consequence of his view that sponsio was not accessory. 82 Konkurrenz, passim. нз
According to Liebs, Klagenkonkurrenz, pp. 183 sq., 251, 252 sq., the reciprocal process
consumption in classical Roman law was a relic from the days when personal execution held
sway. Where personal liability was the ultimate and only consequence, it did not matter that
all other (security) rights fell away once proceedings had been instituted: execution was
always possible and could ne ver turn out to be unsuccessful (because ot insolvenc y).
84
Cf. Buckland, (1941) 53 Juridical Review 285.
85
Cf. infra, pp. 139 sqq.
86
"Qua nto minus a Titio debitore exegissem, tantum dari spondes?" (c{. LJip. D. 46, 2,
6 pr.); sec Levy, Sponsio, pp. 149 sqq.; Frezza, Garanzie, vol. I, pp. 136 sqq.; Rolf Knutel,
"Zur Frage der sog. Diligenzpflichten des Glaubigers gegenuber dem Burgen", in: Festschrift
fur Werner Flume (1978), vol. I, pp. 568 sqq.
87
(1951) 14/15 BIDR 216.
m
Cf. e.g. Gai. Epitome II, 9, 2: "Creditor autem, qui pecuma m de dit, in potestate habet
ad reddendam pecuniam, quern velit tenere, utrum ipsum debitorem an fideiussorcm. Sed si
debitorem tenere clegerit, fideiussorem absolvet: si vero hdeiussorem tenuerit, debitorem
absolvet; quia uno electo, quern idoneum creditor iudicavit, alterum liberat"; Levy,
Obligatiotienrecht, pp. 199 sqq.
8У
C. 8, 40, 28 pr. and 1. This reform, according to Justinian, had been prompted by an
increasingly popular practice of the parties to set aside the effects of litis consum ptio by
special agreement: "Si cnim pactis conventis hoc fieri conceditur et in usu quotidiano semper
hoc versari adspicimus, quare non ipsa legis auctoritate hoc permittatur, ut nee simplicitas
suscipientium contractus ex quacumque parte possit ius creditoris mutilare?" (C. 8, 40, 28,
3). Cf. Levy, Obligationetirecht, pp. 204 sq.
90
C. 8, 40, 28, 2. As to the structure of the whole enactment contained in C. 8, 40, 28
(pieced together in various stages), cf. Fritz Schulz, "Interpolationen in den Justinianischen
Reformgesetzen des Codex Justinianus vom Jahre 534", in: Studi in onore di Pietro Bonjantt,
vol. I, pp. 357 sqq.; Liebs, Klagenkonkurrenz, pp. 38 sqq.; c{. further Giuseppina Sacconi,
Studi sulle obbligazioni solidali da contralto in diritto romano (1973), pp. 4 sqq.
91
Cf. supra, p. 118.
92
Overvi ew in Kaser, RPr I, p. 657; Sacconi, op. cit., note 90, pp. 51 sqq.
93
Cf. e.g. the interpolations discussed by Liebs, Klagenkonkurrenz, pp. 60 sqq.
1)4
Cf. e.g. Paul. D. 11, 1, 8 (Liebs, Klagenkonkurrenz, pp. 71 sq.) and the references in
Kaser, RPr I, p. 658.
95
Pap. D.46, 1,52, 3; lui. D. 26,7, 18, l;Ulp. D. 16,3, l,43;Ulp. D. 13, 6, 5, 15; Liebs,
Klagenkonkurrenz, pp. 184 sqq.; Sacconi, op. cit., note 90, pp. 51 sqq.
9
Jors/Kunkel/Wenger, p. 210 ("Fur das klassische Recht haben wir ein Trummerfeld vor uns.
Die justinianischen Kompilatoren haben tiefgreifende Interpolationen vorgenommen und durch
Spezialgesetze neue Grundsatze eingefiihrt, aber einen einheitlichen, in sich gefestigten Neubau nicht
zu schaffen vermocht").
97
Each of the several debtors is liable for the whole ("in solidum"); hence the term
"solidarity".
9H
This term has been derived from "correus" (conreus), which, however, appears only
once in our sources (Ulp. D. 34, 3, 3, 3).
99
Starting with F.L. Keller, Ueber Litis Contestation und Unheil nach dassischetn Romischem
Recht (1827), and Georg Julius Ribbentrop, Zur Lehre von den Correal-Obligationen (1831); cf.
further Windscheid/Kipp, § 292, pp. 197 sq. They quote a statement from 1829 ("Es ist . . .
nicht leicht uber irgend einen anderen Hauptpunkt des romischen Rechts die Literatur so
durftig, wi e uber diesen") and comment, somewhat sarcastically: "Mancher mocht e wohl
diesen Zustand zuruckwunschen" (Not easily will one find another main problem in Roman
law about which the literature is equally scarce; many a one would probably desire the return
of this state of affairs).
100
Scherz und Ernst in der Jurisprudenz (13th ed., 1924), p. 8.
101
Jhering, Geist, vol. II 2, p. 324 (as translated by J. Kerr Wylie, Solidarity and Correality
(1923), pp. 5 sq.). Cf. also, again, Rudolf von Jhering, Scherz und Ernst, op. cit., note 100,
p. 9: "A juristic writing which fundamentally ignores the practical application of its subject!
a cunni ngly construct ed watch whi ch is not int ended t o go!"
102
For a new version of pandectism, namely exclusive emphasis on doctrinal consistency
(even at the expense of extensive reconstruction of the sources), see J. Kerr Wylie, Solidarity
and Correality (1923).
~ On its history cf. Schindler, Justinians Haltung zur Klassik, pp. 36 sqq.
104
"Exc ussionis" from "e xc utere", in the se nse of bringing a ction a nd atte m pting
exec ution against one de btor before another de btor c ould be sue d; "ordinis" beca use a n
order was established in which the creditor had to pursue his remedies. Cf. e.g. Burge,
Suretyship, pp. 332 sq. Sometimes, too, the term "be nefidum disc ussionis" is use d.
ll b
Unless the suretyship stipulation had been drafted accordingly; cf. e.g. lui. D. 46, 1,
16, 6 (fideiussio indemnitatis).
' Quintilianus, Dedamationes, 273. Cf. also Cicero, Epistulae ad Atticum, 16, 15, § 2, and,
ge nerally, Le vy, Sponsio, pp. 41 sqq. The Cicero te xt, incide ntally, has recently bee n
subjected to a detailed analysis by Berthold Kupisch, "Cicero ad Atticum 16, 15, 2", (1979)
96 ZSS 43 sqq.; it provides the basis for his argume nt that litis contestatio was not a n
essential element of classical formulary procedure. The traditional doctrine has, however, in
the m e a nti m e , be e n re a sse rte d b y M a x Ka se r, " Cic e r o 'a d Attic u m ' 1 6. 1 5. 2 .
Formularprozcss ohne 'litis contestatio'?", in: Sodalitas, Scritti in onore di Antonio Guarino,
vol. VII (1984), pp. 3151 sqq.
107
Gai. D. 47, 1U, 19. Cf. further Ulp. D. 47, 10, 15, 32 sq.; Mod. D. 47, 10, 20.
108
Cf. e.g. Kelly, Roman Litigation, p. 21.
109
Cf. Sc hulz, CRL, p. 496.
110
Raber, Injurienanspruche, pp. 150 sqq.
111
Gai. IV, 182. On infamia cf. infra, p. 207.
112
J. Macqueron, "Le cautionnement moyen de pression", (1957) 5U Annales de la Faculte
de droit d'Aix-en-Provence 97 sqq.
113
Gai. III, 121. For the background cf. Liebs, Klagenkonkurrenz, pp. 186 sqq.
114
Inst. Ill, 20, 4.
115
Gai. D. 46, 1, 26.
116
Cf. supra, p. 119.
117
Inst. Ш, 20, 4.
118
Gai. HI, 121.
119
Gai. Ill, 127; IV, 22. For a recent discussion, see Max Kaser, "'Unmittelbare
Vollstreckbarkeit' und Burgenregress", (1983) 100 ZSS 106 sqq.
120
For the following, see Kaser, RPr I, p. 153; idem, Altromisches ius, p. 131 sq.; idem,
(1983) 100 ZSS 100 sqq.
121
Cf. supra, pp. 4 sqq.
122
S e e K a s e r , R P r I , p . 1 7 2 ; i d e m , A l t r O m i sc h e s i u s , p p . 2 4 0 s q q . ; Ro l f K n u t e l , "Z u m
Prinzip der formale n Korresponde nz im romisc he n Rec ht", (1971) 88 ZSS 75.
123
However, litiscrescence (infitiando lis crescit in duplum) remained a characteristic of
this action: sec Gai. IV, 9; 171 and Kaser, Altromisches ius, pp. 118 sqq.
124
"De pe nsi", beca use the action arose where pa ym e nt ha d be e n effe cte d by the third
party by means of an act per aes et libram, in the course of which the sum had originally been
we ighe d out. In classical la w, solutio pe r aes e t libra m was use d only for the purpose of
release and took place num m o uno: see Gai. Ill, 173-5, a nd infra, p. 756.
125
Paul Koschacker, (1916) 37 ZSS 361 sqq.; differently e.g. Francesco de Martino, Studi
sulle oaranzie personali II (1938), pp. 42 sqq.
12
And also of fidepromissm. The applicability of the actio depensi and lex Publilia were
the only questions in regard to which there was a significant difference between the rules
relating to sponsio and fidepromissio. As far as the redress of the fidepromissor against the
principal debtor was concerned, see Watson, Obligations, pp. 7 sq.
127
Gai. Ill, 127; Ulp. D. 50, 17, 60; Frezza, Garanzie, vol. I, pp. 162 sqq.; Gunter
Wesener, "Die Durchsetzung von Regressanspruchen im romischen Recht", (1965) 11 Labeo
343 sqq.; cf. also Roger Vigneron, "Fideiussor, qui pec unia m de posuit, confestim agere
ma ndati potest", (1974) 77 BIDR 443 sqq.; Kaser, (1983) 100 ZSS 124 sqq.
12H
The surety, however, must not have failed to set up exceptiones which were available
against the debtor and of which he was aware, and he generally had to have been diligent in
conducting the case: c f. Ulp. D. 17, 1, 29 pr., 2-4.
129
Paul. D. 17, 1, 20, 1; Seiler, Negotiorum gestio, pp. 120 sqq.
130
Cf. Paul. D. 17, 1, 40. This is in accordance with the prevailing opinion (C. 2, 18, 24)
that there was no claim for reimbursement of outlays for the gestor who had acted against
the will of the principal; cf. Seiler, Negotiorum gestio, pp. 86 sqq.; also Wessels, Contract,
§§ 4155 sq.
131
Frezza, Garanzie, vol. I, pp. 18U sqq.; Wesener, (1965) 11 Labeo 346 sqq.; Giuseppe
Provera, "Riflessioni sul beneficium cedendarum actionum", in: Studl in onore di Cesare
San?ippo, vol. IV (1983), pp. 609 sqq.
12
133
Cf. e.g. the case on which the decision C. 8, 40, 2 is based.
A further problem could arise where the creditor had sued the surety: litis contestatio
would then (even before solutio) have destroyed not only the surety's but also the main
debtor's obligation (both were for eadem res). Here, the Roman lawyers seem to have helped
by means of in integrum restitutio: cf. Levy, Konkurrenz, vol. I, pp. 225 sqq.
134
Cf. e.g. Fritz Schulz, Ruckgriff und Weitergriff {\9Q7), p. 27.
13э
Cf. esp. Dieter Medicus, "Der fingierte Klagenkauf als Denkhilfe fur die Entwicklung
des Zessionsregresses", in: Festschrift fur Max Kaser (1976), pp. 391 sqq.; 396 sqq. On the use
officiions ge nera lly, ci. the refere nces quote d supra, p. 64, note 219.
136
Cf. Pa ul. D. 46, 1, 36: "qu oda m m o do"; M od. D. 46. 3, 76: "m a g is - . . vidc atur".
137
This is one of the great da ngers of de veloping the la w by mea ns of fictions.
138
It was still used by the German legislator to justify the cessio legi s of § 774 BGB:
cf. "Motive", in: Mugdan, vol. II, p. 376.
139
Medicus, Festschrift Kaser, pp. 402 sqq.
140
Pa yme nt was suppose d to discharge the actio ve nditi and thus to le ave the claim for
whic h the surety ha d ma de himself liable intact. If no c ontract of "sale" ha d bee n ma de at
the time of solutio, solutio could be taken only to have discharged the main debtor's (and the
surety's) obligation.
141
Cf. Mod. D. 46, 3, 76: "M odestinus respondit, si post solutum sine ullo pacto om ne,
quod ex causa tutelae debeatur, actiones post aliquod intervallum cessae suit, nihil ea cessione
actum, cum nulla actio superfuerit: quod si ante solutione m hoc factum est vel, cum
conve nisset, ut ma ndare ntur actiones, tunc solutio facta esset mandatum subsec utum est,
salva s esse ma ndatas actiones, c um novissim o quoque casu pretium m a gis m a ndatarum
actionum solutum qua m actio quae fuit pere m pta vide atur."
142
C. 5, 58, 1 (Sev. et. Ant.); 8, 40, 11 (Alex).
143
C. 8, 40, 2 pr. (Se v. et. Ant.).
144
Nov. 4, 1 in fine (". . . a creditore actionibus sibi cessis").
145
Supra, pp. 119 sq.
146
Gai. HI, 122, referring to the lex Appuleia.
147
"Fideiussoribus succurri solet, ut stipulator compellatur ei, qui solidum solvere paratus
est, vendere cetcrorum nomina." On this text, see Medicus, Festschrift Kaser, pp. 394 sqq.;
Provera, Studi San?lippo, vol. IV, pp. 636 sqq.
Cf. Levy, Sponsio, pp. 164 sqq.; Frezza, Garanzie, vol. I, pp. 186 sqq.; but see Provera.
Studi Sanfilippo, vol. IV, pp. 636 sqq.
149
Cf. e.g. Windschcid/ Kipp, § 481, 3.
150
As far as the right of recourse between joint debtors is concerned, cf. Wesener, (1965)
11 Labeo 35U sqq.; Kaser, RPr II, pp. 456 sq. For an evaluation of the historical development
of the right of recourse in Roman law generally, see Wesener, pp. 360 sq.
151
Cf. supra, note 86.
152
Cf. e.g. Ulp. D. 46, 1, 8, 12 and Caney/ Forsyth, op. cit.. note 49, p. 48.
153
As to the interpretation of this text, I follow Andreas Wacke, "Ofilius D. 44, 4, 4, 6.
Ein Forderungskauf zu Burgschaftszwecken", (1970) 17 RIDA 345 sqq.; cf. also Dieter
Norr, "Bemerkungen zur spatrepublikanischen Kautelarpraxis", in: Eranion in honorem G.S.
Maridakis (1963), vol. I, pp. 204 sqq.; Geoffrey MacCormack, "'Dolus' in Republican Law",
(1985) 88 BIDR 35 sq. and (differently) Watson, Obligations, pp. 261 sqq.
154
Paul. D. 17, 1, 22, 2; cf. also Inst. Ill, 26, 2.
155
Cf. G. Bortolucci, "Ilmandatodicredito", (1915) 27 BIDR 129 sqq., (1916) 28 ВЮЯ
191 sqq.; Frezza, Garanzie, vol. I, pp. 199 sqq.; Antonio Guariiio, Mandatum credendi (1982);
Buc kla nd/Stcin, pp. 519 sqq.; Kaser, RPr I, p. 666; II, pp. 460 sq.; Sc hulz. CRL, p. 558;
Girtanner. pp. 60 sqq.; Windscheid/Kipp, § 412, 2; 476, n. 3.
156
A practical disadvantage of the mandate was that it had to be undertaken before the
principal obligation (cf. Ulp. D. 17, 1, 12, 14: "Si post croditam pecuniam mandavero
crediton credendam, nullum esse mandatum rectissime Papmianus ait"), whereas the
fideiussor could accede beforehand or (as is the usual case) afterwards. As to the question of
ratihabitio, see Frezza, Garanzie, vol. I, pp. 212 sqq.
157
Gai. Ill, 156.
158
Jolowkz/ Nicholas, p. 301 even say "extremely common"; cf. also Watson, Mandate,
p. 84.
159
Pap. D. 46, 1, 52, 3; Just. C. 8, 40, 28 pr. (by i mplication).
Ш)
Schindler, Justitiians Haltung zur Klassik, pp. 38 sqq.
161
Cf. Scaev. D, 46, 1, 62: "Si fidejussor creditori denuntiaverit, ut debitorem ad
solvendam pecuniam compcllcret vel pignus distraheret, isque cessaverit, an possit eum
fideiussor doli mali exceptione summovere? respondit non posse." There was, however, one
instance of fideiussio in which the creditor did have such a duty: promissio indemnitatis.
Mod. D. 46, 1, 41 pr.: "Respondit, si fideiussores in id accepti sunt, quod a curatorc servari
non possit, et post impietam legitimam aetatem ram ab ipso curatore quam ab heredibus eius
solidum servari potuit et cessante eo, qui pupillus fuit, solvendo esse desierit: non temere
utilem in fideiussores actionem competere." The reason for this decision is not given by
Modcstinus; it seems to lie in the nature of a fideiussio indemnitatis as a conditional promise
(Paul./Pap. D. 45, 1, 116), to which the rule applied that the condition is deemed not to have
been fulfilled, if the party to whose advantage it would have operated was responsible for its
fulfilment. Cf. Rolf Knutel, "Zur Frage der sog. Diligenzpfhchten des Glaubigers gegenuber
dem Burgen", in: Festschrift fur Werner Flume, vol. I (1978), pp. 568 sqq. and infra, p. 729.
162
Cf. Pap. 27, 7, 7 in fine (interpolated?) and Just. C. 4, 18, 3; Karl-Heinz Schindler,
"Zum Problem byzantinischer Bearbeitungen des ersten Codex", in: Studi in onore di Edoardo
Volterra, vol. II (1971), pp. 371 sqq., but Liebs, Klagenkonkurrenz, pp. 187 sq.
163
Ulp. D. 46, 1, 32; Diocl. C. 4, 30, 12. Both texts have often been regarded as spurious;
but see Kaser, RPr II, pp. 460 sq. (n. 28).
164
lui. D. 46, 1, 13; Gai. D. 17, 1, 27, 5; Mod. D. 46, 1, 41, 1; Wesener, (1965) 11 Labeo
347. Of course, the difficulties encountered with regard to fideiussio (that solutio or litis
contestatio consume d both actions) did not arise in this case.
165
Bortolucci, (1915) 28 BIDR 239 sqq.; cf. also Liebs, Klagenkonkurrenz, pp. 41 sq.;
Guarino, op. cit., note 155, pp. 21 sqq.
166
There wa s a third stra nd in the form of c onstitutum de biti a lie ni, a praetoria n pac t
whic h serve d the func tion of suretyship; Justinia n wa s the first to subject it to the rule s
pertaining to suretyship (by extending the beneficia divisionis, excussionis and cedendarum
actionum). In contrast to fideiussio, constitutum could be made "in durior causa".
Cf. Caney/Forsyth, op. cit., note 49, pp. 18 sqq.; Frezza, Garanzie, vol. 1, pp. 229 sqq., 282
sqq.; Girtanner, op. c i t . , note 48, pp. 47 sqq.; Jolowicz/Nic holas, p. 301; Kaser, RPr II,
p. 461.
167
Cf. W indsc hcid/Kipp, §§ 412, 2; 476, n. 3; Fra nz Philipp von Ku bel, "Rec ht der
Schuldverhaltnisse, Teil 3", in: Werner Schubert (ed.), Vorentwurfe, pp. 89 sqq. § 778 BGB
re a ds: "A pe rson w ho give s a m a n da te to a n othe r to give cre dit to a third pa rty in the
person's own na me a nd for his own acc ount is liable to the ma ndatary us a surety for the
obligation of the third party arising from the giving of credit." Constitutum debiti alieni, on
the other hand, has disappeared as a separate institution on its own; cf. e.g. Girtanner, op.
cit., note 48, pp. 373 sqq. On c onstitutum de biti in ge neral, cf. also infra, pp. 511 sqq.
168
This has practical conse que nces, for insta nce, regarding the question whether the
creditor owes a duty of care towards the surety (cf. supra, p. 140). Such a duty was widely
recognized in 19th-century legislation and literature. In the BGB, however, we find a strange
relapse into the old Roman law of fideiussio; its §§ 765 sqq. are based on the assumption that,
in accordance with its nature as a unilaterally binding contract, suretyship can give rise only
to rights and not to duties in the person of the creditor. Thus the creditor is perfectly free to
watch his debtor become insolvent without being barred, later on, from claiming from the
surety that whic h can then no longer be claimed from the de btor. The courts ha ve tried to
reme dy this situation to the best of their a bility a nd ha ve reintroduced, through the bac k
door, and in a very limited way, the m ore equitable principle of the ius com m une. Cf. the
analysis by Knutel, Festschrift Flume, pp. 559 sqq. This, incidentally, is a development that
can be observed in many cases where a legislator has rather tried to break with tradition. The
approach of the BGB, in this particular instance, may have to be seen in the context of the
economic crisis of the 1870s and the increasing importance, for the banks, of transactions on
credit; hence the desire to make suretyship m ore attractive/viable from the point of view of
the creditor: cf. Knutel, pp. 564 sq.
164
Cf. the contributions in Les suretes personnelles, op. cit.. note 2, for example, Jean
Gilissen. vol. 28, pp. 94 sqq.; Burge, Suretyship, passim; Jones, (1977-78) 52 Tulane LR 136
sqq. (describing, tor instance, ehe French Code Civil as "almost a restatement of the Roman
law as ciarified and modified by such jurists as Pothier and Domat"). In many modern
systems, writing is prescribed for suretyship contracts (cf. e.g. § 766 BGB (but see § 350
HGB, if the surety is a merchant), s. 6 Act 50/1956 (South Africa), and, generally. Ernst J.
Colin, "The Form of Contracts of Guarantee in Comparative Law", (1938) 54 LQR
220 sqq.). In the European usus modernus of Roman law. fideiussio was an informal
contract: the oral formality of the Roman stipulatio had become obsolete, and the symbolic
forms of Germanic law which existed for the contract of suretyship had been suppressed by
the reception of Roman law. Thus, the (re-)introduction of the formal requirements had to
take place by deliberate acts ot legislation.
1/0
The promissio (or fideiussio) indemnitans (cf. supra, note 86), incidentally, lives on in
the modern contract of indemnity ("a promise to save another harmless from the result of
a transaction into which he enters at the instance of the promisor": Anson/Guest, Law of
Contract (24th ed., 1975), p. 76; in German: "Garantievertrag"); cf. esp. Rudolf Stammler,
"Der Garantievertrag", (1886) 69 Archiv fur die civilistische Praxis 1 sqq. and, more recently,
Jorg Kaser, "Garantieversprechen als Sicherheit im Handelsverkehr", (1971) 35 KabelsZ 593
sqq.; Hadding/Hauser/Welter. op. cit., note 17, pp. 682 sqq.
Cf. De Wer en Yeats, pp. 344 sqq.; Wessels, Contract, §§3771 sqq. and Caney/Forsyth,
loc. cit.
Groenewegen, De legibus abrogatis. Cod. Lib. VIII, Tit. XLI, 1. 11 cum alter; Voet,
Commentarius ad Pandectas, Lib. XLVI, Tit. I, XXX; cf. later on, also Girtanner, op. cit., note
48, pp. 533 sqq.; contra, e.g., Grotius, Inleiding, III, III, XXXI.
m 1909 TS 374; but cf also Voet( Commentarius ad Pandectas, Lib. XLVI, Tit. I, XXX; Pothier,
Traite des obligations, n. 445; Burge, Suretyship, pp. 381 sqq.
174
Cf. e.g. Fleetwood v. Charnock (1629) Nelson 10; Derm? v. Ear! of Winchehea (1787) 1
Cox_318 at 320.
17r>
As far as the right of recourse against the principal debtor is concerned, an (automatic)
"subrogation" is unknown in South African law; cf. e.g. J.E. Scholtcns. (1959) 76 SAL]266
sqq-
176
1954 (3) SA 94 (T); the decision of the Appellate Division of the South African
Supreme
hl
Court is to be found sub nom. Gerber v. Wolson in 1955 (1) SA 158 (A).
Commentarius ad Pandectas, Lib. XLVI, Tit. I, XXIX.
178
De Actionum Cessione, Cap. VI, 33.
179
Perezius, Praelectiones, Lib. VIII, Tit. LIX, 41 (p. 498).
Traite des obligations, n. 281 ; cf. also the references in Berlichius, Conclusiones practicales
secundum ordinem Constitutionum Dit'i Augusti, Hlecloris Saxoniae (4 ed., Leipzig, 1670), Pars II,
Cond.
1H1
XXII, nn. 88 f.
This solution was adopted by Burge, Suretyship, p. 417 and in the code civil (artt. 1214,
2033).
182
Van den HeeverJA, in Gerber v. Woison 1955 (1) SA 158 (A) at 170H-171 A. Similarly,
Steyn J in Woison v. Gerber 1954 (3) SA 94 (T) at 99 sq. Differently Fagan JA, in Gerber v.
Woison 1955 (1) SA 158 (A) at 183. On the influence of Pothier on South Africa n law, in
theory and in actual practice, see generally Reinhard Zimmerma nn, "Der Einnu ss Pothicrs
auf da s romisch-hollandische Recht in Sudafrika", (1985) 102 ZSS (GA) 176 sqq.
183
Cf. Zi mmer mann, (1985) 102 ZSS (GA) 200 sqq.
1H4
Cf. §§ 767, 768, 770 BGB and "Motive", in: Mugdan, vol. II, pp. 369 sqq.
185
§ 774 I BGB.
186
§§ 412, 401 BGB.
187
§§ 774 II, 426 I BGB.
1HM
Albert Kiralfy, "History of the Law of Personal Guarantee (Suretyship) in England
since 1500", in: (1971) 29 Recueils (op. cit., note 2) 400.
1H9
Cf. Kiralfy, op. cit., pp. 410 sqq.; for details of the English law in this regard, see Joha n
Steyn, "Guarantees: The Co-extensiveness Principle", (1974) 90 LQR 246 sqq.
'*■' Burge, Suretyship, pp. 352 sqq., 384 sqq.
1 l
Cf. alrea dy Gla nvill, X, 3, in fine: ". . . si principals de bitor ita inde defecerit quod
non habeat unde solvere possit, tunc de m um recuperandum erit ad ple gios" a nd then the
Statute of Merchants 1285 (13 Edward I) (on which, see Theodore Plucknett, Legislation of
Edward I (1962), pp. 138 sqq.).
192
B u r ge , S u re t y sh i p , p p. 3 4 1 s q .
193
As has been the case, for instance, in Wolson v. Gerber, supra, note 176.
194
Cf. Fecnstra, op. cit., note 21, pp. 296 sqq., 322 sqq. ; Werner Ogns, "Die
personlic hen Sic herheite n in de n weste uropaisc he n Rechte n des M ittelalters", (1971) 29
Recueils (op. cit., note 2) 21 sqq. For the "Dogme ngesc hic hte" of the suretyship c ontract
ge nerally, see Girtarmer, op. cit., note 48, pp. 151 sqq.; for its Germa nic roots, see Fra nz
Be ycrle, "Die Ursprung der Burgsc ha ft", (1927) 47 ZSS (GA) 567 sqq.
ІУэ
Cf. the arguments advanced by Hans Kreller, Das Verbot der Fraucninterzession von
Augustus bis Justinian, Anzeiger der phil.-hist. Klasse der Osterreichischen Akademie der
Wissenschaften (Wien), pp. 6 sq.
1 06
Ulp. D. 16, 1, 2, 1.
147
Heinrich Vogt, Studien zum Senatus Consultum Velleianum (1952), pp. 2 sqq. 19M Cf.,
however, Peter Noll, Gesetzgebungslehre (1973) (by now a classic); now also Jurgen Rodig,
Studien zu einer Theorie der Gesetzgebung (1976); Hans Schneider, Gesetzgebung (1982).
199 ?-? ?)i eter Medicus, Zur Geschichte des Senatus Consultum Velleianum (1957), p. 19. As
to the style and structure of senarus consulta in general, cf. David Daube, Forms of Roman
Legislation (1956). pp. 78 sqq. (". . . as a senatusconsult is addressed not to the people at large
but to a magistrate . . ., its language is much freer and more general than that of statutes or
edicts. It is not intended as a precise guide for the ordinary man, but as advice for an official,
who will be quite capable of judging exactly how far and in what way to follow it out. A
great deal, that is, must be left to the discretion of the recipient").
200
CRL, p. 569.
201
Cf. e.g. Schulz, CRL, pp. 180 sqq.; Johannes Georg Fuchs, Die rechtliche Stellung der
Frau im alten Rom (1960), pp. 9 sqq.; cf. also, more recently, the studies by Suzanne Dixon,
"Infirmitas scxtus: Womanly Weakness in Roman Law", (1984) 52 TR 343 sqq; Leo Peppe,
Posizione giuridica e ruolo sociale delia donna romana in eta repubblicana (1984); Jane F. Gardner,
Women in Roman Law and Soci et y (1986), and O. F. Robinson, "The St at us of Women i n
Roman Private Law", \9S7 Juridical Review 143 sqq.
202
That t he senat us consul tu m was a me asure di rect ed agai nst t he wo men has been
asserted, especially, by Vogt, op. cit., note 197, pp. 6 sqq.; cf. also J.E. Spruit. "Het
Raets-besluit van Burgemeester Velleius", in: Huldigingsbundel Paul van Warmelo (1984),
pp. 197 sq. and 194 sq. with quotations from Philips van Leyden (14th century): "muliercs
vagari non convenu nee se virorum coetibus immiscere", "mulieres commodius
domesticorum curam gerunt. " Duri ng the Mi ddl e Ages, women were denounced not only
for being too earthbound to give due thought to matters of business but also for being unable
to devote themselves to divine things. Woman was, in the words of Vincent de Beauvais,
"the confusion of man, an insatiable beast, a continuous anxiety, an incessant warfare, a daily
ruin, a house of tempest, a hinderance to devotion" (cf. Gerald R. Owst, Literature and Pulpit
in Medieval England (2nd ed., 1961, p. 378)).
203
Itileiding, Ш, III, XV; cf. also Girtanner, op. cit.. note 48, pp. 135 sq., 335 sq.;
Medicus, op. cit., note 199, pp. 18 sqq. and passim; Dixon, (1984) 52 I'R 356 sqq., 363 sqq.;
as to the older literature, see Gluck, vol. 14, pp. 447 sqq.; Spruit. Huldigingsbunde! van
Wannelo, pp. 200 sqq. By implication, then, the necessity of enacting the senatus consultum
Vellaeanum shows the decay, at that time already, of the other protective devices, especially
the tutela mulierum.
2(14
"Et ems generis obligationibus obstringi non sit aequum": it is not the activity of the
woman but the fact that she is bound that is considered inequitable.
205
C. 4, 29, 9 (Gord.); Medicus, op. cit., not e 199, pp. 30 sqq.
206
Cf. Schwarz, Condictio, pp. 65 sqq.
2117
Ulp. D. 16, 1. 2, 2.
208
Ulp. D. 16, 1, 2, 3.
2m
C. 4, 29, 22 (Just.). On these topoi cf. Dixon, (1984) 52 TR 343 sqq.
21( 1
Schulz. CRL, p. 183.
211
Gai. I, 190.
212
Sc hulz, CRL, p. 184.
213
For a slightly different analysis, see Dixon, (1984) 52 TR 356 sqq., 363 sqq. She argues
that the senatus consultum was in line with the Augustan legislation preventing the husband
from selling dotal land in Italy without the permission of his wife (cf. Gai. Il, 63; Inst. II. 8
pr.) and that it was thus intended to protect her fortune from inroads by the husband. The
wording of the enactment as it has come down to us "is concerned with the proper sphere
of women rather than their intrinsic character" (p. 369). Dixon admits, however, that the
notion of female weakness soon began to play its part in the application of the senatus
consultum.
214 "jT n e European countri es] adopt a method whi ch they ca ll m Eng lish by strange
words—at any rate they were strange to me—the 'schematic and teleological' method of
interpretation. It is not really so alarming as it sounds. All it means is that the judges do not
go by the literal meaning of the words or by the grammatical structure of the sentence. They
go by the design or purpose which lies behind it. When they come upon a situation which
is to their minds within the spirit — but not the letter—of the legislation, they solve the
problem by looking at the design and purpose of the legislature—at the effect which it was
sought to achieve. They then interpret the legislation so as to produce the desired effect. This
means that they fill in gaps, quite unashamedly, without hesitation. They ask simply: what
is the sensible way of dealing with this situation so as to give effect to the presumed purpose
of the legislation? They lay down the law accordingly": Lord Denning MR injames Buchanan
& Co. Ltd, v. Babco Forwarding & Shipping (UK) Ltd. [1977] QB 2U8 (CA) at 213F-H.
215
Afr. D. 16, 1, 17, 2.
216
Ul p. D. 16, 1, 8 pr.; Pomp. D. 16, 1, 32, 1.
217
C. 4, 29, 1 (Ant.); 4, 29, 4 pr. (Alex. ).
~ ' M This case is mentioned in the text of the senatus consultum, but nevertheless disputed
by Vogt, op. cit.. note 197, pp. 43 sqq. Contra: Medicus, op. cit., note 199, pp. 101 sqq.
219
Pomp. D. 16, 1, 32. 2.
220
C. 4, 29, 1U (Phil.).
221
Pomp. D. 16, 1, 32, 3. If the fourth party had incurred expenses as a result ot having
interceded (because he was called upon to pay), he could cl ai m rei mbursement from the
woman by way of the actio mandati contraria. Thus, from the point of view of the rationale
of the senatus consultum, the woman was in very much the same position as when she had
interceded herself.
222
For a detailed analysis, see Medicus, op. cit., note 199, pp. 34 sqq.; c(. also e.g. Voet,
Commentarius ad Pandectas, Lib. XVI, Tit I. XI.
223
Call. D. 16, 1, 21. 1; cf. also Ulp. D. 16, 1, 4 pr.
224
Gai. D. 16, 1, 13 pr,; cf. also Pomp. D. 16, !, 32 pr.. Mod. D. 16, 1, 25 pr.. Pap. D. 16
1. 27. 2. 22: 1 Ct. also e.g. supra, pp. 148 sq.
226
That exceptio was (probably) inserted by the praetor ex officio (i.e. even invita
muliere): cf. Mcdicus, op. cit., note 199. pp. 30, 48.
227
Ulp. D. 16, 1, 8. 7 sqq.; cf. further Arthur Hartkamp, "Die Drittwirkung der 'in
integrum restitutio'", in: Daube Noster, Essays in Legal History for David Daube (1974),
pp. 150 sqq.
22W
Ulp. D. 16, 1, 8, 14; cf. further Giovanni Bortolucci, Actio quae instituit obligationem
(1915), pp. 9 sqq.
229
Cf. e.g. Pap. D. 16. 1, 27 pr., Scaev. D. 16, 1, 28, 1; Mcdicus, op. cit., note 199,
pp. 54 sqq.
2M)
31
Paul. D. 16, 1, 11.
For the details, see Medicus, op. cit., note 199, pp. 66 sqq., 77 sqq.; Kreller, op. cit.,
note 195, pp. 9 sq.; Kaser, RPr II, p. 462; Antonio Diaz Bautista, "L' intercession des
femmes dans la legislation de Justinien", (1983) 30 RIDA 81 sqq.
232
C. 4. 29, 22 pr.
"- C. 4, 29, 23, 1 ("Sed si quidem in ipso instrumenta intercessionis dixerit sese aliquid
accepissc et sic ad intercessionem venisse et hoc instrumentum publice confectum inveniatur
et a tribus testibus consignatum, omnimodo esse credendum eam pecuniam vel res accepisse,
et non esse ei ad senatus consulti Velleiani auxilium regressum. . . .").
2M
Nov. 134. 8.
~ъ Cf. e.g. Spruit. Huldigingsbundel van Wartneb, pp. 200 sqq.
236
U lp . D . 1 6 , 1 , 2 p r.
237
Van Rmshurg v. Mmnie 1942 OPD 257 at 259.
238
Suretyship Amend ment Act 57 of 1971. On its history, see Ellison Ka hn, "Farewell
Senatus consultum Velleianum and Authentica Si Qua Mulier", (1971) 88 SALJ 364 sqq. As
late a s 1965 the La w Revision Com mittee ha d urged not only that the benefits should be
retained but, prefera bly, that they should be ma de more effective.
' On the history and the application of the senatu s consultu m Vella ea nu m since the
Middle Ages, see Girtanner, op. cit., note 48, pp. 258 scjq.. 335 sqq.; Gluck, vol. 14, pp. 433
sqq., vol. 15, pp. 1 sqq.; Spruit, Huldigingsbundel van Warmelo, pp. 210 sqq. For Roman-
Dutch law, see Voet. Commentarius ad Pandectas, Lib. XVI, Tit. I; Caney, The Law of Suretyship
in South Africa (2nd ed., 1970), pp. 163 sqq.; Spruit, Huldigingsbundel van Warmelo, pp. 204 sqq.;
Oskar Lehner, "Senatu s Consu ltu m Velieia nu m —Die Wiederk ehr einer antike n
Rechtsfigur im fruhnenzeitlichen osterreichischen Recht", (1988) 105 ZSS (GA) 2 70 sqq.;
W essels, Con trac t, § § 38 15 sqq.; for the pa nd ectists, se e Wind schei d/ Kipp, §§ 485 sqq.
As in the case of suretyship, the widespread use of renunciation clauses since the Middie Ages
(". . . renuncians . . . et specialiter beneficio Velleiani"—on these Spruit, Huldigingsbundei van
Warmelo, pp. 201 sqq.) reveals a certain reaction of indigenous practice against the received rule
of Roman la w. The renunciation of the exceptio senatus consulti Vcllaeani was generally
regarded as admissible, because of the nature of this remedy as being "in fa vorem mulieris".
2i
" So, incidentally, has the "artificial" (Schulz, CRL, p. 570) conception of "intercedere",
"intercessio" a s a terminu s technicu s.
1
Gai. Ill, 90.
2
Cf. also Paul. D. 12, 1, 2, 2.
4
On its origin, see von Lubtow, Darlehensbegriff, pp. 1 sqq., 19 sq.
A. Walde, j.B. Hofmann, Lateinisches etymologisches Worterbuch (3rd ed.), vot. II (1954),
pp. 137 sq.; cf. also J.M. Kelly, "A Hypothesis on the Origin of Mutuum", (1970) 5 The
Irish Jurist 155 sqq. with further speculation.
5
For this central requirement of mutui datio cf. V. Stanojevic, "La 'mutui datio' du droit
romain", (1969) 15 Labeo 311 sqq.
6
Cf., for example, Pomp. D. 12, 1, 3.
7
Inst. Ill, 14 pr.
8
Cf. supra, pp. 32 sq., 89 sq.
153
f
' As to the term "fungibles" (derived from the Latin "fungibilcs"), see Pothier, Traite du
contra! du pret de consomption, n. 25: "Earum natura est, ut aliae aliarum ejusdem generis rerum
vice fungantur."
10
Cf. e.g. Nicholas, Introduction, p.167.
1
Inst. Ill, 14, 2.
12
Cf. C. 4, 24, 9; also Ulp. D. 50, 17, 23 in fine. This remains true as long as there is no
specific reason to shift the loss. Such shift is justified normally on the basis of culpa or dolus
(delictual liability), but there are certain instances where even accidental loss does not lie with
the owner. On the precise ambit of casum sentit dominus, see Andreas Wacke,
"Gefahrerhohung als Besitzerverschulden", in: Festschrift fur Heinz Hubner (1984), pp. 670
sqq-
n
Even a loan without interest is, however, not always (perhaps even: not usually) made
for purely altruistic reasons. Roman society was characterized by a network of (informal)
relationships which could either be created by, or which engendered a (moral) duty to grant,
a (seemingly) gratuitous loan. Thus, for instance, loans could be given not in order to receive
interest but to gain political influence, to generate loyalty or to create a situation of
dependence. Furthermore, the usual duties arising from the Roman concept of "amicitia"
(on which cf. e.g. supra, p. 115) must be taken into consideration. Both the granting of a
(usually short-term) loan in order to allow the borrower to cope with a momentary problem
of liquidity and the (informal) "'remuneration" of such friendly service with other services
or favours were natural implications of the officium amici. The average Roman paterfamilias
did not go to a professional moneylender (fenerator) but turned to his amici when he was in
need of capital. For all details, particularly the social and economic background as it can be
reconstructed on the basis of Roman literary sources, cf. Alfons Burge, "Vertrag und
personale Abhangigkeiten im Rom der spatem Republik und der fruhen Kaiserzeit", (1980)
97 ZSS 114 sqq. On the (low) social position of the fencratores (and on banking business in
general) cf. idem, "Fiktion und Wirklichheit: Soziale und rechtliche Strukturen des
romischen Bankwesens", (1987) 104 ZSS 488 sqq., 495 sqq. The fact that credit was readily
available through private connections substituted for (and in turn contributed to) the lack of
a large-scaie
]t
banking system in Rome. Cf. also infra, pp. 217 sq.
Afr. 1). 19, 5, 24.
15
Cf. e.g. Paul. D. 12, 1, 40; Scaev. D. 45, 1, 122, 1; Paul. D. 45, 1. 126. 2; Ulp. D. 46,
2, 6, 1.
16
Ulp. D. 12, 1, 9, 3; Mod. D. 44, 7, 52 pr. These texts have often been regarded as
spurious; cf., for example, Alfred Pernice, "Der sogenannte Realverbalkontrakt", (1892) 13
ZSS 246 sqq.; Schulz, CRL, p. 507; but see Max Kaser, "'Mutuum' und 'stipulatio'", in:
Eranion
17
G.S. Maridakis, vol. 1 (1963), pp. 155 sqq.
Pomp. D. 46, 2, 7; cf. Fritz Pringsheim, "1d quod actum est", (1961) 78 ZSS 79 sqq.;
Kaser, Eranion Maridakis, pp. 157 sqq.
18
Kaser, RPr I. p. 170; Watson, Evolution, pp. 9 sqq. Cf. also Kelly, (1970) 5 The Irish
Jurist 156 sqq. (according to whom mutuum originated as barter) and Geoffrey
MacCormack, "Gift, Debt, Obligation and the Real Contracts", (1985) 31 Labeo 139 sqq.,
who specifically links mutuum with gift.
19
Cf. supra, pp. 4 sq. Nexum may have been immediately enforceable by execution,
without prior lawsuit and judgment: c(. Kaser, Altromisches ins, pp. 119 sqq.; but see Ludwig
Mitteis, "Uber das Nexum", (1901) 22 ZSS 96 sqq.; Max Kaser, '"Unmittelbare
Vollstreckbarkeit' und Burgenregress", (1983) 100 ZSS 111.
20
Paul. D. 44, 7, 3, 1. On this text, see Fritz Ra ber, "Hoc anim o dare", (1965) 33 TR 58
sqq.
11
Pringsheim, (1961) 78 ZSS 79 sqq.; O. Stanojcvic, (1969) 15 Labeo 311 sqq., 317.
22
For a detailed analysis, see Kaser, Eranion Maridakis, pp. 171 sqq.; also Raber, (1965) 33
TR 58 sqq. a nd Giuse ppina Sacc oni, " 'Conve ntio' e 'm utuum '", (1987) 15 Index 423 sqq.
23
Flor. D. 2, 14, 57 pr.; Ulp. D. 44, 4, 2, 6. Cf. von Lubtow, Condict io, p. 135.
24
Cf. Ulp. D. 2, 14, 1, 3: ". . . ut elega nter dicac Pe dius nullum esse contractum, nullam
obligatione m, quae non ha beat in se c onve ntione m , sive re sive verbis fiat."
25
lui. D. 12, 1, 22; Gai. D. 13, 3, 4; Kaser, Eranion Maridakis, p. 162; but see also
Stanojevic, (1969) 15 Labeo 318: ". . . Se consensus, la volonte des parties, est reste jusqu'a iafin
dans l'ombre projete par l'acte materiel—la datio"
2e
As to the law of Justinian, see Kaser, RPr II, pp. 369 sqq. 2 7
Institutiones, Lib. 3, Tit. XV, pr., 1.
2H
Cf. a.so Paul. D. 2, 14, 17 pr.
29
Cf. supra, p. 74.
The f act that, as to the eleve nth c oin, no datio ha d take n place, and that no valid
m utu u m ha d therefore c om e into e xiste nce with re ga rd the re to, doe s not ha ve th e
conse que nce that the whole transaction is invalid: utile per inutile non vitiatur (cf. supra,
pp. 75 sqq. ). As far as the te n c oins are concerne d, the c ondictio c an be grante d.
31
Pa ul. D. 12, 1, 2, 3.
32
Iul./Afr. D. 17, 1, 34 pr.; a lso Ulp. D. 12, 1, 9, 9.
33
Von Liibtow, Darlehensbegriff, pp. 25 sq. On argentarii, see infra, pp. 514, 764 sq.
" Paul D. 1, 3, 16: "lus singulare est, quod contra tenorem rationis propter aliquam
utilitatem auctoritate constituentium introductum est."
35
Uip. D. 12, 1, 15.
■v>Iul./Afr. D. 17, 1, 34 pr.
37
Cf- Ulp. D. 24, 1, 3, 9-13; von Lubtow, Darlehensbegriff, pp. 30 sqq.; Max Kaser, "Zur
Frage einer condictio aus gutglaubigem Erwerb oder gutglaubiger Leistung im romischen
Recht", in: Festschrift fur Wilhelm Felgentracger (1969), pp. 277 sqq., 289 sqq.; Hans Julius
Wolff, "Julian und die celsinische 'Durchgangstheorie'", in: Melanges Philippe Meylan, vol.
I (1963), pp. 409 sqq.
38
Cf., for example, Lieb, in: Munchener Kommentar, vol. Ill 2, (2nd ed., 1986), § 812,
nn. 30 sqq.; Reinhard Zimmermann, "A road through the enrichment-forest?", 1985 Cilsa
14 sqq.
3
Mul./Afr. D. 17, 1, 34 pr.
40
Ulp. D. 12, 1, 15 .
41
Cf. e.g. Ph. E. Huschke, Die Lehre des Romischen Rechts vom Darlehn (1882), pp. 57 sqq.
Cf. von Lubtow, Darlehensbegriff, pp. 81 sqq., 156 sqq.; idem, "Ulpians Konstruktion
des sogenannten Vereinbarungsdarlehens", in: Synieieia Vincenzo Arangio-Ruiz, vol. II
(1964), pp. 1212 sqq.
43
Iul./Afr. D. 17, I, 34 pr.
44
Cf. also Ulp. D. 19, 5, 19 pr.
45
C. 4, 2, 8. What the borrower owed was the value of the objects as estimated by the
parties. If. in actual fact, he could only sell them for less, that was his risk; it did not affect
his obligation. In the case of Ulp. D. 12, 1, 11 pr., on the other hand, the borrower would
have been liable only for the sum that he had in actual fact received from the sale.
1
Ulp. D. 12, 1, 11 pr. See Max Kascr, "Die Verteilung der Gefahr beim sogenannten
'contractus mohatrae'", in: Synteleia Arangio-Ruiz, vol. I (1964), pp. 74 sqq.
47
Pufcndorf, De jure naturae el gentium, Lib. V, Cap. VII, § 12.
48
Cf. infra, pp. 170 sqq.
49
Windscheid/Kipp, § 261, n. 5.
- On the contra ctu s mohatra e, see, for exa mple, Stryk, Usus modernus pandectarum.
Lib. XXII, Tit. I, § 21; Gustav Kiemens Schmelzeisen, Quellen zur Neueren Privatrechts-
geschichte Deutschlands, vol. II, 1 (1968), p. 85.
711
Von Lubtow, Condictio, pp. 139 sqq.; idem, Darlehensbegriff, pp. 95 sq.
52
But cf. infra, p. 218, note 226 and p. 538, note 189.
53
Cf. infra, pp. 542 sqq., 576.
54
Cf. e.g. Stryk, Usus modernus pandectarum. Lib. XII, Tit. I, §§ 3, 5, 9; Van der Kcessel,
Praelectiones ad Gr. Ill, X, 4 and 8; Windscheid/Kipp, § 370, 2 (n. 18), § 371. n. 6.
55
Rudolph Sohm, The Institutes (trans, by James Crawford Ledlie, 3rd ed., 1907), p. 380.
5(j
Philipp Heck, Schuldrecht, (1929), pp. 248, 327.
57
But see Andreas von Tuhr, Der Allgemeine Teil des Deutschen Burgerlichen Rechts, vol.
II 2 (1918), p. 70.
58
Cf. e.g. Pl aut us, Persa, Act I, 1. 118, "nummos . . . mut uos ut endos".
59
Cf., for example, RGZ 161, 52 (53 sqq.), dealing with t he tri cky probl em of t he
application of the "in pari turpitudine" rule in cases of usurious loans.
60
E nn cc c c ru s/ Le hm a nn, R e c h t d e r S ch u ld v e rha l t n i sse ( 15t h e d. , 1 95 8) , § 1 42 I .
61
Cf. § 6 1 0 B GB.
62
T hi s vi e w st i l l p re v ai l s i n Fr a nce ( on t he b asi s o f a rt . 18 92 c ode ci vi l ) an d i n I t al y ( a rt .
1813 codi ce ci vi l e) : cf. t he comparat i ve surve y by D i e te r He nri ch, Vo rve rt rag , Op tio mv ert rag ,
Vo rre cht sve rt rag ( 1965), pp. 78 sq.
63
S e e e s p e c i a l l y G u s t a v B o e h m e r , "R e a l v e r t r a ge i m h e u t i ge n R e c h t ", ( 1 9 1 3 ) 3 8 A r c h i v
?ir burgerliches Recht 314 sqq.; but see Carlo Alberto Maschi, La categorie dei contratti reali
(1973), pp. 1 sqq.
M
Von Lubtow, Darlehensbegriff, pp. 89 sqq.; Karl Larenz, Lehrbuch des Schuldrechts, vol. II
(12th ed., 1981), § 51.
65
As to the possibility of a contrarium iudicium. i.e. a claim by the borrower against the
lender in case the latter had given the money in foreign currency, so that the borrower had
to exchange it at a loss, cf. already Savigny, System, vol. V, p. 509. A similar problem can
arise, for instance, in the case of a loan of seed corn, if the seed corn is of a bad quality and
causes damage (cf. Windscheid/Kipp, § 371, n. 2). In modern German law, § 493 BGB is
taken to cover this situation, provided the loan was at interest ("The provisions relating to
the obligation of the seller in respect of warranty against defects of quality apply mutatis
mutandis
6fl
to other contracts which are for alienating . . ., for value").
In South African law, according to D.J. Jouberl in: Joubert (ed.), The Law of South
Africa, vol. 15 (1981), sub titulo "Loan", loan is a consensual contract. In view of the fact that
the authors of the ius commune used to emphasize the rei interventio as a requirement for
the contract of mutuum, this statement seems to rest on a somewhat shaky basis, namely a
statement by De Vilhers AJA in Conradie v. Rossouw 1919 AD 279 at 310 sq. ("the promise
of a loan which formerly could only be effected by means of the stipulatio de mutuo
dando . . . could now [sc.: in classical Roman-Dutch law] be validly made by means of a
simple promise"). Lee, Introduction, p. 312 simply remarks: "Loan for Consumption—Loan
for Use. All this is Roman law." See further the detailed treatment by Voet, Commentarius
ad Pandectas, Lib. XII, Tit. I, on which Sir Percival Gane in his translation (The Selective Voet,
vol. II (1955), p. 750) remarks: "Even at the present day this title may serve almost in detail
as an accurate and exhaustive treatment of the law of the loan of fungibles, since no dissent
has as yet been expressed from its principles in any of the more than thirty decided South
African cases in which it has figured."
Cf., for instance, the comparative analysis by Eike von Hippel, Verbraucher schutz (3rd
ed., 1986), pp. 214 sqq.
5
The terms "usury" and "usurious" are used here to refer to situations where the interest
rate is unreasonable/illegal; etymologically, they are derived from "usura", which means
"interest" generally. In the Middle Ages, when the taking of interest was prohibited, both
meanings actually amounted to the same t hing.
Cf. esp. Schulz, Principles, pp. 140 sqq.
70
Tacitus, Annales, Lib. VI, 16; Cato, De agri cultura, praefatio.
71
Cf. Gustav Billeter, Geschichte des Zinsfusses im griechisch-romischen Altertum bis auf
Justinian (1898), pp. 157 sqq.; Fritz Klingmuller, "Streitfragen um die romische
Zinsgesetzgebung", (1902) 23 ZSS 68 sqq.; C. Appleton, "Le taux du 'fenus unciarium'",
(1919) 43 NRH 467 sqq.; Francesco De Martino, "Reformedel IV Secolo A.C.", (1975) 78
BIDR 62 sqq. The latter two figures seem to be surprisingly high; however, they are not
atypical for archaic legal systems dominated by a primitive barter economy; also, one has to
take into account the general distrust prevailing in an agrarian society not well versed in
economic affairs-
72
The old Roman year is said to have contained only 10 months. It started with the month
of M arc h, i.e. the tim e of tha w, whe n nature a woke a nd flora a nd fa una re gaine d their
vitality; the flowing of the Ufe-sap was seen, apparently, as something essentially male, for
the term "Martius" derives from mas, -aris. It is not clear whether this year ran from spring
to spring (a n inte re st rate of fe nus unc iarium base d on a yearly c alc ulation would the n
am ount to 8- %) or whether it com prise d only the period of a grarian productivity, so that
the time of nature's hibernation was not c ounte d (under these circ um sra nce s, — for te n
months would amount to — for twelve months — 10 %). King Num a is said to have added
two further m onths (na mely ja nuarius a nd Fe bruarius, as nos. 11 and 12) and he thus
introduced a year based on twelve m onths and containing 355 da ys. Because the year was
running a hea d of the solar year by 10 - da ys, intercalations were nec essary. Norm ally,
therefore, every second year in the middle of February a whole mensis intercalaris of either
22 or 23 days was inserted. On that basis, however, the calendar overshot the solar year by
one day. The question of intercalations seems to have been handled very arbitrarily and was
sometimes dependent upon considerations of political expediency. In 190 B . C . , for instance,
the cale ndar wa s 190 da ys out of ste p with the solar year. Julius Ca esar was the first to
introduce a rational system of intercalations. Atter having intercalated 90 days in the year 46,
he starte d the ne w (Julia n) c ale nda r on 1 Ja nua ry 45. The year c onsiste d of 12 m onths
(January now being the first month) or 365 days; every fourth year, one day in February (the
24th or 25th) was c ounte d twice, thus bringing it up to 366 da ys. In the Middle Ages it
became apparent that the calendar had, again, run out of tune with the tropical year. Thus,
in his bull "Inter Gravissimas" Pope Gregory XIII (one of many lawyers on the Holy See),
decree d that 10 da ys, the 5th to the 14th Oc tober 1582, ha d to b e le a pe d ove r a nd that
henceforth every centenary year (except every fourth one, starting from 1600) should cease
ro have the intercalary day. During the Middle Ages, incidentally, the year was considered
to be gin at Easter, whic h might be at a ny time betwee n 22 Marc h and 22 April. Usually,
however, a fixed date was set (25 March). All the names of our months (with two
e xce ptions) go bac k to the old Rom a n c ale nda r prior to the Julia n re form. The na m es
September to December, based on the numerals from seven to ten, still bear witness to the
fact that, at that time, the year com mence d on 1 March. The Quintilis was changed to July
in honour of Julius Caesar (his birthday was on 13 July), Sextilis to Augustus in honour of
the first princeps (who had conquered Alexandria, and thus finally trium phed over his rival
Antonius during the first da ys of August in 30 B . C .). For further de tails, see A. Mic hels.
The Calendar of the Roman Republic (1967); Hans Kaletsch, Tag und Jahr (1970); Alan E.
Samuel, Greek and Roman Chronology (1972), pp. 153 sqq.
73
Tacitus, Annales, Lib. VI, 16; Livius, Ab urbe condita, Lib. VII, XXVII, 3.
74
On what was ordinarily charged in practice, sec Billeter, op. cit., note 71, pp. 163 sqq.,
228 sqq.
" Cf. Max Kaser, Verbotsgesetze, p. 36; Giuseppe Tilli, ". . . postremo vetita versura", (1984)
86/87 BIDR 147 sqq. See, in this context, too, the lex Marcia, mentioned in Gai. IV, 23. 76
Bella civilia. Lib. I, 54.
' As to the terminology which was used for the various interest rates (sextans, i.e. the
sixth part of 12 % = 2 %, quadrans = 3 %, etc.), cf. Ins!. II. 14. 5. In the Middle Ages the
words "centesimae usurae" were taken to mean 100 % per year: cf. Wielmg, Interesse und
Prii'dtstrafe, p. 199.
In 56 B . C ., however, it was still possible for two Roman moneylenders (M. Scaptius
and P. Matinius) to charge an interest rate of 48 % for a loan to the town of Salamis in
Cyprus. The island of Cyprus had been conquered by the Romans (and added to the
province of Cilicia) two years betore. The Salammians needed the money in order to bribe
the Roman governor, P. Cornelius Lentulus Spinther. and thus to induce him not to billet
his soldiers on them during the winter. A long drawn-out dispute arose as to when the loan
had to be paid back. During the course ot it, Scaptius once prevented the senators ot Salamis
from leaving their town hall, until five ot them had died ot starvation. Cicero, when he was
governor of Cilicia in 51-50 B. C.. tried to settle the dispute. He proposed to reduce the
interest rate to 12 % but to allow inclusion of the accrued interest in the capital sum
(anatocism) ("Confeceram. ut solverent (sc: Salaminii) centesimis sexenni ductis cum
renovatione singulorum annorum": Epistulae ad Atticum, 6, I. § 5). This proposal was
rejected by Scaptius. For further details, see Klaus Wille, Dir Versur (1983). pp. 13-56.
m
''' But see Levy. ObUgationcni'echt, pp. 160 sqq.
Billeter, op. cit., note 71, pp. 267 sqq.
"'
M
Codex TluvJpsianus, 2. 33, 4.
" C. 4, 32, 26, 2. Cf. Billeter, op. cit., note 71. pp. 306 sqq.; Managrazia Bianchmi, "La
disciplina degli interessi eonvenzionali nclla legislazione giustmianca", in: Studi in oiwrv di
Amaldo Biscardi, vol. II (1982), pp. 391 sqq.
" Cf. also Nov. 136, 4. as tar as bankers are concerned. For further special rates c t . , tor
exa mple, C. 5 , 12, 31, 5: C. 5, 13, 1. 7 b and C. 7 , 54. 2 sq.
M4
In the same way Roman law dealt with unconscionable bargains relating to the sale of
corn and with syndicates formed in order to push up the corn price (societatem eoire qu o
a nnona ca nor fiat). However, the Sta te ha d sta rted, a t a n ea rly sta ge, to tak e over
responsibility for providing the Roman people with gram; towards the end of the Republic,
this culminated in a free corn supply tor everybody; later on tor the underprivileged classes
only. At the time of Augustus, the number of recipients was 320 000. For all this, ьее е . ц .
Stephan Brasslot f. Sozialpolitische Motifc in der romischen Recht sentwickUtug (1933), p. 16 sqq.,
.SO sqq. Some 150 000 tons ot corn travelled annually from Alexandria to Rome during the
first three centuries A . D . , involving "probably the most ambitious maritime enterprise oi the
ancient world" (Lionel Casson, "The Alexandria—Rome Sailing Schedule", in: Ships and
S eaman sh ip in the A nc ien t Wo rld ( 1 9 7 1 ) . pp. 297 sqq.) .
8л
Kaser. Verbotscesctzi1 . pp. 13 sqq.. 18 sq.
^ Cf. infra, рр.'б97 s q . , 700 sq.
M;
Interest on interest (usurac usurarum) could not be charged; see Ulp. D. 12. 6, 26, I;
Mod. D. 42. 1 . 27; C. 4 , 32 . 28. An ea sy wa y of eva ding this restriction consists in
capitalizing the accrued interest, i.e. including it m the capital sum, on which m turn an
increased amount of interest has to be paid (anatocism, anatocismus coniunctus), This could
be achieved by way of a transaction called versura. an act either litteris or verbis (usually a п-и-
уурсирті was drawn up) which had the effect of a novation. For details, see Wille, op. cit ., note
78. pp. 46 sqq. Only Justinian prohibited anatocism: C. 4. 32, 2K; 7, 54, 3 pr. O. also Gluck ,
vol. 21, pp. 115 sqq.. Windschtnd/Kipp, § 261. and § 24S I BGH: "An agreement made in
advance to the eftect that arrears ot interest shall again bear interest is void." (For details,
see Karsten Schmidt, "Das 'Zinseszinsverbot"". 1982 Jurinenzeituii^ 829 sqq.) Neither,
incidentally, could arrears of interest be charged to the extent that they exceeded the amount
of the capital that had been borrowed: Ulp. D. 12. 6, 26. 1 ("supra duplum autem usurae"); C
4. 32. 10 (Ant.); Laura Solidoro, "Ultra sortis summum usurac non exiguntur'', (19Я2) 28
Labco 164 sqq.; Bianchini, Stndi Bixardi, vol. I I . pp. 399 sqq. In post-classical times the
accrual of interest also cea sed, rather strangely, when the amount ^ interest paid had
reached the amount of the capital sum: Nov. 1 2 1 , 2: 138; 160 pr. Cf. Kaser. RPr I I , p. 342.
HK
Marci. D. 22. 1. 29.
89
Paul. O. 22, 1. 20; C. 4. 2. 8.
9(1
Paul. Sent. I I , XIV, 2 and 4; cf. further Ulp. D. 12, 6, 26 pr.
91
Cf. the Decretates Gregorii IX., Lib. V, Tit. XIX, especially the decree of the third
Lat eran Council in Lib. V, Tit. XIX, Cap. III.
92
St. Luke 6, 35 (but see also St. Luke 19, 11 sqq. - St. Matthew 25, 14 sqq., the parable
of the talents!); from the Old Testament cf. Exodus 22, 25; Deuteronomy 23, 19; Leviticus
25, 35 sqq.; Nchemiah 5, 6-11; Ezckiel 18, 17 (usury forbidden against "poor" and
"brother"; cf. also Psalm 15, 5 (innocent)); it was, however, allowed against strangers
(Deuterono my 23 , 20: ", . . unto a stranger thou mayest lend up on usury; but unto thy
brother thou shalt not lend upon usury"). "Stranger" is the translation of "Kanaanite", the
word that was used in the old Hebrew language for "businessman ", "banker", "trader".
93
The doctrine that money is "sterile" goes back to Aristotle's Politika, Book I, III, 16
(1257 b) and has been built upon by St. Augustin and St. Thomas Aquinas.
94
On the "scholastic analysis of usury", see the comprehensive work, thus entitled, by
John T. Noonan, (1957), furthermore especially the classic work by Wilhelm Endemann,
Studien in der romanisch-kanonistischen Wirtschafts- und Rechtslehre bis gegen Ende des 17.
Jahrhunderts, 2 vols. (1874 and 1883); also Raymond de Roover, La pensee economique des
Scolastiques. Doctrines et methodes (1971); Winfried Trusen, Spatmittetalteriiche Jurisprudenz und
Wirtschajtsethik, dargestellt an Wiener Gutachten des 13. Jahrhunderts (1961).
95
Cf Decretum Gratiani, Prima Pars, Dist. LXXXVIII, c. 11. Cf., too, Henri Pirenne,
A History oj Europe, vol . II (1958), p. 229: men "c ould hardly i magi ne the mercha nt's
strongbox without picturing the devil squatting on the Hd".
96
Cf., for example, Constitutionen dementis V., Lib. V, Tit. V, § 1, threatening those who
enact statutes providing for the possibility of charging interest with excommunication.
97
Cf. e.g. Windscheid/Kipp, § 260, n. 3; cf. also Wolfgang Kunkel, Quellen zur neueren
Privatrechtsgeschichte Deutschlands, vol. I, 2 (1938), p. 4U9 sub "Wucher", fur the local laws
during the time of the reception of Roman law. Generally on the history of usury in the Holy
Roman Empire of the German nation, see Max Neumann, Geschichte des Wuchers in
Deutschland bis zur Begrundung der heutigen Zinsgesetze (1654) (1865): cf. also Wieimg, Interesse
und Priyi.itstri.jje. pp. 197 sqq. Hndcmann, Studien, vol. I. p. 2 sums up the influence of the
canonical usury doctrine in the following words: "Die Darstellung der Wucherlehre ergibt, dass
sich die Konsequenzen jenes Dogma's allmahlich uber das gesummte Wirthseltaftsieben, und uber
Handel und Verkehr erstreckten. . . . Die Rechtshistorie des Verkehrsrechts jener Zeiten kann nichts
Anderes sein, als die Geschichte der Herrschaft der Wucherlehre in der Rechtslehre" (I he analysis of the
usury doctrine shows that its consequences gradually extended over the entire economic
sphere, over trade and commerce in general. . . . The history ot [he law relating to
commercial transactions of those times cannot be but the history of the ascendancy of the
usury doctrine in contemporary jurisprudence).
1(8
Molina, De iustitia et iure, Tract. 11, Disp. 334.
'' Henry Pirenne. Sozial- und Wirtschaftsgeschichte Europas im Mittelalter (2nd ed.. 1471). pp.
156 sqq., 199 sqq.
1()
" Berman, Law and Revolution, p. 338.
" "Sed ita mores avarorum et pessimorum hominum sunt comparati, ut semper novas
vias, et artes avantiam exercendi mveniant": Stryk. Usus modernus pandectariuii. Lib. XXII,
Tit. I, § 1.
102
For details about transactions for the purpose of evading the prohibition of interest
cf. e.g. Stryk, Usus modernus pandectarwn. Lib. XXII. Tit. I, §§ 19 sqq.; Molina, De iustitia
et iure, Tract. II, Disp. 303 sqq.; §§ 1-7 of the XVII. title of the Reidispolizeiordnmig (1577);
Neumann, op. cit.. note 97, pp. 440 sqq.; Trusen, op. cit., note 94. pp. 60 sqq. As to the
casuistic approach adopted in the usury legislation of the time, ct. Helmut Schmidt, Die Lehre
von der Sittenwidrigkeit der Rechtsgeschafte in historischer Sicht (1973), pp. 33 sqq. On the practice
of medieval English Church courts, cf. R.H. Helmholz, Canon Law and the Law of England
(1987), pp. 323 sqq.
"' For the difference c t . , for example, Pothier. Traite du contrat du pret de consomption,
n. 53.
" Cf. Lange, Schadensersatz und Pvivatstrajc, pp. 10 sqq.
11:1
W. Ogris, Der mittelalterliche Leibrentcnvertrag (1461), pp. 104 sqq.: Coing, pp. 378 sq.;
Winfried Triiicn, '"Zum Renrenkaut im Spatmittelalter", in: festschrift fur Hermann Heimpel,
vol. II (1972), pp. 140 sqq.
Feliciano de Solis, Commentant de cemibus quatuor Ulms (Francofurti, 1005), Lib. I,
Cap. IV. 8.
1 7
' Cf. the details in John Gilchrist, The Church and Economic Activity in the Middle Ages
(1969). pp. 62 s q q . ; Noonan. op. cit., note 94. pp. 100 sqq.; Hndema nn. Studien, vol. I I ,
pp. 366 sqq.; Neu ma nn, op. cit., note 97, pp. 109 sqq.
1 I) W
As to the social, economic and legal position ot Jews, cf. Justus Henning Bochmer, Ins
ecclesiasticum protestantium, Lib. V. Tit. 6; Guido Kisch. The Jews in Medieval Germany (1949);
idem, Jewry-Law in Medieval Germany (1У59); idem, Trafen zur Recht:,- und Sozialgeschichte der
Juden in Deutschland wahrend des Mittelalters (1955); cf, also the eminently readable account by
Paul Johnson, A History of the Jews (1987), pp. 169 sqq. (passim). According to Talmudical
theology, usury is a sin (ct. the texts from the Old Testament, referred to in note 92 supra),
but only it it is committed against another Jew ("Kanaanite" was now (mis-)understood in
the sense ot '"stranger", "non-Jew"; hence the rule that no interest is to he extracted from
Jews, even it they are businessmen. On the other hand, the taking of interest from Gentiles
is allowed even it they are not businessmen or it they are poor). Ct. e.g. Eberhard Klingenberg,
Das israelitische Zinsverbot in Torah, Misnah und Talmud (1977).
11)4
Cf. Endemann, Studien, vol. I. pp. 431 sqq.; Raymond de Roovcr, Money, Banking .»id
Crcdil in Medieval Bruges (194H); Winfried Тпіьси, "Die Anfinge offentlicher Banken und das
Zinsproblem, Kontroversen im Spatmittelalter", in: Recht und Wirtscha? in Geschichte und
Gegenwart, Festschrift fur Johannes Barmann (1975), pp. 113 sqq.
" Based on the Roman depositum irregulare ( c t . e.g. Johann Marquard. Trcictatus
politico-juiidicus de jure mercatonini et conmierciorum .чп^иіагі (Francofurti. 1662), Lib. П. Cap. IX,
nn. 21 sqq.), which could thus be used as yet another avenue to sidestep the canonical usury
rule; the transaction, in effect, was a loan ot money for investment purposes on interest.
Transactions involving bills of exchange were another means ot creating credit, which
came to be handled by the montes and which entailed, de facto, an infringement ot the
prohibition ot interest. On the history ot bills of exchange, see Endemann. Studien, vol. I, pp.
75 sqq.; Raymond de Roovcr. L'evolution de !>> Lettre de С/мн^г, X! I'—Will siecles (1953);
Coing, pp. 537 sqq.
111
The first montes pietatis were constituted in 1461 and 1462 in Perugia and Orvieto.
They were public pawnshops, normally financed by charitable donations and run not tor
profit but for the service of the poor. They charged a small fee tor their care ot the pawns
and for the expenses of administration (usually 6 %). At the end ot the !8th century, there
were 80 montes pietatis in Italy. But gifts alone did not provide sufficient funds. Thus, the
montes were soon permitted to raise money by paying interest. Several 16th-century
pontiffs authorized the montes to accept deposits and pay interest upon them. On the montes
pietatis, see Endemann, Studien, vol. I, pp. 460 sqq. The Popes also actively supported the
Medici Bank in Florence: cf. Raymond de Roover, The Rise mid Decline of the Medici Bank
1397-1494 (1963), pp. 194 sqq.
112
Max Weber, "Die protestantische Ethik und der Geist des Kapitalismus", in:
G e sa mm e l te Au f sa t ze zu r Re i ig io n sso zio lo gi c ( 5t h e d . , 19 63) , pp. 56 s qq.
m
Gilchrist, op. c i t . . note 107, p. 107.
4
Berman. Law and Revolution, pp. 378 sq.
""■ "Some Thought;.'", in: hirst and Second Things (1985). p. 91. '^ Op. cit., note
115, p. 95. ' Endemann, Studien, vol. I. pp. 62 sqq.; Noonan, op. cit., note 94, pp.
365 sqq.
Tractiitns lomnierciorum et usurarum redituumqite pecuniae et monetiirum (Parisiis, 1546). "''
De usnris (Lugduni Batavorum. 1638).
" Like Calvin and Molinaeus, Salmasius drew a distinction between (illegal) mutuum
and (lawful) foenus.
l2
' Op. cit., note 119, Cap. 5.
122
liincsur Reichsabscliied, § 174 (<V.S - Neue und vollstandige Sammlung der Reichs-Abschiede
(1747) . vol. I I I , 673).
123
Neumann, op. cit., note 97, pp. 506 s q . , 511 sqq., 537 sq.; Wieimg, Interesse und
Prii'iitstrajc, pp. 207 sqq.
124
David Mevius, Vollstandiger Commentarius von wncherlichen Contractai (Franckfurt/
Leipzig. 1710). I, Cap. VI. § 7;"Gluck. vol. 21. pp. 100 sq.
U:>
C{. the survey in Bochmer, Ins ecclesiasticum protestauiium. Lib. V, Tit. 19, §§ III sqq.;
Neumann, op. cit.. note 97. pp. 545 sqq. Attempts were also made cither to subject Jews to
these maximu m rates or to exclude them from the money lending business; cf. e.g.
Reichspolizeiordnung (1577) Tit. XX, 6; Gustav Klemens Schmelzeisen, Polizeiordnungen und
Privatrecht (1955). p. 475 sqq.
126
Domat. Les loix civiles, Lib. I, Tit. VI, Introduction.
-' E'othier, Traite du contrat du pret de consomption, un. 53 sqq. Cf. also Franciscus
Hocomanus, Quaestiones illustres (Hanoviae, 1601), n. 40.
" In the new Codex Ju m Ca nonici the prohibition on usury is no longer mentioned. But
cf. still canon 1534 ot its predecessor, the Codex [uns Canonici of 1917.
124
BGBl (Norddeutscher Bund) 1867. 159; applicable at first only to the Confederation o(
Northern Germany, but soon to the Reich, too (exception: Bavaria). On the history of these
enactments, sec Peter Landau, '"Die Gesetzgebungsgeschichte des § 247 BGB. Zugleich ein
Beitrag zur Geschichte der Einfuhrung der Zinsfreiheit in Deutschbnd" in: Beitrage zur
Rechtsgeschichte, (.'.edachtnisschrijt tur Hermann Conrad (1979), pp. 388 sqq.
130
Cf. Goldschmidt, "Gcset?gcbungsfrage. betr. die Aufhebung der Wuchergesetze", in:
Verhandlungen des Sechsten Deutschen Juristentages, vol. I (1865), pp. 232 sqq. He referred to th e
usury la ws a s "conventional lies".
" This policy is still pursued in South Africa. Interest rates (in modern parlance: finance
charges) are limited by the Limitation and Disclosure of Finance Charges Act 73/1968,
amended by Act 90/1980. On this Act and its predecessors, see D.|. Joubert, op. cit.. note
66, n. 295.
13
~ On the history of usury legislation m the 14th century, sue Klaus Luig,
■'Vertragsfreiheit und Aquivalcnzprinzip im gemeinen Recht und im BGB", in; Aspekte
ettivpiiisilwr Rcchtsycschiihti', h'e<tgabc tur Helmut Cointf (l'JH2), pp. 17! sqq.; Zimmermann,
Modi'ratiousmht, pp. 145 sqq. Ct. also John [J. Dawson, "uconoime Duress and the Fair
Exchange in French and German Law", (1У37) 12 l'ulanv LR 42 sqq.
The "also" refers to § 138 I BGB which reads: "A legal transaction which is contra
bonos mores is void."
14
§ 138 II BGB.
'■'"■ For details, sec Мауег-Мліу in: Mihuhciier Kommentar, vol. I. (2nd ed., ll>84), § 138.
un.1 117 sqq.
^ Cf. infra, pp. S4(> sq.. 863 sqq.
IP
" The in pari turpitudme rule is laid down in § 817. 2 BGB: "The claim for return is
barred it the person performing has committed a similar infringement. . . ." This refers to
the condictio ob turpem vel injustam causam (§ 817, 1 BGB) which lies in cases where the
acceptance of the performance by the recipient constitutes an infringement ot a statutory
prohibition or is contrary to public policy. Literally, therefore, § 817, 2 BGB is applicable
only if both parties acted immorally or illegally. The practical effect of that rule is that a
person who received something under an illegal or immoral contract may keep it. It uould
be absurd, however, if only a recipient who had acted immorally himselt were allowed to
keep the object of the performance, whereas the condictio would not be barred against л
blameless receiver. Thus, 817, 2 BGB must also be applied in cases of turpitude solius dantis.
For138a more detailed discussion, see Zimmermann, Moderationsrecht., pp. 156 sqq.
This, amazingly, was the solution arrived at in RGZ 151, 70 (72 sqq.). It has been
abandoned since RGZ 161, 52 (53 sqq.).
13
RGZ 161, 52 (53 sqq.); Gustav Boehnier, Grundlagen der burgerlichen Rechtsordnung, vol.
1 (1950), pp. 55 sq.
140
Cf. Dieter Medicus, "Vergutungspflicht des Bewucherten", in: Gedachttiisschrijt fur
Rolf Dieiz (1973), pp. 61 sqq. There is a tendency to avoid these difficulties by interfering
with the contract and reducing the usurious interest rate to an acceptable level, other than
to regard the contract as totally void; c(. e.g. Mayer-Maly, op. cit., note 135, § 138, nn. 132
sqq. and Lieb, m: Munchener Kommentar, vol. Ill, 2 (2nd ed.. 1986), § 817, nn. 16 sqq.
Contra: Zi mmermann, Moderationsrecht, pp. 177 sqq. and passim.
141
Cf. Tacitus, Annales, Lib. XI, 13, 2.
142
Suetonius, De i'ita Cacsarum, Divas Vespasianus, XI; Kaser, RPY\, p. 532. For a possible
reconciliation, see Gluck, vol. 14, p. 308.
143
Ul p. D. 14, 6, 1 pr.
144
The praetor either refused an action (denegatio actionis) or he (more often) granted the
exceptio senatus consulti Macedoniani (to enable the iudex to examine the facts alleged). See
Schulz, CKL, p. 511.
14 1
Paraphra si s insti tution !!» !, Lib. IV . T it . VII, 7.
Schulz.
'""' Beitragt' zur Kritik der romischen Reditsqtwllen, vol. IV (1920), pp. 130 s q . ; cf. also
CRL, p. 512 ("obviously, this story cannot be true").
117
"Did Macedo murder his father?", (1947) 65 ZSS 26I sqq.
14M
Also, if the son had been granted a pcculium, the actio de peculio against the
paterfamilias: C 4, 28, 6 pr.
1411
Daube, (1947) 65 ZSS 268.
li>(
' Cf, Ulp. D. 14. 6. 1 pr.: ". . . et saepe materiam peccandi malis moribus
praestaret. . . . "
1S1
Daube, (1947) 65 ZSS 269.
Unlike the exceptio senatus consulti Vellaeani, the defence under the
senatus consultum Macedonianum was not granted m the interest of the
person who had incurred the obligation (the defendant, i.e. the woman
and the son in power respectively); its function was to thwart the
creditor. 15* Thus, a son in power who accidentally paid back the loan
after having become sui iuris was not allowed to recover the money. 159
Normally a person to whom a perpetual (as opposed to a merely
H2
Cf. Ulp. D. 14, 6, 1. 3: "hi filio familias nihil dignitas tacit quonimus senatus
consultum Macedonianum locum habeat: nam ctiamsi consul sit vel cuiusvis dignitatis,
senatus
l7 >
consulto locus est."
' Cf. e.g. Ulp. 1). 14. 6, 3. 3: ". . . nam pecuniae datio perninosa parentibus corum visa
est."
1 4
"' Daube, (1947) 65 ZSS 308. Cf. also, in a broader context. Daube. Roman Law, pp. 87
';" Cf.. too. Kaser. RPr I. p. 532.
l3f i
Ct. the compilation in Buckland/Stein, pp. 465 sq.; cf. also Windscheid/Kipp pp. 583
ь
Marci. D. 12. 6, 40 pr.
* Ct. also Pomp. D. 12, 6, 19 pr.: "Si poaiae causa ius cui debetur debitor hberatus est,
naturalis obligatio manet. . . ." The senatus consultum, incidentally, did not apply if the
moneylender had had no reason to think that his prospective debtor might be ahem iuris: cf.
Ulp. D. 14. 6, 3 pr.-2.
19
He is. as Paulus puts it, under a naturalis obligatio; cf. also Pomp. D. 12. 6, 19 pr. and
Pierre Cornioley. Xatitralis obligatio (1964). pp. 243 sqq.
"'"Marc. P. 12, 6. 40 pr.: "Qui cxceptionem perpetuam habet, soluium per errorcni
repetere potest." Cf. § 813 I ІЗСііЗ: "What was done with the object of fulfilling an obligation
may be demanded back even if there was a defense to the claim whereby the enforcement ot
the claim was permanently barred."
1M
Ulp. D. 14, 6, 7, 16: "Si paterfamilias tactus solvent partem debiti, cessabit senatus
consultum
l2
nee solutum repetere potest."
" C. 4. 28, 7 (lust.). What if the father had agreed to the transaction, but the grandfather
was still alive? This was the problem in lui. I). 14. 6, 14: "Fihum habeo et ex eo nepotem:
nepoti meo credit uni est iussu patris eins: quaesitum est, an contra senatus consultum tieret.
dixi. etumsi verbis senatus consulti hlii continerentur, tarnen et in persona nepotis idem
servari debere: iussum auteni huius patris non etticere, quo minub contra senatus consultum
creditum existimaretur, cum ipse in ea causa esset, ut pecuniam mutuam invito patre suo
accipere non possit."
'1Й Ulp. P. 14. 6. 7, 15.5 M
Ulp. P. 14. 6. 7, 13. ы>"
Ulp. P. 14. 6, 7. 12.
Ulp. D. 14, 6, 3. 4. ul
Scacv. П. 14, 6, 6.
}H2
Bilieter, op. cit., note 71, pp. 303 sqq.
ш
Livius, Ab urbc condita. ub. XXVI, Ш, 10.
184
Fritz Pringsheim, Der Kaut mit fremdem Geld (1916), pp. 4 sqq.
" Until the time ofjustinian their aim was never to introduce new rules, or to change the
Greek custom, but merely to understand and incorporate it into their legal system, Cf. e.g.
Nov. 106 and Pringsheim, op. cit.. note 184, p. 146.
IHtl
IM 7
Mod, D. 22. 2, 1.
But see Litewski. (1973) 24 Iura 120 sqq. He contends that it was. in fact, originally the
money that was transported overseas, in order to buy and then import the merchandise; only
later was the fenus nauticum used for both import and export purposes.
>m
Pringshcim, op. cit., note 184, pp. 143 sqq. On the relationship between maritime
loans in Greek and Roman practice sec, most recently, Giantranco Purpura, "Ricerche in
tema di prestito manttimo". (1^87) 39 Annali Palermo 202 sqq.
1ЬЧ
Scaev. П. 45. 1, 122, 1. On the fragment, sec Ulrich von Liibtow. "Das Seedarlchen
des Callimachus", in: Festschrift fur Max Kaser (1976), pp. 329 sqq.; Purpura, (1987) 39 Amiali
Palermo 212 sqq., 301 sqq.
"' Generally on pledges in connection with tenus nauticum. Litewski, (1973) 24 Iura 169
sqq. An interesting case (Paul. I) . 22. 2, 6) is discussed by Robert Rohle, "Zum Beispiel
D. 22, 2, 6", (1979) 45 SDHI 549 sqq. He vindicates the exegesis given by Cuiacius
(Conmtcnttirii in Lib. XXV Quaest. Pauli, col. 1216 sqq.) against modern interpretations. The
key to the solution is the acccssoriness of pignus. Cf. also Purpura, (1987) 39 Aiuiali Palermo
273191sqq.
This date of departure from Brindisi had to be specifically agreed upon in view of the
fact that the period of 201) days might otherwise have run into the winter season, during
which the seas were "closed" (Vcgetius. F.pUoma rci militaris, Lib. IV. XXXIX: "a die VI.
kal. funios usque in Arcturi ortum, id est m diem VIII decimuni kal. Octobres, secura
navigatio creditur. . . . post hoc 1tempus usque m tertiurn idus Novembres incerta navigatio
est. . . . Ex die . . . tertio ldu * Novembres usque in diem scxtum idus Manias maria
claiiduntiir"; that is: from 8 [une to 14 September navigation was sate: between 11 March
and 8 (une and from 14 September to 10 November navigation was uncertain: between 11
November and 10 March seas were closed). Winter sailing was particularly dangerous, not
so much on account of the storms (the summer storms, in the Mediterranean, especially the
Mistral and the Etesianus are notorious too), but because ot the reduced visibility, severely
hampering orientation in an age that did not yet know the manner's compass: "'lux minima
noxque prolixa, nubium densitas, aeris obscuritas, ventorum inibri vel nivibus geminata
saevitia" (Vegetius. loc. cit., on the dangers of winter sailing). Thus. St. Paul's shipwreck
(Acts 27. 9) happened because the shipper risked sailing trom Crete after the season had closed.
On all this ct. (can Rouge. Rechercha sur l'organisation du commerce maritime en
Mediterranee sous VF.mpire Romain (1966), pp. 31 sqq.; Lionel Casson, Ships and Seamanship in
the Anciait World (1971). pp. 270 sqq. Even if Callimachus had set out from Berytus
immediately after the opening ot the sailing season (i.e. on 1 ! March), he would have had
until 26 September before he had to be back. The distance between Brindisi and Berytus was
easily manageable between 13 and 26 September. With a wind from the right direction,
ancient sailing ships could travel a speed of between 4^ and 6 knots. We know, tor instance,
that under favourable wind conditions the distance from Carthage to Gibraltar (820 nautical
miles)
142
could be covered within 7 days. For details, see Casson, pp. 281 sqq.
Generally on the form in which a tenus nauticum was concluded. Litewski, (1973) 24
Iura 137 sqq.; Ankum, (1978) 29 Iura 171 sq.
143
In the end, of course, Callimachus did not start his return journey in time; he left
Brentesium only after 13 September, even though he had already loaded the freight before
that date. Eros, however, had agreed to this belated departure. On this case and the problems
raised by i t , see von Liibtow, Festschrift Kaser, pp. 329 sqq.; Purpura, (1987) 39 Annali
Palermo 212 sqq.. 301 sqq.
! 4
'' As to the stipulationes poenac that were usually attached to fenora nautica. see Kiroly
Visk y, "'Da s Seedarlehii u nd die da mit verbu ndene Konventiona lstra fe im romischen
Recht", (1969) 16 RIDA 389 sqq.; Litewski, (1973) 24 Iura 173 sqq.; Arnaldo ? iscardi, Actio
pecuniae traiecticiae (2nd ed.. 1974), passim; Knutei, Stiptilatio poenae. pp. 39 sq.; ? iscardi,
(1978) 24 Labco 276 sqq.; Litewski, Studi San?lippo. vol. IV, pp. 390 sqq.; Ѵіьку, Spuren,
pp 85 sqq.
Ct . P lu ta r c h , I ' ita c . Ca t o Ma i or 2 1 , 5 -7 . S e e Ulr i c h v o n Lu b t o w, "Ca t o s
Seedarlehen", in: Festschrift fur Erwin Seid! (1975), pp. 103 sqq.; Purpura, (1987) 39 Annali
Palermo 235 sqq.
'"' He is reported to have said that he made three mistakes in his l i t e ; he told a secret to
his wife, he took a boat when he could have walked, and he spent an entire da y without a
will: Plutarch, I'itui', Cato maior, 9, 9.
v
" Ab urbe condita. Lib. XXXII, XXVII. 2 -4.
198
Cf., concerning Cato, the analysis by Von Liibtow, Festschrift Scidl, pp. 108 sqq. Cato
must have been a very wealthy man (D. Kienast, Cato, Der Zensor (1954), pp. 33 sqq.). He-
used to say that аь a young man he had had only two sources ot income: agriculture and
frugality. Later on, he increased his property by investing his money in various commercial
enterprises. He regarded his wealth as the material basis for his independence; it enabled him
to devote his time to the Roma n political life. On Cato as jurist and politician cf., most
recently, Richard A. Bauman, Lawyers in Roman Republic Politics (1983), pp. 148 sqq.;
Wiea cker. RR, pp. 538 sq.
V)l>
Cf.. for example, the rather tortuous analysis by Huschke, op. c i t . , note 4 1 , p. 223.
~l>(> Coing, pp. 552 sq.; as far as medieval law is concerned, cf. also Herman, Law and
Revolution, pp. 349, 621. He points out that the sea loan was criticized as usurious and
condemned by Pope Gregory IX in 1236. For a detailed analysis, see Pothier, Traite du pret
a la grosse aventure. "Bottomry", incidentally, seems to be a Flemish term derived from the
figurative use. pars pro toto, of the bottom or keel to designate the whole ship. The
bottomry loan was received into the English law via the Law Merchant and through the
court of Admiralty, one of the strongholds of the "Civilians" (on which see, most recently,
the comprehensive account by Daniel R. Coquilette. The Cii'iliaii Writers of Dot tors' Gommons
(London. 1988)). It first occurs in the records in 1593. Cf. Holdsworth. HBL, vol. VIII,
p. 261.
*"
21)2
Scaev. D. 22. 2, 5 pr.
D. 22, 2, 5 pr. On this text (and the question ot its classicity). see Gluck, vol. 21,
pp. 153 sqq.. 164 sqq.; Litewski, (1973) 24 Iura 160 sqq.
2i>s
For all details cf especially Andreas Wacke, "Athleten als Darlehensnehmer nach
romischem Recht", (1978) 44 SDMI 439 sqq.
J4
Such conditions, where the existence of an obligation was made dependent upon a
certain achievement on the part ot the (potential) debtor, were not entirely unusual. Cf., for
instance, the logical paradox related in Aulus Gellius. Nodes Atticae, Lib. V, X. Protagoras
("sophistarum acerrimujs]") had been promised by his pupil Euathlos "mercedem grandem
pecuniam", payable at the time the latter won his first lawsuit ("quo primum die causam
apud iudices orasset et vicisset"). For a long time Euathlos remained Protagoras' pupil
without, however, undertaking any trial work, Protagoras therefore ultimately decided to
sue him for his fee. arguing as follows: ". . . si contra te [se: Euathle| lis data erit, merces
mihi et sententia debebitur, quia ego vicero; sin vero secundum te iudicatum erit merces mihi
ex pacto debebitur, quia tu viceres." Euathlos, however, replied: ". . . si iudices pro causa
mea senserint. nihil tibi ex sententia debebitur, quia ego vicero; sin contra me
prommhavermt, nihil tibi ex pacto debebo, quia non vicero." The judges were unable to
give a decision and postponed the matter indefinitely: "Turn iudices, dubiosum hoc
inexplicabilcquc esse quod utrimquc diccbatur rati, ne sententia sua, utracumquc in partem
dicta esset, ipsa sese rescinderet, rem iniudicatam relinquerunt causamque in diem
longissimam distulerunt."
71
Cf. Mario Amclotti, "La posizionc degli atleti di fronte al diritto romano", (1955) 21
SDHI 123 sqq.; Henri W. Pieket, "Zur Soziologie des antiken Sports", in: (1974) 36
Mededelingen van het Nederlands Instituat te Rome 57 sqq., 74 sqq.
A
' The Greek word сіФХтіттіс usually referred to professional athletes, as opposed to an
LSLCOTTIC (amateur; literally: idiot).
On sport in Greek and Roman antiquity generally, see e.g. Julius Juthner, Die
athletischen Leibesubungen der Griechen. 2 vols (1965-68); Harold Arthur Harris. Sport in Greece
and Rome (1972); Edward Norman Gardiner, Athletics of the Ancient World (1967); Ingomar
Weiler, Der Sport bei den Volkern der Alten Welt (2nd ed., 1988).
2n
* Henri W. Pieket, "Games, Prizes, Athletes and Ideology", (1975) 1 Stadion 49 sqq.
<71?qq-)-. . .
J))
In this specific instance the parties had agreed that the creditor should get "insuper
aliquid praeter pecuniarn", i.e. a lump sum by which the repayable capital was increased ("ad
augendam obligarionem"). The state of dependence upon his sponsor which an athlete could
get into, under these circumstances, is illustrated by the case in Ulp. D. 4, 2, 32, 2.
210
Cf. Scaev. D. 22, 2, 5. 1.
On bribery scandals in ancient sport c(. Clarence A. Forbes, "Crime and Punishment
in Greek Athletics", (1952) 47 Classical Journal 169 sqq., 202 sqq. Revealing, too, C. 10, 54,
1 (Diocl.) ("non aemulis corruptis ac redemptis").
212
Wacke. (1978) 44 SDHI 446 sq.
213
Cf. infra, pp. 730 sq.
1
"Commodare" has been defined by Donellus in the following terms: ". . . rem quae
usu non consumitur, scu mobilem seu immobilem utendam gratis dare certo praescripto
utendi fine aut modo": Commentant de Jure Civili, Lib. XIV, Cap. II, II).
2
Cf., for example, the case in Scaev. D. 39, 5, 32.
3
Cf., for example, Inst. Ill, 14, 2.
4
Ulp. D. 13, 6, 3, 6.
s
Edward Gibbon, Decline and Fail of the Roman Empire, 1962 sqq., vol. IV, chap. 44,
pp. 427 sqq.
188
6
History, vol. II, 170.
7
Art. 1874 code civil; cf. also Pothier, Traite du pret a usa$>e et du precaire.
*
9
N. 64.
Cf. A. W.B. Simpson, "The Rise and Fall of the Legal Treatise: Legal Principles and the
Forms of Legal Literature". (1981) 48 The University of Chicago LR 658 sqq.
10
§ 598 BGB.
1
§ 607 BGB.
12
13
W. Ogris, "Darlehen", in: HRG, vol. I (1971), col. 662 sqq.
Cf. further Schulz, CRL, pp. 508 sq.
Picrluigi Zannini, Spunti criticiper una storia del commodatum (1983), pp. 115 sqq.; Michel.
Gratuite, n. 140.
15
As Story, Bailments, § 285, puts it: "[Gratuitous loans have] furnished very little
occasion for the interposition of judicial tribunals, for reasons equally honorable to the
parties, and to the liberal spirit of polished society."
lr
'Cf., for example, Carlo-Maria Tardivo, "Studi sul 'commodatum'", (1984) 204
Archh'io Giuridico 225 sqq.; but see Zannini, op. cit., note 14, pp. 67 sqq., 138 sqq. and
passim
17
(according to whom the legis actio per condictionem was available).
Kaser, RPr I, p. 533; cf. also Zannini, op. cit., note 14, pp. 127 sqq.
18
19
Cf. Ulp. D. 13, 6, 1 pr.
Lenel, EP, p. 252; for a derailed discussion, see Maschi, Contratti reali, pp. 15U sqq.;
Tardivo, (1984) 204 Archivio Giuridico 234 sqq.
20
Gai. IV, 47.
21
This is essential for a variety of questions: whether pacta adiecta or a dolus in
contrahendo could be taken into consideration, whether the exceptiones doli or pacti had t o
be raised or were inherent in the iudicium, etc.
22
Cf. on the one hand Ernst Levy, "Zur Lehre von den sog. actiones arbitrariae", (1915)
36 ZSS 1 sqq. (formula did not contain ex bona fide clause), on the other hand, for example,
Schulz, CRL, pp. 513 sq. The various argument s are discussed by Max Kaser, "Oport ere
und ius civile", (1966) 83 ZSS 30 sqq. But see, more recently, Maschi, Qontratti reali, pp. 218
sqq., 231, offeri ng a reconstruction of the formul a in ius concept a with the ex bona fide
clause; cf. also Tardivo, (1984) 204 Archivio Giuridico 240 sqq.
23
Lenel, EP, p. 252.
These strict and objective principles of esti mation could someti mes be of advantage to the
plaintiff; cf. Max Kaser, Quanti ea res est (1935), pp. 65 sqq. * Cf. Ul p. D. 43, 26, 1 pr.
and 3.
26
Cf. e. g. Max Kaser, "Zur Geschicht e des precari um", (1972) 89 ZSS 94 sqq.
27
Even i f it suddenl y t urned out t hat t he l ender needed the obj ect hi msel f? On t his
problem, see Gluck, vol. 13, pp. 446 sq.
2K
Either by raising an exceptio doli (in the case of the formula in factum concepta and
also under the formula in ius concepta, provided it did not contain the ex bona fide clause)
or on account of the bona fide clause.
29
For details and references cf. Kaser, (1972) 89 ZSS 100 sqq., 113 sqq.; contra:
Pierpaolo Zamorani, Precario habere (1969).
36
Cf. Ulp. D. 13, 6, 5, 12.
31
For a detailed analysis, see Klaus Slapmcar, Gratis habitare, Unentgeltliches Wohnen nach
romischem und geltendem Recht (1981), pp. 41 sqq.; cf. also Gluck, vol. 13, pp. 450 sqq.
32
Ul p. D. 13, 6, 1, 1.
33
Ulp. D. 13, 6, 1, 1.
34
Ulp. D. 19, 5, 17 pr. (". . . et Vivianus ait posse"). Cf. also Ulp. D. 13, 6, 1, 1 in fine:
"Vivianus amplius etiam habitationem commodari posse ait."
35
Pomp. D. 39, 5, 9 pr.
36
Cf. infra pp. 482 sqq.
3
' Cf. also Pomp. D. 24, 1, 18, dealing with the prohibition of donation between spouses
("valet donatio").
18
Slapnicar, op. cit., note 31, pp. 82 sqq., 185 sqq.
39
BGH, 1970 Neue Juristische Wochenschrift 941; BGH 1970 Wertpapier-Mitteilungen
1247.
40
BGHZ 82, 354 sqq.; for an evaluation of this decision from a historical point of view,
see Klaus Slapnicar, "Unentgeltliches Wohnen nach geltendem Recht ist Leihe, nicht
Schenkung—Dogmengeschichtliches zu BGHZ 82, 354", 1983 Juristenzeitung 325 sqq.
41
Po mp. D. 13, 6, 8 and Ulp. D. 13, 6, 9.
42
Gai. D. 13, 6, 18 pr.
43
Gai. D. 44, 7, 1, 4. On exactissima diligentia, see De Robertis, Responsabilite
contrattttaie, pp. 323 sqq.; Tardivo, (1984) 204 Archivio Giuridica 296 sqq.
44
Cf. e. g. Paul. D. 10, 2, 25, 16; Paul. D. 19, 1, 54 pr.
45
Cf. Accursius, gl. Diligentissi mus ad D. 19, 2, 25, 7; Bartolus, D. 13, 6, 18 pr., § In
rebus; cf. also e.g. Pothier, Traite du pret a usage et du precaire, nn. 48 sqq.
46
For details of the development, cf. Hoffmann, Fahrlassigkeit, passim.
47
Cf. Hawkins v. Coulsdon and Purley Urban District Council [19541 1 QB 319 at 341.
4H
On the (justinianic) concept of diligentia and the yardstick of the diligens paterfamilias,
see Wolfgang Kunkel. "Diligentia", (1925) 45 ZSS 266 sqq., 301 sqq.; Arangio-Ruiz.
ResponsabiHta contrattualc, passim; De Robertis, Responsibility contratniale, passim, e.g. pp. 171
sqq.; Ta faro, Regula, pp. 218 sqq. Cf.. m our context, Inst. Ill, 1 4, 2 ("exacta diligentia
custodiendae rei").
■"Both Gai. D. 13. 6. IS pr. and Gai. D. 44, 7, 1, 4 are, in so far, interpolated. Cf. e.g.
Kunkel. (1925) 45 ZSS 271 sq.; Агапціо-Ruiz, ResponsabiHta contratttuh 1 , pp. 66 sqq.
*' Gai. III. 206; Ulp. D- 13, 6, 5, 5.
51
CRU p. 515.
l 2 Cf. also Inst. I I I . 14, 2 and Ulp. D. 50. 17, 23.
"^ Theo Mayer-Maly, "Hohere Gewalt: Falltypen und Begriffsbildung", i n : Festschriftjur
Artur Slt'ittweitter (1958), pp. 58 sqq.; Giuseppe Ignazio Luzzatto, Om> fitortuito e jorza
million' come Utilite alla responsabilite contratiuale, vol. I (1938); Inire Moltiar, "Die
Ausgestaltung des Begriffes der vis maior im romischen Recht". (1 981) 32 Iura 73 sqq.
"^4 Or, to quote Hcineccius, F.lemenia Iuris Civilis, Lib. MI, Tit. XIV. § 784: "Casus est
eventus a divina providentia profectu s. cui resisti non potest."
" Schu lz, CR L, p . 5 15 .
ы>
First put forward byj. Baron, "Die Haftung bis zur hoheren Gewalt", (1892) 78 Archiv
fur die civilistisch? Praxis 203 sqq. and Emil Seckel, in: Heurmnn/Seckcl, pp. 116 sqq. Cf. today
e.g. Antoiiino Metro, L'obbligaziotie di custodire fiel diritto rotnano, passim; Cannata.
Responsabilite (ontruttuiilr, Kaser, RPr I. pp. 506 sqq.; Honsell/Mayer-Maly/Selb, pp. 233 sqq.
The literature is virtually boundless ("| I he subject is] snowed under with books and articles,
with theories, comments, opinions and prejudices to such a degree, that hardly anybody
ventures to undertake (a) reappraisal": Van den Bergh, infra, note 57, p. 59). There are three
main problems that have triggered oft this prolific production of legal literature on custodia:
a terminological one (the ambiguous nature of the term custodia in classical law), a historical
one (the difference between classical and Justinianic law) and a policy-oriented one (custodia,
esp, ы the 19th century, as one of me battle grounds for the basis of the law concerning
liability; necessarily subjective, i.e. based on fault, or not?). For the traditional (prc-Baron
and -Scckcl) approach (custodia as a mere species diligentiae), see e.g. Hasse, Culpa, pp. 281
sqq. It is on this basis, incidentally, that custodia liability has not been incorporated into the
BGH (with the exception ot § 701 12; see infra, p. 521): "Motive", in: Mugdan, vol. II, p. 15.
^ Cf. particularly Geoffrey MacCormack, "Custodia and Culpa", (1972) 89 ZSS 149 sqq.
(e.g. p. 155: "A person required to show custodia is not normally liable for loss through theft
or otherwise unless there has been fault on his part") and G.C.J.J. van den Bergh,
"Custodiam praestare: custodia-Liability or Liability for failing custodia", (1975) 43 TR 59
sqq. (e.g. p. 71: "Custodia was . . . a liability for failure to guard properly over things one
has in his keeping tor reasons ot profit"); idem, "Custodia and furtum pignoris", in: Sttidi
in ot tore di Cesare Sanfilippo, vol. I (1982), pp. 601 sqq.; most recently, ct. Rene Robaye,
L'obligation de garde, tissai sur ta responsabilite contractuelle en droit romain (1988).
M
54
As to the following, cf. especially Cannata, Responsabilite contrattuale, passim.
lui./Marcel]. D. 19. 2, 41 as opposed to lui. D. 13, 6, 19. On these texts, Cannata,
Responsabilite
(
contrattuale, pp. 61 sqq., 85 sqq.
' Cannata, Responsabilite contrattuale, pp. 102 sqq.; Kaser, RPr I, p. 5(17.
M
Ccls. D. 5(1, 17, 185. On philosophical implications of this maxim ("ought implies
can"), see Joachim Hruschka, "Zwei Axiome des Rechtsdenkens", in: Aus dem Hamburger
Rechtsleben, Festschrift fur Writer Reimers (1979), pp. 459 sqq.
62
See, however, Schul z, CRL, p. 515.
63
Cf. e.g. Walter Wilburg, Die Elemente des Schadensrechtes (1941), pp. 112 sqq., 124 sqq.
64
RGZ 106, 272 sqq.; BAGE 3, 346 sqq. 1f an employee is unable to perform his services,
the decision whether or not he can demand remuneration depends on whether this inability
has its origin in the sphere of the employer (breakdown of electricity supply, unavailability
of raw materials, fire, defects in the machinery, etc.) or of the empl oyee (strike in his own
or in other factories). Cf. for details Schaub, in: Munchener Kommentar, vol. HI 1 (2nd ed.,
1988), § 615, nn. 93 sqq.; for a most int eresting hist ori cal anal ysis, see Eduard Pi cker,
"Ri chterrecht oder Rechtsdogmatik —Alternativen der Rechtsgewinnung?—Teil 2", 1988
Juristenzeitung 62 sqq.
65
Cf. e.g. Kaser, RPr I, p. 511; Joachim Rosenthal, "Custodia und Aktivlegitimation zur
Actio furti", (1951) 68 ZSS 258 sqq.
66
Ulp. D. 13, 6, 10 pr.; cf. also § 602 I BGB. W hat if during a fire the borrower sa ve d
his own property in preference to what he had borrowed? ". . . si incendio vel ruina aliquid
c ontigit vel aliquid a m n um fatale, non te ne bitur, nisi forte, c um possit re s c om m oda tas
salvas faccre, suas praetulit" (Ulp. D. 13, 6, 5, 4). This case, "which is some what nice and
curious" (Story, Bailments, § 245), has been interpreted in various ways, usually as indicating
that to prefer one's own property in a da ngerous situation a m ounts to ne glige nce; cf. e.g.
Voet, Commentarius ad Pandectas, Lib. XIII, Tit. VI, IV; Pothier, Traite du pret a usage et du
precaire, n. 56; Gluck, vol. 13, pp. 438 sqq.; Story, Bailments, §§ 245 sqq.
67
Gl uck, vol. ]3, pp. 430 sqq. Cf. also e.g. supra, not e 1.
6R
Gai. Ill, 196. If the borrower believed that the lender would have approved of this
deviation from the contract, he was not liable: "Qui re sibi commodata . . . usus est aliter
atque accepit, si existi mavit se non invito domino id facere, furti non tenetur" (Pomp. D. 47,
2, 77 pr. ). Furt her on furt um and furt um usus, cf. infra, pp. 922 sqq.
69
Cf. Po mp. D. 13, 6, 23; Ulp. D. 13, 6, 5, 7.
70
Cf. Gai. D. 13, 6, 18 pr.; Gai. D. 44, 7, 1, 4.
71
C f. U lp . D . 1 3 , 6 , 5 , 7 .
72
Cf. e.g. Gai. D. 44, 7, 1, 4: "sed et in maioribus casibus, si culpa eius interveniat,
tenetur"; Ulp. D. 13, 6, 5, 4: ". . . nisi aliqua culpa interveniat. " Cf. also Lord Holt in Coggs
v. Bernard (1703) 2 Ld Raym 909 at 915 (". . . as if a man should lend another a horse, to go
west ward . . .; if the bailee go northward . . ., if any accident happen to the horse in the
northern journey, . . . the bailee will be chargeable; because he has made use of the horse
contrary to the trust he was lent to hi m under, and it may be if the horse had been used no
otherwise than he ■was lent, that accident would not have befallen him", quoting Bracton for
this proposition); Lilley v. Doubhday [1881] 7 QB 510 at 511 (per Grove j); Jones, Bailments,
pp. 67 sq.; Story, Bailments, §§ 232 sq., 241 sq.
73
Cf. e. g. Wi ndschei d/ Kipp, § 375, n. 10 a, on t he one hand, Van Leeuwen, Censura
Forensis, Pars I, Lib. IV, Cap. V, 4 ("De casu forcuito commodatarius numquam tenetur.
Nisi expresse ita convenerit, ant si culpa casui occasionem aut causam dedcrit") on the other.
One could also think of restricting the liability of the borrower to cases where his wrongful
act has increased the risk of this specific vis maior, e.g. if the silver plates, which the
borrower was supposed to have used at home, had been lost in a shipwreck; not so if they
had been struck by lightning (which could just as well have happened at home). For further
examples, see Story, Bailments, §§ 241 sqq,
74
Cf. Van Leeuwen, loc. cit.: "Sed hoc casu, non tarnen propter casum, quam propter
culpam lenetur."
5
For details, see Horst Kollmann, "Die Lehre vom versari in re illicita im Rahmen des
Corpus juris canonici", (1914) 35 ZStW46 sqq.; H.L. Swanepoel, Die leer van "versari in re
illicita" in die strajreg (1944). For a legislative realization of this doctrine, see art. 146 CCC.
76
As far as modern private law is concerned, liability for accidental loss continues to be
imposed on the borrower who exceeds his right of use, by art. 1881 code civil, art. 1805 II
codice civile and many other modern codifications. The German BGB is silent on the point;
hence the dispute in modern literature (cf. e.g. Kollhosser, in: Munchener Kommentar, vol. Il l
1 (2nd ed., 1988), §§ 602, 603, n. 3). For a discussion of the problem in modern law and its
historical ramifications, see Andreas Wacke, "Gefahrerhohung als Besitzverschulden", in:
Festschrift fur Heim Huhner (1984), pp. 689 sqq.
77
Ul p. D. 50, 17, 23.
78
Cf. e. g. C. 4, 23, 1.
79
Cf. Ulp. D. 13, 6, 5, 10.
m
That is, he could insure the lender against accidental loss, even where it originated in
a n inc ide nt of vis m aior. Cf. Pa ul Kruc km a nn, "Versic herungshaftung im rom isc he n
Rec ht", (1943) 63 ZSS 1 sqq. Cf. also Story, Bailments, § 252.
81
Cf. art. 1883 c ode civil and art. 2901 Louisia na Civil Code, disc ussed by Ala n D.
Ezkovitch, (1983-84) 58 Tuiane LR 359 sqq.
82
Ulp. D. 13, 6, 5, 3; cf. also Ulp. D. 19, 3, 1, 1 and Pothier, Traite du pret a usage et du
precaire, nn. 62 sqq.; Jones, Bailments, pp. 71 sq.; Gluck, vol. 13, pp. 434 sqq.
83
Cf. esp. Be rnha rd K ubie r, "Da s Utilitatsprinz ip als Grun d de r A bstufun g be i de r
Vertragshaltung im klassischen romischen Recht", in: Festgabe der Berliner juristischen Fakultat
?ir Otto v, Qiercke (1910), vol. II, pp. 235 sqq.; Dietrich Norr, "Die Entwicklung des
Utilitatsgedankens im romischen Haftungsrecht", (1956) 73 ZSS 68 sqq.; Michel, Gratuite,
pp. 325 sqq.; Hoffmann, Fahrlassigkeit, pp. 16 sqq.; Tafaro, Regula, pp. 123 sqq., 207 sqq.;
for Justinian's time, see Afr. D. 30, 108, 12; Ulp. D. 50, 17, 23 (both spurious) and De
Robertis, Responsibilita contrattuate, pp. 13 sqq. Cf. also Coggs v. Bernard (1703) 2 Ld Raym 909
at 915.
84
Story, Bailments, § 17.
85
Stair, The Institutions of the Law of Scotland (Edinburgh, 1832), I, 11, 9.
86
Gai. Ill, 206.
H7
Jones, Bailments, p. 72.
88
Stair, loc. cit.
89
In later times usually for gross negligence also; cf. e.g. Voet, Commentarius ad Pandectas,
Lib. XIII, Tit. VI, IV; "Motive", in: Mugdan, vol. II, p. 250 and D.J. Joubert, in: Joubert
(ed.), The Law of South Africa, vol. 15 (1981), n. 281.
90
Ulp. D. 13, 6, 5, 10.
91
Ul p. D. 13, 6, 10, t.
92
Gai. D. 13, 6, 18 pr.; on t his t ext cf. Norr, (1956) 73 ZSS 82 sqq.
Bailments, § 23; cf. also § 238 and Pothier, Traite du pret a usage et du precaire, nn. 50 sq. ;
Jones, Bailments, p. 72.
94
Reasons: on the one hand custodia liability was not incorporated into the BGB. On the
other hand, those cases where the loan is in the interest of the lender alone are too rare to
warrant special consideration; furthermore, it is doubtful, under those circumstances,
whether the parties really intend to contract a commodatum.
95
Story, Bailments, § 23.
96
Cf., for example, Heineccius, Elementa Iuris Chilis, Lib. Ill, Tit. XIV, § 788: "In
contractibus, in quibus penes unum co mmodum, penes alterum incommodum est, ille
ordinarie culpam et levissimam; hic non nisi latam praestat. Ubi par utriusque contrahentis
commodum atque incommodum est, culpa etiam levis ab utroque praestanda est. Qui sua
sponte se contractui obtulit, vel obligationem suscepk, in qua personae industria summa
requiritur, quamvis solum incommodum sustineat, tarnen ad culpam levissimam tenetur.
Qui alteri re m ultro obtulit, e x qua ei soli co mmodu m obveni at, non nisi latae eulpa e
praestationem exigere potest"; Vinnius, Institutions, Lib. Ill, Tit. XV, n. 12 (sub
"commodatum"); Pothier, Traite des obligations, n. 142. Cf. further Michel, Gratuite,
pp. 355 sqq.
97
Bailments, % 18.
98
For details c(. infra, pp. 932 sqq.
w
Paul. D. 47, 2, 47; Paul. D. 47, 2, 67, 1; Pap. D. 47, 2, 81, 1.
100
Gai. Ill, 203.
101
Gai- III, 205 sq.; Mod. Coll. X, II, 6.
102
D , 1 3 , 6, 17 , 1 .
103
In classical law, the contrarium judicium could be brought irrespective of whether the
lender had sued the borrower with the actio directa. Originally, the borrower's claims could
probably be taken into consideration only by way of compe nsatio or retentio, later also by
wa y of a c ounterclaim stricto se nsu, i.e. only whe n the actio directs ha d already bee n
instituted by the lender. For details, see Giuseppe Provera, Contribua alla teoria dei iudicia
contraria (1951), pp. 20 sqq.; Fritz Schwarz, "Die Kontrarklagen", (1954) 71 ZSS 189 sqq.
104
Kaser, RPr I, p. 528.
105
Cf. e.g. Gluc k, vol. 4, pp. 285 sqq.
106
For details, see Provera, loc. cit., passim and Schwarz, (1954) 71 ZSS 111 sqq.;
Pothier, Traite du pret a usage et du precaire, nn. 81 sqq.; Story, Bailments, §§ 273 sqq.
107
Gai. D. 13, 6, 18, 2: "Possuni iustae causae intervening ex quibus cum eo qui
commodasset agi deberet: veluti de impensis in valetudinem servi factis quaeve post fugam
require ndi reduce ndique eius causa faetae esse nt . , ."; Mod. Coll. X, II. 5.
nR
Gai. D. 13, 6, 18, 2: ". . . nam cibariorum impensae naturali scilicet ratione ad eum
pertinent, qui utendum accepisset"; Mod. Coll. X, II, 5 in fine. Reason: qui habet comm oda
ferre debet onera; cf. infra, pp. 290 sq.
109
Cf. also Pothier, Traite du pret a usage et du precaire, n. 81, Story, Bailments, § 256, and,
toda y, § 601 BGB.
Schwarz, (1954) 71 ZSS 127; Alfons Burge, Retentio in romischen Sachen- und
Obligationenrecht (1979), pp. 176 sqq.
On the ius retentionis in general, see Kaser, RPr 1, pp. 521 sq.; Burge, loc. cit., passim.
112
Pa ul. D. 47, 2, 15, 2. On this te xt cf. Rose nthal, (1951) 68 ZSS 251 sq.; Sc hwarz,
(1954) 71 ZSS 124 sq.
113
114
Gai. D. 13, 6, 18, 3.
For a discussion of these and further texts, see Schwarz, (1954) 71 ZSS 129 sqq.;
cf. also Provera, op. cit., note 103, pp. 103 sqq.
115
116
Cf infra, pp. 916 sq., 1118.
Cf. e.g. Vinnius, Institutions, Lib. Ill, Tit. XV, 11 (sub "commodatum"); Pothier,
Traite du pret a usage et du precaire, nn. 80, 84; cf. also § 599 BGB ("The lender is responsible
only for wilful conduct and gross negligence"). But see § 600: "If the lender fraudulently
conceals a defect in title or in quality in the thing lent, he is bound to compensate the
borrower for any damage arising therefrom." Cf. further the "melancholy case" (Erie CJ)
of Bldkemore v. Bristol and Exeter Railway Co. (1858) 8 El & Bl 1035 (obiter).
117
For a revie w of the releva nt te xts, see Norma n S. Marsh, "The Liability of the
Gratuitous Tra nsferor: A Com parative Study", (1950) 66 LQR 51 sqq.
na
Cf. e.g. Gluck, vol. 10, pp. 310 sqq.; Vangerow, Pandekten, § 681, Anm. 3, n. II;
Windscheid/Kipp, § 455, n. 12.
119
Cf. e.g. BGH, 1974 Neue Juristische Wochenschrift 234 (235); KoUhosser, op. cit., note
76, § 599, n. 4. For a full analysis of this and similar problems arising from the concurrence
of delictual and contractual liability, see Peter Schlechtriem, Vertragsordnung und ausserver-
traglkhe Ha?ung (1972), pp. 27 sqq. Cf. also infra, pp. 904 sqq.
?20
D. 13, 6, 17, 3.
121
Especially in cases of an "im portune repetere" of the object lent. Cf. e.g. Paul. D. 13,
6, 17, 3 {". . . si a d fuicie nda m insula m tigna c om m odasti, deinde protra xisti . . ."). For a
discussion of this and further cases, see Schwarz, (1954) 71 ZSS 157 sqq.
122
This is different in South African law, where the borrower is still regarded as detentor.
123
Pollock and Maitland, vol. II, p. 169.
124
Cf. Pollock and Maitl and, vol. II, pp. 169 sqq.
125
Joncs, Bailments, p. 1; cf. also Blackstone, vol. II, p. 452 ("a delivery of goods in trust,
upon a contract expressed or implied, that the trust shall be faithfully executed on the part
of the bailee").
126
This is how Lord Holt {Coggs v. Bernard (1703) 2 Ld Raym 909 at 919) argued: "But
secondl y it is object ed, t hat there is no consi deration to ground t his promi se upon, and
therefore t he undert aki ng i s but nudum pact um. But t o t his I answer, t hat t he owner's
t rust i ng hi m wi t h t he g oods i s a suf fi ci e nt co nsi de rat i on t o o bl i ge hi m t o a c ar ef ul
management." But the borrower has not given his promise because t he lender was parting
with his goods; the delivery cannot be regarded as the "price" for the promise. Cf. Aliyah,
Rise and Fall, pp. 177, 186 sq., who tri es t o expose the fallacy of readi ng t he decision
ahistorically in the light of modern doctrine.
127
Cf. M.P. Furmston, in: Cheshire, Fifoot and Furmston, Law of Contract (11th ed.
1986). p. 83.
12f
*(1703)2LdRaym909.
129
Blackstone, vol. II, p. 453.
130
(1703) 2 Ld Raym 909 at 912 sqq. On the influence of civilian jurisprudence on Sir John
Holt, see Daniel R. Coquillette, The Civilian Writers of Doctors' Commons (London, 1988),
pp 271 sqq.
And Bracton, who has in turn drawn from Roman law.
II. DEPOSITUM
1. The nature of depositum; depositum miserabile
Depositum was similar to commodatum in many ways. It was a
contract re, 133 it was a gratuitous transaction and, like the commoda-
tary, the depositary did not have the possessory interdicts, but was a
mere detentor. 134 The most significant difference, however, was that
the object was handed over not to be used but to be kept in safe
custody. 135 If a depositary used what had been given to him, he
committed furtum usus and was liable to the depositor under the penal
actio furti. 136 It is clear, therefore, that the balance of benefit and
interest in depositum was entirely different from that in commodatum:
it was only the bailor and not the bailee who could normally have an
interest in and derive an advantage from this type of transaction. 137 This
was bound to find its reflection in the standard of diligence that could
be expected from the bailee. It would not have been reasonable to
impose custodia liability on an altruistic holder such as the depositary,
who kept the object not for his own but for the depositor's benefit. In
fact, his liability was restricted to dolus and that, of course, could easily
be (and actually was) rationalized on the basis of utility considerations:
". . . nam quia nulla utilitas eius versatur apud quern deponitur, merito
dolus praestatur solus."138 A further consequence flowed from this: if
the deposited object was stolen, the depositor had to bring the actio
furti against the thief. 139 Unlike the commodatary, the depositary was
not eligible to do so: seeing that he was not liable towards the owner for
this incident, and in this sense did not have a specific interest in the
Cf. further Winfield, Province, pp. 92 sqq. Story and especially Jones, however, do not
find much favour with modern comm on-law writers such as Tyler and Palmer, Crossley
Vaines on Personal Property (5th ed., 1973), pp. 70, 86.
133
Gai. D. 44, 7, 1, 5. A mere pactum de de pone ndo (unlike toda y) was unenforceable.
134
Flor. D. 16, 3, 17, 1.
135
Ulp. D. 16, 3, 1 pr.: "De positum est, quod c ustodie ndum alic ui da tum est." Ulpia n
carries on to provide an etymological explanation: "dictum ex eo quod ponitur: praepositio
enim 'de' a uget positum . . ."; but cf. also Paul. Se nt. II, XII, 2 ("de positum est quasi diu
positum") and Giuseppe Gandolfi, // deposito nella problematical della giurisprtidenza romana
(1971), pp. 107 sqq.
116
Cf. Gai. Ill, 196; Inst. IV, 1, 6.
137
Vinnius, Institutions, Lib. Ill, Tit. XV (sub de de posito), 2: ". . . totum hoc negotium
ex utilitate depone ntis aestimetur"; 3: "In de posito nullum c om m odum est de positarii."
138
Ulp. D. 13, 6, 5, 2; cf. also Ulp. D. 50, 17, 23 and Tafaro, Regula, pp. 242 sqq., 259
sqq.
Gai. Ill, 207: "Sed is apud quern res deposita est custodiam non praestai, tantumque i n
eo obnoxius est, si quid ipse dolo malo fecerit. qua de causa si res ei subrepta fuerit, quia
restituendae eius nomine depositi non tenetur nee ob id eius interest rem salvam esse, furti
agere non pote st, se d ea actio domino c om petit"; M od. Coll. X, II, 6.
140
Again, there was a praetoria n action with a form ula in factum c oncepta (". . . [re m]
doto malo N 1 N 1 A° A° redditam non esse", introduced in the days of ehe early Republic) to
which a form ula in ius conce pta (". . . quidquid ob earn rem N u m N u m A° A° dare facere
oportet ex fide bona") was later added. Cf. Gai. IV, 47 for the full formulae. For a discussion
of both form ulae cf. e.g. Ga ndolfi, op. cit., note 13 5, pp. 69 sqq.; on the c ha rac teristic
features of the actio in factum, see, however, more recently, Robin Evans-Jones, "The penal
characteristics of the 'actio depositi in factum'", (1986) 52 SDHl 105 sqq.
141
The de p ositor c ould c la im his o bjec t ba c k at a n y tim e , e ve n if h e ha d origina lly
deposited it for a specific time. Cf. e.g. Ulp. D. 16, 3, 1, 46: "Proinde et si sic deposuero,
ut post m orte m mea m re ddatur, potero et e go et heres m e us a gere de positi, ego mutata
voiuntate", and Gluc k, vol. 15, pp. 188 sqq. (Could the depositary hand back the deposit at
any time and thus terminate the—for him often burdensome—contractual relationship? On
this question, see Wieslaw Litewski, Studien zur Verwahrung im romischen Recht (1978), pp. 31
sqq.) If the depositary did not ha nd the thing bac k at the depositor's request, he normally
acte d in ba d faith. Cf, howe ver, M arcellus (Ulp. D. 16, 3, 1, 22), who rhetorically asks:
". . . quid enim si in provincia res sit vel in horreis, quorum aperiendorum condem nationis
te m pore non sit fac ulta s? " Answer: "[N]on se m pe r vide ri posse dolo face re e um , qui
reposcenti non reddat." The actio in ius, of course, was available for the recovery of id quod
interest (i.e. the actual damage suffered by the plaintiff). As far as the measure of damages
in the ac tio in fa ctum was c onc erne d, c f. the disc ussion by Robi n Eva ns-Jone s, "The
Measure of Damages in the actio depositi in factum", (1987) 55 TR 267 sqq. He argues that,
in spite of the "quanti ea res erit" clause, condemnation was not confined to vera aestimatio
rei but involve d his id quod intere st. This was a dva nta ge ous for the plaintiff, where the
action was brought because the deposit had not been returne d at all, for the plaintiff could
claim certain categories of consequential loss over and above the value of the object. Where
the property was, however, returned in a deteriorated state (for this extension of the am bit
of the actio, see e.g. Ulp. D. 16, 3, 1, 16: "Si res deposita deterior reddatur, quasi non reddita
agi depositi potest: cum enim deterior redditur, potest dici dolo malo redditam non esse"),
the plaintiff's loss was usually less than the full value of the object.
14i
M od. D. 16, 3, 23; Schwarz, "Die Kontrarklage n", (1954) 71 ZSS § 121; Story,
Bailments, § 121; Windscheid/Kipp, § 378, 2.
143
Cf. today § 694 BGB: "The depositor shall compensate the depositary for any damage
caused by the nature of the thing deposited, unless at the time of the deposit he neither knew
nor should ha ve known of the da ngerous nature of the thing . . . " (reversal of onus of
proof!).
According to the prevailing opinion, the (earlier) actio depositi in factum was a penal
remedy, whereas the (later) actio in ius concepta performed a purely reipersecutory function;
153
The French code civil (artt. 1924, 1950) still grants a special privilege to depositaries in
case of deposita miserabilia: oral proof by witnesses is admitted, whatever the value of the
de posite d objects; otherwise contracts involving a value of 5 000 Fra ncs or m ore can be
prove d only by formal doc um e nts. On the de positum m isera bile in ge neral, see Voet,
Commentarius adPandectas, Lib. XVI, Tit. Ill, XI; Pothier, Traite du contrat de depot, nn. 75 sq.;
Gluck, vol. 15, pp. 208 sqq; Story, Bailments, § 44; and, most recently, Wieslaw Litewski,
"Studien zum soge nannten 'depositum necessarium 1 ", (1977) 43 SDHI 188 sqq.
154
Cf. Ulp. D. 16, 3, 1, 6; Ulp. D. 13, 6, 5, 2; C. 4, 34, 1 (Ale x.): " . . . si no n aliud
specialiter convenit . . ."); Erich Sachers, "Die Verschuldenshaftung des De positars", in:
Festschrift fur Paul Koschaker, vol. II (1939), pp. 100 sqq.
155
Ulp. D. 12, 1, 4 pr. Cf. Pothier, Traite du contrat de depot, n. 32; Gluck, pp. 179 sqq.;
Jo ne s , B a i l m e n t s, p . 4 9.
156
U l p. D . 16 , 3, 1, 3 5. C f . f u r t he r G l u c k , vo l . 1 5 , p . 1 7 7 ; P ot hi e r, Tra i t e d u c o n t ra t d e
depot, n. 30.
157
Jones, Bailments, p. 47; cf. also Domat, Les loix civiles, Lib. I, Tit. VII, Sec. Ill, ѴШ.
1SH
Story, Bailments, § 82.
159
Am.' 1927, 1928.
16(1
Am. 2908, 2909.
161
Cf. De Robertis, Responsabilite contrattuale, p. 396; Gluck, vol. 15, p. 178. The same
applie d, of course, if the de positary ha d sold the object: "Si re m deposita m ve ndidisti
eamque postea redemisti in causam depositi, ctiamsi sine dolo malo postea penerit, tenen te
depositi, quia semel dolo fecisti, cum venderes" (Ulp. D. 16, 3, 1, 25). Again, the idea of
versari in re illicita; cf. supra, p. 197.
6
For a Roma n definition, see Ulp. D. 50, 16, 213, 2 ("Lata culpa est nimia neglegentia,
id est non intelle gere quod om nes intelle gunt").
163
Kaser, RPr I, p. 535, n. 10; Buckl and/ Stein, p. 468. Dolus did not yet have a fixed,
technical meaning (evil intention), but was merely the opposite of bona fides. Under the
bonae fidei iudicia, the judge was instructed to condemn, if the defendant's behaviour had
infringed the standards of good faith. Such a breach of good faith was called dolus malus. In
the course of time, a more and more refined interpretation and application of the precepts of
good faith and honest behaviour was bound to lead to an extension of the debtor's liability
to cases of (as we would describe it) negligent behaviour. To a large extent, this development
was, however, i mpeded by t he fact t hat quit e a few bonac fi dei i udi ci a were act i ones
famosae. The Romans were highly sensitive in questions of honour and social reputation,
and thus the sanction of infami a was not to be i mposed too lightly.
164
D. 44, 7, 1, 5.
165
Ulp. D. 17, 1, 29 pr.
166
Ulp. D. 11, 6, 1, 1.
167
Cf. further De Robertis, Responsabilita contrattuale, pp. 58 sq.; Arangio-Ruiz,
Responsabilita contrattuale, pp. 251 sqq.; Hoffmann, Fahrlassigkeit, pp. 4 sqq.; Geoffrey
MacCormack, "Culpa", in: (1972) 38 SDHI 176 sqq.; Cannata, Responsabilita contrattuale,
pp. 5 sq.
168
C. 4, 34, 1 (Ale x.); but cf. also Pa ul. Coll. X, VII, 6. Cf. further Dc Robertis,
Responsabilite contrattuale, pp. 373 sqq.; Maschi, Contratti reali, pp. 376 sqq.; Francesco Sitzia,
"Sulla responsabilita del depositario in diritto bizantino", (1971) 13 BIDR 189 sqq.; Vinnius,
InstitHtiones, Lib. Ill, Tit. XV (sub de deposito), 3 ("Qui autem dolum dick, latam culpam
non excludk"); Gluc k, vol. 15, pp. 171 sqq.; Arndts, Pandekten, § 285: Brinz, Pandekten,
§ 137, 2.
1(19
Cf. e.g. §§ 1266 Sachs- BGB; for South African law. see Bester, in: Joubert (ed.), The
Law of South Africa, vol. 8 (1979), n, 74.
170
Cf. further, for example, § 11 I MPrALR; art. 1927 code civil; Herbert Hausmamnger.
"Rcchtsvergleichende Notizen zur diligentia quam in suis", in: Festchri? fur Hennann Bait!
(1978), pp. 283 sqq.
171
Cf. Bernhard Kubier. "Die Haftung fur Verschulden bei kontraktsahnlichen und
deliktsahnlichen Schuldverhaltnissen", (1918) 39 ZSS 179 sqq.: Arangio-Ruiz, Responsabilita
c o n t ra t tu a l e , pp. 2 57 sq q.; D e Ro be rt i s, R e sp o n sa bi l i t a c on t ra t t ua le , pp . 65 sq q.; He r be rt
H a us m a m n ge r , "D i l i ge nt i a q u a m i n s ui s ", i n : Fe s t sc h r i f t f u r Ma x Ka s e r ( 1 9 7 6) , p p. 2 6 5 sq q.
172
D . 1 6 , 3 , 3 2 , O n t h i s t e x t , se e e s pe c i a l l y W a l t e r S e l b , "D a s P r o b l e m d e s r e l a t i v e n
'd ol us ' i n D . 1 6 , 3, 3 2 ", i n: S y n t e l e i a Vi n c e n zo A ra n g i o - R u i z, v ol . I I ( 1 96 4) , p p . 11 7 3 sq q .;
H a us m a ni n ge r, Fe st sc h ri f t Ka se r , pp . 2 67 s q q. , a nd t he a ut h or s q uo t e d i n t he pre vi o us n ot e .
173
Hausmaninger, Festschrift Kaser, p. 268.
174
D. 44, 7, 1, 5. Cf-, in nearly the same terms, Inst. Ill, 14, 3 (which has, incidentally,
in turn been adopted nearly verbatim by Bracton, as cited by Lord Holt in Coggs v. Bernard
(1703) 2 Ld Raym 909 at 914).
175
Inst. Ill, 25, 9. Cf. also Gai. D. 17, 2, 72, usually taken to be interpolated.
176
Kaser, RPr II, 355; Franz Wieacker, "Haftungsformen des romischen Gesell
schaftsrechts", (1934) 54 ZSS 73 sqq. The same idea, incidentally, prevailed in the old
Germanic law: the debtor remained liable, if only the bailor's property and not his own as
well had been affected by (e.g.) a fire that had been raging at his place: cf. Planitz, Grundzuge
des Deutschen Privatrechts (3rd ed., 1949), p. 162.
177
Cf. Ulp. D. 27, 3, 1 pr., Paul. D. 23, 3, 17 pr., Paul. D. 20, 2, 25, 16. For details, see
Hausmaninger, Festschrift Kaser, pp. 276 sqq.
178
Cf., on the one hand, Kaser, RPr II, p. 355, on the other, De Robertis, Responsabilita
contrattuale, pp. 386 sqq. Further Hausmaninger, Festschrift Kaser, p. 282; Hoffmann,
Fahrlassigkeit, p. 8; MacCormack, (1972) 38 SDHl 176 sqq.
179
Cf. e.g. Inst. Ill, 14, 3.
1! Ю
Brunnemann, Corumentarius in Pandectas, Lib. XVI, Tit. Ill, ad L. Quod Nerva. 32;
Grotius, Inleiding, III, VII, 9; Domat, Les loix civiles. Lib. I, Tit. VII, Sec. Ill, III; Pothier,
Traite du contrat de depot, n. 23; see, too, Story, Bailments, §§ 63 sqq., Hoffmann, Fahrlassigkeit,
pp. 154 sqq.
181
For details, see Hausmaninger, Festschrift Baltl, pp. 283 sqq., 286. 293 sqq. He also
points out that the concept of diligentia quam in suis has filtered through into English law
(via Lord Holt in Coggs v. Bernard, who refers, in this context, to Bracton) and has been
employed, though only occasionally, by some American courts.
1K2
Cf. § 688 as opposed to § 690 BGB.
1КЗ
This is in accordance with old Germanic law: Planitz, op. cit., note 176, p. 162. The
same situation prevails in South African law today: Bester, op. cit., note 169, n. 70; cf. also
R. H. Christi e, "What is a Cont ract of Depositum", 1981 Zi mbabwe LJ 98 sq.
184
Ulp. D. 16, 3, 1, 8.
185
Cf. e.g. Alf. D. 19, 2, 30. 1; Sc ae v. D. 32, 35, 3.
Ulpia n mentions, am ong the criteria by whic h to esta blish a person's domicile, the
place where he goes to the bath: D. 50, 1, 27, 1.
Daily Life, pp. 277, 279, 280. Cf. also Ralph Jackson, Doctors and Diseases in the Roman
Empire (1988), pp. 48 sqq.
Not everybody overindulged to the extent of Em peror Com m odus, who was said to
have taken up to eight baths a day: Scriptores Historiae Augustae, Commodus, 1 1 , 5 . For a
com prehe nsive account of Roman baths, their ma nage ment, financing and staffing, terms
a nd c onditions for use rs (ope ning hours, the que stion of m ixe d bathing), a m e nitie s
provide d, mainte na nce (fuel- and water-supply), etc., see Olivia Robinson, "Baths: An
Aspect of Roman Local Government Law", in: Sodalitas, Scritti in onore di Antonio Guarino,
vol. HI (1984), pp. 1065 sqq.
189
Cf. Michel, Gratuite, p. 27. For further interesting details and anecdotes, see
Carcopino, pp. 277 sqq.; Robinson, Scritti Guarino, vol. Ш, pp. 1065 sqq.
190
Nevertheless, it seems to have been a profitable occupation. Juvenal (Satura, VII, 4
sqq.) warns young poets that without the patrona ge of the em peror, they might be forced
by the threat of im m ine nt starvation to ta ke up som e prosaic occ upation, suc h as that of
bathkee ping. In the later e m pire, the c osts of running baths rose; fuel was the hea viest
charge. The provision of fire wood beca me one of the regular m une ra civilia (cf. also the
legacy of wood to provide fuel for the baths in Ulp. D. 32, 55, 3), and the contractors were
granted an additional income from the salt revenues. Cf. Robinson, Scritti Guarino, vol. Ill,
pp. 1070 sqq.
191
Horatius, Saturae, I, 3, 137. Entrance for children was free- According to the lex
metalli Vipascensis, the entrance fee was i as; and double the amount for women. An as was
a bronze coin worth a quarter of a sesterce. An average family of three persons, in the second
half of the 1st century A.D. could live on about 25 as per day. One as, according to Pompeian
graffiti, bought one quart of local wine or a plate, 2 as a small fish. For further details, see
Etienne, Pompeji, pp. 215 sqq.
192
Cf. e.g. Alf, D. 19, 2, 30, 1,
193
Cf. e.g. Scae v. D. 32, 35, 3.
194
Cf. Michel, Gratuite, p. 57.
195
This was the position in classical law and again under Justinian. In post-classical vulgar
l aw, t he di sti ncti ons bet ween t he vari ous cont ract s had become bl urred and l ucrati ve
deposita were recognized. Cf. Codex Euridanus 278 and Ulp. D. 13, 6, 5, 2; Ulp. D. 47, 5,
2, 23, both interpolated; see Levy, Obligationenrecht, pp. 173 sqq.
196
Michel, Gratuite, p. 58.
197
Ulp. D. 16, 3, 1 pr. In layman's language the word "commendare" was used (cf. e.g.
Ulp. D. 50, 16, 186: "Commendare nihil aliud est quam deponere"). In post-classical times,
this term totally superseded classical terminology: cf. Levy, Obligationenrecht, pp. 166 sqq.
Justinian reintroduced the classical technical term. On the institution of commendatio in the
Middle Ages and its Greek (and Roman) antecedents, see Paolo Frezza, "Commendatio nelle
carte notarili dell'alto Medio Evo", (1969) 20 Iura 177 sqq.
198
Michel, Gratuite, pp. 71 sq.; also "Motive", in: Mugdan, vol. II, p. 319; Gluck,
vol. 15, pp. 146 sqq.
199
Cf. Voet, Commentarius ad Pandectas, Lib. XVI, Tit. Ill, III ("Deponi possunt res
omnes, . . . sive mobiles sive immobiles; cum et immobilium custodia alten tradi queat; et
commendari, quae commendatio depositio est"); Van Leeuwen, Censura Forensis, Pars I, Lib.
IV, Cap. VI, 3; on the other hand, Grotius, Inleiding, III, VII, 5; Gluck, vol. 15, pp. 146 sqq.
Cf. further Vinnius, Institutiones, Lib. Ill, Tit. XV (sub de deposito), 1; Pothier, Traite du
contrat de depot, n. 3; Story, Bailments, § 51.
200
§§ 90, 91 I 14 PrALR; § 960 ABGB.
201
Bester, op. cit., note 169, n. 69.
202
§ 688 BGB and Windscheid/Kipp, § 377.
203
inst. III, 14, 3.
204
Cf., for example, §§ 120-126 Codex Hammurabi; Exodus 22, 9. For an interesting
analysis of the ancient Mesopotamian law and practice, see Raymond Bogaert, Les origines
antiques de la banque de depot (1966). pp. 41 sqq.
C f . e . g. t h e s t o r y r e l a t e d b y H e r o d o t u s , H i s i o ri a e , L i b . V I , C a p . 8 6 .
206
Paul. D . 47, 2, 21, 1.
207
Af r. D . 46, 3, 3 9.
208
A s t o t he vi n d i c a t i o n u m m o r u m , se e H a n n u T a p a ni K l a m i , Mu t u a m a g i s v i d e t u r q u a m
d e p o si t a ( 19 6 9) , p p. 17 4 s qq .; M a x K ase r , "D a s Ge l d i m r o mi s c he n S a c he nr e ch t ", ( 1 96 1) 2 9
TR 173 sqq.
209
Cf. e.g. Gluck, vol. 15, p. 157.
21(1
Pap. D. 16, 3, 25, 1.
21
^Cf. e.g. Paul. Coll. X, VII, 9.
2li
Pap. D. 16, 3, 24. Cf. also Paul. D. 16 3, 26, 1 (". . . eum contractum de quo quaeritur
depositae pecuniae modum excedere").
213
Cf. e.g. Paul. D. 16, 3, 26, 1.
214
For a very radical view, see Carlo Longo, "Appunti sul deposito irregolare", (1906) 18
BIDR 121 sqq.'; Schulz, CRL, pp. 519 sqq.
215
Wieslaw Litewski, "Le depot irregulier", (1974) 21 RIDA 215.
216
William M. Gordon, "Observations on 'depositum irregulare'", in: Studi in onore di
Amaido Biscardi, vol. III (1982). pp. 363 sqq.
217
Cf., for example, Paolo Frczza, Паракатаотікті, in: Symbolae Raphaeli Taubenschlag,
vol. I (1956), pp. 139 sqq.; Hannu Tapani Klami, Depositum und Параката-&тікті, in: Iuris
Professio, Festgabe fur Max Kaser (1986), pp. 89 sqq. Cf. also, generally, Wieacker, RR, pp.
347 sqq.
318
Arnold Ehrhardt, "Parakatatheke", (1958) 75 ZSS 32 sqq.; Dieter Simon, "Quasi-
ПАРАКАТАѲНКН", (1965) 82 ZSS 39 sqq.
2ig
Raymond Bogaert, Banque et banquiers dans les cites grecques (Leiden, 1968).
220
Fritz Pringshcim, "Zum romischen Bankwesen", in: Gesammelte Abhandlungen, vol. II
(1961), pp. 114 sqq.; Laum, Bankwesen, RE Suppl., vol. IV, pp. 68 sqq.
221
Cf. e.g. C. 12, 57, 12, 3 and Ludwig Mitteis, "Trapezitika", (1898) 19 ZSS 198 sqq.
Tp<xffe? a was the word for the table on which the money was spread out. On the activities
and the social status of the Roman nummularu and argentarii (and on the difference between
these two professions), see the detailed analysis by Alfons Burge, "Fiktion und Wirklichkeit:
Soziale und rechtliche Strukturen des romischen Bankwesens", (1987) 104 ZSS 467 sqq.,
476 sqq.; cf. also Frier, Romati Jurists, pp. 7 sqq. ("A gentleman did not willingly pursue
banking as a profession").
222
De Martino, Wirtschaftsgeschichte, pp. 174 sqq.; Burge, (1987) 104 ZSS 465 sqq., 509
sqq. Unlike their Greek counterparts, the Roman temples did not fulfil the function of
banking or credit institutions. Cf. e.g. Benjamin Bromberg, "Temple Banking in Rome",
(1939-40) 10 The Economic History Review 128 sqq. For an instructive example of the business
of an average "banker" in the 1st century A .D. (L. Caecilius Iucundus), see Etienne, Pompeji,
pp. 172 sqq.; for further details Burge, (1987) 104 ZSS Alb sqq.
323
Many but not all the cases of depositum irregulare discussed in the Digest concern
banking relationships; cf. Litewski, (1974) 21 RIDA 224, but also Gordon, Studi Biscardi,
vol. HI, pp. 364 sqq.
224
Roger Vigneron, "Resistance du Droit romain aux influences hellenistiques: le cas du
depot irregulier", (1984) 31 RIDA 307 sqq.
225
Ulp. D. 12, 1, 10; Ulp. D. 16, 3, 1, 34; Ulp. D. 12, 1, 9, 9; Paul. Coll. X, VII, 9; on
these texts, see, most recently, Burge, (1987) 104 ZSS 548 sqq.
226
Especially where the parties had agreed on interest by way of a formless pactum (cf.
Pap. D. 16, 3, 24 in fine; Paul. D. 16, 3. 26, 1), but also in other cases (cf. Scaev. D. 16, 3,
28: "respondi deberi ex bonae fidei iudicio usuras, sive percepit sive pecunia in re sua usus
est") Cf. further Klami, op. cit., note 208, pp. 118 sqq.; Litewski, (1975) 22 RIDA 304 sqq.;
Gordon, Studi Biscardi, vol. III, pp. 369 sqq. ; Honsell/Mayer-Maly/Selb, pp. 303 sq. ; Burge,
(1987) 104 ZSS 536 sqq., 542 sqq. As to the law of Justinian in general, see Maschi, Contratti
reali, pp. 390 sqq.
227
The first modern (critical) monograph was that of Theodor Niemeyer, Depositum
irregulare (1898). For an overview and critical discussion of the quite formidable amount of
literature, see Klami, Mutua magis i/idetur quam deposita (1969); Gandolfi, op. cit., note 135,
pp. 149 sqq.; Litewski, (1974) 21 RIDA 215 sqq. and (1975) 22 RIDA 279 sqq.
228
Cf. e.g. Kaser, RPr I, p. 536; Vigneron, (1984) 32 RIDA 307 sqq.; Burge, (1987) 104
ZSS 536 sqq., 552 sqq.; contra: Klami, Festgabe Kaser, pp. 89 sqq.
229
Coined, apparently, by the commentator Jason de Mayno (1435-1519): cf. Niemeyer,
op. cit., note 227, p. 110.
230
Cf., for exampl e, Gl uck, vol. 15, pp. 139, 157 sqq.; Vangerow, Pandekten, § 630;
Windscheid/ Ki pp, § 379. For a contrary vi ew, see e. g. Ex parte Smith 1940 OPD 120 at
126 sq.
231
The fathers of the BGB, however, deviated from what they perceived to be the Roman
law (and thus, in reality, returned to the position in cl assical Roman law) by treating the
transaction as a loan: "if fungibles are deposited in such manner that the ownership is to pass
to t he deposit ary, and he is t o be bound t o ret urn t hi ngs of t he same ki nd, quality and
quantity, the provisions relating to loan for consumption apply. . . . " Cf. also §§ 83, 84 I 14
PrALR; di fferent ly, artt. 484, 445 OR. The code civil is sil ent on this poi nt (adopti ng,
probably, the opinion of Pothier, Traite du contrat de depot, n. 83, that Іп modem law there
is no practical difference between the two views).
232
On t he renai ssance of deposit banki ng i n t he 12t h cent ury, see A. P. Usher, "The
Origins of Banking: the Primitive Bank of Deposit, 1200-1600", (1932-34) 4 The Economic
History Review 399 sqq.; on the relationship between medieval banking and banking practice
in antiquity, see Raymond Bogaert, Les origines antiques de la banque de depot (1966), pp. 159
sqq. On the history of deposit banking in general, see Endemann, Studien, vol. I, pp. 423
sqq.
233
D. 16, 3, 17 pr.
234
For details, see Pothier, Traite du contrat de depot, nn. 90 sqq. ; Vincenzo Arangio-Ruiz,
"Studi sulla dottrina romana del sequescro", in: Scritti di diritto romano, vol. I (1974), pp. 59
sqq., 89 sqq.; Gerardo Broggini, "Introduction au sequester", in: Melanges Philippe Meylan,
vol. I (1963), pp. 43 sqq.; Litewski, Studien, op. cit., note 141, pp. 47 sqq. Cf. also Maschi,
Contratti reali, pp. 408 sqq. (according to whom only Justinian regarded the conventional
sequestration as a case of deposit. This view is based on excessive textual criticism).
5
Cf. also Paul. D. 16, 3, 6: "Proprie autem in sequestre est depositum, quod a pluribus
in solidum certa condicione custodiendum reddendumque traditur."
236
Cf. Heumann/Seckel, p. 535; Windscheid/Kipp, § 380, n. 2. For the Romans, the
word was derived from "sequi" (cf. e.g. Mod. D. 50, 16, 110 and Broggini, Melanges Meylan,
p. 54).
III. PIGNUS
1. The nature of pignus
"Creditor quoque, qui pignus accepit, re tenetur: qui et ipse de ea ipsa
re quam accepit restituenda tenetur."240 The fourth of the real contracts
was pignus and it entailed the handing over of a thing in order to secure
a debt. Obviously the very same thing had to be restored by the
creditor/pledgee to the pledgor once this underlying debt had been
discharged (or otherwise extinguished). We can be fairly brief in our
discussion; for the most important aspect of pignus was that it gave rise
to a ius in rem, a (limited) real right in the property owned by the
pledgor. Pignus was (and is) the paradigm of real security and as such
it falls outside the ambit of our investigation. 241 In the present context
237
Flor. D. 16, 3, 17, 1; Litewski, Studien, op. cit., note 141, pp. 71 sqq. 2 3 Я Cf., for
example, Ulp. D. 16,3,5, l;Pomp. D. 16,3, 12, 2; Litewski, Studien, op. cit., note 141, pp.
78 sqq.
239
Forjudicial sequestrations (i.e. those made by order of a court in the course of judicial
proceedings), see, however, § 938 ZPO.
240
G ai. D . 44, 7, 1, 6.
241
See, for instance, Heinrich Demburg, Das Pfandrecht nach den Grundsatzen des heutigen
romischen Rechts, 2 vols. (1860, 1864); Rabel, Grundzuge, pp. 157 sqq.; Rodger J. Goebel,
"Reconstructing the Roman Law of Real Security", (1961—62) 36 Tulane LR 29 sqq.; Paolo
Frezza, Legaranzie detle obligazioni, vol. II: Legaranzie reali (1963); Kaser, RPr I, p. 463 sqq.;
idem, "Studi en zum romischen Pfandrecht ", (1976) 44 TR 233 sqq.
242
On the conventio pignoris Max Kaser, "Besitzpfand und 'besitzloses' Pfand" (1979) 45
SDHI 29 sqq.
243
For details, sec Kaser, (1979) 45 SDHI 1 sqq.
244
Cf. Kaser, (1976) 44 TR 262 sq.
245
For det ail s, see, most recentl y, Max Kaser, "Noch mal s zu 'i n boni s habere' ", in:
Huldigingsbundel Paul van Warmelo (1984), pp. 144 sqq.; Hans Ankum, Marjolijn van
GesseUde Roo, Eric Pool, "Die verschiedenen Bedeutungen des Ausdrucks in bonis alicuius
esse/in bonis habere im klassischen romischen Recht", (1987) 104 ZSS 238 sqq. and (1988)
105 ZSS 334 sqq.
246
Max Kaser, "Studien zum romischen Pfandrecht II", (1979) 47 TR 229, 234.
247
Lenel, EP, pp. 231 sqq., 254 sqq.
248
EP, p. 255.
249
Kaser, (1979) 45 SDHI 5 sq.
5
Ulp. D. 13, 7, 9, 4: "Is quoque, qui rem alienam pignori dedit, soluta pecunia potest
pigneraticia experiri." Cf. further e.g. Ulp. D. 21, 2, 38; Paul. D. 13, 7, 16, 1; Marci. D. 13,
7, 32; C. 8, 15, 6 (Diocl.).
251
Schwarz, (1954) 71 ZSS 138 sqq.; F.B.J. Wubbe, Res aliena pignori data (1960), pp. 128
sq., 168 sqq.
252
Ulp. D. 13, 7, 9, 3. Cf. further Uip. D. 13, 7, 11, 2; C. 8, 32, 1; and Kaser, (1979) 47
TR 201 sqq.
158
Cf. Kaser, (1979) 47 TR 221. This formula was probably not contained in the edict.
According to Rene Robaye, "Sanction judiciaire du contrat de gage en droit romain
classique", (1987) 34 RIDA 309 sqq., the actio in ius concepta is of post-classical origin.
159
For a discussion of cases in which the in factum formula did not lead to satisfactory
results and a more flexible instrument was needed, cf. Kaser, (1979) 47 TR 216 sqq.
16(1
C. 8, 27, 20 (Diocl.); cf. e.g. Ulrich von Lubtow, "Catos leges venditioni et locationi
dictae", in: Symbolae Raphael! Taubenschlag, vol. Il l (1957), pp. 329 sqq.
161
Cf. A. Manigk, RE, 20, 1 (1941), col. 1248 sqq.; von Lubtow, Symbolae Taubenschlag, vol.
III, pp. 314 sqq.; Kaser, (1976) 44 TR 244 sqq.; but see, for example, Frezza, Garanzie, vol.
II, 163
pp. 82 sqq.
Kaser, (1976) 44 TR 254 sqq.; but see, for instance, Gyorgy Diosdi, Ownership in
Ancient and Predassical Roman Law (1970), pp. 118 sqq.; Gerhard Schlichting, Die
Ver?igungsbeschrankung des Verpfanders im klassischen romischen Recht (1973), pp. 124 sqq.
25 H
"Bewahrungspfand": Kaser, (1976) 44 TR 253 sq.; idem, RPr I, p. 461, n. 11. A
creditor, incidentally, who used the pledged property without the permission of the pledgor,
committed theft (Gai. D. 47, 2, 55 pr.). Frequently, however, the parties agreed that the
creditor keep the proceeds of the pledged property in lieu of interest; this was known as
avjC\pr\aic (Marci. D. 20, 1, 11, 1). For details, sec Alfred Manigk, Giaubigerbefriedigutig
durch Nutzung (1910); Kaser, (1979)45 SDHI80 sqq.; Henryk Kupiszewski, "Antichrese und
Nutzpfand in den Papyri", in: juris Professio, Festgabe fur Max Kaser (1986), pp. 133 sqq.;
Honsell/ Mayer-Maly/Selb, pp. 202 sqq.
259
Cf. e. g. Tryph. D. 20, 5, 12 pr.; Pap. vat. 9; Marci. D. 20, i, 16, 9.
260
Cf. C. 8, 13, 13; C. 4, 51, 4 (both Diocl. et Max.).
61
For details, see Frank Peters, "Der Erwerb des Pfandes durch den Pfandglaubiger i m
klassischen und im nachklassischen Recht", in: Studien im romischen Recht (1973), pp. 137 sqq.
262
Cf. Ulp. D. 46, 3, 45 pr.; C. 18, 13, 1 (Scv. et Am.); C. 8, 34, 1 (Alex.); cf. Peters,
Studien, op. cit., note 261, pp. 145 sqq., 156 sqq.
263
C T 3 , 2 , 1 ; d . a lso C . 8 , 3 4 , 3 .
264
Peters, Studien, supra note 261 , pp. 161 sqq. However, the pledgee could obtain
resci ssi on of the cl ause only if he was prepared to pay off his debt. This considerabl y
impaired the protective effect of Constantine's provision. Cf. Levy, Obligationenrecht, p. 192.
As far as modern law is concerned, see 1229 BGB: "An agreement made before the existence
of the right to sell, by which the ownership of the thing falls to the pledgee or is transferred
to him, in case he does not, or does not in one time, receive satisfaction, is void."
6S
Alberto Burdese, Lex commissoria e ius vendendi nella fiducia e ne! pignus (1949), pp. 131
sqq.; von Lubtow, Symbolae Taubenschlag, vol. Ill, pp. 321 sqq.; Frezza, Garanzie, vol. II,
pp. 200 sqq.; Kaser, (1979) 47 TR 210 sqq. As far as the transfer of ownership is concerned,
cf. Gai. II, 64; also Ulp. D. 13, 7, 4 and Ulp. D. 41, 1, 46.
266
Apart from that, the pledgor (regularly?) appears to have undertaken not to alienate the
object that had been given as a pledge. Cf. Marci. D. 20, 5, 7, 2 and, for details, Schlichting,
op. cit., note 257, pp. 9 sqq., 27 sqq.; Kaser, (1976) 44 TR 233 sqq., 282 sqq.;
Honsell/ Mayer-Maly/Selb, p. 202.
267
Cf. e.g. C. 4, 24, 4 ("pactum vulgare").
26H
Cf. Ulp. D. 13, 7, 4 and Pomp. D. 13. 7, 5, who both mention a pactum ne veneat. Cf.
Kaser, (1979) 47 TR 213 sq.; von Lubtow, Symbotae Taubenschlag, vol. HI, pp. 325 sqq.;
Buckland/Stein, pp. 476 sq; Hausmaninger/Selb, p. 237; Honsell/Mayer-Maly/Selb, p. 199:
Thomas, TRL, pp. 189 sq., 331; differently Burdesc, op. c it ., note 265, pp. 141 sqq.; Frezza,
Garanzie, vol. II, pp. 200 sqq. The pledgee had to notify the debtor of his intention to sell
the pledge (denuntiatio): C. 8, 27, 4 (Alex.). In post-classical times, three denuntiationes
were required: Levy, pp. 187 sq. Justinian comprehensively regulated and reformed the
procedure: cf. C. 8, 33, 3 for all details.
269
Cf. Pap. D. 13, 7, 42; Marci. D. 20, 6, 8, 10; Pap. D. 20, 4, 17; C. 8, 27, 20 (Diocl.);
Kaser, Quanti ea res est (1935), pp. 78 sqq.
270
For details see Kaser, (1979) 47 TR 212 sq.
271
D. 20, 5, 12, 1; Schwarz, (1954) 71 ZSS 147 sqq.
272
Pap. D. 21, 2, 68 pr.; cf. also Paul. D. 20, 5, 10; Burdcse, op. cit., note 265, pp. 173
sqq.; Frezza, Garanzie, vol. II, pp. 208 sqq.; Kaser, (1979) 47 TR 211 s q . , 224 sq.
273
Cf. Arangio-Ruiz, Responsabilite contrattuale, pp. 138 sqq.; Luzzatto, op. cit., note 53,
pp. 233 sqq.; Alvaro d'Ors, "Observaciones sobre el 'edictum de rebus creditis'". (1953) 19
SDHI 196 sqq.; Norr, (1956) 73 ZSS 84 sqq.; Frezza, Caranzie, vol. II, pp. 241 sqq.; Kaser
(1979) 46 SDHI 70 sqq.; idem, " 'Furtum pignons' und 'furtum fiduciac 1 ", (1982) 99 ZSS
249 sqq.; Hans Ankum, "La responsabilita del creditore pignoratizio nel dineto romano
classico", in: Stndi in onare di Amaido Biscardi. vol. IV (1983), pp. 587 sqq.; Laura Rota,
"Contrast! dottrinari e ipotesi di studio in tema di responsabilita del creditore pignoratizio",
in: Studi in onore di Arnaldo Biscardi, vol. V (1984), pp. 329 sqq.; Robaye, (1987) 34 RIDA 311
sqq. On the closely related question of who could bring the actio furti (and thus receive
duplum: the pledgee/creditor—on account of his custodia liability or for some other
reason —or the pledgor as owner), cf. the recent contributions by Hans Ankum, "Furt um
pignons und furtum fiduci ae i m kl assischen romischen Recht ". (1979) 26 RIDA 127 sqq.
(1980) 27 RIDA 95 sqq.; J.A.C. Thomas, "Furtum pignons: a commentary on the
commentaries", in: Studi in onore di Cesare Sanfilippo, vol. I (1982), pp. 585 sqq.; G.C.j.J. van
den Bergh, "Custodiae and turtum pignoris", in: Studi in onore di Cesare San?iippo, vol. I
(1982), pp. 601 sqq.; Kaser, (1982) 99 ZSS 249 sqq.; most recently cf. Rene Robaye,
L'obligation de garde. Essai sur la responsabilite contractuelle en droit romain, (1988).
274
Ulp. D. 13, 6, 5, 2; Paul. D. 13, 7, 30 (on this text Watson, Obligations, pp. 182 sqq.);
Pap. D. 20, 1, 2: Ulp. D. 44, 4, 4, 8; Ul p. D. 47, 2, 14, 6.
7 r>
~ Differently Bertha Bergsma-van Krimpen, "Eine neue Interpretation von D. 13, 7,
13", (1979) 26 RIDA 163 sqq.
276
Cf. also Ulp. D. 47, 2, 14, 16; C. 8, 13, 19 (Diocl.).
2/7
Cf. Franz Haymann, "Textkritische Studi en zum romischen Obligationenrecht",
(1919) 40 ZSS 213 sqq.
278
For custodia liability as the general rule in classical law, cf. especially Ankum, Studi
Biscardi, vol. IV, pp. 587 sqq.; at least for late classical law now also Kaser, (1982) 99 ZSS
249 sqq.; cf. also Rota, Studi Biscardi, vol. V, pp. 329 sqq. Contra, most recently, Robaye,
(1987) 34 RIDA 311 sqq., 321 sqq.
279
Inst. Ill, 14, 4; cf. also Ulp. D. 13, 6, 5, 2.
280
Inst. Ill, 14, 4; De Robertis, Responsabilite contrattuale, pp. 345 sqq.
281
Cf. e.g. Accursius, gl. Exactam ad. I. 3, 15, 4; Vinnius, Institutiones, Lib. Ill, Tit. XV,
4; Grotius, Inleiding, III, VIII, 4; Pothier, Traite de S'hypotheke, ch. IV (D M nantissement), III;
Windscheid/Kipp, p. 382; Story, Bailments, p. 332.
2K2
Paul. D. 13, 7, 14: "Ea igitur, quae diligens pater familias in suis rebus praestare solet, a
creditore exiguntur."
283
Justinian merged pignus and fiducia; it Is therefore often difficult to decide with which
of these two forms of security the classical authors in actual fact dealt.
284
Cf. further C. 4, 24, 7, 1 (Gord.).
285
Ul p. D. 13, 7, 36, 1.
286
Cf. further Ulp. D. 13, 7, 9 pr.; Marci. D. 13, 7, 32; C. 8, 15, 6 (Diocl.); Schwarz,
(1954) 71 ZSS I42 sqq.; Stein, Fault, pp. 128 sqq.; Kaser, (1979) 47 TR 223 sqq.
287
Ulp. D. 13, 7, 36 pr.
288
Schwarz, (1954) 71 ZSS 136; Stein, Fault, pp. 137 sq.
The actio de dolo has probably been cut out by the compilers; Ulpian originally wrote
this text in the course of a commentary on the actio de dolo (11 ad ed.).
290
Cf. also Ulp. D. 13, 7, 1, 2.
291
Cf. further Pa ul. D. 46, 1, 54.
293
Pomp. D. 13, 7, 3. On this text Schwarz, (1954) 71 ZSS 160 sq. and especially Kascr,
(1979) 47 TR 227 sq., vindicating it for classical law against a variety of interpolation
hypotheses (e.g. Frezza, Garanzie, vol. I, p. 295; d'Ors, (1953) 19 SDHI 191).
293
Besides, the actio furti (possessionis) and the actio ad exhibcndum are applicable.
294
C. 8, 26, 1, 2; Enzo Nardi, Studi sulla ritenzione in diritto romana, vol. I (1947), pp. 203
sqq.; cf. also Story, Bailments, pp. 304 sq.
1
De Zulueta, Sale, p. III.
2
Cf. Ulp. D. 14, 3, 5, 15; Ulp. D. 19, 1, 11, 6; on the history of arrha, see Pringsheim,
Sale, pp. 335 sqq.
3
The German term "Draufgabe" is misleading in view of what is set out infra, note 8. The
term "Handgeld" (Windscheid/Kipp, § 325) is more apposite.
4
For a recent overview, see M. McAuley, "One Thousand Years of Arra", (1977) 25
McGitl LJ 693 sqq.
230
5
Gai. Ill, 139.
0
7
Gai. D. 18, 1, 35 pr.
Cf., in this sense,also § 336 I BGB.
B
Ulp. D. 19, 1, 11, 6; Knutel, Contrarius consensus, pp. 37 sqq. Cf. also § 337 I BGB:
"The earnest shall, in case of doubt, be credited to the performance due from the giver, or
when this cannot be done, shall be returned on performance of the contract."
9
10
Cf. esp. Pnngsheim, Sale, pp. 333 sqq.
1
De Zulueta, Sale, pp. 22 sq.
Cf. esp. Mario Talamanca, L'arra delta compravendita in diritto greco e in diritto romarw
(1953), pp. 47 sqq.; Philippe Meylan, "Des arrhes de la vente dans Plaute", in: Melanges
Henri Levy-Bmhl (1959), pp. 205 sqq.; Frezza, Garanzie, vol. I, pp. 299 sqq; Watson,
Obligations, pp.46 sqq.; Geoffrey MacCormack, "A Note on Arra in Plautus", (1971) 6 The
Irish Jurist 360 sqq.
12
Cf. Curmlio, Act V. 1. 612; Pseudolus, Act IV, Sc. VII, 1. 1183, where the seller is given
the choice of delivering the object sold or returning the arrha; further, for example Rudens,
Act13II, Sc. VI, 1. 554 sq.; Mostellaria, Act V, Se. Il, 1. 1099.
For the date of origin of consensual sale (3rd century) cf. Fritz Pringsheim, "L'origine"
des contrats consensuels", (1954) 32 RHAlb sqq.; Alan Watson, "The Origins of Consensual
Sale:
14
A Hyphothesis", (1964) 32 TR 253; Kaser, RPr I, p. 526.
Duckworth, The Nature of Roman Comedy (1952), p. 82.
15
16
McAuley, (1977) 23 McGiU LJ 695.
17
Watson,' Obligations, pp. 49, 51.
On the rise in the use of writing in post-classical sales law, cf. Wulf Eckart Voss, Recht
und Rhetorik in den Kaisercesetzen der Spatantike (1982), pp. 195 sqq.
18
Inst. III, 23 pr.
19
inst. Ill, 23 pr.
20
Cf. e.g. Talamanca, op. cit., note 11, pp. 79 sqq.; Gerard Chalon-Secretan, Les arrhes
de la fente sous Justinien (1954); J. A.C. Thomas, "Arra in Sale in Justinian's Law", (1956) 24
TR 253 sqq.; idem, "Arra reagitata", (І956) Butterworth's South African LR 60 sqq.; idem, "A
Postscript on Arra", (1959) 10 Iura 109 sqq.; Alan Watson, "Arra in the Law of Justinian",
(1959) 6 RIDA 385 sqq.; T. H. Tylor, "Writing and Arra in Sale under the Corpus Juris",
(1961) 77 LQR 77 sqq.; A. M. Honore, "Arra as You Were", (1961) 77 LQR 172 sqq.; Mario
Talamanca, "Osservazioni sull'arra nel dirilto Giustinianeo", in: Melanges Philippe Meylan,
vol. I, pp. 325 sqq.; Joseph M. Thomson, "Arra in Sale In Justinian's Law", (1970) 5 The
Irish jurist 179 sqq.; M.L. Marasinghe, "Arra —Not in Dispute", (1973) 20 RIDA 349 sqq.;
Henryk Kupiszewski, "Quelques remarques sur les vocabula ANTIXPHXI2, APPA,
IIAPAONPHA dans le digest e", (1974) ISJJP 235 sqq.
21
Fachinaeus, Controversiae iuris. Lib. II, Cap. XXVIII.
22
Cf. e.g. Pothier, Traite du contrat du vente, nn. 508 sq.
23
Except that the value forfeited might have counted towards damages. This was
dispute d, too. Cf., toda y, § 338 BGB: "If the perform a nce due from the giver bec omes
impossible because of a circumstance for which he is responsible, or if the rescission of the
contract is due to his fault, the holder of the earnest is entitled to retain it. If the holder of
the earnest demands com pensation for nonperformance, the earnest shall, in case of doubt,
be credited, or if this cannot be done, it shall be returned upon payment of the
com pe nsation." The earnest, in this insta nce, represents a minim um a m ount of liquidate d
dama ges; the function of the earnest is that of a penalty clause.
24
Cf. e.g. Fachinaeus, Joe. cit.; cf. also e.g. Perezius, Praeiectiones, Lib. IV, Tit.
XXXVIII,
5
20.
" For the modern version of arrha poenitentialis, cf. § 359 BGB.
f 7§ 336 BGB.
" The distinction between essentialia, naturalia and accidentialia negotii was developed
in the Middle Ages under the influence of Aristotelian logic. Cf. Helmut Coing, "A Typical
Development in the Roman Law of Sales", in; Gesammelte Aufsatze zu Rechtsgeschichte,
Rechtsphilosophie und Zivilrecht, vol. I (1982), pp. 73 sq.; idem, "Zum Einfluss der
Philosophie des Aristoteles auf die Entwicklung des romischen Rechts", (1952) 69 ZSS 32
sq. 28
Paul. D. 18, 1, 34, 1: "Omnium rerum, quas quis habere vel possidere vel persequi
potest, venditio reete fit."
29
Gai . I l l , 147.
30
C f. al s o P o m p . D . 1 8, 1, 2 0; l a v. D . I S, 1, 6 5 .
31
Po mp. D . 18, 1, 2 0 in fine ; Paul. D . 19, 2, 22, 2.
■ I n t he c a s e o f t h e b u i l d i n g c o n t r a c t , o w n e r s h i p p a s s e d t o t h e "p u r c h a s e r " o n a c c o u n t
of a c ce ssi o ( su pe r fi ci e s sol o ce di t ) a n d not on a c c ou nt of de l i ve r y. W he re t he gol ds mi t h m ad e
t h e ri n g f r o m t he "p u r c h a s e r 's " go l d , w e ar e d e al i n g w i t h a c a se o f sp e ci fi c a t i o . A c c o r d i n g
t o t he S a bi ni a n s, t he "p u r c h a se r " c o nt i n ue d t o be t he o w n e r , w he re a s t h e P r o c ul i a ns s a w t he
go l d s mi t h as a cq ui ri n g o w ne r shi p. O nl y a c c or di n g t o t hi s l at t e r op i ni on w o ul d t he "se l l e r "
h a v e h a d t o ( re ) t r a n s f e r o w n e r s h i p .
33
D e Zulue ta, S a le , pp. 15 sq.
34
C f. "P r o t o k ol l e ". , i n: Mu g d a n , v ol . I I , p. 9 1 9. § 65 1 B G B t he r e fo r e re a d s a s f o l l o w s :
"If the contractor binds himself to produce the work from material provided by him, he shall
deliver the thing produced to the customer and convey ownership in the thing. The
2. Generic sales
(a) The Roman rule and its origin
The most interesting and, from a modern point of view, even startling
exception to the range of possible objects of a contract of sale was
provided by the fact that mere generic sales (or "sales by description")
recognized in Roman law. Things which are normally counted,
measured or weighed and are therefore usually defined by reference to
their genus could, of course, be sold, but only if they were either
specified ("these two amphorae of Tusculan country wine") or if a
whole (specific) stock of such non-specific goods was sold ("all the
wine in my cellar"). 36 Even the sale of generic goods from an identified
source, i.e. from a specified mass or stock, was possible ("ten amphorae
of wine from my cellar"). 37 But the sale of, say, "twenty amphorae of
white wine", or of "a slave", that is, the pure generic emptio venditio,
38
We find it in none of our sources. Cf. Emil Seckel, Ernst Levy, "Die Gefahrtragung
beim Kauf im klassischen romische n Recht", (1927) 47 ZSS 122 sqq.; Buc kland/McNair,
p. 282; De Zulueta, Sale, p. 16; Arangio-Ruiz, Compravendita, pp. 122 sqq. Contra: Franz
Ha yma nn, "Ha be n die Rome n de n Gattungska uf ge ka nnt?", (1928-29) 79 Jhjb 95 sqq.;
Honscli/Mayer-Maly/Selb, pp. 305 sqq.
39
F o r w h a t f o l l o w s , s e e D e Z u l u e t a , S a l e , p p . 2 s q q . ; A r a n gi o - R u i z , C o m p ra v e n d i t a ,
pp. 4 sqq.; Kaser, RPr\, pp. 545 sq. Cf. alsojoseph Ge org W olf, "Barka ufund Haftung",
(1977) 45 TR 12 sq.
40
"From the beginning of the second century B.c. the pulse of trade began to beat too
fast for the leisurely methods which had suited the cautious Roman peasant well enough":
De Zulueta, Sale, p. 5. Hypotheses on the origin of consensual sale and of the origins of the
bonae fidei iudicia in general abound; sec, for instance, Philippe Meylan, "Le role de 1a bona
fides dans le passage de la vente au comptant a ia vente consensuelle a Rome", in: Aequitas
und Bona Fides, Festgabefiir August Simonius (1955), p. 247 sqq. ; Filippo Cancelli, L'origine del
contratto consensuelle di compravendita nel diritto romano (1963), passim; Franz Wieacker, "Zum
Ursprung der bonae fidei iudicia", (1963) 80 ZSS 1 sqq. (cf. also idem, RR , pp. 441 sqq.,
453 sq., 457 sq.); Alan Watson, "The Origins of Consensual Sale: A Hypothesis", (1964) 32
TR 245 sqq.; Luigi La bruna, "Plauto, Ma nilio, Catone: Premesse alio studio dell' 'em ptio'
consensuale", (1968) 14 Labeo 24 sqq.; Jolowicz/Nicholas, pp. 288 sqq.; Diosdi, pp. 44 sqq.
The m ost recent contribution is Watson, Evolution, pp. 12 sqq.
41
The transferee still had to assert that he had bought the object ("Hunc ego hominem ex
iure Quintium meum esse aio isque mihi emptus esto hoc aere aeneaque libra"), which was
as fictitious as the "price" paid, a copper coin which he hande d ove r to the transferor after
he had used it to knock at the scales which the libripens held.
42
Sec kel/Le vy, (1927) 47 ZSS 137 sqq.; Buc kla nd/Mc Nair, pp. 282 sq.
43
For instance, as far as liability for latent defects is concerned; cf. e.g. Seckel/Levy,
(1927) 47 ZSS 136 sq. and, t oday, § 480 BGB, read together with § 243 BGB.
44
Cf. e.g. Rabet, Warenkauf, vol. I. p. 65.
4r>
Cf. e.g. Zweigert/Kotz, Einfuhrung in die Rechtsvergleichung (1st ed.(!), 1971), vol. I, pp.
214 sqq.; Gerhard Kegel, "Verpflichtung und Verfugung", in: Festschrift fur F.A. Mann (1977),
pp. 57 sqq.; Reinhard Zimmermann, "Sittenwidrigkeit und Abstraktion", (1985) Juristische
Rundschau 48 sqq. The principle of abstraction goes back to Friedrich Carl von Savigny; cf.
his Obligationenrecht, vol. II, pp. 254 sqq. and Wilhelm Felgentraeger, Friedrich Carl v, Savignys
Einfluss auf die Obereignungslehre (1927).
46
Cf. e.g. Fritz Schulz, (1932) 52 ZSS 544 sqq.
47
Max Kaser,"Zur 'iusta causa traditionis'", (1961) 64 BIDR 61 sqq.; Gunther Jahr, "Zur
iusta causa tradionis", (1963) 80 ZSS 141 sqq.; Uwe Wesel, "Zur dinglichen Wirkung der
Rucktrittsvorbe halte des romischen Kaufs", (1968) 85 ZSS 100 sqq.; Robin Evans-Jones,
Geoffrey MacCormack, "Iusta causa traditionis", in: New Perspectives in the Roman Law of
Property, Essays for Barry Nicholas (1989), pp. 99 sqq.
Se c, for this argum e nt, Fra nk Pete rs, "Die Versc haffung des Eige ntum s durc h de n
Verka ufer", (1979) 96 ZSS 189.
44
Pom p. D. 18, 1, 8 pr.
50
C f . i n f r a , p p . 6 8 7 s q q . O n t h e s a l e o f a n o b j e c t b e l o n gi n g t o t h e p u r c h a s e r ( s u a e r e i
e m p t i o ) c f . P o m p . D . 1 8 , 1 , 1 6 p r . ( " n o n v a l e t ") ; I u l . D . 1 2 , 6 , 3 7 ; U l p . D . 5 0 , 1 7 , 4 5 p r . ;
A n t o ni o C a r c a t e r r a , "I n c go z i gi u ri di c i s ul l a c o s a p r o p ri a ", ( 1 9 4 0) 1 8 A n n a l i B a ri 1 s q q .;
G i a nne t t o L o n go , "N e go z i gi u ri di ci c ol l e ga t i e ne go z i s u c o s a p ro p ri a ", ( 1 9 79) 4 5 S D MI 9 3
sqq.; C ar me l a R us so Ru g gi e ri , "'S u ae re i e mpt i o c o nsi st e re n o n p ot e st '", i n: S o da t i ta s, S c ri tt i
in onore di Antonio Guarino, vol. VI (1984), pp. 2813 sqq.; Arp, Anfangtiche Unmogtichkeit,
pp.51 95 sq., 122.
Ulp. D. 18, 1, 28; on this text, see David Daube, "Generalizations in D. 18, 1 de
contrahenda emptione", in: Studi in onore di Vincenzo Arangio-Ruiz, vol. 1, pp. 186 sqq.; cf.
also Paul. D. 19, 1, 46.
52
C f . e . g. K a s c r , R P r I , p . 3 8 1 .
53
Gai. I I , 3 sqq.; M arci. D . 1, 8, 6, 2 sqq.; In st. II , 1, 7 sqq.
34
J.A.C. Thomas, "The Sale of Res Extra Commercium", (1976) 29 Current Legal
Problems 139.
35
Cf Pap. D. 41, 3, 44 pr.; ". . . nam freque nter ignorantia liberos cmim us"; Paul. D.18,
1, 5: " . . . quia difficile dinosci potest liber hom o a servo."
36
Stein. Fault, p. 63.
" Cf. e. g. Paul . D. 18, 1, 34, 2.
58
Cf. e. g. Po mp. D. 18, 1, 4.
59
According to the rules relating to eviction; cf. infra, pp. 296 sqq.
60
D. 18, 1, 70. Cf. also Inst. Ill, 23, 5.
fi i
Thomas, (1976) 29 Current Legal Problems 141; cf. also Arangio-Ruiz, Compravendita,
pp, 126 sqq.; Stein, Fault, pp. 62 sqq.; Medicus, Id quod interest, p. 163.
62
V o c i , L' e r ro r e , p p . 1 5 4 s q q . , go e s e v e n f u r t he r a n d a r gu e s t h a t t h e s a l e w a s v a l i d i n
c l a ss i c a l R o m a n l a w .
63
D . 1 1 , 7 , 8 , 1 . F o r a d i f f e r e n t i nt e r p r e t a t i o n o f t h e t e x t , s e e St e i n , F a u l t , p p . 6 8 s q q .
64
D . 18 , 1, 6 2, 1. C f. St e i n, Fa u l t , p p. 7 5 s qq .; Ho nse l l , Q u o d i n t e re st , pp. 10 7 s q. Co nt r a
( "e x e m pt o " i nt e r po l at e d) e . g. A r a n gi o - R ui z , Co m p ra v e n d i t a , p p. 13 2 s q.; M e d i cu s, I d q u o d
interest, pp. 164 sq.; Arp, Anfangliche Unmoglichkeit, pp. 104 sqq.
hist. Ш, 23, 5: "Loca sacra vel religiosa, item publica, veluti forum basilicam, frustra
quis sciens emit, quas tamen si pro privatis vcl profanis deceptus a venditore emcrit, habebit
actionem ex empto, quod non habere ei liceat, ut consequatur, quod sua interest deceptum
eum non esse. idem iuns est, si hominem liberum pro servo emerit." Decipere indicates that
the seller must be guilty of dolus, i.e. the action was granted only where the vendor was
sciens, the purchaser ignorans. In decreeing the same as far as the sale of a liber homo was
concerned, Justinian changed the law; according to classical law, in this instance, the
purchaser could sue even where the seller had also been ignorans.
66
Cf. Rudolf von Jhering, "Culpa in contrahendo, oder Schadenscrsatz bei nichtigen oder
nicht zur Perfektion gelangten Vertragen", (1861) 4JhJb 16 sqq.; Windschcid/Kipp, § 307, n. 5.
67
Cf. e.g. § 122 I: "If a declaration of intention is . . . rescinded under § § - . . , the
declarant shall . . . compensate (the other) party . . . for the da mage which the other . . .
party sustained by relying upon the validity of the declaration, not, however, beyond the
value of the interest which the other . . . party has in the validity of the declaration" (i.e.
positive interest as the limit for the negative interest). Cf. also §§ 179 II, 307, 309 BGB and
Lange, Schadensersatz, pp. 44 sqq.
6S
Cf. Honsell, Quod interest, pp. 87 sqq., 108 sq.; Kaser, RPr I, p. 549.
fi9
In his article referred to supra, note 66.
Hans Dolle, "Juristische Entdeckungen", in: Verhandlungen des 42. Dattschen Juristen-
tages, vol. II (1959), pp. Bl sqq.
1
For a detailed analysis, see Erich Schanze, "Culpa in contrahendo bei Jhering", (1978)
7 lus Commune 326 sqq.
72
On fault in the formation of contract in Roman law generally, see Karl Hcldrich, Das
Verschuldeti beim Vertragsabschtuss im ktassischen romischen Recht und in der spiiteren
Rechtsentwicklung (1924); Stein, Fault, passim.
73
"What is right with regard to the degree of fault for which (a debt or) is responsible
when performing his contractual obligation, is also applicable if one of the contracting
parties has neglected the duties incumbent on hi m in concluding t he contract."
74
Cf., for exa m ple, Ha ns Stoll, "Tatbesta nde und Funktionc n der Ha ftung fur culpa in
contrahendo", in: Festschrift fur Ernst von Caemmerer (1978), pp. 435 sqq.; Dieter Medicus,
"Verschulden bei Vertragsvcrhandlungen", in: Gutachten und Vorschldge гиг Uberarbeitttng des
Schuldrechts, vol. I (1981), pp. 479 sqq.; Peter Gottwald, "Die Haftung fur culpa in
contrahendo", (1982) Juristische Schulung 877 sqq.
75
This is § 831 BGB, dealing with vicarious liability. See infra, pp. 1125 sq.
76
Cf., in particular, Claus-Wilhelm Canaris, Die Vertrauenshaftung im deutschen Privatrecht
(1971); idem, "Schutzgesetze—Verkehrspflichten—Schutzpflichten", in: (Zweite) Festschrift
fUr Karl Larenz (1983), pp. 27 sqq.
77
Cf. e.g. § 45 of the Czech BGB (1950): "A party who has negligently or intentionally
caused a legal transaction to be invalid, is bound to com pensate for the damage suffered by
the other party in relying on the validity of the c ontract"; artt. 1337 sq. c odice civile. For
com parative vie ws on c ulpa in c ontra he ndo, see Rudolf Nirk, "Re chtsvergleiche ndcs ги г
Haftung fur culpa in c ontra he ndo", (1953) 18 RabelsZ 310 sqq.; Friedric h Kesslcr, Edith
Fine, "Culpa in Contra he ndo, Bargaining in Good Faith, a nd Freedom of Contract: A
Com parative Study", (1964) 77 Harvard LR 401 sqq.; Friedrich Ke ssler, "Der Schutz des
Vertrauens bei Vertragsverhandlungen in der neueren amerikanischen Rechtsprechung", in:
Festschrift fur Emst von Caemmerer (1978), pp. 873 sqq.; Stoll, Festschrift von Caemmerer,
pp. 435 sqq.
78
CLV sqq., 146 sqq.
79
For details of the development, see Volker Kurz, " 'Emptio rei speratae' 'pura' oder 'sub
condicione'?", (1974) 20 Labeo 195 sqq.
8(J
Arangio-Ruiz, Compravendita, pp. 118 sqq.; Masi, Condizione, pp. 63 sqq., 158 sqq.,
224 sq.; Alfredo Calonge, "En torno al problema de la retroactividad de la condicion en el
derecho clasico", in: Studi in onore di Edoardo Votterra, vol. Ill (1969), pp. 158 sq.; Thomas,
TRL, p. 282; unconvincing Kurz, (1974) 20 Labeo 194 sqq., 199 sqq., according to whom
the emptio rei speratae was a n unconditional sale.
81
Cf. infra, pp. 730 sq.
82
Nicholas, Introduction, p. 173.
83
But cf. Dennis Paling, "Emptio spei and emptio rei speratae", (1973) 8 The Irish Jurist
178 sqq.
84
Cf. e sp. Pom p. D. 18, 1, 8, 1.
a5
But cf. the famous case submitted to the Delphic oracle (Plutarch, Vitae, Solon, 4, 1
sqq.; cf. the discussion by Pothier, Traite du contrat de vente, n. 6; Herbert William Parke,
D.E.W. Wormell, The Delphic Oracle, vol. I (1956), pp. 110 sqq.; David Daube, "Purchase
of a Prospective Haul", in: Studi in onore di Ugo Enrico Paoli (1955), p. 203). Some Milesians
bought from some fishermen the next haul of their net. It proved to include a golden tripod.
Had the purchasers bought only such fish as might be caught or the haul, whatever it might
contain? The Pythia awarded the tripod to neither of the parties but to the wisest man that
could be found. It was sent to Thalcs of Miletos, the Ionian philosopher and natural scientist,
who, however, declined to accept it and sent it to another philosopher, whom he considered
wiser than himself. On the same argument the tripod passed through the hands of all the
Seven Wise Men (tradition refers to Kleobulos of Lindos, Solon of Athens, Chilon of Sparta,
Thales of Miletos, Pittakos of Mitylene, Bias of Priene and Periandros of Korinthos as the
septem sapientes), until it was realized that no mortal was as wise as Apollo. Hence it was
sent to the temple of Apollo at Delphi and dedicated to that god (that is, the master of the
Delphic oracle, to whom the case had originally been submitte d).
a
"Certainty of Price", in: Studies in the Roman Law of Sale in memory of Francis de Zulueta
(1959), p. 12. For another practical example, see the sale of a vindemia pendens, as related
by Plinius, Epistulae, Lib. VIII, 2; cf. J.E. Spruit, "Schikanen anlasslich eines Traubenkaufs", in:
Satura Roberto Feenstra oblata (1985), pp. 158 sqq.
H7
Cf. Cels. D. 19, 1, 12.
m
Cf. Suetonius, De vita Caesarum, Nero, XI, 4, describing what was thrown to the
streets at the occasion of one of Nero's entertainments. Another legal problem arising from
the throwing of largesse (acquisition of ownership) is discussed in Gai. D. 41, 1, 9, 7 and Inst.
II, 1, 46. For further discussion, see Daube, Studi Paoli, pp. 205 sqq.; Liebs, RR, pp. 165 sq.;
Ferenc Benedck, "'Iactus missilium'", in: Sodatitas, Scritti in onore di Antonio Guarino, vol. V
(1984), pp. 2108 sqq.
H9
Daube, Studi Paoli, p. 205.
90
Pomp. D. 18, 1 , 8, 1. The classidty of this text has been vindicated by Max Kaser,
"Erbschaftskauf und Hoffnungskauf", (1971) 74 BIDR 47 sq.; cf. also already Daube, Studi
Paoli, pp. 204 sqq. and J.A.C. Thomas, "Venditio herediiatis and emptio spei", (1959) 33
Tulane LR 541 sqq. Cf. also Ulp. D. 19, 1, 11. 18.
91
I f t he v e n d o r f ai l e d t o m a ke a de ce nt e ff o rt t o pr o c u re t he obj e ct , he w as l i a bl e ( u n de r
t he a ct i o e mpt i ) fo r da m a ge s, t o be e st i m at e d ac c or di n g t o t he spe c ul at i ve val ue of t he c at ch:
c f . C e l s. D . 1 9 , 1 , 1 2 .
42
C f . e . g. P a p . D . 3 9 , 5 , 2 9 , 2 ; D i o c l . C . 8 . 3 8 , 4 . T h e i m m o r a l i t y o f s u c h t r a n s a c t i o n s
i s base d on t he de si re on t he part of t he acq ui re r t o see hi s spe s he re dit at i s m at e ri al iz e as soon
a s p o s si b l e . Se e , t o o , P a u l D . 1 8 . 4 , 7,
l a v. D . 1 8, 4, 8 ; P a ul . D . 1 8 , 4 , 9. T hi s w a s t he o t he r gr o u p o f t e xt s, o n w h i c h J he r i n g
b a s e d hi s c u l p a i n c o n t r a h e n d o t h e o r y; c f . s u p r a , p p . 2 4 4 s q.
94
P a u l . D . 1 8, 4, 1 3.
915
T he nor m al mo de of tran sfe r w as in iure ce ssio he re ditatis; se e V oci, D E R, vol. I ,
pp. 98 sqq.; Kase r, R Pr I , pp. 722 sq.
96
O n e c a n t hi n k , f o r i n s t a n c e , o f a R o m a n w h o h e a r s t h a t h i s u n c l e i n A t h e n s h a s d i e d.
He i s sure t hat hi s uncl e has i nst i t ute d hi m as hi s he i r. Bei n g sh ort of mo ne y, he sel l s hi s spe s
he re ditatis. A s the pu r c ha se r be ars t he ris k of t he ve nd o r n ot h a v in g be co me he ir, t he
p u r c h a s e p r i c e w i l l , h o w e v e r , n o t b e v e r y h i gh . C f . K a s e r , ( 1 9 7 1 ) 7 4 B I D R 5 5 .
97
C f. T h o m a s , ( 1 9 5 9) 33 Tu l a n e LR 5 4 5 s q q . a n d e s pe c i al l y M a x K a se r , "E r bs c h a f t s k a u f
und Hoffnungskauf", (1971) 74 BIDR 50 sqq.
'''" Paul- D. 18, 1, 1, 1; Gai. I l l , 141. Cf. e.g. Arangio-Ruiz, Comprat'endita, pp. 134 sqq.;
David Daube, "The Three Quotations from Homer in Digest 18, 1. 1, i", (1949) 10
Cambridge LJ 213 sqq.
99
Paul. D. 18, 1, 1, pr.
1 (1
" For a discussion, see Herman van den Brink. The Charme of Legal History, 1974,
pp. 79 sqq.; Altons Burge, "Geld- und Natural wirtschaft im vorklassischen und klassischen
romischen Recht". (1982) 99 ZSS 142 sqq.
1 (11
For details of the development, see Burge, (1982) 99 ZSS 128 sqq.
1(12
Gai. Ill, 141.
w3
Paul. D. 18, 1, 1, 1; cf. also Paul. D. 19, 4, 1 pr.
104
For i nst ance: t he purchaser had t o t ransfer ownershi p, t he vendor onl y had to
afford habere licere; the purchaser could avail himself of the actio empti if he was evicted.
Cf. infra, pp. 296 sqq.
105
"Absurdum videri": Gai. Ill, 141.
106
Gai. Ш, 141 in fine.
107
Seckel/Levy, (1927) 47 ZSS 133.
108
Pomp. D. 19, 1, 6, 1.
109
lav. D. 18, 1, 79.
110
§ 515 BGB. In other codifications, a distinction is recognized as far as remedies for eviction
arc concerned (under a contract of exchange a party that has been evicted may either claim
damages or restitution of the thing delivered; cf. e.g. art. 238 OR); in the code civil the
provisions relating to rescission for lesion do not apply to exchange: art. 1706. For further details
and analysis, see T.B. Smith, "Exchange or Sale?", (1974) 48 Tulane LR 1031 sqq; A.D.M.
Forte, "A Civilian Approach to the Contract of Exchange in Modern Scots Law", (1984) 101
SALJ 691 sqq; R.L. Purves, "Asset-Transfer Contracts", 1987 Respotisa meridiana 237 sqq.
" Cf. e.g. § 472 I BGB, which provides with regard to the actio quanti minoris (on which
see infra, p. 318): "In case of reduction, the purchase price shall be reduced in the proportion
which, at the time of the sale, the value of the thing in a condition free from defect would have
borne to the actual value." For further criticism, see Theo Mayer-Maly, "Dogmengeschich-
tliches
112
zu BGHZ 46, 338", in: Festschrift fur Karl Larenz (1973), pp. 673 sqq.
The relation is different, for instance, if A and В swop their motorcars (A's car being
worth 9 000 rand, B's 10 000 rand) and A has to throw in 1 000 rand as a makeweight. The
crucial factor in determining the type of contract is the intention of the parties: cf. e.g. Voet,
Commentarius ad Pandectas, Lib. XVIII, Tit. I, XXII; Kerr, Sale and Lease, pp. 23 sqq. See
further
113
Smith, (1974) 48 Tulane LR 1034 sqq; Forte, (1984) 101 SALJ 693 sqq.
For details, see H.P. Westermann, in: Munchener Kommentar, vol. Ill 1 (2nd ed., 1988),
§ 515,
1
n. 4.
Ulp. D. 18, 1, 36. For a comprehensive discussion of this text, see David Daube, Studi
Arangio-Ruiz,
1
vol. I, pp. 192 sqq.
Cf. Ulp. D. 19, 2, 46 (dealing, however, with locatio conductio); Pothier, Traite du
central de vettte, n. 19.
116
But sec Michel, Gratuite, pp. 244 sqq.
3. Pretium certum
(a) Borderline cases
The certainty requirement, on the other hand, led to a couple of very
interesting borderline cases; for "certum pretium" was not taken to
imply that the parties must necessarily name the actual figure. Thus we
find the following statement by Ulpianus: "Huiusmodi emptio 'quanti
tu eum emisti' . . . valet." Reason: ". . .magis enim ignoratur, quanti
emptus sit, quam in rei veritate incertum est."117 In this example the
purchaser does not know the price. He seems to be very keen to have
the object, whereas the vendor just has an interest not to sell at a loss.
Perhaps he does not remember what he once had to pay for it when he
himself bought the thing; hence, the parties do not specify a sum, but
fix the price at "whatever sum the vendor has bought it for". Here the
price is objectively certain, and this was sufficient for the validity of the
sale. The fact that the parties did not know the actual amount, did not
matter. In other words: the price had to be certum in the sense of at least
being ascertainable. Whether the same holds true in the other example
given in D. 18, 1, 7, 1 ("quantum pretii in area habeo") is very
doubtful.118 First of all: do the parties really deserve protection for what
can only be described as a gamble? What sober motive could induce a
purchaser to promise whatever he happens to have in his safe as the
purchase price? More importantly, though, there is, of course, the
possibility that no money at all appears to be in the safe. In that case
the sale cannot conceivably be valid. It is, one can say, a chance (alea)
that the purchaser is substituting for a real price. Whilst, however, one
might be able to buy or sell a chance ("emptio spei"), it can hardly have
been regarded as possible to pay with a chance. After all, the price had
to consist in money. There are thus, I think, strong reasons for
regarding this second example as spurious.
We are back on safer ground with regard to the situation where a
piece of land was sold for a certain figure, plus the possible profit made
by a resale:
"Si quis ita emerit: 'est mihi fundus emptus centum ct quanto pluris eum vendidero',
valet venditio . . .: habct enim certum pretium centum, augebitur autem pretium, si
pluris emptor fundum vendiderit."ny
This contract is valid, the price being centum and hence certum. The
possible future payment is merely a subsidiary duty, also enforceable
with the actio venditi, but not rendering the price uncertain. It has been
suggested that transactions of this type are impractical: the vendor
117
D. 18, 1, 7, 1.
ия
For a detailed analysis, see David Daube, "Certainty of Price", in: Studies in the Roman
Law of Sale in memory of Francis de Zulueta (1959), pp. 9 sqq. Cf., however, alsoJ.A.C.
Thomas, "Marginalia on certum pretium", (1967) 35 TR 77 sqq., who comes to the
conclusion that the two cases can "in fact stand perfectly well together".
119
Ulp. D. 18, 1, 7, 2; cf. also Ulp. D. 19, 1, 13, 24.
4. Pretium iustum
(a) The Roman attitude
The price had to be meant seriously and it had to be certain. It was not
a requirement for the validity of a contract of sale that the price be just
or fair.134 This is a reflection of the liberalistic (rather than paternalistic)
^ § 3 1 7 I BG B.
127
If the third party is to determine the performance in an equitable manner (which is to be
presumed): § 319 I BGB.
1 8
If the third party may make the decision at his discretion: § 319 II BGB. There can be
no judicial substitution for or control of a discretionary declaration of this kind.
1 c
' § 315 I BGB. § 315 III provides: "If the determination is to be made in an equitable
manner, the determination made is binding upon the other party only if it is equitable. If it
is inequitable, the determination is made by court decision; the same applies if the
determination is delayed."
130
The pandectists tended to interpret "impcrfectum" in Gai. D. 18, 1, 35, 1 not as
invalid, but as (validly concluded but) not yet effective- On the pandectist doctrine with
regard to determination of the purchase price by either one of the partners to the contract or
a third party, ьсе Windscheid/Kipp, § 386; Hans-Joachim Winter, Die Bestimmtmg der
Leisliing durch den Vertragspartner oder Dritte (§§ 315 bis 319 BGB) ur.ter besondert'r
Berucksichtigung der Rechtsprechung tmd Lehre des 19. Jahrhunderts (unpublished Dr. iur. thesis,
Frankfurt, 1979), passim.
131
Cf. already Windscheid/Kipp, § 386, n. 5 d.
For details, see Kerr, Sale and Lease, pp. 26 sqq. and e.g. Adcorp Spares PE (Pty.) Ltd. v.
Hydromulch (Pty.) Ltd. 1972 (3) SA 663 (T) (with reference, i . a. , to Vinnius, Institutiones 3,
24, 1, and Voct, 18, 1, 2).
133
Johannes van der Lip v. De Weduwe en boedelhoudster van Adolph Snelierwaart (cf. Van
Bynkershoek, Observations Tumultuariae, n. 1558, but particularly the report in (1975) 92
SALJ 278 s q . ) ; on this decision and its (possible) im plications, see H.J. Erasm us, P. van
Warmelo, D. Zcffcrtt, "Pretium certum a nd the Hooge Raa d", (1975) 92 SALJ 268 sqq.
134
On iustum pretium generally, see Theo Mayer-Maly, "Der gerechte Preis", in:
Festschrift fur Heinrich Demelius (1973), pp. 139 sqq.
139
Cicero, De offiais, 3, XVII —68.
140
Paul. D. 50, 17, 144. A similar attitude (and not as has often been alleged: cf. e.g.
Leonhard Freund, Lug und Trug unter den Germanen (1863), passim, a higher moral standard)
can be found i n t he ol d Germani c l aw. Here t he words for "t auschen" (exchange) and
"tauschen" (deceive) have the same etymological root; a horse-dealer was called rosriuschaere
('l Rosstduscher"). The basic principle was "Jeder Kaufman» labt seine Ware. Loben und bieten
gehort гит Kauf (Every merchant praises his goods. Puffing and bidding are part of the
game). Cf. Andreas Wackc, "Circumscribere, gerechtcr Preis und die Arten der List",(1977)
94 ZSS 202. As far as English law is concerned, see, for instance, Smith v. Hughes (1871) LR
6 QB 597 at 603: ". . . the question is not what a man of scrupulous morality or nice honour
would do under such circumstances."
141
Cicero. De qfficiis, 3, XXIII —57.
4
Cf. e.g. Conradus Rittershusius, Differentiarum iuris civilis et canonici sen Porttificii Htm
septem (1638), Lib. Ill, Cap. X: ". . . ilia industna et solertia et vigilantia in rebus propnis et
suis commodis augendis . . . est homini naturahs ct laudabilis potius quam vitupcranda."
143
For a similar, very interesting case cf. Laidlaw v. Organ 4 US (2 Wheat) 178 (1817) as
discussed by Zweigert/Kotz, vol. II, p. 125. During the war of 1812-14 between England
and the United States, and as a result of the British blockade, the tobacco prices in New
Orleans had fallen drastically. One morning the plaintiff learnt that a treaty of peace had been
signed in Ghent; he immediately proceeded to buy a great quantity of tobacco from the
defendants, who were unaware of these developments. The tobacco price, as was to be
expected, subsequently rose by some 50 %. Chief Justice Marshal upheld the contract. For
England,
1 4
see Smith v. Hughes (1871) LR 6 QB 597.
Theo Mayer-Maly. "Privatautonomie und Vertragsethik im Digestenrecht", (1955) 6
/ига 128 sqq.; Wacke, (1977) 94 ZSS 184 sqq.
145
Cf., for example, Gliick, vol. 17, p. 19; Erich Genzmer, "Die antiken Grundlagen der
Lehrc vom gcrechten Preis und der laesio enormis", in: Deutsche Landesreferate гит II.
Intemationalen Kongress fur Rechtsvergleichung im Haag (1937), pp. 36 sq.
IJ
'' Wacke. (1977) 94 ZSS 202 sqq., who also (pp. 198 sq.) draws attention to the fact that
some haggling took place as a matter of course and commercial practice before a contract of
sale was concluded. The parties usually took their time before they reached an agreement: on
the weekly market days (dies nun din a rum) no work was done on the farms. (The nundinae
are apparently derived from the word tor haggling.) The initial offer of the vendor could
therefore not ha ve created a rea sonable expectation that the object wa s really worth this
price. A philosopher su ch a s Cicero look ed down on the mercatores a nd fou nd their
occu pa tion "sordid": "nihil enim prohcia nt, nisi a dmodu m mentia ntur" (Dc offic iis. 1,
XL1I—150). As far as the bargaining process is concerned, cf. also C. 4. 44, 8 (Diocl.): " . . .
quod videlicet si contractus emptioms atque venditionis cogitasses substantial]} et quod
emptor viliori comparandi, venditor canori distrahendi votum gerentes ad him с contractum
accedam vixquc post multas contentiones paulatini venditore de eo quod petierat detrahente,
emptore au tem huic qu od obtu lera t a ddenre, a d certu m consentiant pretiu m. . . . " For
details about prices in Italy and the African provinces, see R. Duncan-Jones, The Economy of
the Roman Empire, Quantitative Studies (1974), pp. 63 sqq.
14
"The formal equality ot Romans before the law beca me a shield behind which the
mercantile economy of Rome could operate with greater confidence": Frier, Ronuiti jurists,
p. 192.
14M
Cf. supra, pp. 166 sqq
141
Mutuum differed from sale in that it was a strictly unilaterally binding contract in
Roma n la w. Interest could be promised only by wa y of a separate stipulation. Cf. su pra,
pp. 154 sq.
b
" For an analysis in English, see John P. Dawson. "Economic Duress, and the Fair
Exchange in French and German Law". (1937) 12 Titlanc LR 48 sqq.; idem, "Unconscion-
able Coercion: The German Version". (1976) H9 Harvard LR Ш52 sqq. As lar as English law
is concerned, cf. e.g. Lloyds Bank Ltd. v . Bundy |1975] QB 326 (CA) at 337 (per Lord
Denning MR).
151
On its history, see Zimmermarm, Moderationsrecht, pp. 147 sqq.; Klaus Luig.
"Vertragsfreiheit und Aquivalenzprinzip lm gemcinen Recht imd im BGB", in: Festgabe fur
Helmut Going (1982), pp. 171 sqq.
""" Cf. e.g. Franz Wieacker, Das Sozialmodt'll der klassischen Privatrechtsgeseizbiicher und die
Etttwicktung der modernen Gesellschaf! (1953).
- Joseph Story, Commentaries on Equity Jurisprudence (11th ed.), vol. I (1873), § 244. On
the age ot freedom of contract and its intellectual background, see, above all, Atiyah, Rise
and Fall, pp. 219 sqq.
154
The term was introduced by the glossators.
lib
C. 4, 44. 2. The other text is C. 4, 44, 8. a long and involved piece of legal
draftsmanship ("Si voluntate tua fundum tuum filius tuus venumdedit, dolus ex calliditate
atque insidns emptoris argui debet vel metus mortis vel cruciatus corporis imminens detegi,
nc habeatur rata venditio. hoc enim solum. quod paulo minori pretio fundum venumdatum
significas, ad rescindendam emptionem invalidum cst. quod videlicet si contractus emptionis
atque venditionis cogitasses substantiam et quod emptor vilion comparandi, venditor carion
distrahendi votum gerentes ad hunc contractum accedant vixque post multas contentiones,
paulatim venditore de со quod petierat detrahente. emptore autem huic quod obtulerat
addente. ad certum consentiant pretium, profecto perspiceres neque bonam fidern, quae
emptionis atque venditionis conventionem tuetur, pati neque ullam rationem concedere
rescindi propter hoc consensu finitum contractum vel statim vel post pretii quantitatis
disceptationem: nisi minus dimidia iusti pretii, quod fuerat tempore venditionis, datum est,
electione
ft
iam emptori praestita servanda").
The question is much disputed. Arguing in favour of interpolation atfecting the
substance of the text cf.. for example, Rene Dekkexs, La lesion hwrme (1937), pp. 16 sqq.:
Genzmer, op. cit., note 145, pp. 55 sqq.: A.J.B. Sirks. "La laesio enormis en droit romain et
byzantin", (1985) 53 TR 291 sqq.; Hannu Tapani Klami. " 'Laesio enormis' in Roman Law",
(1987) 33 Labeo 48 sqq.; cf. also idem. Roman Law and Hardship (1987), pp. 156 sqq.; contra
e.g. Karoly Visky, "'Die Proportionality von Wert und Freis in den romischen
Rechtsquellen des III. Jahrhmiderts". (1969) 16 RID A 374 sqq.. 385 sqq.; cf. now also idem,
Spuren, pp. 24 sqq.; Karl Hackl, "Zu den Wurzcln der Anfcchtung wegen laesio enormis".
(1981) 98 ZSS 147 sqq. Alan Watson. "The Hidden Origins of Enorm Lesion", (1981) 2
Journal of Legal History 186 sqq.. finds that "it is simply logically impossible to provide [an
answer]"; in che same vein, Klami ((1987) 33 Labeo 63; Roman Law and Hardship, p. 172)
states: ". . . the riddle of laesio enormis cannot be solved. I suppose." For an analysis of the
argu ments pro and contra interpolation, see also Walter de Bondt, "Lesion in the Roma n
Law of Contracts", V)79 Juridical Review 45 sqq.
b7
This point is emphasized by Kla mi, (1987) 33 Labeo 55 sqq.
158
Cf. e.g. Ka ser, RPr II, p. 389.
159
CT 3, 1, 1 (a. 319); 3, 1 , 4 (a. 383); 3, 1, 7 (a- 396). On the impact of these provisions
on early medieval la w, cf. Kenneth S. Ca hn, "T he Roma n and Fra nkish Roots of the Ju st
Price of Medieval Canon Law", (1969) 6 Studies in Medieval and Renaissance History 6 sqq.,
43 sqq.
ш
Typical for his approa ch to la w, e.g. Coll. XV, III, 2: "Ma ximi enim criminis est
retractare quae semel ab antiquis statuta et definita suu m statu m et cursurn tenent ac
possident."
lf>1
Cf. e.g. C. 4, 44, 4 and C. 4, 44, 3, both also attributed to Diocletian; they are not in
harmo ny with C. 4 , 44 , 2 a nd 8 .
16
-For details, see Hugo Blumner, "Der Maximaltarif des Diokletian vom Jahr 301, 1893",
in: 72 Preussische Jahrbikher 453 sqq.; Graser, The Edict of Diocletian on Maximum Prices (1940);
Siegfried Lauffer (ed.), Diokletians Preisedikt (1971); Marta Giacchero (ed.). Edictum Diocletiani
et Collegarum de pretiis rerum venaliwn (1974).
In the second ha lf of the 3rd century, the prices a pparently rose by something lik e
800 %; in Egypt one unit of wheat seems to have cost 12-15 drachmai between A . D . 200 and
250, but 120 000 drachmai in about 300 B.C. For details, see Fritz Heichelheim, "Zur
Wahrungskrise des romischen Imperiums im 3. Jahrhundert n. Chr.". (1933) 26 Klio 96 sqq.;
Gunnar Mickwitz, Geld und Wirtschaft im romischen Reich des vierten Jahrhunderts n. Chr. (1932),
pp. 45 sqq.; Jones, The Roman Economy (1974), pp. 187 sqq.; Jean-Pierre Callu, La politique
monetaire des empereurs romains de 238 a 311 (1969), pp. 196 sqq.; Michael H.
Crawford, "Finance, Coinage and Money from the Severans to Constantino", in: AKRW,
vol. II, 2 (1975), pp. 567 sq.; De Martino, Wirtschaftsgeschichte, pp. 391 sqq.: Klami, Roman
Law and Hardship (1987). pp. 117 sqq., 130 sqq.
1(14
For instance: 1 pound (— 327 g) of pork: 12 denarii. 1 pound of beef: 8 denarii, a
chicken: 30 denarii, one fatted hen-pheasant: 200 denarii, half a litre of beer: 4 denarii, 20
cucumbers or 20 big edible snails: 4 denarii. A barber was allowed to take 2 denarii for a
haircut, a primary teacher could charge 50 denarii per month and pupil, a teacher of
grammar 200, of rhetoric 250 denarii.
163
Praefatio, 18; cf. also Lactantius, De mortibuspersecutorum, 7, §§ 6 sq.: "Idem cum variis
iniquitatibus immensura faceret caritatem, legam pretiis rerum venahum statuere conatus
est. Tune ob exigua et vilia multus sanguis effusus, nee venale quicquam metu apparebat et
caritas multo detenus exarsit, donee lex necessitate ipsa posrmultorum exitium solveretur."
I6<J
Which was, incidentally, not very successful and seems to have hardly outlived the
Emperor who enacted it: cf. e.g. Ernst Schonbauer, "Untersuchungen iiber die
Rechtsentwicklung in der Kaiserzeit", (1955-56) 9/10 JJP 53 scjq.
167
De Bondt, 1979 Juridical Review 50, 52, 55 further argues that, whereas Diocletian's
main aim (pursued by means of his edictum de pretiis rerum venalium and his reforms of the
fiscal system) was to stabilize the value of the money and to combat inflation, the recognition
of16fi
laesio enormis would have had the opposite effect.
Cf. the clause "humanum est" in C. 4, 44, 2. On humanity in Roman Law, sec Schulz.
Principles, pp. 189 sqq.; Heinz Haffter, "Die romischc Humanitas", in: Hans Oppermann
(ed.), Romische Wertbegriffe, (1983), pp. 468 sqq.; Henryk Kupiszewski, "Humanitas et lc droit
romain", in: Maior viginti quinque annis, Hssays in commemoration of (he sixth lustrum of the
Institute for Legal History of the University of Utrecht (ed. J,E. Spruit, 1979), pp. 85 sqq. Cf. also,
more specifically, on humanitas and the regulation of labour relations, Johannes Michael
Rainer, "Humanitat und Arbeit im mmischen Recht", (1988) 105 ZSS 745 sqq. For a very
sceptical view ot the "humanitas" displayed in C. 4, 44, 2, see De Bondt, 1979 juridical Review
58шsq.
Cf. e.g. A.H.M. Jones, The Decline of the Ancient World (1966), pp. 114, 154 sqq.,
175 sqq.
170
Cf. e spe ci al l y De kke rs. op. cit ., not e 156. pp. 66 sqq.; R.W.M. Di as, "Lae si o
Enormis. The Roman-Dutch Story", in: Studies in the Roman Law oj Sale in memory of Francis
de Zulueta (1959), pp. 46 sqq.; Wolfgang Georg Schulze, Die laesio enormis in der deutschen
Primtrechtsgeschichte (unpublished Dr. iur. thesis, Minister, 1973).
171
According to §§ 59, 69 I 11 PrALR, only to the purcha ser.
1 2
For a comprehensive discu ssion sec Gluck, vol. 17, pp. 27 sqq.
ьл
Or only valuable movables: Voct, Commentarius ad Pandectas, Lib. VIII, Tit. V, XII.
174
For details, see Gluck, vol. 17, pp. 120 sqq.
lo
For a comprehensive discussion, sec. again. Gluck, vol. 17. pp. 35 sqq. He quotes
(inter alia!) Azo, Accursius. Bildus. Bartolm. Gutierrez, Covarruvias, Gomezius, Augustin
Barbosa, jacobus Curtius. Johannes Voet. Gottlieb Gerhard Тишь, Samuel von Cocceji and
Darjes for the one opinion, Molinaeus, Cu|acius. Duarenus, Donellus, Merenda. Ferezius,
Tulden. Bockelmann and Johann Ulnch von Cramer for the other. Ct. also the discussion by
Calm, (1969) 6 Studies in Medieval and Renaissance History 21 sqq.
1
This wa s the preva iling opinion trom about the 16th century onwards; ct. e.g.
Molinaeus, "Tractatus contractuum et usurarum", in: Opera omnia (Famiis. 1 6 8 ] ) . Quaest.
XIV, n. 175: Grotius. Inleiditiy. I I I . LI1. 2; Lauterbach. Collegium theoretuo-pniaicum, Lib.
XVIII, Tit. V. X: c (. fu rther bia s. Studies De Zulucta. p. 52. "
' For a discussion of further problems and limitations ot the laesio enormis in the ius
commune of the Roman-Dutch variant, see Dias. Studies De Zulueta, pp. 54 sqq.; for the ius
commune generally, see Glu ck, vol. 17, pp. 79 sqq., 105 sqq.
De aequitate cerebrina legis secutidae C. De resc. vend., 2 § 13; for further details, see Klaus
Luig, "Bemerkungen zum Problem des gerechten Preiscb bei Christian Thomasius", in:
Tradition and EntwukUaig, Gedenkschrift fur Johannes Riederer (1981), pp. 167 sqq.
179
Wiirttembcrgische Landrechte of 1555 and 1610; cf. Schulze, op. cit., note 170, pp. 31
" Article 1674, applicable only in favour of a seller of land. This restrictive tendency can
be traced back to Cuiacius, Moiinaeus, Domat and Pothicr; for details, see Enrico
Dell'Aquila, "L'adeguatezza tra i vantaggi nei contratti onerosi", (1979) 91 Studi Senesi 485
sqq. Article 1674 was inserted at the urging of Napoleon Bonaparte, who took a lively
interest in the preparation of the code civil and left many marks on both the style and the
substance of the code (which he is said to have considered his greatest achievement). Article
1674 is an exception to the general rule of art. 1118.
18
' C(. e.g. Parladorius, Res Quotidianae, Lib. II, Cap. IV (pp. 246 sqq.).
182
F o r d e t a i l s , s e e G l t i c k , v o l . 1 7 , p p . 5 3 s q q . ; D i a s , S t u d i e s D e Zu l u e m , p p . 5 5 s q .
183
A c c o r d i n g t o a r t . 1 6 8 1 , t h e p u r c h a s e r m a y, i f h e c h o o s e s t o p a y r a t h e r t h a n r e s c i n d ,
subt r act 1 0 % fr o m the iu stu m pre tiu m.
184
C f . e . g. § 5 9 I 1 1 . § 7 5 I 4 P r A L R .
185
Story, op. cit., note 153, § 245.
180
Thomas Hobbes, Leviathan, Part I, chap. IS (p. 208 of the ed. by C.B. Macpherson,
1968).
18
Summa Theologiae, Secunda secundae. Quacst. LXXVI1, Art. I.
1ВЯ
Grotius, Dejure belli ac pads. Lib. 11, Cap. XII, 8.
189
For what follows, see Endemann, Studien, vol. II, pp. 6 sqq., 14, 30 sqq.; John T. Noonan,
The Scholastic Analysis of Usury (1957); John W. Baldwin, The Medieval Theories of the Just
Price. Romanists, Canonists and Theologians in the Twelfth and Thirteenth Centuries (1959);
Winfried Trusen, Spd'tmittelalterliche Jurispmdenz und Wirtschaftsethik, dargestellt an Wiener
Qutachten des 13. jahrhunderts (1961), pp. 71 sqq.; idem, "Aquivalenzprinzip und gercchter Preis
im Spatmittelalter", in: Slant und Gesellschaft, Festgabe fur Gunther Ku'chenhofJ (1967), pp. 247
sqq.; Cahn, (1969) 6 Studies in Medieval and Renaissance History 3 sqq., 30 sqq.; Raymond de
Roover, La pensee economiaue des Scolastiques. Doctrines et methodes (1971); Wolter, Ins
canonicum in iure civili pp. 113 sqq.; James Gordley. "Equality in Exchange", (1У81) 69
California LR 1587 sqq.; Werner Goez, "Das Ringen um den 'gerechten Preis' in Spatmittelalter
und Reformationszeit", in: "Der Gerechte Preis", Beitra'ge гиг Diskussion um das "pretium
iustum" (1982), pp. 21 sqq.
]Щ
"Primum, in contractibus emptionum et vcnditionum, similibusque permutationibus,
nequaquam attendi, nee constitui iustum pretium ex natura rei. sed hominum aestimatione,
tametsi insana sit aestimatio: num si natura rei foret observanda, pluris esset aestimandus
equus, quam gemma ob utilitatem equi": Covarruvias a Lcyva, Variae resolutiones, vol. II,
Lib. II. Cap. I l l , 4.
191
"Sccundo hinc apparet in pretii insti aeuimarione non esse considerandum quanti res
ipsa empta fu erit. nee qu ot labores pro eiu s a dquisitione venditor fu erit perpessus, sed
tantum, habendam, esse rationem cotnmunis homincm acstimatione. Sic sane mercator, qui
magnis expensis attulit merces e Flandria non potent eas carius vendcre, quam communi
hominum acstimationc valeant in Hispania, alioqui restituere tcncbitur quidquid ultra
iustum
112
prctium accepent": Covarruvias a Leyva, loc. cit.
Covarruvias a Leyva, loc. cit. Ct. also already Gai. D. 13, 4. 3 (". . . scimus quam
varia prctia rcrum per singulas civitates regionesque . . ."); Paul. D. 35, 2, 63, 2
("Nonnullam tamen prctio varictatem loca temporaquc adferunt: ncc enim tantidem Roniae
ct in Hispania oleum acstimabitur ncc continuis sterilitatibus tantidem, quanti sccundis
fructibus, dutn hie quoque non ex mentis temporum nee ex ea quae raro accidat caritatc
pretia constituantur"). On the individual factors to be taken into consideration in
establishing the price of a thing, see, for the late Middle Ages e.g. Conrad Summcnhard von
Calw, as discussed by '1 ruseii, h'estgabe G. Kikhenhoff, pp. 259 sqq., for the age of the law
ot reason Samuel Pufendorf, De jure naturae et gentium, Lib. V, Cap.I, § 1 (and the analysis
by Herbert Niederlander. "Zum 'Fretium rci' bci den Vernunftrechtlern", in: (.iedachtnis-
schrift fur Wolfgang Kurikei (1984), pp. 283 sqq.
m
Nicomachean Hihics, Book V, II, 6 sqq. (1130 b sqq.)
194
Even though the Corpus juris Canomci itself still faithfully reflects Roman law: "Tenet
venditio, licet venditor sit deceptus ultra dimidiam lusti pretii; poiest tamen venditor agere,
ut restituatur res vel iustum pretium supplcatur, ct, si alterum praecise petit, succumbit"
(Decretales Cregorii IX., Lib. III. Tit. XVII, Cap. III).
'ъ Cf, for example, the criticism by Pufendorf, De jure naturae et gentium. Lib. V, Cap.
Ill, § 9, who argued that the rule works unfairly, in that a small deviation in the price of an
expensive object can cause more harm than a large deviation in the price of a small item; yet
the rule applied to the second case, but not the first.
196
Cf., for example, Antonius Merenda (Alfred Pcrnice, Laheo , vol. I, p. 454, n. 2):
"Concludamus ergo rationem naturalem non pan, ut contrahentes se invicem decipiant, et
ideo peceare eos qui secus feccrmt." The starting point is 1. Thessalomans 4, 6: "ne quis
supergrediatur ncque circumvcmat in negono fratreni suum" (vulgata-tr.); cf. also St.
Matthew 6, 24. This did not mean that the Church condemned the economic activity of
merchants
147
and commercial enterprise per se; cf. supra, pp. 171, 173 sq.
Cf e.g. Covarruvias a Leyva, Variae resoiutiones, vol. II, Lib. II, Cap. IV, 11: ". . .
opinio vcrissima est, manifesra et urgent! admodum ratione quae dictat, naturali lege in
contractibus commutativis a Rcpublica et hominum moribus in utnusque utilitatcm
institutis, re ipsa cxactam et summam aequalitatem requiri exjustitia commutativa partes ad
pattern . . . quo fit, dcceptioncm istam omnino esse contra virtutemjustitiac commutativae,
quac in aequalitatejuxta proportionem consistit; si quis igitur ab ea virtute rccessent, id cst,
a medio justitiae, vitium declinat. peccat et ad restitutionem tenetur"; Grotius, De jure belli
acpacis. Lib. II, Cap. XII. 12: "Hi vero qui legibus dvilibus subjeeti non sunt. id sequi debent
quod aequuum esse ipsis ratio recta dictat: irao et illi qui Icgibus subjecti iunt. quoties de eo
quod fas piumque cst agitur, si modo leges non jus dant aut tollunt, scd juri duntaxat ob
certas causas auxilium suum dencgant."
198
Cf e.g. Molina, De iustitia et iure, Tract- II, Disp. 350, col. 404 sqq.
199
Leonardus Lessius. De jmtitia et jure ceterisque virtutibus cardinalibus libri anatuor
(Venetns, 1734), Lib. 2, Cap. 21, Dubitatio IV (n. 20).
"" Lauterbach, Collegium thcorctico-practimm. Lib. XVIII. Tit. I, 53 sqq. St. Thomas
Aquinas had already recognized that the iustum prctium cannot be exactly determined: ". . .
et tenetur ille qui plus habet, recompensare ei qui damniheatus esc, si sit notabile damnum.
Quod ideo dico, quia justum prctium rerum non est punctualiter determinatum, scd magis
in quadam aestimatione consistit; ita quod modica addmo vel minutio non viderur tollere
aequalitatem justitiac": Summa Theobgiae, Secunda secundac, Quaest. LXXVII, Art I. He,
and with him the other "realists", relied on the free (and unmanipulated) interplay of market
forces to result in a iustum pretium. The "nominalists", on the other hand, argued for State
intervention. Hence, the iustum pretium came to be fixed by public price regulations; cf. e.g.
Gustaf
201
Klemens Schmelzeisen, Polizeiordmtngm und Privatrecht (1955). pp. 436 sq.
These invectives have been taken from the judgment of Van den Heever JA in 'I'jollo
Atetjees (Ems.) Bpk. v. Small 1949 (1) SA 856 (A) at 862 sqq. (esp. at 863 and 873) and Schulz,
CRL, p. 528. For further harsh comments, see Ludwig Julius Friedrich Hopfner, Saturrecht
des cinzelnen Menschen, der Gesellschaften und der Volker (6th ed., Giessen, 1795), § 92; Adolph
Dietrich Weber, Systematische Entwickelung der Lehre von der natiirlichen Verbindlichkeit und
deren gerichtiiche Wirkung (4th ed., 1811) § 41.
2(12
Cf. DeSpinetto, Apothecario de Venetia Politische Schnupf-Tobacs-Dose vordie WdchsemeNase
derjustiz in sich fassendJuristische Streit-Frageti in Handel en Wandei von denen Kauf- und Mieth- oder
Pacht- und anderen Contracten mit Satyrischer Feder entworfen und aus dem halienischett ins Teutsche
ubersetzt (The Political Snuff-Box before the Waxen Nose of Justice) (1739). prise 51 sqq.
211
For the arguments, see Franz Philipp von Kiibel, "Recht der Schuldverhaltnisse. Teil
2",211in: Werner Schubert (ed.), Vorentwurje, pp. 20 sq.
The pandectists tended to regard laesio enormis as a somewhat anomalous exception
to the normal principles of contract law, based merely on equity: cf. e.g. von Wachter,
Pandekttn, § 207, p. 472. For references ro cases in which laesio enormis was discussed, see,
for example, |ohn P. Dawson, "Economic Duress and the Fair Exchange in French and
German Law'"'. (1937) 11 Tulane LR 368.
205
Cf. supra, p. 264.
2
'*l § 934 ABGB.
2lh
' In France it has again been restricted to the sale of land; the Austrian provision used to
be2()S
emasculated in practice by standardized renunciation clauses.
SchreinerJ, in Botha v. Assad 1945 TPD 1 at 9. For a full discussion of laesio enormis in
South African law, see Wessels, Contract, vol. II, §§ 5071 sqq.
214
Tjollo Ateljees (Fins,) Bpk. v. Small 1949 (1) SA 856 (A).
110
S. 25 General Law Amendment Act 32/1952. Cf. further H.R. Hahlo, E. Kahn,
"Good-Bye Laesio Enormis", (1952) SAL/392 sqq.
211
Cf. supra, p. 258.
212
A "distressed situation" ("Zwangslage"), for instance, does not necessarily imply a
threat to the economic existence of the disadvantaged party: see e.g. Theo Mayer-Maly, in:
Miinchener Kommentar, vol. I (2nd ed., 1984), § 138, n. 124.
21J
The question of lack of judgemental ability or willpower is investigated only with
regard to the individual contract in question, no matter whether the disadvantaged party has
shown these traits on other occasions; see e.g. Mayer-Maly, op. cit., note 212, § 138, n. 126.
214
John P. Dawson, "'Unconscionable Coercion: The German Version", (1976) 89 Harvard
LR2 106].
s
' Cf. e.g. BGHZ 80, 153 (160); for details, see Mayer-Maly, op. cit., note 212, § 138,
nn. 98 sqq.; Helmut Koziol. "Sonderprivatrecht fur Konsumentenkredite?", (1988) 188
Archiv fur die civilistische Praxis 184 sqq.
2U
' Cf already RGZ 15». 1 (6).
217
OLG Stuttgart, 1979 Neuc Jurististhe Wochemchrift 2409 (dealing with a case of loan,
where the annual interest was 31.08 %). Cf. also Karl Hackl, "Aquivalenzstorung und
Sittenwidrigkeit". 1977 Bttriebsbtrater 1412 sqq.
21H
Analysed critically by Theo Mayler-Maly, "Renaissance der laesio enormis?", in:
(Zweite) Festschrift fur Karl Larenz (1983), pp. 395 sqq.; cf also Mayer-Maly. op. cit., note
212, § 138. nn. 104, 119.
211
For a comparative analysis. (France, Germany, United States) ot modern remedies, cf.
Gordley, (1981) 69 California LR 1625 sqq., 1645 sqq; for a crisp and lucid analysis of English
law,
220
see P.S. Atiyah, "Contract and Fair Exchange", (1985) 35 University of Toronto LJ I sqq.
§ 935 ABGB, amended version. Cf. the criticism by Mayer-Maly, //. festschrift
Larenz, pp. 398 sq., 408.
" Cf. e.g. Franz Bydlinkski, Privatautonomie und objektive Cmndlugen des verpfiiditenden
Rechtsgeschafts (1967), pp. 103 sqq., 151 sqq.; Gordley, (1981) 69 California LR 1587 sqq. Cf.
also Wolfgang Blomeyer. "Der gerechte Freib mi geltenden Recht", in: "Der Qercchte Preis",
op. cit., note 189, pp. 39 sqq.
2
" Cf. e.g. Justus Wiihelm Hedemann, Die Fortschritte des Zivihechts im XIX. Jahrhtmdert,
vol. 1 (1910), pp. 3 щц., 130 sqq.; Luig, Festgabe Coing, pp. 171 sqq.
225
For a general overview, see Olc Lando, "Unfair Contract Clauses and a European
Uniform Commercial Code", in: Mauro Cappelletti, New Perspectives for a Common Law of
Europe (1978). pp. 267 sqq. On the crisis of "classical" (liberal) contract doctrine today cf.
also
224
the literature quoted infra, p. 577, note 216.
Franz Wieacker, "Das Sozialmodell der klassischen Privatrechtsgesetzbiicher und die
Entwicklung der modernen Gesellschaft", in: Industriegescllschaft tmd Privatredusordnuny
(1974),
22
pp. 23 pp.
' Cf. also Gordley, (1981) 69 California LR 1644.
""This is the thrust of both Gordley's ((1981) 69 California LR 1637 sqq.) and
Mayer-Maly's (II. Festschrift Larenz, pp. 395 sqq.; cf. also Miincherter Kommentar, op. dr.. note
212, § 138, rm. 98 sqq.) argument. On the other hand, the conflicting demands of equity and
certainty of law have somehow to be balanced. Hence the repeated attempts by both courts
and academic writers to suggest concrete figures ro mark the borderline between what is still
legal and what has to be regarded as illegal. Such attempts are understandable considering
the trend to (over)extend § 138 BGB as (e.g.) an instrument of price-control. They are,
however, in my view, irreconcilable with the nature of § 138 BGB as an outer limit of
contractual freedom, and with the officium ludicis (cf. Zimmermann, Moderatiom-recht, pp.
47 sqq., 83).
Emptio venditio II
I. THE PASSING OF OWNERSHIP
1. The relationship between contract of sale and transfer of
ownership
Thus far we have considered the basic requirements for a contract of
sale to come into existence. We must now turn our attention to the
main effects of such a contract. These were twofold. Firstly, certain
obligations arose on the part of both the vendor and the purchaser (sale
obviously being a bilaterally binding contract), and for the enforcement
of these obligations the law provided two actions, the actiones empti
and venditi. Secondly, upon perfection of the sale (that is, normally
with its conclusion) the risk of accidental loss passed to the purchaser.
One consequence, in particular, the contract of sale did not have: the
passing of ownership. This required a separate act of conveyance:
mancipatio in the case of res mancipi, traditio as far as res nee mancipi
were concerned, alternatively for both categories of things in iure
cessio. 1 All these acts aimed at publicity: real rights, potentially
affecting everyone (they are enforceable against anyone who withholds
the thing from the person entitled to it), were not to be acquired or
transferred in private.
The Roman separation of obligatory act and conveyance is still
maintained in many modern legal systems. In German and South
African law conveyance of the property is not only separate from the
underlying obligatory act, it is also to be evaluated entirely indepen-
dently and on its own merits. It is thus abstract in the sense that
ownership may pass, even though the contract of sale might be invalid
or might not have come into existence at all. In Rome only mancipatio
and in iure cessio were abstract. Traditio was causal in that, in order to
transfer ownership, it had to be based on a iusta causa traditionis (as, for
example, a valid contract of sale). 2 There are legal systems, however,
which adopt an entirely different approach. They do not require a
separate act of conveyance, but allow ownership to pass upon
conclusion of the sale. 3 The French code civil provides a fine example.
1
In iure cessio and mancipatio had fallen into disuse by the time of Justinian. According
to the Digest, therefore, traditio is the only way of transferring ownership.
2
Cf., for example, Kascr, RPr I, pp. 416 sqq.
3
The doctrine that ownership passes by mere agreement of the parties goes back to the
natural lawyers of the 17th and 18th centuries; c{. e.g. Hugo Grotius, De jure belli ac pacts,
Lib. II, Cap. II, 1; Samuel Pufendorf, De jure naturae el gentium. Lib. IV, Cap. IX; Christian
271
Wolff, Institutions furis Naturae et Gentium, §§ 313 sqq.; and see William M. Gordon, Studies
in the
4
Transfer of Property by traditio (1970), pp. 172 sqq.
As far as English law is concerned, cf. Buckland/McNair, pp. 291 sqq.
5
6
Cf. e.g. Nicholas, Introduction, pp. 101 sqq.
The transferee's position will be even safer where a legal system recognizes acquisition
of ownership (from a non-owner) in good faith. This is the case in modern German law
(§§ 932 sqq. BGB), but was different in Roman law (which did, however, offer some
protection to the purchaser by way of establishing short periods for acquisitive prescription
(usucapio)).
7
Cf. only Coing, pp. 178 sqq.
H
Both Pringshcim and Schindler (tf. infra, notes 12, 13 ) maintain that the XII Tables
cannot have contained a provision of this kind. But why should Justinian have invented (or
grossly distorted) it? (Alfons Biirge, "'Geld- und Naturalwirtschaft im vorklassischcn und
klassischen
9
mmischen Recht", (1982) 99 ZSS 149).
Pomp. D. 18, 1, 19: "Quod vendidi non alitcr fit accipientis, quam si aut pretium nobis
solutum sit aut satis eo nomine factum vel etiam fidem habuerimus emptori sine ulla
satisfactione."
10
Cf., for example, Vinnius, Institutiones, Lib. II, Tit. I, 41; Voet, Commentarius ad
Pandectas. Lib. VI, Tit. I, 14 sq.; Grotius. In!eidin%, II, V, 14; Pothier, Trait? dtt contra! de
vente, §323; Windscheid/Kipp, § 172, 7; Daniels v. Cooper (1880) 1 EDC 174 sqq.; for details,
see Robert Feenstra, Reclame en Revindicate (1949), pp. 98 sqq., 255 sqq.; idem,
"Eigendomsovergang Ы) koop en terugvorderingsrecht van de onbetaalde verkoper:
Romeins recht en Middefeeuws handelsrecht", (1987) 50 THRHR 134 sqq,; Going, pp. 307
sq.; more particularly on the glossators and commentators, Klaus Luig, "Ubergabc und
Ubercignung der verkauften Saehe nach romischem und gememern Recht", in: Saturn
Roberto Peenstva oblata (1985), pp. 445 sqq. The rule has not been taken over into the BGB
("Motive", in: Mugdan, vol. Ill, p. 186).
1
For details, see C.G. van der Merwe, Sakereg (1979), pp. 203 sq.; Kerr, Sale and Lease.
pp. 112 sqq. Aceording to Shippard J (Daniels v. Cooper (1880) 1 EDC 174), South African
law in this regard is "at variance with every well-considered modern system ot mercantile
law12
throughout the world"; but d. Art. 1191 BW and Feenstra, (1987) 50 THRHR 128.
For a summary of the main views, see J.A.C. Thomas, "Institutes 2, 1, 41 and the
Passage of Property on Sale" (1973) 90 SAL] 150 sqq.; d. further Karl-Heinz Schindler,
"Die Bedeutung der Kaufprciszahlung im nachklassischen romischen Recht", in: Festschrift
fiir Konrad Dttdeti (1977). pp. 555 sqq.; Tony Honore, "Sale and the Transfer of Ownership:
t he Compil e rs' Poi nt of V ie w", i n: Stud i es in Ju stin ian' s In st itu t es in Me mo ry o f J . A . C ' Tho ma s
(1983), pp. 56 sqq.; Feenstra, (1987) 50 THRHR 127 sqq.
" Der Kaufmit fremdem Geld (1916), pp. 50 sqq.; but sec also the same author in The Greek
Law of Sale, pp. 179 sqq.; cf. further Schindler, Festschrift Duden, pp. 555 sqq,
14
Cf. e.g. Ernst Schonbauer, "Zur Frage des Eigentumsuberganges beim Kauf", (1932)
52 Z_S5 195 sqq.
15
Cf. Arangio-Ruiz, Compravendita, pp. 276 sqq.; Buckland/Stein. p. 240; cf. also
Thomas, (1973) 90 SALf 158.
16
Philippe Meylan, "Lc paiement du prix et le transfert de la propriete dc la chose vendue
en droit romain classique", in: Studi in onore de Pietro Bonfante, vol. I (1930), pp. 441 sqq.;
Watson, Obligations, pp. 62 sqq.
17
Emiiio Albertario, "II momento del trasferimento della propneta nella compravendita
romana", in: Studi di diritto romatw, vol. Ill (1936), 427 sqq.
ш
Ma x Kascr, (1966) 34 TR 412 sqq.; ide m, "StelJvertre tung und 'notwe ndige
Entgeltlichkeit'". (1974) 91 ZSS 161 sq.
1
Honore, Studies Thomas, p. 58, has pointed out, though, that the result is not the same
as it would be if ownership were to pass automatically with delivery. "For it is quite possible
for the seller to make clear that he does not rely on the buyer's good faith alone, though he
does not, at the m ome nt of delivery, obtain pa yme nt or satisfaction, either. Thus, he ma y
ask the buyer to provide security, e.g. to get a friend to guarantee payment of the price. The
buyer may promise to do this, yet fail to carry out his promise. If, then, the seller parts with
possession on the faith of such a promise, he does not . . . fidem emptoris sequi, but neither
does he obtain payment or satisfaction." The same applies where the purchaser has promised
to pay at once and then, after he has obtained possession of the thing, fails to honour his
promise.
20
Pothier, Traite du control de vente, n. 324; De Zulueta, Sale, pp. 37 sq.
21
Cf. esp. Kaser, RPr I, p. 418; idem, RPrU. p. 284; Jors/Kunkel/Wenger, pp. 129 sqq.;
cf also Honsell/Ma yer-Maly/Selb, p. 162.
Robert Feenstra, "Fidem emptoris sequi", in: Studi in onore di Ugo Enrico Paoli (1955).
pp. 273 sqq. Approved by (e.g.) Watson, Obligations, pp. 62 sq.; Kaser, (1966) 34 TR 412;
Thomas, (1973) 90 SALf 151, 159.
23
Cf. supra, p. 237.
24
T he X I I T a bl e s a l re a d y se e m с о h a ve re l a xe d t he pr i n c i p l e b y al l o w i n g a p r om i se i n t he
form of a stipulation (expromittere) as an acceptable substitute for the payment of the
purchase price.
^ Cf. e.g. Gai. II, 20: "Itaque, si tibi vestem vel aurum vel argentum tradidero, sive ex
venditionis causa sive ex donationis sive quavis alia ex causa, statim tua fit ea res. . . ." Cf.,
further, С 4, 49, 1 (Carac); 3, 32, 12 (Diocl. et Max.).
Cf. esp. Pringsheim, Der Kauj mit fremdem Geld, op. cit., note 13, pp. 1 sqq. and passim
(e.g. 40 sqq., 163 sqq.); idem, Sale, e.g. pp. 190 sqq.
Kaser, RPr II, pp. 278 sq.; Levy, Vulgar Law, pp. 131 sqq. (for the Roman-Germanic
kingdoms cf. pp. 156 sqq.); but see Schindler, Festschrift Duden, pp. 560 sqq.; Wulf Eckart
Voss, Recht und Rhetorik in den Kaisergesetzen der Spatantike (1982), pp. 190 sqq.
28
For details, see Pringsheim, Der Kauf mitfremdem Geld, op. cit., note 13, pp. 81 sqq. For
a completely different view of post-classical law (the classical analysis of sale was preserved
without major modifications; however, the private contract of sale came to be incorporated
into a new social and economic framework (essentially: an authoritarian one) by means of
regulations and enactments of a public legal character), cf Voss, op. cit., note 27, pp. 81
sqq., 200 sqq.
Watson, Obligations, p. 63. Tony Honore has recently made an imaginative attempt to
reconstruct by what stages Justinian's commissions came to form their view of the matter.
According to him, they adopted three different views of the law (all set out somewhere
within the Corpus Juris), each at a different stage of their deliberations. Cf. "Sale and the
Transfer of Ownership: the Compilers' Point of View", in: Studies in Justinian's Institutes in
Memory ofJ.A.C. Thomas (1983), pp. 56 sqq. Honore's analysis provides the starting point
for Luig's discussion of the medieval interpretations (and harmonizations) of the
authoritative texts {Satura Feenstra, pp. 445 sqq.). But see also Feenstra, (1987) 50 THRHR
130sqq.
lav. D. 19, 2, 21. The problem that arose in this case was that the full price had been
paid before the time envisaged by the parties. On this text, see David Daube, "Tenancy of
Purchaser (Digest 19, 2, 21)", (1948-50) 10 Cambridge LJ 77 sqq.; idem, "Si . . . tune in
D. 19,2, 22 pr.", (1958) 5 RIDA 427 sqq.; J. A.C.Thomas, "Tenancy by Purchaser", (1959)
10 lura 103 sqq.; Rolf Knutel, "Kauf und Pacht bei Abzahlungsgeschaften im romischen
Recht", in: Studien im romischen Recht (1973). pp. 37 sqq.
31
Cf. e.g. Gluck, vol. 16, pp. 229 sqq.; Windscheid/ Kipp, § 172, n. 18. Cf. also Gottfried
Schiemann, "Uber die Funktion des pactum reservati dominii wahrend der Rezeptionen des
romischen Rechts in Italien und Mitteleuropa", (1976) 93 ZSS 161 sqq; Coing, p. 309.
32
D. 19, 2, 20, 2.
33
According to Daube, (1958) 5 UIDA 430. 433, the actio venditi. He regards the text as
interpolated.
34
For details, see Knutd, Studi en, op. cit., note 30, pp. 35 sqq., 51 sqq. Cf. also infra,
pp. 530 sqq.
35
Another possibility of securing the position of the vendor is inti mated in Ulp. D. 43.
26, 20; on whi ch see Ant on Me mhart, "Dog mengeschi chtli ches und Dog matisches zu m
Eigentumsvorbehalt", (1988) 105 ZSS 729 sqq.: the purchaser receives the object by way of
traditio, but t he parti es agree that such traditio is not t o have the effect of transferring
ownershi p; i nst ead, ownership is t o pass onl y wit h pay ment of t he purchase pri ce. Thi s
agreement constitutes a pactum adicctum to the contract of sale (generally on the essence of
pacta adiecta, cf. infra, pp. 509 sqq.) and also contains an understanding to the effect that the
purchaser be, in the mean ti me, in the position of a precario tenens.
36
Cf. Lenel, HP, p. 299. On the interplay of the actiones empti and venditi, see J. A. C.
Thomas, "Sale Actions and other Actions", (1979) 26 RID A 417 sqq.
37
Ulp. D. 19, 1, 11, 2 in fine; d\ also Paul. D. 19, 4, 1 pr.
" Ulp. P. 19, 1, 13. 20; reason: ". . . nam cum re emptor fruatur, aequissimum est eu m
usuras pretii pendere." Cf. also Pap. vat. 2 and cf. e.g. Giuhano Cervenca, Contribute/ ttUo studio
delk usurae c.d. legali vet diritto romano (1969), pp. 13 sqq.; and, most recently, the
comprehensive and thorough analysis by Rolf Kniitel, "Zum Nutzungszins'", (1988) 105
ZSS 514 sqq. The rule has been incorporated into the BOB (§ 452: "The purchaser is bound
to pay interest on the purchase price trom the date at which the, cjnol laments of the purchased
object accrue to him, unless the purchase price is pav^Mt^a-fiXc"d~time*';;tfr<; date at which
the emoluments accrue to the purchaser is deterrerfoenm § |^'j(tteliVery/>is far as'mOvables
I[
I [Social s.i^
are concerned)). It has occasionally been criticized as "anomalous" (cf. Franz Leonhard,
Besonderes Schuldrecht des BGB (1931), pp. 90 sqq.), but has, more recently, most effectively
been defended by Knutel, (1988) 105 ZSS 514 sqq., 538 sqq. For South African law cf. Kerr,
Sale and Lease, pp. 145 sq.
39
Cf., for example, Ulp. D. 19, 1, 13, 22; Stefan Weyand, "Kaufverstandnis und
Verkauferhaftung im klassischen romischen Recht", (1983) 51 TR 249 sqq.
40
Pomp. D. 19, 1, 9: "Si is, qui lapides ex fundo emcrit, tollere eos nolit, ex vendito agi
cum eo potest, ut eos tollat."
41
Cf. e. g. Lab. D. 18, 1, 78, 1.
42
Berger, ED, p. 757.
43
Cf. e. g. Ulp. D. 45, 1, 38; FIRA, vol. Ill , nn. 88 sq.
44
Cf. e. g. Paul . D. 19, 4, 1 pr.; Ul p. D. 18, 1, 25, 1; Arangi o-Rui z, Compravendit a,
pp. 149 sqq.
45
Kaser, RPrl, p. 551.
46
As far as mancipatio is concerned, cf. e.g. Gai. IV, 131 a.
47
Schulz, CRL, p. 531.
48
Cf. supra, pp. 239 sq.
49
Uip. D. 19, 1, 11, 2.
50
F r a n k Pe t e rs , "D i e V e r s c h a f f u n g d e s E i ge n t u m s d u r c h de n V e r k a 'u f e r ", ( 1 9 7 9) 9 6 ZS S
1 8 5 s q .; c f . a l s o F . H . L a w s o n , "T h e P a s s i n g o f P r o p e r t y a n d R i s k i n S al e — A C o m p a r a t i ve
S t u d y ", ( 1 9 4 9 ) 6 5 L Q R 3 6 4 s q .
51
Cf. sup ra, p. 2 77.
52
Pe t e r s , ( 1 9 7 9 ) 9 6 ZS S 1 8 1 s q .
53
Cf. e . g. N i c hol as , I n t ro d u c t io n , p. 181; E rn st R a be l , "D i e H aft un g de s V e rk a ufe rs we ge n
M a n ge l s i m R e c h t e ", v o l . I ( 1 9 0 2 ) , p . 1 0 8 .
59
Proc. D. 18, 1, 68 pr.; Po mp. D. 18, 4, 3; Ul p. D. 19, 1, 13, 16.
60
For the meaning of peri culum i n l egal t exts generall y, see Geoffrey Mac Cormack,
"Periculum", (1979) 96 ZSS 129 sqq.; for the present context, see esp. Emil Seckcl, Ernst
Levy, "Die Gefahrtragung bei m Kauf i m klassischen romischen Recht", (1927) 47 ZSS 248
sqq.; Arangio-Ruiz, Compravendita, pp. 250 sqq.; Max Kaser, "Die actio furti des
Verkaufers", (1979) 96 ZSS 111 sqq.
61
"Preisgefahr" or "Gegenkistungsgefahr" as opposed to "Sachgefahr" (periculum rei). It is
the former, too, that modern English and French law have in mind when they refer to "risk"
or "risque".
62
For a comprehensive comparative investigation, see Gunter Hager, Die Gefahrtragung
beim Kauf (1982); for some elegant reflections based on the diversity of modern approaches,
see Alan Watson, Legal Transplants (1974), pp. 82 sqq.
63
For a recent survey of the literature, see Wolfgang Ernst, Das klassische romische Recht der
Gefahrtragung beim Kauf: Periculum est emptoris, (unpublished Dr. iur. thesis, Bonn, 1981) (for
an abbreviat ed version, see idem, "Peri culum est emptoris", (1982) 99 ZSS 216 sqq.).
64
D. 18, 6, 8 pr.
65
For example Franz Haymann, "Text kritische Studi en zum romischen Obligationen-
recht, Periculum est emptoris", (1920)41 ZSS 44 sqq.; idem, "Zur Klassizitat des penculum
est emptoris", (1928) 48 ZSS 314 sqq.; Emilio Betti, "Zum Problem der Gefahrtragung bei
zweiseitig verpflichtenden Vertragen", (1965) 82 ZSS 1 sqq. Cf. Jacobus Cuiacius, "Ad
Africanum Tract atus VIII", Ad L. si fundus 33. loc. et cond., in: Opera Onmia, vol. I
(Venetris, 1768).
66
Philippe Meylan, "Inst. Ill, 23, §§ 3 et 3a et Punification du regime des risques dans le
contrat de vente par Justinien", in: Atti Verona, vol. Il l (1951), pp. 387 sqq.; idem, "Paul.
O. 21, 2, 11 pr. et la question des risques dans le contrat de vente", (1949) 3 RID A 193 sqq.;
idem, "Periculum est emptoris", in: Festschrift fur Theo Guhl (1950), pp. 9 sqq.; idem, "Fr.
Vat. 16 et la question des risques dans le contrat de vente", (1950) 1 lura 253 sqq.
67
Ernst Rabel, "Gefahrtragung bei m Kauf", (1921) 42 ZSS 543 sqq. Cf. also Geoffrey
MacCormack, "Alfenus Varus and the Law of Risk in Sate", (1985) 101 LQR 573 sqq., who
argues that the law developed on a casuistic ad hoc basis. While, he says, the "trend" of the
late classical law favoured perfection of the contract as the criterion for the passing of risk,
Al fenus Varus favoured an approach under whi ch t he ri sk remained with t he sell er until
traditi o (cf. Paul . D. 18, 6, 13 and 15; but wh y di d Paul —i n wh ose days t he l a w was
periculum est emptoris — take the trouble to record Alfenus' decisions? I am not convinced
by the explanations offered by MacCormack on p. 576).
' Emil Seckel, Ernst Levy, "Di e Gefahrtragung bei m Kauf i m klassischen romischen
Recht", (1927) 47 ZSS 117 sqq.; H.R. Hoetink, Periculum est emptoris (1928); De Zulueta,
Sal e, pp. 30 sqq.; Jors/ Kunkel / Wenger, pp. 228 sqq. ; Schul z, CRL, pp. 532 sq. ;
Arangio-Ruiz, Cotnpravendita, pp. 250 sqq.; Benohr, Synallagma, pp. 86 sqq.; Kaser, RPr I,
pp. 552 sq.; Honsell/Mayer-Maly/Selb, pp. 3(19 sq.; Imre Molnar, '"Periculum emptoris' im
romischen Rccht der klassischen Penode", in: Sodalitas, Scritti in onore di Antonio Gitaviuo,
vol. V (1984), pp. 2227 sqq.; Frank Peters, "Periculum est emptoris", in: Iuris Professio,
Fests>abe fur Max Kaser (1986), pp. 221 sqq.
''' Haymann. (1920) 41 ZSS 48 sq. ("[Unsere Aufgabe muss es sein, diej Linieti des klassischen
Rechts . . . in Hirer bewunderungswiirdigen Hinfachheit \md Folgerichtigkeit wiederherzustelieti und
damit zugleich einen fleck von dem wissenschaftlichen Ehrenschild jencr grosseu, unerreichbarcn
Meisler endgiiltig auszutilgen" (It has to be our task to reconstruct the outlines of classical law
in their admirable simplicity and consistency and we mu st at the same time aim at wiping
out, once and for all. a blot on the badge of honour of those great and unrivalled masters)).
7 |<
Christian Morgcnstern, "Die unmogliche Tatsache". in: Gesammelte Werke (1967).
pp. 262 sq.
71
De jure naturae et gentium, Lib. V, Cap. V, 3. Cf. also Grotius, De jure belli ac pads, Lib. II,
Ca p. XII, XV, 1 .
'" Samuel Williston, The Law Governing Sales of Goods at Common Law and Under the U n i f o rm
S a l e s A c t , v o l . I I ( 1 9 4 8) , § 30 8 . C f. a l s o t he s a me a u t h o r. "T he Ri s k o f L os s A f t e r a n
E x e c u t o r y C o n t r a c t o f S a l e i n t h e C i v i l L a w " , ( 1 8 9 5 - 9 6 ) 9 H a r v a rd L R 7 2 s q q .
73
"Z ur Le hre vo m cas us ", ( 1868) 9 J h jb 197 sqq.
74
Paul. D. 18 , 6 , 8 pr.
quod venicnt apparcat quid quale quantum sit, sit et prctium, ct pure
venit, perfecta cst emptio."7S As soon as there was agreement about the
exact object of the sale and about the price, and the sale had been
concluded unconditionally, the obligations came into existence;
nothing remained to be done except to discharge them. Under these
circumstances, emptio was perfecta. Matters were different where the
sale was not pura but had been concluded subject to a suspensive
condition. Here the effects ot the contract were suspended, and the
mutual obligations came into existence only once the condition had
been fulfilled. Only then could the sale be said to be complete
(perfecta). Condicione pendente, therefore, the risk remained with the
seller. 7 ' 1 The same applied where generic goods from an identified
source were sold. 77 The contract was not complete until the objects of
the sale had been identified, i.e. tor instance, if "ten amphorae ot wine
from my cellar" had been sold, until the amphorae had been put aside
for that transaction. ?H There were some further instances of such a
postponement of the transfer of risk because the sale was not yet
complete. 79 The most interesting one relates to an economically very
important type of transaction, the sale ot wine.""
4. Excursus: the sale of wine
Wine was either sold out of vats (dolia, hence vinum dohare) or bottled
in amphorae (vinum amphoanum). Vinum doliare was usually new
wine; while it was kept in doliis, it went through the fermentation
process. These dolia were made from clay; they were pitched on the
75
Paul. П. 18. 6, H pr.
"' Perhaps only the mk ot loss or total destruction, not of deterioration: ct. Pap. vat. 16;
Paul. D. 18, 6. 8 pr. in fine. The question is controversial; sec e.g. Seckel/Levy, (1927) 47
ZSS 154 sqq., 173 sqq.; Pjul Kru ckma nn. "Einige Ra ndfra gen ;u m periculuni emptons".
(1939) 59 ZSS 18 sqq.; Arangio-Ruiz. Compravt'iidita. pp. 261) sqq.; Ernst, op. tit., note 63.
pp. 35 sqq. As to the question whether a sale subject to a dies incertus wa s regarded as
perfect, sec Alan Kodger. "Emptio perfecta Revisited: A Study of Digest 18, 6. 8, 1", (1982)
50 TU 337 sqq.
'' CC su pra , p. 2 36 .
"~ K Pap. vat. 16; Gai. I"). 18, I, 75. 7: Paul. D. 18. 6. 5; for details, sec Seckel/Levy. (1927)
47 ZSS 189 sqq.; Ernst, op. c i t . . note 63, pp. 61 sqq.
7<J
For details Seckel/Levy, (1927) 47 ZSS 214 sqq.
M
" On wine-growing, wine trade and wine-drinking in Rome. ct. generally A. Hender-
son. The History of Ancient and Modem Wines (1824); Joachim Marquardt/A. Mau. D,is
Privatleben der Router (2nd ed.. 1886), pp. 443 sqq.; Friednch von Basscrmann-Jordan.
Ckschichte des Weinbaus (2nd ed.. 1923). vol. I. pp. 39 sq q . , vol. I I , pp. 1102 sq . ; Charles
Seltmjnn, Wine in the Ancient World (1957), pp. 129 sqq.; ct., too, Etiennc, Pompeii, pp. 141
sqq.; Bruce W. Frier, "Roman Law and the Wine Trade: the Problem of'Vinegar Sold As
Wine'". (1983) 100 ZSS 257 sqq. Frier points out tha t, on one estimate, the residents ot
Rome drank more than one hundred million litres of wine per year. The distribution ot so
va st a qua ntity "required a spra wling network ot mercha nts, called vinarii . . . Fortunes
were made and lost quickly in the wine trade, and the ethical standards ot the traders were
reputedly none too high" (p. 258).
81
Cf. e.g. Hessel, Die Weinveredelungsmethoden des Altertums verglichen mit denen der hetitigen
Zeit (1856), pp. 54 sqq.; Mau, RE, vol. V (1903), col. 1283 sqq. One can get a good idea of
the size of these dolia if one reme mbers that in Athens paupers (or a philosopher such as
Diogenes) could live in them.
82
Cf. e. g. Scaev. D. 32, 93, 4; Ulp. D. 33, 6, 3, 1.
83
Cf. e. g. Proc. D. 33, 6, 15.
84
Cf. e.g. Wernicke, RE, vol. I (1894), col. 1969 sqq.
Bassermann-Jordan, op. c i t . , note 80, vol. II, pp. 716 sqq.; Marquardt/ Mau, op. cit.,
note 80, p. 462.
86
Plinius Secundus, Historia naturalis. Lib. XIV, 14, 94.
87
Plinius, op. cit., note 86, Lib. XIV, 20, 131.
88
For details, e.g. Frier, (1983) 100 ZSS 258 sq.
89
Ulp. D. 18, 6, 1 pr.; Ulp. D. 18, 6, 1 and 18, 6, 4 provide a com prehensive treatment
of the problems relating to the sale of wine. Cf. further Gai. D. 18, 6, 16; Pap. vat. 16; and
the discussion by Seckel/Levy, (1927) 47 ZSS 204 sqq.; R. Yaron, "Sale ofWine", in: Studies
in the Roman Law of Sale in memory of Francis de Zulueta (1959), pp. 71 sqq.; Wolf, Error,
pp. 128 sqq.; Manfred Harder, "Weinkauf und Wcinprobe im Romischen Recht", in: Recht
und Wirtschaft in Geschichte und Gegenwart, FestschriftfiirJohannes Barmann (1975), pp. 17 sqq.;
Frier, (1983) 100 ZSS 278 sqq.; Molnar, Scritti Guarino, vol. V, pp. 2236 sqq.; Peters,
Festgabe Kaser, pp. 225 sqq.
If he found the wine to be musty or sour, he could rescind the contract; Paul. D. 18, 1,
34, 5: ". . . gustus cni m ad hoc profi cit, ut i mprobare liceat."
91
Cf. Ulp. D. 18, 6, 4, 1: ". . . difficile autem cst. ut quisquam sic emat, ut nc degustet."
92
De agri culture, CLVII, 148.
'" Studies tie /Aiheta. p. 75; but ьсс Al:m Watson. \V)W) 50JRS 255; Frier. (19S3) Inn ZSS
281 sq.: "improbare" i P a u l 1). IS. 1. 34. 5) implies л judgment ol fact; what nutrers is not
whetber rbe purchaser personally likes the wine, but whether, due to organic deterioration,
the wine is no longer merchantable. On the arbitnuin boni viri in general, see Von,
Obblitfiiziom, vol. I. 1. pp. 1W sqq.
1(4
Cf. e.g. SeekelLevy, (1927) 47 ZSS 21Ц sqq.; K.iscr. RPr I, p. 55}. ь
Harder, l-eststhnft Штпшн. pp. 2 1 ) sq.
'"' Wolf, Lrror. p. 131. n. 73.
l |:
c. 4. 4 S. 2. 2 .
w
Ulp. I ) . 18, 6. 4. I; Mod. IX I K , 1. 62. 2.
n
' Cjii. 1). 18, 1, 35, 6.
"'" Usually in the ease of vinum doliare. but this type of transaction was also possible with
regard to vitunn a mphoariu m: cf. С 4, 48, 2. 1: "Cuni autem imiverMini, qu od in horreis
er.it positLim venibse sine memura. . . ." Cf. e.g. Anmgio-Rui/. Conipvaveihiiia. pp. 257
s q q . ; the diHerent types ot sa l e of wine are listed by Frier, (1983) l | l ( < ZSS 276 sq.
1 (11
Cf. Paul Thielscher. Du Marcus Cato Bi'lehnui^ iibcr die I.aiidivirtsJiitjt (1963), pp. 297 sq.
102
Gai. D. 18, 1, 35, 5. Cf. Seckel/Levy, (1927) 47 ZSS 179 sqq.; Arangio-Ruiz,
Compravendita, pp. 271 sqq.; J.A.C. Thomas, "Marginalia on certum prerium", (1967) 35
TRU 82 sqq.; Peters, Festgabe Kaser, pp. 226 sqq.
"C(. also Paul. D. 19. 1, 36; Gai. D. 18, 6, 2, 1; Ulp. D. 18, 6, 4, 1 et al.; further
Wolfgang Kunkel. "Diligentia", (1925) 45 ZSS 278 sqq.; Hoetmk. op. cit., note 68, pp. 49
sqq.; Arangio-Ruiz, Compravetidita, pp. 247 sqq.; Schulz, CRL, p. 533; Manlio Sargenti,
"Problemi della responsabilita contrattuale", (1954) 20 SDH1 200 sqq.; Max Kaser, "Die
actio furti des Verkaufers", (1979) 96 ZSS 105 sqq. The question is disputed. For a contrary
view (custodia had to be specifically agreed upon), see Betti, Istituzioni, vol. II, 1, pp. 372
sq.,104416 sqq.
In case of theft, the vendor also had to "cede" to the purchaser his (reipersecutary and
penal—as to this terminology cf. infra, pp. 918 sqq.) actions: condictio ex causa furtiva,
actio furti and rei vindicatio; alternatively, if he had already brought one of these actions, he
had to hand over what he had received (usually called "stellvertretendes commodum"). Cf.
e.g. Ulp. D. 47, 2, 14 pr.: "Eum qui emit, si non tradita est ei res, furti actionem non habere,
sed adhuc venditoris esse hanc actionem Celsus scripsit, mandarc eum plane oportebit
emptori furti actionem et condictionem et vindicationem, et si quid ex his actiombus fuerit
consecutus, id praestare eum cm ptori oportebit. . ."; also Gai. D. 18, 1, 35, 4; Inst, III, 23, 3
a. Reason: It would not have been in accordance with bona fides if the vendor were allowed to
claim the purchase price and at the same time to retain what was still left of the object
(albeit in the form of a substitute): cf. esp. Seckel/Levy, (1927) 47 ZSS 147 sq. The purchaser
thus ha d a cha nce (under the rei vindicatio) to get the object restored to him once it ha d
turned up again. Of course, if that happened (or if the purchaser successfully brought one of
the other claims that had been ceded to him), he had to pay back (part of the) damages that
he might have received from the vendor in the meantime. For details, see Manfred Harder,
"Com m odum eius esse debet, cuius periculum est", in: Festschrift jur M ax Kaser (1976),
pp. 351 sqq.; Kaser, (1979) 96 ZSS 115 sqq.
105
D. 19, 2, 33; d. e.g. Ha ym a nn, (1928) 48 ZSS 4 06 sqq.
106
Cf. e. g. Seckel/ Levy, (1927) 47 ZSS 219 sqq.; Kaser, RPr I, p. 553. For a different
interpretation, see Ernst, op. cit., note 63, pp. 8 sqq. For an overview of the discussion of
this fragme nt in the literature of the ius com m une, see Gliic k, vol. 17, pp. 135 sqq.
11)7
C{. e.g. Haymann, (1920) 41 ZSS 140; Seckel/Levy, (1927) 47 ZSS 231; Meylan,
(1949) 3 RIDA 195, 207; Jors/Kunkel/Wenger, p. 229, n. 11.
108
Cf. Emilio Betti, "'Periculum'. Problema del rischio contrattuale in diritto romano
classico e giustimaneo", in: Studi in onore di Pietro de Francisci, vol. I (1956), pp. 183 sq.
"'" Seckel.Levy. (1927) 47 ZSS 231 sq.; Benohr, Symilh^Hid. p. SH. Cf. also Mcyl.ni.
:J949) 3 RIDA 197 sqq.. who. however, goes on to argue that in case oi res пес m.mcipi
(pracdia in Gennania trans Renum!) the nsk passes with the due da te of the purchase price
(dies pretn soKcndij. I hs theory, while providing an ingenious explanation for Paul. I). 21.
2, I I . is based on the mistaken assumption that transfer of ownership was, according to
classical law, always dependent on payment ot the purchase price. A curious explanation is
offered by Voet, Comitwntiiriiis aJ I\md<\'liii, Lib. XVIII, Tit. VI. 1.
1111
Paul. Г). I K. (,, 13/15 pr.
For details, sec Mommsen, Shhit-rccht, vol. II. 3, pp. 486 sqq.
The Roman streets were ver\ narrow; tor я lively account, see Carcopmo. pp. 57 sqq.
In our ca se the a edil seems to have a cted withm his powers; argumentum e contrario troni
lul. П. I S. 6, 14.
113
Cluck, vol. 17, pp. 143 s q q . ; Seckel/Lcw. (1927) 47 ZSS 244 sqq.; Ka ser, RPv 1. p.
533, n. 73; Theo Maycr-Maly, "Ha ftung aus Miete na ch Staatsunreeht". (1957) 74 ZSS 364
sqq.; Benohr. Sytuilhigiua, pp. SS s q . ; tor a different interpretation, see. for instance,
Kru ck mann, (1 У40) 6 U ZSS 65 sqq.; Ma cCorma ck, (1985) 101 ZS S 573 sqq.
114
Cf. e.g. Kaser, RPvl, p. 547: idem. (1479) % ZSS 1 1 4 s 4 .; Dockland ■■Stein, p. 4H7;
Honsell/M;i\er-Mal\ /Sclb, p. 31U; Watson. Ohli^uions, p. (>'Л It was not imported only in
the late classical period under the influence ot Hellenistic law, as Haymann. (1УЗО) 41 ZSS
172 sqq. a nd Bern. (1 %5) 82 ZSS 12 would ha ve i t .
1 lri
Schul/, (^RL, p. 533 even calls it "an ideal solution"'. See, too, De Zulueta. .S'j/e. p. 35;
Nicholas, Introduction, p. 18П; Ernst, op. e i t . . note 63. pp. 73 sqq.; Stetan Weyand.
"Kau fverstamlnis nud Verkauferhattung un klassischcni rdmiseheu Recht", (1983) 51 ! R
246 s 4 q . ; Peters, Irstgah' Kd<n. pp. 221 ыщ.; MaeCormack, (1985) 101 I.QR 574 (more
"sophisticated").
1/ (1
Cf. already Wmdscheid/Kipp. § 321. 3. as translated In Lawson. (1949) 46 LQR 3(>1:
"The reason tor this exceptional provision is to be found in the tact that the declaration ot
intention to sell is a declaration ot intention to alienate. That means that i t s content is not so
much that the seller binds himself to surrender the thing sold, as rather that he actually
surrenders i t . In consequence ot this characteristic ot the declaration ot intention to sell, the
thing sold is treated by the law, so tar as the relation ot the seller to the buyer is concerned,
as though it had already been severed trom the seller's estate and passed into the buyer's."
Cf. also § 390.
1
' Cf. supra, pp. 277 sq.
"" Paul. I ) . 22. 1. ?>H. 7-H; Pomp. IX 19. 1. 3. 1; С 4. 49. 13 ami 1 U (Oioel.): Ulp. 1). 19.
I. 13. 13. For details, see V'oet. CoiiuneiiLinio ad P.uidedits. I lb. XVIII. l i t . VI. 9; (iluck.
vol. 17. pp. 189 s4 q.: and esp. Wey.ind. (1983) 51 Г И 229 sqq. Cf. a l so Paul. I ) . 18. 6, 7 pr.:
"Id. quod post cmptionem inndo aecessir per .ilhivionem vel pent, ad emptoris eommodum
incommodumque pertmet: n . i m et si totus ager post emptionem rlummc oeeupatus esset,
penculutn essct emptoris: sic igitur et comniodum eius essc debet". and hut. I I I . 23. 3 a.
where [he reason for this is crisply expressed m the rule "nam et connnodum ешь esse debet.
cuius peneulum est". This ride also appears among the regulae l i i r i s antiqui in P.nil. IX 5n,
17. 10 ("Sccu ndu m na turam est commoda cuiu squ e rei cum sequi. quern scquenrur
incomnioda "). For details, see G.CJ.J. va n den Iiergh. "Qu i ha bet commoda tere debet
onera", in: Hlorcs Icgum H.J. Sdwttnna oblali (1971),: pp. 21 sqq.; Manfred Harder.
"Commodum eius esse debet. amis periculum est'": in: l estsdirifi fiir Max Ка.чт (1976).
pp. 362 sqq.
"'J Cf. supra, pp. 239 sq.
I he following comments reter only to the sale of individual things, not to emptio
generis.
121
Cf. supra, note 71 and §§ 95. 100 I 11; 364 I 5 PrALR; cf. also §§ 1064, 1048. 1051
ABGB. Critical ot "periculum est emptoris" in his comparative evaluation, also Hager, op.
cit., note 62. pp. 66 sqq.
122
"Motive", in: Mtigdiiti, vol. I I . pp. 113 sq.
'-■ § 446 I 2 BGB carries on to state that "after delivery the emoluments accrue to the
purchaser, and he bears the burdens attached to the thing". This is in line with the maxim
"sccu ndum naturani est commoda cuiu squ e re cum scqui, qu em sequentur incommoda"
(Paul. D. 50. 17. ID).
'" Cf. e.g. Vinnius. Institutions, Lib. I l l , Tit. XXIV. 3: Voet. Commentarius ad Pandectas,
Lib. XVIII, Tit. VI; Pornier, Traitc du contra! de vente, п. ЗОЙ: Grotius, Itileidint;, I I I , X! V, 34;
Gluck, vol. 17. pp. 126 sqq.; Windscheid/'Kipp, § 390; Vangerow, Pandcktcti. § 635;
Bechma nn, vol. II. pp. 99 sqq.; vol. Ill, 1 , pp. 171 sqq.
l2
* Cf. Poppc, Sclumlwffand Gimery i>. Mo-aithJ & Co. (1879) 9 Buch 91; Taylor & Co. v.
Mackie. Ditnti tr Co. (1879) 9 Buch 166; for details, sec Dc Wet en Yeats, pp. 308 sqq.; cf.
also the acute analysis by M.A.K. Lambins, (1984) 101 SALJ 656 sqq. For Scotland, see Sloan's
Dairies Ltd.'v. Glasgow Corporation 1477 SC 223 at 238'and A.D.M. Forte, "Must a Purcha ser
Bu y Charred Re mains? — An Analysis ot the Pa ssing ot Risk on Civilia n Principles",
(1984) 19 The Irish jurist 1 sqq. (who himself is critical of the rule: pp. 9 sqq.).
126
Cf. supra, pp. 192 sq. and, in the present context, lust. III. 23, 3 a. dealing with the sale
of slaves, for which transaction special rules seem to have applied already in classical law; ct.
Kascr, (1979) 96 ZSS 109 sqq.
127
Am. 1138, 1583 code civil.
128
That was not al ways so; cf. Poll ock and Mait land, vol . i f , pp. 209 s q. : "That t he
ownership of the purchased goods did not pass to the buyer until they were delivered to him
seems plain. We ma y gather from Bracton and Fleta that this wa s so even when the whole
price ha d been paid. Unless there wa s some special agreement to the contrary, the risk
remained with the party who wa s in possession ot the goods." For the roots of the modern
notion of sale a s ha ving the consequ ence ot pa ssing both title a nd risk, see Holdsworth,
vol. I l l , pp. 354 sqq. "Res pent domino" seems to ha ve been referred to for the first time
by Blackburn J, in Martineau v. Kitciring (1872) LR 7 QB 436 at 454. For a comparison
between English a nd Roma n la w, see Bu ck la nd/McNair, pp. 289 sq.; La wson, (19 49) 65
LQR 352 sqq.
129
Cf. ss. 20. 49 Sale of Goods Act 1979.
]M>
(1809) 11 East 210 at 217.
1
Cf. infra. Chapter 25.
- For a comparative discussion, see Raphael Powell, "Eviction in Roman h\v and Hnglish
Law", in: Studies in the Roman Law of Sale in memory of Francis tie '/.nlneta (1959), pp. 78 sqq., 86
sqq.
■' Ulp. D. 50, 17, 54.
4
Ulp. D. 18 . 1 , 28 .
" Cf. supra, pp. 27H sqq.
6
Ct. supra, p. 27H.
293
7
This is the main example that will be used for the purposes of the following discussion.
The situation was the same, where the purchaser had become owner, but a third party could
assert a real right against him: e.g. the holder of a non-possessory pledge (who could bring
the actio Serviana) or a usufructuary (who could avail himself of the vindicatio ususfructus).
What mattered was whether the purchaser had the habere licere or whether he was evicted
(due to whatever real right of a third party); cf. e.g. Pomp. D. 21, 2, 34, 2; Paul. D. 21, 2,
35;8 Afr. D. 21, 2, 46 pr.; Cels. D. 21, 2, 62, 2; Windscheid/Kipp, § 391, 3.
On evincere, evictio, see Heumann/Seckel, p. 177; Cuiacius, Ad Africanum Tractatus VI,
Ad L. Non tamen 24 de eviction.: "Evincere igitur est legitimo certamine vincere, id est,
cognitio judicis, el non vincere tantum, sed etiam rem abducere, et auferre. Plus enim est
evincere quam vincere, quia est etiam rem abducere et auferre. Una litera auget
significationem, ut in elugere, emercri, enavigare. . . . "
9
The literature on this enigmatic concept of ancient Roman law is vast. Cf. e.g. Gluck,
vol. 20, pp. 179 sqq.; Ernst Eck, Die Verpfiichtung des Verkaufers гиг Gewahrung des
Eigenthums nach romischem undgemeinem deutschen Recht (1874), pp. 2 sqq.; Bechmann, vol. I,
pp. 107 sqq.; Ernst Rabel, Die Haftung des Verkaufers wegen Mangels im Reckte, vol. I (1902),
pp. 5 sqq.; Franz Haymann, Die Haftung des Verkaufers fur die Beschaffenheit der Kaufsache, vol.
I (1912), pp. 1 sqq.; Kaser, Altrb'misches ius, pp. 135 sqq.; idem, Eigentum und Besitz im dlteren
romischen Recht (2nd ed., 1956), pp. 89 sqq., 109 sqq., 129 sqq.; Arangio-Ruiz,
Cotnpravendita, pp. 310sqq.;TheoMayer-Maly, "StudienzurFnihgeschichtederusucapioII",
(1961) 78 ZSS 234 sqq.; Herman van den Brink, Ius fasque (1968), pp. 214 sqq.; Diosdi,
Ownership in Ancient and Preclasskal Roman Law (1970), pp. 75 sqq.; A.M. Prichard,
"Auctoritas in Early Roman Law", (1974) 90 LQR 378 sqq.; Hans Ankum, "L'actio de
auctoritate et la restitutio in integrum dans le droit romain classique", in: Maior viginti
quinque annis, Essays in commemoration of the sixth lustrum of the Institute for legal history of the
University of Utrecht (1979), pp. 1 sqq. For a modern overview over and summary of the
discussion, sceJolowicz/Nicholas, pp. 146 sqq.; Kaser, RPrl, pp. 132 sqq.; Honscll/Mayer-
Maly/Sclb,
10
pp.173 sqq.
"Usus auctoritas fundi biennium, ceterarum rerum annos esto".
11
The problem is that we have, at best, only indirect references to it, for Justinian deleted
both mancipatio and the auctoritas liability flowing therefrom from the classical sources. It
is not surprising, therefore, that it has even been argued that this liability never existed
(cf. e.g. M. Sargenti, "Per una revisione della nozione dell'auctoritas come effetto della
mancipatio", in: Studi in onore di Emiiio Betti, vol. IV (1962), pp. 15 sqq.; Alfredo Calonge,
Eviction (1968), pp. 15 sqq.); but see e.g. Rabel, Arangio-Ruiz, Kaser, Diosdi and Prichard,
Ankum, all as above.
12
Cf. e.g. Rabel, op. cit., note 9, pp. 8 sqq.; Kaser, Eigentum ttrtd Besitz, op. dr., note 9,
pp. 115 sqq.; idem, "Die romische Eviktionshaftung nach Weiterverkauf", in; Sein und
Werden im Recht, Festgabe fur Ulrich von Lubtow (1970), p. 488.
13
Cf. infra, pp. 932 sqq.
14
Cf. Max Kaser, "Typisierter 'dolus' im altromischen Recht", (1962) 65 BIDR 79 sqq., 96
ь
Cels. D. 18, 1, 59; Ner. D. 21, 2, 48; Paul. D. 50, 16, 169; D. F. Mostert, "Uitwinning
by16die Koopkontrak in die Romeinse Reg", 1969 Ada Juridica 19 sqq.
The parties were, of course, free to vary the sum; they could agree to simplum or to
triplum,
Ь
quadruplum, etc.: cf. e.g. Paul. D. 21, 2, 56 pr.; Gluck, vol. 20, pp. 280 sqq.
Cf. e.g. Varro, De re rustica. Lib. II, 10, 5; Gai. D. 21, 2, 6; Ulp. D. 21, 2, 37, 1; Rabel,
op. cit., note 9, pp. 72 sqq.; Kaser, Eigentum und Besitz, op. cit., note 9, pp. 202 sqq.; Helmut
Coing, "A Typical Development in the Roman law of Sale", in: Gesammelte Aufsatze zu
Rechtsgeschichte, Rechtsphilosophie und Zivilrecht, vol. I (1982), pp. 64 sqq.; Arangio-Ruiz,
Compravendita, pp. 341 sqq.; Watson, Obligations, pp. 83 sqq.; Pasquale Voci, "La
responsibility del debitore da 'stipulatio poenae'"; in: Studi in onore di Edoardo Volterra, vol.
Ill (1971), pp. 339 sqq.; Mostert, 1969 Ada Juridica 67 sqq.; Knutel, Stipulatio poenae, pp. 37
sq. In the case of res mancipi, such a stipulation was necessary only where a mancipatio did
not take place (e.g. where res mancipi were sold to peregrini), but the purchaser could also
take a stipulatio duplae from the seller where there was mancipatio ("satisdatio secundu m
mancipium"?; cf. Kaser, RPr I, p. 130; Mostert, 1969 Ada Juridica 24 sqq.) It could serve as
a basis for suretyship in the form of either sponsio or fidepromissio.
18
Ul p. D. 21, 2, 37, 1 i n fi ne. If the vendor refused t o gi ve the guarantee withi n t wo
months, the purchaser was granted the actio redhibitori a: Gai. D. 21, 1, 28.
19
Kaser, Festgabe von Lubtow, pp. 484 sq.; cf. also Lenel, EP, p. 568.
20
Varro, De re rustica, for example, Lib. II, 2, 6; Lib. II, 3, 5; Lib II, 4, 5; all relating to
different kinds of pecus (". . . earn rem . . . recte mihi habere licere spondesne?").
21
Rabel, op. cit., note 9, pp. 136 sqq.
22
M a x Kaser, "Das Ziel der a ctio e m pti nac h Eviktion", (1934) 54 ZSS 176 sqq.
23
In contrast to the stipulatio duplae, the stipulatio habere licere did not mention eviction
as a re q uire m e nt; he nc e the na rrow interpretation (in ac c orda nc e with "ne m o a lie num
factum promittendo obligatur") by Ulpianus in D. 45, 1, 38 pr. Cf. esp. Ma x Kaser, "Ne ue
Studien z um altromisc he n Eige ntum ", (1951) 68 ZSS 152 sqq.; but see Ulp. D. 19, 1, 11,
18; Rabel, op. cit., note 9, pp. 30 sqq.; Watson, Obligations, pp. 85 sq.; Philippe Meylan, "La
stipulation habere licere", (1970) 38 TR 67 sqq.; Arangio-Ruiz, Comprauendita, pp. 332 sqq.;
Mostert, 1969 Ada Juridica 60 sqq. The narrow interpretation only came to prevail once the
actio empti had been made available to the purchaser to recover his interest; see D. 45, 1, 38
pr., the first sentence of whic h proba bly still represents the opinion of Sa binus.
24
Cf. e.g. Afr. D. 19, 1, 30, 1; Ulp. D. 19, 1, 1, 1; Ulp. D. 19, 1, 11, 15; Rabe], op. cit.,
note 9, pp. 93 sqq.; Antonius Louisius Olde Kaker, Dicta et Promissa (1963), pp. 69 sqq.
5
Ulp. D. 21, 1, 31, 20: "Quia adsidua esc duplae stipulatio, idcirco placuit etiam ex
empto agi posse, si duplam venditor mancipii non caveat: ea enim, quae sunt moris et
consuetudim's, in bonae fidei iudiciis debent venire." Cf, further Pomp. D. 45, 1, 5 pr.;
Rabel, op. cit., note 9, pp. 75 sqq.; Kaser, (1934) 54 ZSS 182 sqq.; Arangio-Ruiz,
Compravendita, pp. 346 sqq.; Mostert, 1969 Actajuridka 109 sqq.; Honsell, Quod interest, pp.
20 sqq. Did that apply only to the stipulatio duplae or also to the stipulatio habere licere? Cf.
Ner./Ulp. 19, 1, 11, 8, but (on this text) Kaser, (1934) 54 ZSS 185; Arangio-Ruiz,
Compravendita, p. 347.
26
Ulp. D. 21, 2, 37, 1.
Gai. D. 21, 2, 6: "Si fundus venierit, ex consuetudine eius regionis in qua negotium
gestum est pro evictione caveri oportet."
28
Ulp. D. 21, 2, 37 pr.
29
D. 21, 2, 37 pr.
30
Cf. also Ner./Ulp. D. 19, 1, 11, 9.
31
Cf. particularly Levy, Obligationenrecht, pp. 213 sqq.; but see Honsell, Quod interest,
pp. 23 sqq.
Medicus, Id quod interest, p. 52; Honsell, Quod interest, pp. 25 sqq.
33
Ul p. D. 21, 2, 37, 1; Gai. D. 21, 2, 6.
34
Cf. Eck, op. ci t. , not e 9, pp. 29 sqq. ; Fri t z Sch ul z, "Di e Leh r e vo m Con cursus
Causarum i m klassischen und justinianischen Recht", (1917) 38 ZSS 132 sqq.; Medicus, Id
quod interest, pp. 100 sqq.
35
D. 21, 2, 8; cf. further e.g. Iul./ UIp. D. 19, 1, 11, 18; Paul. D. 19, 1, 43; lav. D. 21,
2, 60; Paul. D. 21, 2, 70; Kaser, (1934) 54 ZSS 163 sqq.; Arangio-Ruiz, Compravendita,
pp. 349 sqq.; Medicus, Id quod interest, pp. 52 sqq.; Honsell, Quod interest, pp. 25 sqq.; Hans
Ankum, "Das Ziel der 'actio empti' nach Eviktion", in: Sodalitas, Scritti in onore di Antonio
Guarino, vol. VII (1984), pp. 3215 sqq.
36
Not, however, in the cases of concursus causarum, where the actio empti only lay ad
pretium reciperandum, i.e. for the return of the purchase price. The purchaser's habere licere
was not infringed and therefore he could not clai m quod interest rem habere licere. On the
other hand, he had now paid the purchase price twice (where he had acquired the object from
the true owner under a titulus onerosus—like sale) or he had paid a price, which, in the light
of subsequent events, he need not have pai d at all (acqui siti on from the t rue owner on
account of a titulus lucraiivus, e. g. he happened t o become his heir). Cf. Honsell, Quod
interest, p. 38 sqq. and the literature quoted above.
37
С 8, 44, 23 (Diocl.).
38
Paul. D. 19, 1, 43. In Afr. D. 19, 1, 30, 1 we find "quanti mea intersit (rem) meam esse
fact a m" , but this r efers to the (a ggr ava ted) li abil ity un der the acti o e mpt i for dol us;
cf. Honsell, Quod interest, pp. 57 sq.
39
For a comprehensive discussion, see Medicus, Id quod interest, pp. 53 sqq.; Honsell,
Quod interest, pp. 30 sqq.
40
"Comment, ad Tit. Dig. de Evictionib. et Duplae etc.", Cap. VII, 3, in: Opera Omnia,
vol. X (Florentiae, 1847), col. 1401, discussed by Honsell, Quod interest, pp. 31 sq.
41
Th e r e l e v a n t v a l u e t o b e e st i ma t e d wa s t h e v a l u e a t t h e t i me o f e vi c t i o n ; a s a
consequence any increase in value by way of improvements effected by the purchaser was
taken into consideration. Cf. Paul./Afr. D. 19, 1, 43-45; on the difficult problems posed by
this text, see Medicus, Id quod interest, pp. 80 sqq.; Honsell, Quod interest, pp. 50 sqq.; Knutel,
Stipulatio poenae, pp. 338 sqq.
Iul. D. 21, 2, 8. This is a typical case, where "quod interest" was for once likely to
exceed
43
dupla pecunia.
The purchaser had a choice (elective concurrence of remedies): Knutel, Stipulatio poenae,
pp. 335 sqq.
44
If the purchaser was aware of the defect in title, he could not sue the vendor on account
of eviction: cf. С 8, 44, 27 and 30 (Diocl.)- But see C. 6, 43, 3, 4 (J u st )- where an action
for the return of the purchase price is granted. This conflict between classical and Justinianic
law has gi ven rise t o a disput e a mongst t he aut hors of t he i us commune {Covarruvi as,
Do nel l us, Chri st i naeus, Fa chi na eus, Car pz ovi us, Br unn e man n, U. Hub er and Van d er
Keessel on the one hand; Cuj acius, Zoesius, Perezius, Groenewegen, Antonius Matthaeus
I I I , Voet and Pothier on the other) that is fully canvassed in Van der Westhuizen v. Yskor
Werknemers se Onderlinge Bystandsversekering 1960 (4) SA 803 (T) at 804H-812A. See Max
Kaser, "Das romische Recht in Sudafrika", (1964) 81 ZSS 23 sqq.; for modern German law:
§ 439 BGB. The parties were also able, in their contract of sale, to exclude liability for eviction
(pactum de non praestanda evictione); cf. Ulp. D. 19, 1,11, 18; Pothier, Traite du contrat de
pente, nn. 182 sqq.; Gliick, vol. 20, pp. 295 sqq.; Vangerow, Pandekten, § 610, n. 4; Calonge,
op. cit., note 11, pp. 116 sqq. On partial eviction, see Ulp. D. 21, 2, 1; Paul. D. 21, 2, 36;
Iul. D. 21, 2, 39, 2 (Voet, Commentarius ad Pandectas, Lib. XXI, Tit. II, XV sq.;
Pothier, nn. 140 sqq.; Gliick, vol. 20, pp. 332 sqq.). If the purchaser had not yet paid the
purchase price, he could refuse to do so after litis contestatio had taken place with regard to
the action by the third party brought against him {exceptio evictionis i mminentis); cf. Pap.
vat. 12, but see Pap. D. 18, 6, 19, 1; and Gluck, vol. 20, pp. 370 sqq.; Benohr, Synallagma,
pp. 56 sqq. As far as the sale of claims (nomina) was concerned, see Cels./Ulp. D. 18, 4, 4
(". . . l ocupl et e m esse debit ore m non debere pra est are, debit orem aut e m esse praest are
. . ."); Herm. D. 21, 2, 74, 3 (". . . dumt axat ut sit, non ut exigi etiam aliquid possit . . .
praestare cogitur"); Medicus, Id quod interest, pp. 167 sqq.
45
Cf. e.g. Lenel, EP, pp. 542 sqq.
46
Kaser, RPr II, pp. 391 sq.
47
Cf. e.g. Levy, Obligationenrecht, pp. 216 sq.
48
"Cum pro eo quod interest dubitationes antiquae in infinitum product ae sunt, melius
nobis visum est huiusmodi prolixitatem prout possibile est angust um coart are. Sanci mus
it aque i n omni bus casi bus, qui cert ai n habent quant it at e m vel nat ura m, vel uti i n
venditionibus . . ., hoc quod interest dupli quantitatem mini me excedere." It is unclear
whet her this arbitrary li mitation of "dupli quantitas" refers to the ordinary value of the
object sold or to the purchase price; cf. Medicus, Id quod interest, pp. 288 sqq.; Schindler,
Justinians Haltung гиг Klassik, pp. 259 sqq. Generally speaking, it does not seem to have been
carried into effect in other parts of the compilation. In the context of eviction, however, we
do fi nd a hi nt i n Afr. D. 19, 1, 44 (". . . et non ult ra dupl um peri cul um subi re eu m
oportet"). Again, it is difficult to decide what the doubling referred to; also, there is a dispute
as to whether this text was interpolated by Justinian (in order to bring the law into line with
C. 7, 47, 1) or whether D. 19, 1, 44 expresses the opinion of at least one classical lawyer and
perhaps even induced Justinian to formulate his generalized rule; cf. e.g. Honsell, Quod
interest, pp. 54 sq.; Knutel, Stipulatio poenae, pp. 341 sqq. In any event, C. 7, 47 was usually
applied to the "quod interest" clai m during the time of the ius commune; cf. e.g. Cuiacius,
Ad Africanum Tractatus VIII, Ad L. 44 de actio empt.; Windscheid/ Kipp, § 391, 5.
49
Levy, Obligationenrecht, pp. 216 sqq.; Kaser, RPr II, pp. 390 sq.
50
Centura Forensis, Pars I, Lib. IV, Cap. XIX, 11; cf. further e.g. Groenewegen, Delegibus
tis, Di gest. Li b. XXI, Tit. I, 1. 31 quod si nolit. Li b. XXI, Tit. II in i niti o; Voet,
Commentarius ad Pandectas, Lib. XXI, Tit.II, XXVIII.
51
Aantekeningen, III, XIV, 6 (in Hugo Grotius, Inleiding, Middelburg, 1767).
52
As far as, specifically, Roman-Dutch law is concerned, see the detailed analysis by D.F.
Mostert, "Uitwinning by die Koopkontrak in die Romeins-Hollandse Reg", 1967 Ada
Juridka 49 sqq., 77 sqq. For the ius commune in general, see Coing, p. 452; Arndts,
Pandekten, § 303, n. 8; Baron, Pandekten, § 288, II.
Van Leeuwen, loc. cit.; Vinnius, Selectae Juris Quaestiones (Roterdami, 1685), Lib. II,
Cap. VIII (". . . quae praestatio pars est obligationis empti et venditi") and many others. 4
Cf. e.g. Donellus, Cotnmentarii de Jure Cifili, Cap. VII, 2, 3 (". . . Quibus verbis (sc. id
quod interest) non pretium, ut dixi, continetur, sed quanti res valuit"); Domat, Les loix
civiles, Tit. I, Sec. X, XII sqq.; Gluck, vol. 20, p. 349; Baron, Pandekten, § 288, II;
Windscheid/Kipp, § 391, 5.
55
Moli naeus, Tractatus de eo quod interest, nn. 68 sqq.; Pe rezi us, Praelecti ones, Lib. VIII, Ti t
XLV, 11 (". . . re tamen evicta emptor consequitur rei pretium, et praeterea quanti interest
rem evictam non esse"); Van Leeuwen, loc. cit. ("In qua causa, si succumbat, et rem ad
alium pertinere compertum sit pretium restkuere tenetur venditor cum usuris, et quod
praeterea emptoris interest, rem evictam non fuisse"); Grotius, Itileiding, III, XIV, 6; Voet,
Commentarius ad Pandectas, Lib. XXI, Tit. II, XXV; Pothier, Traite du central de vente, nn. 70,
119 sqq. and many others. In modern French law, the vendor is obliged to restore the price
(apart from paying damages; art. 1630 code civil); such restitution is, however, not based
upon an implied warranty, but upon the genera) principles of unjustified enrichment: the sale
of a thing belonging to another person is void (art. 1599 code civil).
56
A c co r din g t o R a be l ( o p. cit. , n ote 9, pp . 14 5 s qq.) a nd M e di cu s { I d qu od in te re st,
pp. 49 sqq., 94 sqq.) the Roman lawyers took the price paid as the starting point for the id
quod interest. Contra: Honsell, Quod interest, pp. 32 sqq.
57
Cf. Hendler Bros. Garage (Pty.) Ltd. v. Lantbons Ltd. 1967 (4) SA 115 (O) ('"n
uitgewonne koper is slegs op skadevergoeding geregtig: die bedrag daarvan is die waarde
van die verkoopte saak ten tye van die uitwinning") (according to De Wet en Yeats, p. 293,
'"n bloemlesing van nalwiteite"); Alpha Trust (Edms.) Bpk. v. Van der Watt 1975 (3) SA 734
(A) at 748G (". . . as gevolg van die uitwinning (is respondent} geregtig om terugbetaling
van die koopprys en vergoeding van sy skade met die actio empti van die verkoper te
vorder") and see D.F. Mostert, "Uitwinning by die Koopkontrak in die Suid-Afrikaanse
Reg", 1968 Actajuridica 36 sqq.
For a comprehensive analysis in historical perspective, see Mostert, 1968 Actajuridica 5
sqq. 5 For a detailed analysis, see Mostert, 1967 Acta Juridica 49 sqq.
60
For a general discussion, see Voet, Camtnentarius ad Pandectas, Lib. XXI, Tit. II, XX;
Gluck, vol. 20, pp. 388 sqq.
61
Voet, Commentarius ad Pandectas, Lib. XXI, Tit. II, XX; Coing, p. 452.
62
Cf. Paarl Pretoria Gold Mining Co. v. Donovan & Wolff 3 SAR 93 at 98, per Kotze CJ
{". . . it is clear that this was . . . only a local provision of the jus adjectivum or practice in
the Netherlands . . . and forms no portion of the real substantive law, which is that by which
alone we are bound, for we have our own rul es and procedure i n t his country").
63
hammers & Lammers v. Giovannoni 1955 (3) SA 385 (A) at 397B (per Van den Heever
Voet, Commentarius ad Pandectas, Lib. XXI, Tit. II, XX; Mostert, 1967 Actajuridica 102
sqcb
65
York & Co. (Put.) Ltd. v.Jones (i) 1962 (1) SA 65 (SR) at 82 sqq.
66
Cf. e.g. Alpha Trust (Edms.) Bpk. v. Van der Watt 1975 (3) SA 734 (A) at 743G. This
applies at least in cases where the seller hi mself was not the owner. Otherwise, he seems to
be obliged to transfer ownership; cf. Grotius, Inleiding, III, XV, 4: "Aen des verkoopers zijde
best aet de nakomi nge daer in, dat den verkooper, indien hy eigenaar is van het verkochte
goed, schuldig is den kooper daer i n t e ei genen: 't wel ch gheschi ed door l everi ng ende
inleiding in het bezit . . ."; see also Kerr, Sale and Lease, pp. 110 sqq. This distinction seems
to go back to the old Dutch (Germanic) concept of "waerhand": cf. Grotius, Inleiding, III,
XIV, 6 and Mostert, 1967 Ada Juridica 85 sqq. It fits in with Roman law on the basis that,
where an obj ect has been sol d by its owner, traditio is usually t antamount to t ransfer of
ownership.
67
Cf. e.g. Pothier, Traite du contrat de vente, nn. 41, 48; Gluck vol. 20, p. 210;
Wi ndschei d/ Kipp, § 389, 1; Coi ng, p. 451. A si mil ar sit uati on obtai ned i n the English
common law until well into the 19th century. As late as 1849 Baron Parke stated: ". . . the
result of the older authorities is that there is by the law of England no warranty of title in the
actual contract of sale, any more than there is of quality. The rule of caveat emptor applies
to both" (Morley v. Attenborough (1849) 3 Exch 500 at 510; but see, only 15 years lat er,
Eichholz v. Bannister (1864) 17 CB (NS) 708 at 723: ". . . in almost all the transactions of sale
in common life, the seller by the very act of selling holds out to the buyer that he is the
owner of the article he offers for sale" (per Erie CJ); cf. further Buckland/ McNair, pp. 283
sq.; Powell, Studies de Zulueta, pp. 88 sqq.; Mostert. Uitwinning by die Koopkontrak in die
Suid-Afrikaanse reg (unpublished LL.D. thesis, Pretoria, 1965), pp. 659 sqq.
68
§ 433 BGB has been quoted above (supra p. 278). § 434 adds: "The seller is bound to
transfer to the purchaser the object sold free from rights enforceable by third parties against
the p urc ha ser." O wne rship, in othe r wor ds, m ust be tra nsfe rre d free fro m a n y re al or
personal rights which might affect the purchaser's habere licere (see § 434 read together with
§ 440 II BGB). This includes servitudes. The legislator thus rejected the approach of Roman
law, according to which incumbrances on land by way of servitudes are so comm on, that the
purchaser cannot assume the vendor's land to be free from them unless he has been given a
specific promise to that effect. This type of reasoning, however, still prevails today wit h
regard to public burdens on land (§ 436 BGB: "The seller of a piece of land does not warrant
the land to be free from public taxes and other public burdens which are not appropriate for
entry in the Land Register"). In Roman-Dutch and modern South African law the question
is whether the old Dutch (Germanic) rule, according to which the vendor is under a duty not
only of waeren but also of vtijen, has survived the reception of Roman law; see Van der
Keessel, Praelectiones, ad Gr. Ill, XV, 4, and the discussion by Mostert, 1967 Ada Juridica 87
sqq. Further, on the problem of how far the guarant ee of the vendor extends to freedo m
from servitudes, see Donellus, Commentarii de Jure Civilt, Cap. VI, 8 sqq.; Pothier, Traite du
contrat de vente, nn. 200 sqq.; Vangerow, Pandekten, § 610, n. 2 (pp. 315 sqq.).
69
In case of land (ownership of which is transferred not by agreement and delivery, but
by agreement and registration in the Land Register) the general rule of § 440 I BGB applies
("If the seller does not fulfil the obligations imposed upon hi m by §§ 433 to 437. 439, the
rights of the purchaser are determi ned according to the provisions of §§ 320 to 327").
" Or has returned it to the sell er, or unl ess the thing has been dest royed (sc: if such
destruction has its origin in the defect in title).
71
§ 440 II. In evaluating this rule, it has to be taken into consideration that liability on
a cc ou nt of evi ct i on u nd e r t he BGB do es not h av e t h e s a me i mport an c e a s i n t he i us
commune, since the "nemo plus iuris" rule no longer applies: according to §§ 932 sqq. BGB
the purchaser can acquire ownership in good faith from a non-owner. On the other hand,
however, the periods for acquisitive prescription of ownership were much shorter in the ius
co mmune t han t hey are under t he BGB. For si mil ar consi dera ti ons rel at i ng t o t he
comparison between Roman and English law, see Powell, Studies de Zulueta, pp. 78 sqq. Cf.
further already §§ 317 I 5, 135, 136, 143 1 11 PrALR (read together with § 1 I 11); §§ 922,
1053 ABGB; am. 1625 sqq. code civil. For a comparative analysis (Roman Law, French law
and Louisi ana Civil Code), see Al exander E. Ralst on, " Warrant y of Titl e or Warranty of
Peaceable Possession in Louisiana?", (1940-41) 15 Tulane LR 115 sqq.; John H. Baldwin,
"Warranty Against Eviction in the Civil Law: Extent of the Vendee's Recovery", (1948-49)
23 Tulane LR 140 sqq.; Charles J. Boudreaux, "Warranty Against Eviction in the Civil Law:
Limitations on the Extent of the Vendee's Recovery", (i948-49) 23 Tulane LR 154 sqq.; cf.
also Coing, Gesammelte Aufsatze, vol. I, op. cit., note 17, pp. 65 sq.
72
Cf. in this context § 442 BGB, according to which the purchaser has to prove the defect
in title.
73
§§ 459, 462 BGB.
74
§ 463 BGB.
75
§ 477 BGB.
76
For details, see Walter Jiirgen Klempt, Die Grundlagen der Sachmangelhaftung des
Verkaufers im Vernunftrecht und Usus modemus (1967), pp. 26 sqq.
77
Grotius, De jure belli ac pacts. Lib. II, Cap. XII, 8.
73
Christian Wolff, Jus naturae, Pars IV, Cap. IV, § 977. 79
Institutiones juris naturae et gentium, § 618.
80
Cf. also Pothier, Pandedae Justinianae, vol. VIII, Lib. XIX, Tit. 1, Art. V, XLVIII,
XLIX: "Quum venditor praestare teneatur rem emptori habere licere, sequitur eum ex
empto teneri praestare eas qualitates in re vendita abesse, per quas non liceat earn habere, aut
per quas earn inutiliter haberet emptor . . . De caeteris autem vitiis quae non impediunt
quominus rem habere liceat, venditor qui ea ignoravit et de his tacuit, nullatenus tenetur."
81
Atiyah, Rise and Fall, pp. 464 sqq. For the historical development cf. Rheinstein,
Struktur, pp. 42 sqq.; Samuel). Stoljar, "Conditions, Warranties and Descriptions of Quality
in 8Sale of Goods I", (1952) 15 Modern LR 432 sqq.
2
S. 13 I, II.
83
84
S. 14 II, 15 II.
85
S. 14 III.
86
Cf. ss. 11 III, 53.
For details, see Patrick S. Atiyah, The Sale of Goods (7th ed., 1985).
87
"[A] Latin proverb of late Anglican vintage": Walton H. Hamilton, "The Ancient
Maxim Caveat Emptor", (1931) 40 Yale LJ 1186. Hamilton shows (pp. 1163 sqq.) how it
won judicial acceptance with the rise of individualism and freedom of contract. "Not until
the nineteenth century, did judges discover that caveat emptor sharpened wits, taught
self-reliance, made a man—an economic man—out of the buyer, and served well its two
masters, business andjustice." Along the same lines Atiyah, Rise and Fall, pp. 178 sqq., 464
("The doctrine of caveat emptor can be said to represent the apotheosis of nineteenth-
century individualism"). The leading case had always been Chandelor v. Lopus (1603) Cro
Jac 4, where a jeweller had sold a stone affirming it to be a Bezoar stone (i.e. a stone that is
found in the stomach or intestines of certain animals). It turned out that the stone was in fact
not a Bezoar stone. Nevertheless, the purchaser lost his case because the vendor had only
affirmed, not warranted it to be a Bezoar stone. In the Middle Ages, a very strict and detailed
system of regulation of marketplaces and materials and methods of manufacture, and also the
gild system compensated, to a certain extent, for the lack of common- law protection of the
purchaser; cf. e.g. Hamilton, pp. 1141 sqq.; Gustav Klemcns Schmelzeisen, Polizeiordnungen
und Privatrecht (1955), pp. 423 sqq.
88
Parkinson v. Lee (1802) 2 East 314; but cf. also still Smith v. Hughes (1871) LR 6 QB 597
at 604 sq. per Cockburn CJ: "Now, in this case, there was plainly no legal obligation in the
plaintiff in the first instance to state whether the oats were new or old. He offered them for
sale according to the sample, as he had a perfect right to do, and gave the buyer the fullest
opportunity of inspecting the sample. . . . If, indeed, the buyer, instead of acting on his own
opinion, had asked the question whether the oats were old or new, or had said anything
which intimated his understanding that the seller was selling the oats as old oats, the case
would have been wholly different. . . Here, however, nothing of the sort occurs. The buyer
in a9no way refers to the seller, but acts entirely on his own judgement."
Cf. Eduard Graf, Mathias Dietherr, Deutsche Rechtssprkhworter (2nd ed., 1869),
pp. 259 sqq. The same applies in other countries; cf. the proverb "let their eye be their
chapman" (cf. Hamilton, (1931) 40 Yak LJ 1164) or "qui n'ouvre pas yeux doit ouvrir la bourse".
"But when householders bought most of their commodities at local markets or fairs,
when they were able to examine what they bought by look and feel, and haggle over the
price, it may be that they 'would be more likely to feel ashamed of being outwitted than
outraged at being swindled'" (Atiyah, Rise and Fall, pp. 179 sq.).
91
Bechmann, vol. I, pp. 247 sqq.; Lenel, Quellenforschungen in de n Edictcom mentarcn
(1882) 3 ZSS 190 sqq.; Watson. Obligations, pp. 81 sqq.; Kaser, RPr I, pp. 133 sq.
92
Cicero, De offiais, 3, XVI-65; Pa ul. Se nt. I, XIX, 1.
93
Kaser, RZ, pp. 99 sq.
94
Levy, Obligationetirecht, pp. 229 sqq.
9
^ Cf. e.g. Bec hm a nn, vol. Ill, 2, pp. 218 sqq.
96
Raymond Momer, La garantie contre les vices caches dans la vente romaine (1930), pp. 6 sqq.;
Arangio-Ruiz, Compravendha, pp. 353 sq.; Olde Kalter, op. cit., note 24, pp. 33 sqq.;
Honseil, Quod interest, pp. 62 sqq.
1/7
De officiis, 3, XVI-65.
98
Monicr, op. cit., note 96, pp. 177 sqq.; Paul van Warmelo, Vrywaring teen gebreke by
koop in Suid-Afrika (1941), pp. 53 sqq; Stein, Fault, pp. 5 sqq.; Honsell, Quod interest,
pp. 79 sqq. Cf. also Da vid Da ubc, "Three Notes on Digest 18. 1, Conclusion of Sale ",
(1957) 73 LQR 379 sqq. (dealing with Gai. D. 18, 1, 35, 8 and fraudulent concealment of (the
existence of) a neighbour, so that the estate sold appears larger tha n it is).
99
This case lies on the borderline bet ween defecti veness of the obj ect sold and l egal
defects.
100
Cicero, De ojficiis, 3, XVI—66.
101
Cf. a lso, for insta nce, Viv./Ulp. D. 21, 1, 1, 10; Ulp. D. 21. 1, 38 , 7 in fine.
102
Monier, op. c i t . , not e 96, pp. 134 sqq.; Olde Kalt er, op. cit., not e 24, pp. 54 sqq.;
St ein, Fault , pp. 28 sqq. The use of speci fi c words or forms was not requi red; this was
different, for instance, in English law up to the 19th century following Chandetor v. Loptts
(supra note 82).
1) 13 104
Cf. further e.g. Lab. D. 18, 1, 78, 3; Gai. D. 18, 6, 16 (relating to the sale of wine).
Cf. further Pomp. D. 19, 1, 6, 4; Ulp. D. 19, 1, 13, 2; Marci. D. 18, 1, 45 and Medicus, Id
quod interest, pp. 128, 299; Honsell, Quod interest, pp. 87 sqq.
105
Monier, op. cit., note 96, pp. 10 sqq.; Arangio-Ruiz, Compravendita, pp. 355 sqq.
106
Cf. e.g. Varro, De re rustica, Lib. II, 2, 6; Lib. II, 3, 5; Lib. II, 4, 4; Lib. II, 10, 5.
107
Honscll, Quod interest, pp. 63 sqq.; contra: Medicus, Id quod interest, pp. 110 sqq., 117.
108
A vis pe lli o wa s a pe rs o n w h ose pr ofe ssi o n it wa s t o c a rr y c or pse s, n ot, a s ha s
frequently been assumed, a violator of graves. Why would a purc haser not wish to have a
vispellio? They stood at the lowest end of the social hierarchy and were usually regarded as
very sha dowy figures. Meddling with sinister affairs, usually being found in ba d com pany
a nd m a kin g the ir m o ne y b y bur ying the po or at night, the y we re turpe s persona e . F or
details, see Uwe Wesel, "Vispellio", (1963) 80 ZSS 392 sqq.
1(19
Ulp. D. 21, 2, 31.
110
Cuiacius, as quoted by Honsell, Quod interest, p. 66; Arangio-Ruiz, Compravendita,
p. 357.
111
On the jurisdiction of the aediles generally, see Giambattista Impallomeni, L'editto degli
edili cuntli (1955), pp. 109 sqq.; Max Kaser, "Die Jurisdiktion der kurulischen Adilen", in:
Melanges Philippe Meylan, vol. I (1963), pp. 173 sqq.
112
113
Cf. e.g. Paul. D. 21, 1, 44, 1.
Introduced in the early part of the 2nd century B.C., perhaps in the year 199; cf. A. de
Senarclens, "La date de l'edit des Edilcs de mancipiis vendundis", (1923) 4 TR 384 sqq.;
idem, "Servus Recepticius", (1933) 12 TR 390 sqq.; Impallomeni, op. cit., note 111,
pp. 90 sqq.; David Daube, Forms of Roman Legislation, pp. 91 sqq.
114
On the use of imperatives in the aedilitian edict, see David Daube, Forms of Roman
Legislation (1956), pp. 91 sqq.; Alan Watson, "The Imperatives of the Aedilitian Edict",
(1971)
115
39 TR 73 sqq.
116
Ulp. D. 21, 1, 1, 1.
Ulp. D. 21, 1, 1, 6; Van Warmelo, op. cit., note 98, pp. 13 sqq.
117
As to the relevant test, see Ulp. D. 21, 1, 14, 10: "Si nominatim morbus exceptus non
sit, talis tamen morbus sit, qui omnibus potuit apparere . . ., eius nomine non teneri
Caecilius ait, perinde ac si nominatim morbus exceptus fuisset: ad eos enim morbos vitiaque
pertinere edictum aedilium probandum est, quae quis ignoravit vel ignorare potuit."
118
Cf. Ulp. D. 21, 1, 14, 10: ". . . (ut puta caecus homo venibat, aut qui cicatrkem
evidentem et periculosam habebat vel in capite vel in alia parte [aperta?] corporis). . . ."
119
D. 18, 1, 43, 1.
120
121
Sab./Ulp. D. 21, 1, 1, 7; cf. also Aulus Gellius, Nodes Attkae, Lib. IV, II, 3.
Ulp. D. 21, 1, 1, 8: "Proinde si quid tale fuerit vitii sive morbi, quod usum
minis teriumque hominis impediat, id dabit redhibitioni locum. . . . "
122
Ulp. D. 21, 1, 4, 5. Morbus sonticus excused the disregard of a summons (cf. tab. 2,
2 of the XII Tables and Aulus Gellius, Nodes Atticae, Lib. XX, I, 27). "Sonticus",
etymologically, is an adjective from sum (in the sense of "definitely being", "overwhelm
ingly real"). The participle "sons" (the one who is) is used in the sense of guilty and lies at
the root of the word for sin (both in English and German). On all this, see the analysis by
David
123
Daube, "Pecco Ergo Sum", (1985) 4 RJ 137 sqq.
Ulp. D. 21, 1, 4, 3: "Et videmur hoc iure uti, ut vitii morbique appellatio non videatur
pertinere
124
nisi ad corpora."
Sab./Ulp. D. 21. 1, 1, 7.
125 "f he jurists are perhaps not at their best in D. 21, 1": A. Rogerson, "Implied Warranty
Against Latent Defects in Roman and English Law", in: Studies in the Roman Law of Sate in
memory of Franris de Zulueta (1959), p. 121.
126
But see also Aulus Gellius, Nodes Atticae, Lib. IV, II.
127
Cf. also Cato, De agri cultura, II; Honsell, "Von den adilizischen Recbtsbehelfen zum
modernen Sachma'ngelrecht", in: Gedachtnisschrift jiir Wolfgang Kunkel (1984), pp. 58 sq.
12H 129
Ulp. D. 21. 1, 1. 7. Jav. D. 21, 1, 53.
130
Ulp.Г D. 21, 1, 12, 4. '3I Ulp. D. 21, 1, 14, 4.
132
Jav. D. 21, 1, 53. Epilepsy was referred to as morbus comitialis, because, if the fits
occurred in a popular assembly (comitia), an immediate interruption and postponement of
the gathering took place, since this was considered a bad omen. Cf. e.g. Berger, ED, p. 587.
1Й ш
Ulp. D. 21, 1, 6 pr. Ulp. D. 21, 1, 10, 3.
3
Ulp. D. 21, 1, 10, 4 (". , . ubi homo ncque matutino tempore videt neque
vespertin
136 Ulp
) 37 138
n 21, 1, 9. Ulp D 21, 1, pr. Ulp D 21, 1, 7.
3, M .
1 Ulp D 21, 1, 14, 6. ) Ulp. D 21, 1, pr. 141 Ulp D 21, 1, H,
* Pau D 21, 1, 15. 43 Ulp. D 21, 1, 1. 8. 144 Ulp D 21, 1, 4, 6.
4 Viv
54
/Ulp. D. 1, 1, 10. 46 Ulp. D 21, 1, 9. 147
Ulp D 21, 1, 10,
4
H Ulp
D 21, 1, 10, 5. У Ulp
D 21, 1, 2. 150 Ulp D 21, 1, 10,
51 Ulp D 21, 1, 12, 3. 5 Ulp. D 21, 1, 4. 153 Ulp D 21, 1. 12,
54 2
Si
Ulp D 21, 1, 14, 4. Paul D 21, 1, 11
1; > 6
Ulp. D. 21, 1. 4, 3: ", . . ani mi autcm vitium ita demum pracstabit venditor, si
promisit, si minus, non"; Viv./Ulp. D. 21, 1, 1, 10. Brunnemann, Commentarius, Lib. XXI,
1, Ad L. Labeo, I, § 3, n. 8 gives this reason: ". . . quta animi vitia facilius poenis, aliisque
modis in servis corrigi possi mt."
157 15B
Viv./Ulp. D. 21, 1, 1, 9. Viv./Ulp. D. 21, 1, 1, 10.
154
Paul. D. 21, 1, 2.
160
Po m p./Ulp. D. 21, 1, 4, 2.
161
For a massive amount of casuistry, see Ulp. D. 21. 1, 17.
lfi2
For a definition, see Ulp. D. 21, 1, 17, 14.
1W
Ulp. D. 21, 1, 1, 1; Ulp. D. 21, 1, 23, 2.
164
Ulp. D. 21, 1, 1, 1; Ulp. D. 21, 1, 23, 3, with a very interesting reasoning: " . . . maius
servus creditus est, qui aliquid facit, quo magis se rebus humanis extrahat, ut puta laqueum
torsit sive medi camentum pro veneno bibit praecipitumve se ex alto miscrit aliudve quid
fecerit, quo facto speravit mortem perventuram, tamquam non nihil in alium ausurus, qui
hoc adversus se ausus est." A breath-taking piece of early criminology; the person who had
att empt ed sui ci de had demonst rat ed t hat he had no respect for li fe; he was a bad (and
dangerous) person, because he was likely t o try to do to anot her what he had attempt ed
against himself. A modern variant of this idea can be found in §§ 211, 212 StGB (dealing
with murder and wilful manslaughter), if Eberhard Schmidhauser's argument ("Selbst mord
und Beteiligung am Selbstmord in strafrechtlicher Sicht", in: Festschrift fur Hans Welzel
(1974), pp. 801 sqq.) is correct that both sections as far as their objective requirements are
concerned, place the killing of another and suicide on the same level; their wording is: "Who
kills a person . . . ", not "Who kills another . . . ". Schmidhauser then carri es on to argue
that, since (attempted) suicide is an unlawful act (which is not punishable only due to an
ext ra-l egal exculpation ground), t he ai der and abett or has committed a cri me and can
consequently be punished. But see Al bin Eser, in: Al fred Schonke, Horst Schroder,
Strafgesetzbuch (23rd ed., 1988), Vorbcm. §§ 211 sqq., nn. 33 sqq. for the prevailing opinion
in German criminal law. On the fascinating topic of the evaluation of suicide in Roman law
and society, see the study by Andreas Wacke, "Der Selbstmord im romischen Recht und in
der Rechtsentwicklung", (1980) 97 ZSS 26 sqq.
165
Ul p. D. 21, 1, 1, 1.
166
U lp . D . 2 1 , 1 , 1 , 1 ; U lp . D . 2 1 , 1 , 1 7 , 1 7 -1 9 .
167
Gai. IV, 77; Ulp. D. 47, 2, 41, 2; see infra, p. 917.
168
The vendor also had to declare the nationality of the slave—certain nations seem to
have had a very bad reputation concerning the quality of their people; Ulp. D. 21, 1, 31, 21:
"Qui mancipi a vendunt, nationem cuiusquc in venditione pronuntiare debent: plerumquc
enim natio servi aut provocat aut deterret emptorem: idcirco interest nostra scire nationem
. . .". Cf. Impallomeni, op. cit., not e 111, pp. 63 sqq.
169
For instance, that he was an excellent cook: Gai. D. 21, 1, 18, 1.
170
Cf. Ul p. , Gai . D. 21, 1, 17, 20 —19, 4.
171
As t o the di st incti on bet ween di ct a and pro missa, see Ulp. D. 21, 1, 19, 2. That
distinction was not cruci al; in fact, the two became increasingly amalgamated. Dictum
possibly continued to refer to a (unilateral) declaration by the vendor; promissum implied a
bilateral arrangement. See Max Kaser, "Unlautere Warenanpreisungcn bei m romischen
Kauf", in: Festschrift fur He inrich Demelius (1973), pp. 128 sq.
172
Except where the defect was patent. Where, for instance, a slave, whose eyes had been
knocked out, was sol d and t he seller promised that he was "sanus", this stipul ation was
taken to mean that the slave did not suffer from physical defects apart from his blindness:
cf. Flor. D. 18, 1, 43, 1.
173 " j Q tmn gS o f sa ]e a seller's praise belongs": Love's Labour's Lost, Act IV, Scene III, line
237.
174
Flor. D. 18, 1, 43 pr.
175
D. 21, 1, 19 pr. Cf. further Olde Kalter, op. cit., not e 24, pp. 48 sqq.; St ein, Fault,
pp. 29 sqq.; Kaser, Festschrift Demelius, pp. 127 sqq.
176
Ulp. D. 2 1, 1, 1, 1 in fine : "[Hj oc a m plius si quis a dve rsus e a sc ie ns d olo m a lo
ve ndidisse dic etur, iudicium da bim us." This cla use is diffic ult to unde rsta nd; see , for
exam ple, Monier, op. cit., note 96, pp. 56 sqq.; Impallomeni, op. cit., note 111, pp. 30 sqq.;
A.M. Honore, "The History of the Aedilitian Actions from Roman to Roman-Dutch La w",
in: Studies in the Roman Law of Sale in memory of Francis de Zulueta (1959), pp. 136 sqq. It
pro ba bly a p plie d in c a se s suc h a s Flor. D. 1 8, 1, 4 3, 2 a nd Ulp. D. 4, 3, 3 7; cf. Ka se r,
Festschrift Demelius, pp. 127 sqq., 136 sq.
177
Ulp. D. 21, 2, 37, 1 in fine (". . . per edictum autem curulium etiam de servo cavere
venditor iubetur") and Monier, op. cit., note 96, pp. 87 sqq.; Impal lomeni, op. cit., note
111, pp. 44 sqq.
178 l79
Gai. D. 21, 1, 28. Honsell, Quod interest, p. 69.
180
i.e. the same principles as in the case of the stipulatio duplae: c{. supra pp. 295 sqq.,
300; Honsell, Quod interest, pp. 68 sqq.
181
Usually the text is regarded as interpolated, the claim for inlcresse being thought to
have been added by a post-classical reviser; cf. e.g. M onier, op. cit., note 96, pp. 104 sqq.;
Arangio-Ruiz, Compravendita, p. 389. For a different interpretation, see Medicus, Id quod
interest, pp. 118 sqq.
182
Technically, condemnation of the vendor was dependent upon restitution of the slave;
there was no action that the ve ndor c ould bring to get the sla ve returne d. Cf. Ulp. D. 21,
1, 29 pr. and Uwe Wesel, "Zur dinglichen Wirkung der Rucktrittsvorbehalte des romischen
Ka ufs", (1968) 85 ZSS 141 sqq.
183
For details, see Bechma nn, vol. Ill, 2, pp. 118 sqq.; Impallomeni, op. cit., note 111,
pp. 137 sqq.; Ge org Thielmarm, "'Actio re dhibitoria ' und z ufalliger Unterga ng der
Kaufsache", in: Studi in onore di Edoardo Volterra, vol. II (1971), pp. 487 sqq.; Honsell, Quod
interest, pp. 70 sqq.
184
Ulp. D. 21, 1, 23, 7; c f. also Ulp. D. 21, 1, 21 pr.
185
Ulp. D. 21, 1, 23, 8; Pa ul. D. 21, 1, 58 pr.
186
Ulp. D. 21, 1, 27; Ulp. D. 21, 1, 29, 3.
187
Aristo/Pa ul. D. 21, 1, 30, 1.
188
Ulp. D. 21, 1, 23, 9.
18g
Or that of his people ("familia" and "procurator"): cf. Ulp. D. 21, 1, 1, l,;Ulp. D. 21, 1,
25; Ulp. D. 21, 1, 31, 12.
190
Ul p. D. 21, 1, 19, 6.
191
Pap. D. 21, 1, 55.
142
Windscheid/Kipp, § 104.
193
Cf. Aulus Gellius, Nodes Attkae, Lib. IV, II, 5; and Fritz Pringsheim, "Das Alter der
aedilizischen actio quanti minoris", (1952) 69 ZSS 234 sqq.; Arangio-Ruiz, Compravendita,
pp. 381 sqq.; Im pallome ni, op. cit., note 111, pp. 194 sqq.
194
Aulus Gellius, loc. cit.; cf. also Ulp. D. 21, 1, 38 pr.
195
For details, sec Bcchmann, vol. HI, 2, pp. 160 sqq.; G.A. Mulligan, "Quanti Minoris
Than What", (1953) 70 SALJ 132 sqq.; Medicus, Id quod interest, pp. 124 sq.; Honsell, Quod
interest, pp. 74 sqq.
196
Ulp. D. 21, 1, 38 pr. and cf. Pap. D. 21, 1, 55.
197
Aulus Gellius, Nodes Atticae, Lib. VI, IV; as far as exclusion of liability is concerned,
cf. also Ulp. D. 21, 1, 14, 9 and Impallomeni, op. cit., note 111, pp. 20 sqq.
198
Ulp. D. 21, 1, 38 pr. See Monier, op. cit., note 96, pp. 46 sqq.; Arangio-Ruiz,
Compravendita, pp. 380 sqq.; Impallome ni, op. cit., note 111, pp. 75 sqq.
206
Ulrich von Lubtow, "Zur Frage der Sachmangelhaftung im romischen Recht", in:
Studi in onore di Ugo Enrico Paoli (1955), pp. 492 sqq.; Olde Kalter, op. cit., note 24, pp. 116
sqq.; Honsell, Quod interest, pp. 80 sqq.; Kaser, RPr I, p. 558.
2117
Pomp. D. 19, 1, 6, 4.
208
Cf. supra, p. 309.
209
Cf. further Ulp. D. 19, 1, 11, 7: "Venditorem, etiamsi ignorans vendiderit, fugitivum
non esse praestare emptori oportere Neratius ait."
210
Ulp. D. 19, 1, 13 pr.
211
For details, see Honsell, Quod interest, pp. 85 sqq.
212
Ulp. D. 19, 1, 11, 5; Medicus, Id quod interest, pp. 146 sq.
213
Ulp. D. 19, 1, 11, 3.
214
Cf., particularly, Montz Wlassak, Zur Geschichte der negotiorum gestio (1879),
pp. 169 sqq.; Bechmann, vol. I l l , 2, pp. 174 sqq.
215
Ulp. D. 19, 1, 13 pr.; cf. also Iul./Marci. D. 18, 1, 45.
(1967). Cf. also the detailed commentary of Gliick, vol. 20, pp. 3 sqq. and the presentation
by Pothier, Traite du contrat de vente, nn. 203 sqq.
221
Cf. e.g. Wissenbach, Exercitationes, Disp. XLI, n. 9; Brunnemann, Commentarius in
Pandectas,
222
Lib. XXI, 1, Ad L. Labeo, I, § 3, n. 8; Gliick, vol. 20, pp. 137 sq.
Cf. e.g. Bechmann, vol. Ill, 2, pp. 189 sqq.
223
Cf. e.g. Wissenbach, Exercitationes, Disp. XLI, n. 9: "Miretur vero aliquis, Cur Aediles
introduxerint actiones, Redhibitoriam et Aestimatoriam, cum ex iisdem causis competant
actiones Civiles. . . . Sed mirari desinat, Differentiae inter illas actiones Aedilitias et Civiles
multae
224
sunt."
Gl. Essem empturus ad D. 19, 1, 13 pr.; for details about the medieval discussions of
the purchaser's actions for physical defects, see Van Warmelo, op. dt., note 98, pp. 58 sqq.;
Hermann Dilcher, Leistungsstorungen, pp. 224 sqq.; Peter Stein, "Medieval Discussions of the
Buyer's Actions for Physical Defects", in: Studies in the Roman Law of Sate in memory of
Francis de Zulueta, 1959, pp. 102 sqq.
225
Also often referred to as actio aestimatoria.
226
e.g. Bechmann, vol. Ill, 2, pp. 189 sqq.
227
Cf. e.g. already Baldus dc Ubaldis, Consilia, vol. V, CCCCXCIX ("emptor potesi
agere redhibitoria, vel certe quanto minoris . . . potest agi actione ex empto similiter").
228
Cf. e.g . Ulrich Huber, Praekcti ones, Lib. XXI, Tit . I, nn . 4 sq.; Justus Henning
Boehmer, Doctrina de actionibus (Francofurti ad Moenum, 1738), Sect. II, Cap. VIII, § 77.
229
Cf. e.g. Doncllus, Commentarii de jure Civili, Lib. XIII, Cap. II, III ("Earum
praestationum, quae a venditore in re vendita citra aliam conventionem exiguntur, quatuor
sunt capita . Primu m, ut re m vend ita m trad at e mptori . . . Tertiu m, ut dum e mptor re m
habebit, habeat incorruptam . . ."); for details Cap. I l l and "Commentaria ad titulum, de
aediliticio edicto" (Opera Omnia, vol. X, col. 1327 sqq.); Lauterbach, Collegium
theoretico-practicum. Lib. XXI, Tit. I, XXXIV.
230
Based on С 7, 39, 3, 1 (Honor, et Theodos.).
231
U su s m o d e n u i s p a n d e c t a m m . L i b . X X I , T i t . I , § 5 2.
Donellus, "Commentaria ad titulum, de aedilitico edicto" (op. cit., note 229), Cap. V,
n. 4; cf, further e.g. Heinrich Hahn, Observata theoretico practica, Ad Matthaei Wesenbecii in L.
libros Digestorum Commentaries {Helmstadii, 1659), Pars II, Lib. XXI, Tit. I, Obs. n. 9;
Lauterbach, Collegium theoretico-practicum. Lib. XXI, Tit, I, XXXIV.
233
Gluck, vol. 20, pp. 153 sqq.; Windscheid/Kipp, § 393, n. 1, 12.
234
Wi ndscheid/ Kipp, § 393, n. 9.
235
Struve, Syntagma, Exerc. XXVII, X; cf. further Pothier, Traite du contrat de vente, n.
233; Johann Paul Anselm Feuerbach (the great criminal lawyer), Civilistische Versuche (1803),
Erster Theil, pp. 51 sqq.; Gluck, vol. 20, p. 119.
36
Stryk, Usus modermispandectarum. Lib. XXI, Tit. I, § 11; cf. further e.g. Brunnemann,
Commentarius in Pandectas, Lib. XXI, 1, Ad L. Labeo, I, § 3, 6.
237
Ulrich Huber, Praelectiones, Lib. XXI, Tit. I, n. 6; cf. also Perezius, Praelectiones, Lib.
IV, Tit. LVIII, n. 5; Voet, Commentarius ad Pandectas, Lib. XXI, Tit. I, IV.
238
Cf. e.g. Stryk, Usus modemus pandectarum, Lib. XXI, Tit. I, § 11.
239
Cf. e.g. Ulrich Huber, Praelectiones, Lib. XXI, Tit. I, n. 6.
2411
Cf. particularly Feucrbach, loc. cit.
241
Cf. e.g. Otto Stobbe, Heinrich O. Lehmann, Handbuch des Deutschen Privatrechts, vol.
Ill (3rd ed., 1898), § 232, pp. 304 sqq., 309 sqq; Georg Bescler, System desgemeinen deutschen
Privatrechts, vol. I (4th ed., 1885), p. 507; Klempt, op. cit., note 76, pp. 50 sqq.
242
Cf. e.g. the c om pilation a nd analysis by von Kiibcl. By the e nd of the 19th ce ntury,
the Germanic system of liability for principal defects held sway in m ost parts of Germany;
the "Roma nistic syste m" (i.e. no distinction as far as liability for latent defects in a nimals
and other things is c oncerne d) a pplie d only in M ec kle nburg, Bra unsc hweig, Olde nburg,
Sc ha um burg-Lippe, Lippe-Dctm old, Sachse n-Weimar, Rudolstadt and in large parts of
Schleswig-Holstein. In other parts of Europe, too, local rules relating to the sale of animals
survive d the reception of Roman law; cf, as far as Frenc h law is concerned, Van Warmelo,
op. cit., note 98, p. 172 sqq. In Holland horses sold were warranted only "klaar van Sesscn"
(sound in six points, namely four legs and two eyes); cf. e.g. Van Leeuwen, Cemura Forensis,
Pars I, Lib. IV, Ca p. XIX, n. 16 (". . . aliis vitiis, ve luti si sit lunatic us, retrogra dus a ut
pavidus, si transiungi ne qucat, si sit calcitrosus . . . venditor m oribus nostris non tenetur";
Voet, Commentarius ad Pandectas, Lib. XXI, Tit. I, XI; Van Warmelo, op. cit., note 98, pp.
85 sqq.
24i
Read v.J. Lyons & Co. Ltd. [1947] AC 156 (HL) at 182.
244
§ 481 BGB.
245
Its text is reproduced, for instance, in: Mugdan, vol. II, p. 1411; Putzo, in: Palandt,
BGB (47th ed., 1988), sub § 482, in fine.
246
One of the reasons why it was deemed necessary to lay down strict and detailed rules
was the fear of making the outcome of judicial proceedings dependent upon the expert
opinions of veterinary surgeons. Being generally speaking unenlightened and scientifically
far behind the times, the latter were likely to confuse and misguide the court. For further
about §§ 482 sqq. BGB and the Imperial Ordinance, see Fritz Ostler, "Kritik am
Viehgewahrschaftsrecht", 1956 Juristenzeitung 471 sqq.; Petcrs/Zimmermann, Verjahntngs-
fristen, pp. 142 sqq.
The best summary ot all pros and cons can still be found in von Kubel's motivation of
his24draft, in: Werner Schubert (ed.), Vorentwiirfe, Schuldrecht 1 (1980), pp. 425 sqq.
* Cf. e.g. "Motive", in; Mugdan, vol.11, p". 123.
244
Honsell, Geddchtnisschrift Kitnkel, p. 62,
1
For a discussion of this problem, sec e.g. H.P. Wcstermann, in: Miinchener Kommentar,
vol. Ill, 1 (2nd ed., 1988), § 463. nn. 31 sqq. It docs not arise in other modern European legal
systems, where the purchaser is usually granted a contractual claim for damages (including
consequential loss) if the vendor was at fault; sometimes, incidentally, not even fault is
required: cf. Jiirgen Basedovv. Die Reform des deutschen Kaufrechts (1988), pp. 30 sqq., 73 sqq.
э:
~ For details, see Peters/Zimmermann, Verjahnmgsfristm, pp. 182, 202 sqq.
252
This has, for instance, necessitated the regulations contained in § 11, п. К) а-с of the Gesetz
гиг Regelung des Rechts dtr AUgemeinm GescMfisbedmgungen (AGBG; General Conditions of
Business Act) of 1976. For details, see, for example, Hcin Kotz, in: Miinchener Kommentar,
vol. I (2nd ed., 1984), § 11 ABGB, nn. 80 sqq; for a comparative analysis, see Basedow, op.
cit., note 250, pp. 63 sqq.
" " So, too, Honsell, Gedachtnissclmft Kunkel, p. 65. The BGB does not recognize a right
to demand removal of the defect. Differently, for instance, § 932 ABGB. As far as the sale
of fungibles is concerned. § 480 does, however, give the purchaser the right to demand,
instead of cancellation or reduction, that in the place of the defective thing another one free
from defects be delivered to him. During the 19th century, the question whether the
aedilitian actions are applicable to generic sales or not was vehemently discussed; for details,
see Burke, op. cit., note 220, pp. 86 sqq. (who also provides information about the attitude
of modern legislators on this problem).
2D4
Even to cattle (Коек v. Du Plessis 1923 OPD 113) and to the sale of incorporeals (cf. in
this context Holmes JA, in Phame (Ply.) Ltd, v. Paizes 1973 (3) SA 397 (A) at 419H-420A:
". . . the aedilitian relief, recognized under the Roman-Dutch law, can, while retaining its
basic principles, be adapted to apply to the modern circumstances . . .").
255
Cf. e . g. Mi n i st e r van La nd bou- Tegn i c se D i en st e v . Sc ho lt z 1971 ( 3) SA 188 ( A) ; D e We t
e n Y e a t s, p p . 3 0 0 s q .
256
Cf . e . g. G i a st o n H o u se ( Pl y .) Li d . v . I n a g ( P ry .) Lt d . 1 9 77 ( 2) S A 8 4 6 ( A) ; D e We t e n
Y e at s , p p . 3 0 1 s q .
257
C f . e . g. R e e d B ro s. v . B o sc h 1 9 1 4 T PD 5 7 8 ; V a n W a r m e l o , o p . c i t . , n o t e 9 8 , p p . 1 4 4
* 8 1 9 4 9 ( 3 ) S A 6 64 ( A ) a t 6 8 4 a n d 68 5 .
25 9
S o a l s o D e We t e n Y e at s , p p . 3 0 3 s q q . , b ut se e K e r r, S a l e a n d Le a se , p . 5 4 .
2M
**' Op. c i t . , note 98, p. 155. Act 18 (1943), s. 3.
262 2M
Act 68 (1969), s. l l ( d ) . 1973 (3) SA 397 ( A).
2M
1973 ( 3) SA 397 ( A) at 398 sqq.
2(15
1973 ( 3) SA 397 ( A) at 403 sqq.
266
1973 (3) SA 397 (A) at 407 sqq.
267
J.J. Gauntlett, "The Sayings of Mr. Justice Holmes", (1974) 37 THRHR 169 sqq.
268
1973 (3) SA 397 (A) at 410E.
2fi
''l973 (3) SA397(A) at 418A.
270
S.WJ. van der Mcrwc, M.F.B. Reine ckc, (1974) 37 THRHR 175 sqq.; De Wet en
Yeats, pp. 306 sq.; Wouter de Vos," Onopsetlike wanvoorstelling by kontraksluiting", in:
J.C. Noster, 'n Feesbundc! (1979), pp. 63 sqq.
271
Cf. supra, pp. 315 sq., 319.
272
Administrates, Natal v. Trust Bank van Ajrika Bpk. 1979 (3) SA 824 (A); for details, c(.
infra, pp. 674, 1042 sq.
273
Ulp. D. 21 , l, 1, 11 .
274
Cf. today §§ 467, 351 BGB; Kcrr, Sale and Lease, pp. 61 sqq.
275
Cf. Rosalie Lederle, Mortuus redhibetur, Die Rikkahwicklunq паск Wandlun^ im romischen
Recht (1983), pp. 23 sqq.
276
U lp . D . 2 1 , 1 , 25 , 6 .
277
Pe<j./Ulp. D. 21, 1, 25, 4: "Pcdius ait acquum fuissc id dumtaxat imputari emptori ex
fact o procuratoris ct familiae, quod non fuit passurus servus nisi venissct: quod aut em
passurus erat etiam, si non venisset, in eo concedi emptori servi sui noxac dcditionem et ex
eo, inquit, quod procurator commisit, solum actionum praestandarum necessitatem ei
iniungi." See Pet er Mader, " Mortuus redhibet ur?", (1984) 101 ZSS 225 sq.
278
Cf. supra p. 317.
279
Gliick, vol. 20, p. 75; Ernst Eck, "Beitrag zur Lehre von den adilizisch.cn Klagen", in:
Juristische Abhandlungen, Festgahc Jiir Georg Beseler (1885), pp. 159 sqq.; Windscheid/Kipp,
§ 394, 2; Georg Thielmann, "Actio redhibitoria und zufa'lliger Untergang der Kaufsache",
in: Studi in onore di Edoardo Volterra, vol. II (1971), pp. 487 sqq.; Lederle, op. cit., note 275,
pp. 30 sqq.
2HI>
Cf Paul. \X 21, 1, 47; Pomp. O. 21, l,48pr.;Ulp. IX 21, 1, 31. 5 and 6; Ulp. D. 21, 1,
31, 24; Ulp. D. 21, 1, 38, 3. "Mortuus redhibetur" is a legal fiction, for the purchaser was
(probably) not required to hand back the corpse of the slave. The situation has to be treated
as 281
if the purchaser was able to restore the (living) slave.
The fathers of the BGB merely followed the ius commune (as it was then generally
seen) and advanced no further argument for the adoption of the rule; cf "Motive", in:
Mu^dan, vol. II, p. 156. Cf. also Wessels, Contract, § 4743, followed, for instance, in Hah-
Thermotank Natal (Ply.) Ltd. v. Hardman 1968 (4) SA 818 (D) at 827F-H. For further
discussion on the South African law, see Mackeiirtan's Sale of Goods in South Africa (5th ed.,
1984), pp. 149 sqq. For further comparative material on the topic, see Hermann Wcitnauer,
Hans Dolle, Kotntncntar гит Eiuheitlicheti Kaufrecht (1976), Vorbem. Art. 78, pp. 499 sqq.
in:2H2
As to where the purchaser had negligently caused the death of the slave, see Ulp.
D. 21, 1, 31, 11.
" ' For further discussion, see Heinrich Honsell, "Gefahrtragung und Schadensersatz bei
arglistiger Tauschung". (1970) Monatsschrift j'iir Dcutsches Recht 717 sqq.; Ernst von
Cacmmerer, "'Mortuus redhibetur', Bemerkungen zu den Urteilen BGHZ 53, 144 und 57,
137". in: Festschrift fur Karl Larenz (1973), pp. 621 sqq.; Karl Larcnz, Lehrbuch des Schuldrechts,
vol.
244
I (14th ed., 1987), pp. 406 sqq.
For the various attempts to explain the principle of "mortuus redhibetur", sec Lederle,
op. at., note 275. pp. 34 sqq.
2K:>
Heinrich Honsell (1970) Monatsschrift fur Deutsches Recht 717 sqq.; idem, Gedachtniss-chrift
Kunket, p. 61; Mader (1984) 101 ZSS2M sqq.
Art. 1647 code civil; art. 1492 III codicc civile. Cf. also Pothier, Trails du central de
vente, n. 221. A South African case in point is Marks Ltd. v. Laughton 1920 AD 12 at 21 (per
limes
2M7
CJ).
Arguably, this solution was in actual fact adopted by the Roman lawyers, where the
slave had not died but had otherwise disappeared, as, for instance, where he had run away
from the purchaser. This case is dealt with in Pomp./Ulp. D. 21, 1, 21, 3. According to
Pomponius, the purchaser can still bring the actio redhibitoria (as long as he cannot be
blamed for this behaviour of the slave—cf. e.g. Ulp. D. 21, 1, 23 pr. ". . . ut puta . . .
saevitia emptoris fugitivum esse coeperit"). Instead of returning the slave, he had only to
provide security (ensuring that he would continue searching for the slave and hand him back
to the vendor once he had been found). It may be argued that the decision was based on the
fact that the loss of the slave was caused by its defectiveness (sale of a servus fugitivus).
However, Ulp. D. 21, 1, 21, 3, as it stands, raises a problem m that Pomponius makes his
decision dependent upon scientia on the part of the vendor. But this is most probably an
interpolation. On the fu gitivus in fu ga cf. Ulnch Ma nthe, "Zur Wa ndlung des scrvu s
fugitivus", (1976)44 TR 133 sqq.; Lederle, op. at., note 275, pp. 64 sqq.; Mader. (1984) 101
ZSS 221 sqq. 2SS t Iul./Uip. D. 21, 1, 23, 7 and supra, p. 317.
289
This point is emphasized particularly by Mader, (1984) 11)1 ZSS 212 sqq.
290
For insta nce, where a n earthquake or a delu ge ha d destroyed both the estates of the
purcha ser and of the vendor; cf. Thielma nn, Sntdi Volterra, vol. I I , pp. 507 sqq.
Bu t the sou rces are curiou sly terse, a ny wa y, where they de al with " mortuu s
redhibetur"; they refer to the rule more or less in passing and arc absolutely silent as to its
rationale.
Ulp. D. 21, 1, 31, 11 ha s been interpreted in variou s different wa ys. As in the text,
most recently, Lederle, op. cit., note 275, pp. 41 sq.; Mader, (1984) 101* ZSS 227 sqq. 293
Ulp. D. 21, 1, 31, 11.
294
D. 19, 1, 6, 4; cf. supra, p. 320.
295
Cf. e.g. Franz Haymann, Die Haftung des Verkaufers Jur die Beschajfenheit der Kaufsache,
vol. I (1912), pp. 101 sqq.; Werner Flume, "Zum romischen Kaufrecht", (1934) 54 ZSS 330.
296
Cf. e.g. Windscheid/Kipp, § 393, n. 2.
297
Cf. e.g. Honore, Studies de Zulueta, p. 144.
298
Cf. e.g. Olde Kalter, op. cit., note 24, pp. 58 sqq.
299
Tractatus de eo quod interest, § 49; for further details about these disputes, see § 19 (which
has, however, been left out in Erasmus' edition and translation of the text (Johannesburg,
n.dO).
300 ^ 49 (analySec] by Honore, Studies de Zulueta, pp. 147 sqq.).
301
It follows that this rule does not apply to sales generally; not, for instance, "si quis
paterfamilias non tanquam ejus professionis, sed tanquam haeres, vel alio casu dominus
mobilium existentium in certa domo, in quibus quae vasa habentur, ea vendat. Cum enim
nullam profiteatur horum industriam, sed inridenter, ut res indifferentes vendat, non tenetur
de302idoneitate, nisi quanto minoris" (§ 51).
§ 49. If, for instance, the liquid that was poured into the vessel, leaks out, the damage
arising therefrom is a foreseeable consequence of the defectiveness of the vessel, a realization
of 3the
03
risk which the vendor has (tacitly) assumed (§§ 49, 50).
Cf. Dumas, as quoted in Zweigert/Kotz/Weir, p. 73.
304
Pothier, Traite du contrat de vente, n. 214; cf. also Traite des obligations, n. 163.
305
As far as France is concerned, cf. e.g. Mazeaud/Mazeaud, Lemons de Droil Civil, vol. Ill,
2 (3rd ed., 1968), n. 988.
Cf. e.g. H.DJ. Bodenstein, "A Few Aspects of the Actio emti and the Aedilitian
Actions",
307
(1914) 31 SALJ2O sq.
Commentarius ad Pandectas, Lib. XXI, Tit. I, 10; cf. further Van Warmelo, op. cit., note
98, pp. 91 sq. On what authority Voet bases this exception is not clear. The Roman texts he
quotes, are not concerned with the position of an artifex; neither do the three writers to
whom he refers (Mynsinger, Faber and Mevius) provide authority for his proposition.
308
1964 (3) SA 561 (A) at 571H. For criticism, see De Wet en Yeats, p. 303. The most
recent decision in this line is Gannet Manufacturing Co. (Pty.) Ltd. v. Postaftex (Pty.) Ltd. 1981
(3) SA 216 (C) at 225F sqq.
1119
1904 TS 365 at 374.
3111
These are the words of a correct translation by Jones J, in Young's Provision Stores (Pty.)
Ltd. v. Van Reynevcld 1936 CPD 87 at 91 sq.
~" For an example of a case which would be covered by this restricted version of the
Pothier rule, see Marais v. Commercial Genera! Agency Ltd. 1922 TPD 440. For a more detailed
discussion of the implications, see Reinhard Zimmermann, "Der Einfluss Pothiers auf das
romisch-hollandischc Rccht in Sudafnka", (1985) 102 ZSS (GA) 185 sqq.
312
For a comprehensive comparative discussion, see Bascdow, op. cit., note 250, pp. 15
sqq., 44 sqq.
Лз
Reprinted, for instance, in Chalmers' Sale of Goods Act, 1893 (17th cd., 1975), p. IX.
Cf. further e.g. John B. Moyle, The Contract of Sale in the Civil Law (1892), p. 205.
314
Cf. e.g. Atiyah. Rise and Fall, pp. 398 sqq., 681 sqq.
315
A. W.B. Si mpson, "Innovation in Nineteenth Century Contract Law", (1975) 91 LQR
254.
3U>
A translation of [he Traite des obligations by W.D. Evans appeared first in America
(Philadelphia, 1802), four years later also in England (London, 1806). The Traite du conlrat de
rente was translated by L.S. Cushings in 1839, the Traite du conlrat de societe by O.D. Tudor
in 1854.
317
For further details, see Reinhard Zimmermarm," Synthesis in South African Private
Law: Civil Law, Common Law and Usus Hodiernus Pandectarum", (1986) 103 SALJ 283
sq.; idem (1985) 102 ZSS (GA) 176 sqq.
118
Cox v, Troy (1822) 5 В & Aid 474 at 480.
Locatio conductio I
I. LOC A TIO C ON D U C TIO IN GEN ER A L
1. Locare and conducere
A lets his townhouse to B, He asks his employee С to maintain the
garden of his country residence. Finally, he asks D to transport some
columns from the one place to the other.—It does not strike the
modern lawyer as particularly obvious that these three transactions
should have more in common with each other than each of them with,
say, a contract of sale. Indeed, according to modern German (or South
African) law, w r e would be dealing with three different types of
contract. В has been granted the use of a thing in return for money: A
and В have concluded a (contract of) lease. С has promised to provide
his services in return for money: he has entered into a contract of service
(or employment). D has been assigned a specific task to be performed
in return for money: we are dealing with a contract for work.
This scheme has been taken over from the pandectists. 1 They
referred to locatio conductio rei (letting and hiring of things), locatio
conductio operarum (letting and hiring of services) and locatio
conductio operis (letting and hiring of work). The Roman lawyers, on
the other hand, did not draw these distinctions. They did not think in
terms of three different transactions, but accommodated all of them
within the framework of one single contract called locatio conductio.
The parallels with emptio venditio are obvious: we are dealing with a
consensual contract2 of a necessarily bilateral nature; the prestation of
one of the parties has to consist in money; and the transaction is defined
by what happens to the object of the contract seen from the point of
view of first the one and then the other party (locare/conducere). 3
1
Cf., for example, Arndts. Pandekten, § 309; Dcrnburg, Pandekten, vol II, § 110; Thibaut,
System, § 511. On the history of this trichotomy, see Felix Olivier-Martin, "Dcs divisions
du louage en droit romain", (1936) 15 RH 463 sqq., who credits Voct (Canimcntarius ad
Pandectas, Lib. XIX, Tit. II) with its invention. Most writers of the usus modernus
pandectarum and of the natural-law school, however, drew a distinction only between
locatio conductio rei and operac (the latter category comprising both contract of service and
contract for work): Coing, pp. 456 sq. Cf. also art. 1708 code civil, art. 1568 codice civile,
§§ 1090 sqq., 1151 ABGB, and Windscheid/Kipp, §§ 399, 401. On the question of
classification, see too Jones, Bailments, pp. 85 sqq.; Story, Bailments, §§ 368 sqq.; F.B.J.
Wubbc,
2
"Opus selon la definition de Labcon", (1982) 50 TR 250.
Gai. Ill, 135: "Consensu fiunt obligationes in emptionibus venditionibus. locationibus
conductionibus,
3
societatibus, mandatis."
"We are accustomed, in the common law, to use words corresponding to those of the
Roman law, almost in the same promiscuous manner. Thus letting (locatio) and hiring
(conductio) are precise equivalents, used for the purpose of distinguishing the relative
situation of different parties to the same contract": Story, Bailments, § 369.
338
4
On etymology and meaning cf. e.g. Heinnch Degenkolb, Platzrecht imd Miete (1867),
pp. 133 sqq.; Kaufmann, Attromische Miete, pp. 297 sq.; Ulrich von Lubtow, "Catos leges
venditioni et locationi dictae", in: Symbolae Raphael! Taubenschlag dedicalae, vol. Ill (1957),
pp.5231 sqq. But see also e.g. Otto Karlowa, Romische Rechtsgesdtichte, vol. II (1901), p. 638.
The terms "locare" and "conducere" were not always employed in a strictly literal
sense, but were sometimes used "metaphorically" (Schulz, CRL, p. 543). Thus, for instance,
in a contract for work the conductor often does not "carry" anything "with him" (or away):
take, for instance, the contractor who has undertaken to build a house on the property of the
customer. The same applies to a lease of landed property (cf. Kaufmann. Altromische Miete,
pp. 237 sq.). On the terminology and the question of who could conclude a contract of
locatio conductio, cf. Imrc Molnar, "Subjekte der locatio conductio", in: Studi in onore di
Cesare
6
Sanjilippo, vol. II (1982), pp. 413 sqq.
Cf., however, e.g. Arangio-Ruiz, Istituzioni, pp. 345 sq.; Ugo Brasiello, "L'unitarieta
del concetto di locazione in diruto Romano", (1927)2 K/SG529sqq.; (1928) 3 RISC 1 sqq.;
Schulz, CRL, pp. 542 sq.; Luigi Amirante, "Riccrche in tcma d\ locazionc", (1959) 62 BIDR
9 sqq. Contra: A.D.E. Lewis, "'The Trichotomy in Locatio Conductio", (1973) 8 Irish Juris!
1647 sqq.
Cf. e.g. Mayer-Maly, Locatio conductio, pp. 18 sqq.; idem, "Tipicita с unita dclla 'locatio
conductio'", (1959) 5 Labeo 390 sqq.; Max Kaser, (1960) 11 lura 229 sqq.; idem, RPr I,
p. 563;
8
more recently cf. e.g. Pinna Parpaglia, Vitia ex ipsa re (1983), pp. 181 sqq.
" . . . far from constructing a bogus classification, the civilians were responsible tor
making explicit what, for the Roman jurists, was only implicit": Lewis. (1973) 8 The Irish
Jurist 164.
'' This is also how Kaser, RPr I, pp. 564 sqq. and Honsell/Mayer-Maly/Selb, §§118 sqq., deal
with the matter. The alternative approach (discussion of locatio conductio in general;
differentiation according to the various types of locatio conductio only in the context of
individual
10
problems) has been followed by Mayer-Maly in his book on locatio conductio.
There are hardly any literary sources documenting the practice of letting and hiring
before the 2nd century B.C. (i.e. before the time of the comedies of Plautus and Terentius).
All available archaeological evidence has been carefully scrutinized by Kaufmann, Altromische
Miete, pp. 26 sqq. For the time of the XII Tables cf. Gai. IV, 28: "Lege autem introducta cst
pignoris capio veluti lege XII tabularum adversus eum, qui hostiam emisset nee pretium
redderet; item adversus eum, qui mercedem non redderet pro eo iumento, quod quis ideo
locasset, ut inde pecuniam acceptam in dapem, id est in sacrificium, impenderet." A small
farmer is unable to provide the prescribed sacrifices for the gods. He has to hire out his beasts
of burden in order to raise the necessary money. If the hirer does not pay the remuneration,
the farmer/lessor may resort to self-heip, and distrain. Gaius' report relates to a time when
locatio conductio was very much an extra-legal phenomenon. For further details, see
Kaufmann, Altromische Miete, pp. 35 sqq. On the early history of locatio conductio, see
further
11
Kaser, RPr I, pp. 564 sq.
Kaufmann, Altromische Miete, passim. Hardly anything is known about the (legal) shape
and12
structure of these transactions.
Cf. e.g. Kaufmann, Altromische Miete, pp. 344 sqq. More particularly, contrary to the
opinion of many, locatio conductio did not originate as contract re (cf. the discussion by
Mayer-Maly, Locatio conductio, pp. 81 sqq.).
" Lenel, EP, pp. 229 sq. For detailed speculations on the structure of the formula, see
Kaufmann, Altromische Miete, pp. 349 sqq.
14
Watson, Evolution, p. 16. Originally there seems to have been no distinction between
selling and buying and letting and hiring. This would account for the promiscuous use of
sale and hire terminology in early sources and is particularly plausible for the time before the
introduction of money. Both "sale" and "letting and hiring" were, at that stage, exchange
transactions: merchandise for merchandise in the one instance, merchandise for the letting of
a thing or services in the others. The common denominator was that both parties delivered
and received something. The fact that such transfer in the one case was intended only for a
certain period was a more refined consideration which became important only gradually. As
a consequence, sale was carved out as a transaction with a characteristic and homogeneous
structure which was distinctly different from all the other types of bilateral agreement. A
iudicium empti venditi, and with it a technical sale terminology, was developed. Thus, a
distinction was drawn between sale and all the fairly disparate and heterogeneous exchange
deals that remained of the old uniform category and which came to be referred to as Iocatio
conductio. On all this, see especially Kaufmann, Altrontische Miele, pp. 303 sqq, also (pp. 309
sqq.) on Cato's (De agri cullura CLVIII, 149, 1) "pabulum hibernum venire" (pastoral lease
or sale of the fodder growing on the pasture ground?).
For a detailed commentary cf. e.g. Volker Emmerich, Jiirgen Sonnenschein, Mietrecht
(2nd ed., 1984); Wolfgang Schmidt-Futterer, Hubert Blank, Wohnraitmschutzgesetze (5th ed.,
1984).
For an attempt to remedy this state of affairs and to consolidate the law, sec Jiirgen
Sonnenschein, Die Bereitiigung des Mietrechts im Biirgerlkheti Gesetzbuch (1985).
17
Franz Wieacker, Industriegesellschaft itnd Privatrechtsordnung (1974), p. 27.
18
The title "Basic law" is intended to convey the provisional nature of the (West) German
"constitution". After 40 yea rs of sepcrate develop m ent in the Fed eral Repu blic a nd the
"Germa n De mocratic Repu blic" one ca n, however, hardly mainta in a ny longer tha t the
"Ba sic La w" is different in chara cter (i.e. inferior) from a "proper" constitution. Cf. for
example, Otto Kimminich, 1973 Deutsche Verwahurigsblatter 657 sqq. (659); Michael Kirn,
1974 Zeitschrift fur Rechtspolitik 84 sqq. (86); Schmidt-Bleibtreu/Klein, Komtnentar zum
Grundgesetz fur die Btmdesrepublik Deutschland (6th ed., 1983), Einl. n. 45.
^ Art. 1 4 I G G .
"" Art. 2 1 GG (a s interpreted by the Germa n Constitutional Su preme Court).
21
Ar t. 1 4 II G G .
22
Cf. particularly Hcinrich Honscll, "Privatautonomie und Wohnungsmiete", (1986) 186
Archiv fiir die civilistische Praxis 115 sqq.
23
For these figures cf. Honsell, (1986) 186 Archiv fur die civilistische Praxis 124 sqq.
" On a more general level, see Kurt H. Biedenkopf, "Die Wiederentdcckung des
Privatrechts", in: Europdisches Rechisdenken in Geschichte und Geqenwart, Festschrift fur Helmut
Going, vol. II (1982), pp. 21 sqq.
- 1 Tony Honorc, The Quest for Security: Employees, Tenants, Wives (1982), pp. 34 sqq.
26
Honorc, op. cit., note 25, "pp. 37 sqq. Today cf. Act 82—526, Recueil Dalloz 1982, 284
(22.6.1982).
27
Honore, op. cit-, not e 25, pp. 58 sq.
28
Cf. Schul z, CRL, p. 544.
29
"Ro man juri sprudence displ ays, i n urban l easehol d as el sewhere, an emphasis on
enforce ment of t he agreed-upon t erms of contracts. Such e mpha sis can be defended as
support for the security of the market-place": Frier, Landlords and Tenants, p. 186.
30
O n t h e R o m a n v i l l a ( a r c h i t e c t u r e , c o n d i t i o n s o ft i vi n g, d a i l y r o u t i n e o f t h e o w n e r o f a
vi l l a, e t c.) , se e H ar al d M i e l s ch, D i e ro m i sc h e Vi l l a ( 19 87) .
31
Fo r de t ai l s C ar c o pi n o, p p. 2( 1 s q q., 2 6 s q q. O n t he ove r c r o w di n g of a n ci e nt t o w n s, s e e
in particular R. von Pohlmann, Die Ubervolkentng der atitiken Grossstadte (1884). For
q u a n t i t a t i ve st u d i e s o n t he si z e o f ci t i e s a n d o f c i t y p o p u l a t i o n i n t h e R o m a n E m p i r e , s e e
D unca n-Jone s, pp. 259 sqq.
~ - F or t hi s a n d w h at f ol l o w s c f. C ar c o pi n o, p p. 3 3 s q q. A c c o r di n g t o t he R c gi o n a ri cs, t he
ci t y h a d 1 7 97 d o m u s as o p p ose d t o 4 6 6 0 2 i n s ul ae . T he m o st c h a r a ct e ri st i c fe at u re o f t he se
i nsul ae w as t he i r he i ght . "A s e a rl y as t he t hi rd ce nt ur y B. C. i ns ul ae of t h re e st ore ys we re so
fre q ue nt t hat t he y h a d ce ase d t o e x ci t e re m a rk s. " T hi s c a n be gl e ane d fr o m t he ane c dot e ( t ol d
b y L i vi u s, A b u r b e c o n d i t a , L i b. X X I , L X I I ) o f t h e ( a p p a r e nt l y) m a d o x w h i c h "s c a l e d t h e
st ai rs o f a ri ve r si de i nsul a t o fl i n g i t se l f i nt o t he v oi d fr o m t he t hi rd st ore y a mi d t he ho rri fi e d
c ri e s o f t h e o nl o o ke r s " ( C a r c o p i n o, p p . 3 5 s q q .) : a b a d o m e n i n d e e d ! A u gu s t u s i m p o se d a
l i m i t o f 2 0 m o n t h e h e i gh t o f p r i v a t e h o u s e s .
33
It i s t o t he se apa rt me nt uni t s ( as de scri be d i n U l p. D . 9 , 3, 5, 2) t hat Fr ie r, Land lo rd s an d
Te n a n ts , p p . 5 s q q . wi s he s t o c o n f i ne t he u s e o f t he te r m "c e n a c ul u m " ( a s o p p o se d t o
"di ve rs ori a " or "m e ri t ori a ", t he squ al i d te ne me nt house s f or t he po or) .
34
Ci ce ro, P ro M. Ca e l i o o ra l i o , V I I — 17.
" Carcopino, p. 56. Juvenal, Saiura, III, 223 sqq., remarks that the annual rent tor a
miserable flat in town would have bought splendid estates in a medium-sized country town.
The figure of 2 000 sesterces is probably exaggerated. Our legal and extra-legal texts deal
with upper-class leases, not with "the hordes of depressed lower class tenants who
constituted the vast majority of the Roman tenantry" (Frier, Landlords and Tenants, p. 39).
The latter, according to Frier (p. 51), paid rent "on a short-term basis, perhaps most
commonly daily". Payment at yearly intervals (as a rule: postnumerando!) in all probability
applied only to upper-class tenants. English law seems to offer a parallel in so far as the law
of lease has traditionally been reserved for relationships with some sort of permanence (as
opposed to a mere licence).
3f
'
Carcopino, loc. cit.
37
For details Frier, Landlords and Tenants, pp. 29 sqq.; Guillaume Cardascia, "Sur une
fonction de la sous-location en droit romain", in: Studi in onore di Arnaldo Biscardi, vol. II
(1982), pp. 365 sqq. The same applied in the case of warehouses (horrea): the owner of a
horreum usually let the whole warehouse to a principal tenant (the horrcarius) who then in
turn let out the storage space to the individual customers (cf. e.g. Andreas Wacke,
"Rcchtsfrage der romischen Lagerhausvcrmictung", (1980) 26 Labeo 304 sqq.; differently
Claude Alzon, ProbUmes relatifs a la location des entrepots en droit romain (1965), according to
whom the individual customer always contracted directly with the owner; the horrearius
was merely a subordinate, something like a foreman of the staff of the horrea, acting in the
employ of the owner. This view has however generally been rejected: cf. e.g. J.A.C.
Thomas, "Return to 'Horrea' " (1966) 13 RIDA 357 sqq.).
It is obvious that the contract between owner and horrcarius was locatio conductio rei.
But what was the relationship between horrearius and his customers (the "depositors")? It
cannot have been depositum wherever—as was usually the case—the horrearius received a
merces. But was it locatio conductio operarum (Joachim Rosenthal, "Custodia und
Aktivlegitimation zur Actio furti", (1951) 68 ZSS 231 sqq.) or locatio conductio operis
(Felix Wubbe, "Zur Haftung des Horrcarius", (1959) 76 ZSS 511 sqq.) or locatio conductio
rei (prevailing opinion: cf. e.g. Thomas, (1966) 13 RIDA 362; Kascr, RPrl, p. 565; Wacke,
(1980) 26 Labeo 309) or a combined locatio rei and operis faciendi (Alzon, pp. 201 sqq.)? The
horrearius was an independent contractor who employed his own staff; thus he was probably
not merely an employee of the "depositors" (thus: no locatio conductio operarum). In all our
sources, the horrearius is referred to as locator, by customers as conductores. The
relationship must therefore have been one of locatio conductio rei, despite the fact that the
horrearius (unlike "normal" lessors) was liable for custodia (Paul. D. 19, 2, 55 pr.; Lab. D.
19, 2, 60, 6 and 9; C. 4, 65, 1 (Ant.); С 4, 65, 4 (Alex.); Wubbe, (1959) 76 ZSS 508 sqq.;
Carlo Augusto Cannata, "Su alcuni problemi relativi alia 'locatio horrei' nel diritto romano
classico", (1964) 30 SDHI 244 sqq.; Alzon, pp. 41 sqq., and many others). The horrearius
is providing a "safe-keeping place", i.e. he is as locator under an additional contractual duty
of custodiam praestare. These (modern) disputes about the horrea contract are, incidentally,
another confirmation of the fact that the Romans did not employ the scheme of three
different types of locatio conductio (Thomas, (1966) 13 RIDA 362).
3H
Carcopino, loc. cit.
w
Ia v. D. 19, 2, 5 7.
4(1
Cf. e.g. supra, p. 192.
41
On this text and the problem of iusta causa timoris in general, cf. Frier, Landlords and
Tenants, pp. 94 sqq.
42
Ulp. D. 19, 2, 19, 6.
4
Reason: the pa yment had not bee n ma de per crrorem.
44
As to the justification of such fear, cf., for example, Ulp. D. 1, 15, 2 ("pluribus uno die
incendiis exortis"). Cf. further e.g. Juvenal, Satura, I I I , 197 sqq. Aulus Gcllius relates the
story of a group of friends walking up the Cispian hill when they see a big urban insula on
fire. "Magni reditus urbanorum pracdiorum", says one of them, "sed pcricula sunt longe
ma xima, si quid a ute m possit re me dii fore, ut ne ta m a dsidue dom us Romae ardere nt,
venum hercle dedissem res rusticas et urbicas cmissem." It was mainly the risk of fire that
made it more attractive for wealthy Roma ns to invest in farmland rather than in urba n
properties. For details, see Frier, Landlords and Tenants, pp. 21 sqq.
4
* l p . D. 19, 2, 11, 4.
Ulp. D. 19, 2, 11, 1.
47
The idea of versari in re illicita; cf. supra, pp. 197, 209.
48
Cf. generally Schulz, Principles, p. 24 (s. v. "Isolation").
49
Cicero, De oratore, 1, XLV—45.
50
An apart ment bl ock of ext raordi nary di mensi ons, t hat seems t o have been fa mous
throughout the ancient world (cf. Tertullius, Adversus Valentinianos, VII, 3). On the status
and social background of the Romanj urists during the various periods of Roman l aw, see
especially Fritz Schulz, History of Roman Legal Science, passim; Wolfgang Kunkel, Herkunft
und soziale Stellwny der romischen juristen (2nd ed., 1967), passim.
*! Cf. e.g. Schulz, CRL, p. 545.
32
For all details, see Frier, Landlords and Tenants, pp. 21 sqq. ("The Social Institutions of
the Roman Rental Market"), pp. 174 sqq. ("Recognition of Interests in Roman Lease Law"),
pp.53196 sqq. ("Roman Jurisprudence as an Instrument of Social Control").
This is the main thesis of Frier's book on the Roman law of urban leasehold, which is
now authoritative.
54
Fo r de t a i l s , se e F r i e r , La n d l o rd s a n d Te n a n t s, p p. 4 8 s qq .
55
Fri e r, La n d l o rd s an d Ten an t s, pp. 50 sq . C f., on a m ore ge ne r al l e ve l , al s o D avi d D au be ,
R o m a n La w , p p . 7 1 s q q . ( ". . . t he s o u r c e s , t he l e ga l o n e s i n p a r t i c u l a r , c o n c e n t r a t e o n t h e
haves; it is they who occupy the centre of the stage. . . . The have-nots are invisible: die im
D unk eln sieh t man n ich t") .
56
La n d lo rd s an d Te na n t s, pp. 4 0 s qq.; c f. al so p. 52: "T he i n qui l i ni o f s l um t e ne me nt s fi n d
no place in juristic decisions on leasehold, despite their numerical preponderance among
urban tenants."
57
T h e a r c h a e o l o gi c a l e v i d e n c e i n O s t i a a n d R o m e i s d i s c u s s e d b y F r i e r , La n d l o rd s a n d
Te n a n t s, pp . 3 s qq .
58
S u e t o n i u s ( D e v i t a Ca e sa r u m , T i b e r i u s , X X X V , 4 ) , f o r i n s t a n c e , t e l l s t h e s t o r y o f a
senator who was stripped of his rank by Tiberius, because he used to enter his urban leases
only in the course of July, remaining, until then, on his country estates. In this way, he tried
to take advantage of the sharp drop in (upper-class) rents which occurred annually after the
1st July, the day which traditionally marked the start of the rental year. .
5
Frier, Landlords and Tenants, p. 52.
60
Cf. supra, p. 343. If in many Western legal systems this applies to the whole of the law
of lease, modern South African law offers an even closer parallel to the situation in Roman
law: the law of lease (locatio conductio rei) in its pure and proper sense applies, by and large,
only to upper-class housing. It is to this segment of the law and of society that books such as
those by Kerr and Cooper (The South African Law of Landlord and Tenant (1973)) refer. A totally
different body of (administrative) law governs the residential rights of urban blacks. Cf, for
an overview, W.H.B. Dean, "The Legal Regime Governing Urban Africans in South
Africa—An Administrative Law Perspective", (1984) Ada Juridka 105 sqq.
6
' Ancient Law, p. 100.
62
Schulz, Principles, p. 21; cf. also Hans Kloesel, "Libertas", in: Hans Oppermann (ed.),
Romische Wertbegriffe (1983), pp. 120 sqq.
63
Cf. e.g. Berger, ED, p. 391; Kaser, RPr I, pp. 1!8 sq. More specifically on
client-coloni, cf. most recently P. W. de Neeve, Colomis. Private Farm-Tenancy in Roman Italy
During the Republic and the Early Priucipate (1984), pp. 187 sqq.
64
Kaser, RPr I, pp. 564 sq.; but see Kaufmann, Altromische Miete, pp. 320 sqq.
65
Сf. e. g. Afr. D. 19, 2, 3 5 p r. ; Gai . D. 19, 2, 2 5. On wh at frui ent ai l ed (fr u ct us
percipere), see P. W. de Neeve, "Rcmissio Mcrcedis", (1983) 100 ZSS 303.
66
§ 535 BGB.
f 7
' § 581 I BGB. On the specific structure of the usufructuary lease ("Pacht") in Roman law
cf. recently Pinna Parpaglia, op. cit.. note 7, p. 27 and passim; Wolfgang Ernst, "Das
Nutzungsrisiko bei der Pacht in der Ent wickl ung seit Servius", (1988) 105 ZSS 58У sqq.
' |K Cf. in general Imrc Molnar, "Object of locatio conductio", (1982) 85 BIDR 127 sqq.
Recently, the thesis has been advanced that the object of locatio conductio (rei) was not a res
but an activity relating to this res; Pinna Parpaglia, Vitia ex ipsa re (1983), e.g. pp. 138, 145;
cf. also Ernst, (1988) 105 ZSS 590 sq.; Frier, Landlord and Tenant, p. 215 ("To some extent
. . . urban leasehold might better be thought of as the exchange of money for certain services
from the landlord, and not just for a place (res)"); but see Theo Mayer-Maty, (1983) 34 lura
155.
69
Gai. I l l , 146; cf. supra, p. 236.
11
Cf. e.g. Alf. D. 19, 2, 30, 2 and Sibylle von Bolla, Untcrsuchungen zu Tiermiete und
Viehpacht itn Altemm (1940).
71
Lab. D. 19, 2, 60, 6; 9; Paul. D. 19, 2, 55 pr.; Alzon, loc. cit.; Cannata, (1964) 30 SDHI
235 sqq.; Thomas, (1966) 13 RIDA 353 sqq.; Wackc, (1980) 26 Labeo 299 sqq.
72
Cf. e.g. Du nca n-Jones, pp. 3 23 sqq.; De Ma rtino, pp. 268 sqq.; mo st recently De
Nceve, Colonus, pp. 217 sqq.
73
Historia mturalis, Lib. XVIII, 6, 35.
74
Duncan-Jones, pp. 33 sqq.; Moses I. Finley, The Ancient Economy (1975), pp. 95 sqq.
On the size and cost of farms in the late Republic cf. also Frier, Roman jurists, pp. 11 sq.
71
Cf., for exa mple, De Martino, pp. 314 sqq.
lk
"Colonus" is related to "cotere"; the term indicates that the conductor was a farmer
who was duty-bound to cultivate the land (as opposed to the "rather slangy word" (Frier,
Landlords and Tenants, p. 59) "inquilinus" for the urban tenant). Originally, it did not
necessarily refer to a small tena nt; nor wa s it a terminu s technicus for tenants of plots
belonging to large estates. It was only in the period after Diocletian that what has become
known as the "eolonate" developed, the term "coloni" then referring to poor people of low
social rank who were bound to their land and found themselves in a quasi-servile condition
of de p en d e nc y. O n the ter m "c ol onu s" a n d o n th e rise of wha t he pre fers to ca ll farm-
tenancy in Italy in the course of the 1st century B . C . , see De Necvc, Catenas, pp. 21, 31
sqq., 119 sqq. On the eolonate of the later antiquity the literature abounds; cf. Kaser, RPr II,
pp. 142 sqq.
As to the crisis in Italian agriculture, sec mainly M. Rostovtzeff, The Social and Economic
History of the Roman Empire (2nd ed., 1957), e.g. 502 sqq. But see C.R. Whittaker, "Agri
deserti", in M.I. Finley (ed.), Studies in Roman Property (1976), pp. 137 sqq.
3. Merces locationis
(a) Merces uera et certa
The second essential element on which agreement had to be reached
before a contract of locatio conductio could be said to have come into
existence was the rent {merces locationis): ". . . nam ut emptio et
venditio ita contrahitur, si de pretio convenerit, sic et locatio et
conductio contrahi intellegitur, si de mercede convenerit."" 5 If no
7H
For post-classical times, sec Kaser, RPr II, pp. 401 sq.
Cf. e.g. C. 4, 65, 6: "Nemo prohibcrur rem quam conduxit fruendam alii locarc, si nihil
aliud convenit"; Molnar, Studi Sanfilippo, vol. II, pp. 420. Cf. today also § 10У8 ABGB and
art. 1573 codice civile. A different approach has been adopted by the PrALR (§ 309 I 21) and
the BGB (§ 549 I, 1: "A lessee is not entitled, without the permission of the lessor, to transfer
to a third party the use of the leased thing, particularly to sublet the thing").
811
Cf, for example, Mayer-Maly, Locatio conductio, pp. 27 sqq; Cardascia, Studi Biscardi,
vol. II, pp. 365 sqq. The right to sublease was presumed unless specifically excluded: cf.
Frier, Landlords and Tenants, p. 62.
8[
Ulp. D. 50, 17, 45: "Neque pignus nequc depositum neque precarium neque emptio
nequc locatio rei suae consistere potest"; Iul. D. 16, 3, 15.
*
ю
Ulp. D. 19, 2, 9, 6.
H4
Cf., in this context, the interesting hypothesis by Mayer-Maly, Locatio conductio, p. 118.
H5
For details, see J.A.C. Thomas, "Conductio rei suae". (1971) 2 Index 283 sqq.
Gai. D. 19, 2, 2 pr.
6
O n t h e c l ose re l a t i o n b e t w e e n s a l e a n d hi r e c f. e . g. G a i . I l l , 1 4 2; G a i . D . 1 9, 1 , 2 pr .; I n st .
I l l , 2 4 pr.; M a ye r -M a l y, Lo c a t i o c o n d u c t i o , p p. 6 3 sq q. R 7 P a ul . D . 1 9 , 2, 2 0, 1. н я U l p . D . 1 9 ,
2 , 4 6 . m G a i . I l l , 1 43. O n C at o, D e a g ri c u h u ra , X V I I , 1 4, se e W a t s o n, O bl i g a t i o n s, p p. 1 0 3
sq q.
90
In st . I l l , 24, 1. Ju st i ni a n co ul d a ff or d t o be st ri ct o n t hi s poi nt , si n ce e xcl usi o n fr o m t he
re gi me o f l o c at i o c on d u ct i o n o l o n ge r m e a nt no n -e nf o r ce a bi l i t y of t h e t r a ns a ct i o n. A n a ct i o
p r ae s c ri pt i s ve r bi s w a s av ai l a bl e .
91
Cf. sup ra, p. 2 56.
92
On ne got i a part i ari a i n Cat o, D e ag ri cuhu ra , CX LV sq., 136 sq. see Wat son, O bl iga tio ns,
pp. 104sq.
' For details see Franz Kobler, Der Teilbau im rb'mischen und geltenden itahenischen Rccht
(1928); Mayer-Maly, Locatio conductio, pp. 135 sqq.; J.A.C. Thomas, "The Nature of Merces",
1958 Ada juridica 197 sqq.; F.P. van den Heever, The Partiarian Agricultural Lease in South
African Law (n.d). Specifically on the medieval concept of share-cropping, see E.J.H.
Schrage, "Colonia partria, Zum Rechtsbegriff der Teilpacht aus der Sicht der Glossatoren",
in: Satura Roberto Feenstra oblata (1985), pp. 393 sqq.
94
Epistulae, Lib. IX, 37.
95
Gai. D. 19, 2, 25, 6.
96
Ulp. D. 19, 5, 17, 3; Inst. Ill, 24, 2.
97
Ulp. D. 10, 3, 23.
9Я
As can, for instance, be seen from "quaeritur" in Gai. Ill, 144. Cf. further Afr. D . 19,
2, 35, 1; on this te xt, see J.A.C. Thom as, "D. 19, 2, 35, 1", (1971) 74 BIDR 83 sqq.;
Karlheinz Miscra , "Der Nutz ungsta usc h bci Nac hbarn und Miteige ntumern", (1977) 94
ZSS 273 sqq., 277 sqq.
But probably only at a time when the availability of other remedies (csp. the actio in
factum) for such use-exchange transactions was widely recognized.
100
Cf. e.g. Mayer-Maly, Locatio conductio, pp. 129 sqq.; Thomas, 1958 Acta Juridica 191
sqq.; Watson, Obligations, pp. 101 sqq.; Miscra, (1977) 94 ZSS 267 sqq. On Ulp. D. 19, 2,
19, 3, cf. Mayer-Maly, Locatio conductio, pp. 137 sq. and Karoly Visky, "I contratti di
locazione nella crisi economica del III secolo", in: Studi in onore di Cesare Sanfilippo, vol. I
(1982), pp. 670 sqq.
101
Cf. e.g. Paul. D. 19, 2, 24, 2-4; De Neeve, Colonus, p. 10; Visky, Spuren, pp. 205 sqq.
For urban leasehold, cf. Frier, Landlords and Tenants, p. 37.
102
Paul. D. 19, 2, 54, 1; on this text, see Giuseppe Gilibcrti, "La 'stipulatio poena', in
D. 19, 2, 54, 1 (Paul. 5 Resp.)", (1983) 29 Labeo 44 sqq.
103
C. 4, 65, 3 (Ant.); Mario Batta glini, "La risoluzione del c ontratto de locazione per
necessita del locatore ncl diritto Romano e comune", in: Studi in onore di Emilio Belli, vol. IV
(1962), pp. 523 sqq.; Frier, Landlords and Tenants, pp. 92 sqq. This was not a numerus clausus
of insta nces of justifie d e xpulsion. On cases where a third party was involve d in the
expulsion of a tenant, cf. Frier, pp. 79 sqq.
04
Cf., for exam ple, Gai. D. 19, 2, 25, 2 ("Si vicino aedificante obsc urentur lumina
cenaculi, teneri locatorem inquilino: certe quin liceat colono vel inquilino relinquere
conduc tione m, nulla dubitario est"); Alf. D. 19, 2, 27, 1 (". . . si quis tim ons ca usa
emigrasset . , ."); Ulp. D, 19, 2, 13, 7 ("Exercicu veniente migravit conductor . . ."): for
details, see Frier, Landlords and Tenants, pp. 92 sqq.
105
Mayer-Maly, Locatio conductio, pp. 216 sqq.
"* Call. D. 49, 14, 3, 6.
107
Ulp. D. 19, 2. 14.
108
Ulp. D. 19, 2, 13, 11; for details, see Frier, Landlords and Tenants, pp. 165 sqq.
109
In cases of agricultural lease, the relocatio according to Ulp. D. 19, 2, 13, 11, was from
year to year: the tenant allowing for the "planting of seeds, reaping etc., would need a year
fully to derive benefit from the holding over" (Thomas, TRL, p. 295); this was different in
the case of domestic premises or imm ova bles. It is unclear, howe ver, how far Ulp. D. 19,
2, 13, 11 can be accepted as being genuinely classical (cf. e.g. Mayer-Maly, Locatio conductio,
pp 220 so,).
Cf. e g. Gluc k, vol. 17, pp. 278 sqq.; Va ngerow, Pandekten, § 644.
111
Ulp. D. 19, 2, 13, 11 (". . . hoc e nim ipso, quo tac uc m nt, c onse n sisse vide ntur";
Kaser, RPr I, p. 229; RPr II, p. 88). In canon law (Liber Sextus, Lib. V, Tit. XII, De rcgulis
iuris, XLII1) this became "qui tacet, ccmsenrire videtur").
112
"M otive", in: Mugdan, vol. II, pp. 230 sqq.
113
BGH, 1980 Neue Juristische Wochenschrift 1578.
114
Kaser, RPr I, p. 568; Frier, Landlords and Tenants, pp. 70, 92.
115
Cf. the statute s of the upper Italia n city-sta te s, for e xa m ple the Statute s of Trie nt
(1528): "Ite m statuim us et ordina m us, quod si aliquis locator velit alique m c onductore m
e xpellere de dom o . . ., de be at ce rtiora re ipsum c ond uctore m per me nse m a nte te m pus
locationis finitae" (cf. Klaus Genius, Der Bestandsschutz des Mietverhaltnisses in seiner
historischen Entwicklung bis zu den Naturrechtskodifikationen (1972), p. 74 sq.); Johannes a
Sandc, Decisiones Frisicae (Leovardiae, 1635), Lib. Ill, Tit. VI, Def. I (". . . consuetudine
apud Frisios receptum est, ut dominus, qui vel ipse re locata uti frui, vel alteri earn locare aut
alienare, vult colono aut inquilino ante Calendasjanuarii denuntiet"; cf. further Genius, e.g.
p. 144).
116
§ 564 a BGB.
117
He nce the pe riods of notice, the le ngth of whic h c a n be de term ine d, for insta nc e,
according to whether the re nt is measure d by da ys, wee ks or m onths; cf. § 565 BGB.
118
Mackay v. Naylor 1917 TPD 533 at 538.
119
Cf, for example, Grotius, Inleiding, III, XIX, 8; Van Lecuwen, Censure Forensis, Pars
I, Lib. IV, Cap. XXII, 6; § 595 BGB; but see the more refined considerations by Pothier,
Traite du contrat de louage, n. 28.
120
Hence: "Non solet locatio dominium m utare": cf. Ulp. D. 19, 2, 39. For an exception
(the so-c alle d loc atio c ond uc tio irre gula ris— a phe n o m o ne n sim ilar to the de positum
irregulare), see infra, p. 402, note 101.
lil
Gai. Ill, 145.
122
Kascr, RPr I, p. 455.
123
Gai. Ill, 145.
124
Cf. Ludwig Mitteis, Zur Geschichte der Erbpacht im Alterthum (1901), pp. 33 sqq.; Levy,
Vulgar Law, pp. 43 sqq.; Kaser, RPr II, pp. 308 sqq.
For details, see Kaser, RPr II, pp. 151 sqq.
126
Levy, Vulgar law, pp. 45 sqq.
127
C. 4, 66, 1; cf. Inst. Ill, 24, 3.
12H
For what follows, see Paolo Grossi, Locatio ad longum tempus (1963); Coing, pp. 369 sq. As
to the glossators, cf., more recently, E.J.H. Schrage, "Emptio (Nondum) Tollit
Locatum", 1978 Acta Juridica 6 sqq.
129
On the distinction between dominium directum and dominium utile, cf. E. Meynial,
"Notes sur la formation de la theorie du domaine divisc (domaine directe et domaine utile)
du XHe au XlVe siecle dans les romanistes—etude de dogmatique juridique", in: Melanges
Fitting (1908), vol. II, pp. 409 sqq.; Robert Feenstra, "Les origincs du dominium utile chez
les Glossateurs", in: Fata iuris romani (1974), pp. 215 sqq.; D.P. Visser, "The 'absoluteness'
of ownership: the South African common law in perspective", 1986 Acta Juridica 39 sqq.
130
Cf. e.g. Stryk, Usus modemus pandectarum. Lib. XIX, Tit. II, § 51.
131
Contrat de louage, n. 27.
132
§ 567 BGB.
133
С G. van der Merwe, Sakereg (1979), pp. 420 sqq.
134
Kerr, Sale and Lease, p. 183. Van Leeuwcn, Censura Forensis, Pars I, Lib. IV, Cap.
XXII, 4, says: "Caeterum quod a quibusda m alia dicatur quae ad certum tem pus, alia quae
in perpetuum initur, proprie a d locatione m non pertinet, sed in alium c ontractum tra nsit:
E m ph yte usin nim irum :. . . ."
135
Ulp. D. 19, 2, 15, 1. I3ft
Gai. D. 19, 2, 25, 2. 1 37 Ulp.
D. 19, 2, 15, 1. 13H Cf. infra,
pp. 509 sqq. 1 34 Ulp. D. 16,
3, 1, 6.
' Cf. Maycr-Maly, Locatio conductio, pp. 106 sqq.; von Liibtow, Symbolae Taubenschlag,
vol. Ill, pp. 239 sqq.; Frier, Landlords and Tenants, pp. 61 sqq.; De Neeve, Colonus, op. cit.,
note 101, pp. 5 sqq.; cf. a lso Ka ser, RPr I, p. 229. 141 Cf. supra, p. 356.
142
Cf. e.g. Alf. D. 19. 2, 27 pr.; Alf. D. 19, 2, 30 pr.; cf. also Gai. D. 19. 2, 25. 2 (supra, p.
360 ). Cf. further Bruce W. Frier, "Tenant Remedies for Unsuitable Conditions Arising after
Entry", in: Studies in Roman law in Memory of A. Arthur Schiller (1986), pp. 65 sqq., 70
147
Lab. D. 19, 2, 60, 7. The other text is Ulp. D. 9, 2, 27, 34: "Si quis servum conductum ad
mulum regendum commendaverit ei mulum illc ad pollicem suum eum alligaverit de loro et
mulus eruperit sic, uC et pollicem avelleret servo et se praecipitaret, Mela scribk, si pro
perito im pentus locatus sit, ex conducto agendum cum domino ob mulum ruptum vel
dcbilitaium, sed si ictu aut terrorc mulus turbatus sit, turn dominum cius, id cst muli, et servi
cum eo qui turbavit habiturum legis Aquiliae actione m. mihi autem videtur et eo casu, quo
ex locato actio est, competere etiam Aquiliae." On these texts (and the question of their
authenticity), cf. Mayer-Maly, Locatio conductio, pp. 159 sq.; Kaser, (1957) 74 ZSS 161 sqq.;
Stein, Fault, pp. 105 sqq.; M olna r, ANR W , op. cit., note 143, pp. 622 sqq.
14H
Cf. Ulp. D. 19, 2, 15, 1 (". . . si quid in lege c onductionis conve nit").
149
Cf. supra, pp. 293 sqq.
150
Ulp. D. 19, 2, 9pr. Cf. further Ulp. (Hans Kreller, (1948) 66 ZSS 76 sq.) D. 19, 2, 7;
Tryph. D. 19,2, 8; Ulp. D. 19,2, 15, 8 and Kaser, (1957) 74 ZSS 166 sqq.; Mcdicus, Id quod
interest, pp. 96 sqq.; Honsell, Quod interest, pp. 130 sqq.; Molnar, ANRW, op. cit., note 143,
pp. 622 sqq. For a different opinion (liability only if the lessor knew about his defect in title),
see Nicola Palazzolo, "Evizione della cosa locata e responsabilita del locatore", (1965) 48
BIDR 275 sqq. He leans partic ularly on Afr. D. 19, 2, 35 pr.
bl
"Si tibi alienam insulam locavero quinquaginta tuque eandam sexagmta Titio locaveris
et Titius a domino prohibitus fuerit habitare, agentem te ex conducto sexaginta consequi
debere placet, quia ipse Titio lenearis in sexaginta."
152
Interestingly, the subtenants in their action against the sublessor could not claim quod
interest, but only the prepaid rent. For an explanation, see Frier, Landlords and Tenants,
PP.-.79 sqq.
Маусг-Maly, Locatio conductio, pp. 155 sq.
154
Ulp. D. 19, 2, 9 pr. (not interpolat ed: sec Kaser, (1957) 74 ZSS 168).
155
Cf. e.g. Paul. D. 21, 2, 11 pr. ("futuros casus evictionis", relating to the expropriation
of provincial land). On this text cf. supra, pp. 288 sq.
™ D. 19, 2, 33. But see Hans Ankum, "Afr. Dig. 19, 2, 33, Haftung und Gefahr bei der
publicatio eines verpachteten oder verkauften Grundstucks", (1980) 97 ZSS 165, according
to whom "publicatio" in D. 19, 2, 33 refers to a sale of the fundus to a magistrate or imperial
official in the public interest; formally, this was a voluntary sale, even though dc facto the
vendor was under some political pressure to sell.
157
Kascr, (1957) 74 ZSS 177. Contra : Andrea s Wa ck c, "Dig. 19, 2, 33: Afrika ns
Vcrhaltnis zu Julian u nd die Ha ftu ng fu r hoherc Gcvva lt", in: ANRIV, vol. I I , 15, 1976,
p. 481.
1 r >H
Cf. e.g. Accursius, gl Ut mihi frui, ad I). 19, 2, 33; Donellus, Cotnuwtitaridejtirc Civili,
Lib. XIII, Cap. VII, XVI"; Cluck, vol. 17. p. 370.
l
^' On the nature of classical Roman law (and the consequences for the credibility of our
sources) in this context, see especially Andreas Bertalan Schwarz, "Das strittige Recht der
romischen Juris ten", in: Festschrift jiir Fritz Schtilz, vol. II (1951), pp. 201 sqq.; Max Kaser,
7мг Methode der rotnischai Rechtsfindung (1962), pp. 74 sq.; idem, RPr I, pp. 181 sqq., 188 sqq.;
Tomasz Giaro. "Ubcr mcthodologische Werkmittcl der Romanistik", (1988) 105 ZSS 180
sqq.
l(>
" Cf. supra, pp. 298 sq., 320.
16
For an examplary exegesis of D. 19, 2. 33 in all its ramifications, see Wacke, ANRW,
op. cit., note 157, pp. 455 sqq. Ho draws attention to the point (p. 481) that Iulianus did not
hesitate to decide against the wealthy landed aristocracy (to which he himself probably
belonged).
162
A.M. Honori, "Julian's Circle", (1964) 32 TR 17.
1
' Cf. especially Emil Seckel, Ernst Levy, "Die Gcfahrtragung beim Kauf im klassischen
romischen Recht", (1927) 47 ZSS 219 sqq.; Honsell, Quod interest, pp. 122 sqq.; Wacke,
ANRW, op. cit., note 157, pp'. 476 sqq.; Aiikum, (1980) 97 ZSS 157 sqq. Contra especially
Kaser, (1957) 74 ZSS 177 sqq.; Nicola Palazzolo, "Evizione della cosa locata e responsabilita
del locatorc", (1965) 68 BIDR 292 sqq. Modem German law would follow Africanus in the
solution of this case: cf. Wackc, pp. 494 sq.
164
Pomp. D. 19, 1, 6. 4. Cf. supra, pp. 309, 320, 334 sqq.
1( 5
' Cassius was a student of Sabinus. Sabinus (whose opinion has been related by another
of 16fi
his students, Minicius) is quoted by Pompomus in I). 19, 1, 6, 4.
Ulp. D. 19, 2, 19, 1.
fi7
For a recent discussion, see Christoph Krampe, Die Garantiehctftwtg des Vermicters fur
Sachma'ngel (1980), pp. 21 sqq.
вн
However, in the case of ignorantia the lessor still loses his right to claim
counterpcrformance (the merces locarionis). On this aspect of the decision (and on its
relation to Ulp. D. 19, 2, 15, 2, cf. the recent discussion by Ernst, (1988) 105 ZSS 554 sqq.
"l9 Krampe, op. cit., note 167, p. 26.
170
Prevailing opinion- see Stein, Fault, pp. 100 sqq.; Mayer-Maly. Locatio conductio,
pp. 168 sqq.; Medicus, Id quod interest, p. 155.
171
See Franz Haymann, Die Haftuny des Verkaujersjiir die Beschaffenheit der Kaufsache, vol. I
(1912), pp. 96 sqq.
172
See Gerhard Beseler, "Et ide o-Dc dararc-Hic", (1931) 51 ZSS 70.
" Cf. Klaus Luig, "Zur Vorgeschichte der verschuldensunabhangigen Haftung des
Vermieters fur anfangliche Mangel nach § 538 BGB", in: Festschrift flir Heinz Huimer (1984),
pp. 129 sqq.
Dismissed by many as interpolated (cf. e.g. Mayer-Maly, Loctitio conductio, p. 169); but
see, for instance, Voci, L'etrore, p. 251.
175
Luig, Festschrift Hubner, p. 132; cf. also Buckland/Stein, p. 500; Liebs, RR, p. 244.
176
Cf, for example, Honsell, Quod interest, p. 134; also Ulrich von Lubtow, "Zur Frage
der Sachmangelhaftung im romischen Rccht", in: Studi in onore di Ugo Hnrico Paoli (1955),
pp. 490 sq. After all, the dolia were sunk into the ground. In the case of pasture, on the other
hand, the lessee was in as good a position as the lessor to evaluate what was growing on it.
It was not expected of the lessor to let his own cattle trial-graze on the pasture. According
to Ma yer-Maly (Locatio conductio, p. 170), the crucial difference lies in the fact that the
effluxion of wine in the case of leaking vats is the typical kind of damage that is bound to
happe n, whereas the loss of cattle due to mala herba growing on the lessor's pasture is not
so typically related to the defect. Others argue that a leaking vessel is not a receptacle, whilst
a pasture with poisonous herbs is still a pasture (Thomas, TRL, p. 294; Kaser, (1957) 74 ZSS
166). Also, it has bee n pointe d out that, in the case of vats, e xpress guara ntees were
lease: the lessor's ignorance about the toxic plants is much more easily
excusable; as long as he had not known about their existence, no fault
is normally attributable to him. He cannot normally be held responsible
for not knowing that there happen to be poisonous weeds growing
somewhere on his land. The standard of diligentia required of a lessor
of vats was therefore different from what could reasonably be expected
of a lessor of pasture; the one was required to know about certain
defects (and if he didn't, this was bound, as a rule, to constitute culpa),
the other one not.
(f) From Vlp. D. 19, 2, 19, 1 to § 538 BGB
Roman wine jars have left their mark on the history of private law. The
subsequent fate of D. 19, 1, 6, 4 has already been briefly discussed.177
Similarly interesting was the afterlife of D. 19, 2, 19, I. 178 Throughout
the various periods of European jurisprudence there were those who
tried to see this fragment as an expression of the general principle of
liability for fault: only for fault, but for every kind of it. This is very
much in accordance with what has been suggested above. Accursius's
Glossa ordinaria provides a good and early example. "Sed cur aliter?",
he asks, apropos the words "in quo mala herba" in D. 19, 2, 19, 1.
"Respon. quia in doliis ignorare non debuit. in pascuis vero iuste potuit
ignorare. nam quae facilius sciri possunt, si ignoratur, gravius
coercentur." In other words: ignorance in the case of vats is
inexcusabilis, whilst in the case of pasture it is normally excusabilis.
This was still the prevailing opinion centuries later, during the times of
the usus modernus and of pandectism. 179 Voet—among others—tried to
rationalize the decision with regard to the wine jars on the basis that the
locator had himself manufactured them:
"Praestetur dcnique reparatio damni totius, quod conductor ex rei conductae vitio
passus cst, sive sciverit locator vitium illud sivc ignoraverit, quoties circa rem
originally given by the lessors. In the course of time, these acddentalia negotii became so
common that they were ultimately turned into naturalia negotii (Karlowa, Romische
Rechtsgeschichte, vol. II (1901), p. 640). According to Stein (Fault, p. 103) the vats were
defined by mere description. "In such a case the lessor is liable for all loss caused by his
failure to supply goods which answer to that description." (But it is very doubtful whether
the Romans recognized the lease of unascertained goods; there appears to be no evidence for
this proposition.) For a similar view, sec Karl Heldrich, Das Versdmldeti beim Vertragsabschluss
(1924), p. 21. Most recently, attention has been drawn to the economic background to D. 19,
2, 19, 1. Lessors of pasturage, frequently resident in Rome, could not be expected to know
the toxic state of their plants, whereas the lessor of vats was easily able to determine whether
the dolia were sound or not. Also, the lessors of pasturage (unlike the lessors of dolia)
belonged typically to the upper class of society, and the jurists may not have regarded it as
"socially practicable" to increase the scope of their liability: c(. Brigitte Clark, "Leaky Vats
and Toxic Plants: Ulp. D. 19, 2, 19, 1 and the Liability of the Lessor", (1987) 50 THRHR
455.
177
17K
Cf. supra, p. 365.
Cf. Luig, Festschrift Hiibner, pp. 132 sqq.
179
Cf. e.g. Heineccius, Elementa luris Civitis, §§ 924, 929; Gluck, vol. 17, pp. 361 sqq.;
Arndts, Pandekten, § 311; Dernburg, Pandekten, vol. II, § 111, 2.
m>
Commentarius ad Patidectas, Lib. XIX, Tit. II, XIV. l fi l
Cf. supra, p. 335.
IH2
Pothier {Traite dit central de towage, § 119), however, went even further. He argued that
D. 19, 2, 19, 1 imposes liability not only on the ma nufacturer bu t also on the mercha nt,
because his calling as such requires him to have knowledge of the goods in which he trades.
This line of argument has been followed in the South African courts (Hunter v. Cumnor
Investments 1952 f l ) SA 735 (C) at 74UH-742A. For details of the impact of D. 19. 2, 19, 1
with its "curious" distinction {Alexander v. Armstrong (1H79) 9 Buch 233 at 237) on South
African la w. c (. Kerr, Sale and Lease, pp. 211 squ.; Clark. (1987) 5(1 THRHR 456 sqq.
1НД
Commcmarii de Jure Civili. Lib. XIII, Cap. VII, XVI.
184
For the reasons, see "Motive", in: Mtigdan, vol. II, pp. 209 sq.
Cf. Horst Heinrich Jakobs, Werner Schubert. Die Beratung des Btirgerlichen Gesetzbudis,
Recht dor Sdmldverhaltmsse, vol. II (1980). pp. 428 sqq.
For a discussion of the problems involved and of the casuistry, see Krampe, op. cit.,
note 167, pp. 11 sqq. For an interesting parallel, see the la ndlord's implied warranty of
liability for lea sed dwellings in America n la w, developed on the basis of the following
dictum mjarvis v. First National Realty 138 AppDC 369, 428 F 2d 1071 (DC Cir. 1970): ". . .
in the case of the modern apartment dweller, the value of the lease is that it gives him a place
to live. . . . When American city dwellers, both rich and poor, seek 'shelter' today, they seek
a well known package of goods and services. . . . In order to reach results more in accord
with legitimate expectations ot the patties and standards of the community, couns have been
gradually introducing more modern precepts of contract law in interpreting leases." The
concept of implied wa rranty of ha bita bility (representing one of these "more modern
concepts") has been adopted by the Restatement on Landlords and Tenants in 1976. It is
criticized by Frier, Studies Schiller, pp. 66 sqq., who argues that the Roman law of urban lease
knew no warranty of this type and wa s thu s more "socially adequate" than the modern
American lease law.
1 H7
Heinrich Honsell, "Positive Vcrtragsvcrlctzung", 1979 Jura 1%.
1Я
" Cf. e.g. Walter Wilburg, Die Elenmitc des Schademrechts (1941), p. 141.
1H
'' "Protokolle", in: Mugdati, vol. II, p. 814. Cf. Peter Schlechtriem, Vertragsordnung nnd
ausservertraglidie Haftung (1972), p. 337; Ingo Koller, Die Risikozuredinung bei Vertragsstomn-
ge n in Atistausch i'erha ltn issen (19 79), pp. 118 sq. Cf. a lso Kra mpe, op. cit., note 1 67 ,
pp. 38 sqq.
Cf. Wieacker, Privatreditsgesdiichte, p. 47(1.
191
Cf supra, p. 281.
192
On this text cf. Kascr, "Periculum locatoris", (1957) 74 ZSS 169 sqq.; Theo
Mayer-Maly, "Hohere Gcwalt: Falltypen und Begriffsbildung", in: Festschrift fur Artur
Steinwenter (1958), pp. 60 sqq.; Giuseppe Provera, "Sul problema del rischio contrattuale nel
diritto romano", in: Studi in onore di Emilio Betti, vol. Ill (1962), pp. 693 sqq.; Robin Seager,
"Of'vis' and Weeds: D. 19, 2, 19, 2 and 19, 2, 19, 1", (1965) 31 SDHI 330 sqq.; Claude
Alzon, "Les risques dans la 'locatio conductio'", (1966) 12 Labeo 312 sqq.; Watson,
Obligations, pp. 110 sqq.; Hans Ankum, "Remissio mcrcedis", (1972) 19 RIDA 223 sqq.;
Chorus, Handelen, pp. 149 sqq.; Molnar, ANRW, op. cit., note 143, pp. 666 sqq.; P.W. de
Neeve, "Remissio Mercedis", (1983) 100 ZSS 308 sqq.; Pinna Parpaglia, op. cit., note 7, pp.
4 sqq.; Ernst, (1988) 105 ZSS 541 sqq., 550 sqq.
|l)5
Alf. D. 19, 2, 30, 4. m
Cf. supra, p. 193.
193
Cf. also Gai. D. 19, 2, 25, 6 ("Vis maior, quam Graeci fteoi) pCotv appellant"); on this
text, see, most recently, Theo Mayer-Maly, "Acquo animo ferre", in: MNHMHPetropoutos,
vol. II (1984), pp. 108 sqq., and Ernst, (l'988) 105 ZSS 545 sqq.
196
Ulp. D. 19, 2, 15, 2.
197
Views differ on what exactly vitia ex ipsa re refers to: faults which appear in the res
(e.g. Watson, Obligations, p. 112), which result from the res (e.g. Molnar, ANRW, op. cit.,
note 143, p. 66)9), which arise in products or produce of the res (e.g. Seager, (1965) 31 SDHI
333), which could have been overcome by diligence and labour and are therefore ultimately
due to negligence or imperitia on the part of the conductor (e.g. ParpagHa, op. cit., note 7,
p. 32) or which occur "nell' ambito defl'attivita agricola" (Francesco Sitzia, "Considerazioni
in Tema di Periculum Locatoris e di Remissio Mercedis", in: Studi in Metttoria di Giuliana
d'Amelio, vol. I (1У78), pp. 333 sqq.); cf. also Ernst, (1988) 105 ZSS 540 sqq., 554 sqq.
(anything that prevents cultivation of the soil without constituting a blow of fate
("schicksalhafte Einwirkitng" — vis maior).
148
But see also Ulp. D. 19, 2, 19, 1 (". . . si saltum pascuum locasti, in quo herba mala
nascebatur: . . . si ignorasti, pensionem non petes") and the analysis by Ernst, (1988) 105
ZSS 554 sqq.
144
Ulp. D. 19, 2, 15, 2. According to Ernst, (1988) 105 ZSS 560 sqq., there was a
significant shift in the post-classical analysis of risk-allocation; it was no longer based on the
"fundamental content" of the contract of locatio conductio and the "basic concept" of vis
maior (p. 559); the focus was now on the economic position of the lessee: could he
reasonably be expected to pay the rent even though he had been unable to avert the incident
that
200
had prevented him from cultivating the land?
Ulp. D. 19, 2, 19, 6; Alf. D. 19, 2, 30 pr., 1; Alf. D. 19. 2, 35 pr.; Alf. D. 19, 2, 27
pr.; Lab. D. 19, 2, 60 pr.
This may appear to be surprising, because aedificii vitia could well be said to arise "ex
ipsa re". But obviously the lawyers did not want to draw a distinction between ruina (which
we find counted amongst the typical incidents of vis maior elsewhere, too) and those actions
that were necessary to prevent ruina. Cf. Kaser, (1957) 74 ZSS 176.
2112
Mayer-Maly, Locatio conductio, pp. 140 sqq.; Kaser, (1957) 74 ZSS 173 sqq.; idem, RPr
I, p. 567.
203
Cf. e.g. Alf. D. 19, 2, 27 pr.
2114
Cf. especially Maycr-Maly, loc. cit.; also e.g. Watson. Obligations, p. 110.
205
Alzon, (1966) 12 Ldfcpo 315, Molnar, ANRW, "op. cit., note 143, pp. 660 sqq., 674 sqq.
2I
"' Stcphan Brassloff, Sozialpoiilische Motive in der romischeti Rechtsentwicklunq (1933), pp. 87
sq.;
2 7
Hans Ankum, "Remissio Mercedis", (1972) 19 RID A 237.
" Maycr-Maly. Locatio condnctio, p. 143; Kaser, (1957) 74 ZSS 174. Visky, Studi
Sattfilippo,
2(fe
vol. I, pp. 679 sqq., 685 sq.
Cf. e.g. Paul. D. 19, 2, 24, 5; Afr. D. 19, 2, 33 (both on remissio mercedis); Ulp. 1).
19,2119
2, 19, 3 (deductio ex mercede). For details, see De Neeve, (1983) 100 ZSS 298 sqq.
Ulp. D. 19, 2, 15, 7 and other literary and epigraphic sources: De Neeve, (1983) 100
ZSS 301.
210
Cf. further Ulp. D. 19, 2, 15, 3; С 4, 65, 8 (Alex.).
21
Cf., in similar vein, J.A.C. Thomas, "Remissio Mercedis", in: Studi in memoria di
Guido Dondtuti, vol. Ill (1973), p. 1274.
212
Molnar, ANRW, op. c i t . , note 143, p. 676; De Neeve, (1983) 100 ZSS 312; slightly
differently Thomas, Studi Donatuti, vol. Ill, p. 1274.
213
De Neeve, (1983) 100 ZSS 303.
214
Thomas, Studi Dotiatuti, vol. Il l , pp. 1271 sqq.; Sitzia, Studi d'Amelio, vol. I, pp. 331
sqq. (360 sq.); Dc Neeve, (1983) 100 ZSS 296 sqq.; cf. also Molnar, ANRW, op. cit., note
143, p. 661; Ernst, (1988) 105 ZSS 571 sq. (according to whom imperial remissio mercedis
fitted in with the post-classical but not with the (early) classical risk regime (as espoused by
Servius in Ulp. D. 19, 2, 15, 2)).
215
De Neeve, (1983) 100 ZSS 332 sqq.; cf. alsoAnkum, (1972) 19 RIDA 222 sqq., 234 sq.
For alternative explanations as to why imperial rcmissio was introduced, despite being, at
least substantially, in accordance with the normal risk regime, see Giannetto Longo,
"Osservazioni critichc sulla disciplina giustinianca della locatio-conductio", in: Studi in onore
di Biondo Biondi, vol. II (1965), pp. 293 sqq.; Sitzia, Studi d'Amelio, vol. I, pp. 347 sq., 360 sq.
21(1
On the significance of "stenlitas" cf. Ankum, (1972) 12 RIDA 229; Sitzia, Studi
d'Amelio, vol. 1, pp. 346 sqq.
217
D. 19, 2, 15, 4. There is no reason to assume that this would have- applied only to
sterilitas or with regard to imperial remissio mercedis. Cf. Thomas, Studi Donatuti, vol. Ill,
pp. 1274 sq.;Dc Neeve, (1983) 1WZSS321 sqq.; contra, for example, Molnar, ANRW, op.
cit.,
2I
note 143, p. 674; cf also Ernst, (1988) 105 ZSS 569 sq.
* Cf. the analysis by Ernst, (1988) 105 ZSS 573 sqq.
219
Cf, for example, Donellus, Commentarii de Jure Ch'ili, Lib. XIII, Cap. VII, IX; Gluck,
vol. 17, pp. 454 sqq.
220
The basic assumption, under these circumstances, being that the risk of enjoyment of
the property is, naturally, with the lessee. Cf, for example, Grotius, De jure belli ac pads.
Lib. II, Cap. XII, XVIII.
221
§§500, 518, 561, 571 1 2 1.
222
Am. 1796 sq. code civil; § 1105 ABGB. Cf. also artt. 1635 sqq., 1648 codice civile.
223
Cf. Ernst, (1988) 105 ZSS 583 sq.
224
Cf. supra, pp. 267 sq.
225
Cf. infra, p. 579, 681. The connection between remissio mercedis and clausula was
seen, particularly clearly, by Leyser, Meditationes ad Pandectas, Spec. CCXVII, VI.
226
Cf. supra, pp. 268 sqq. and infra, p. 582.
227
Cf. the Pachtschutzordmmg of 9.6.1920.
22K
§ 593 BGB. The position under the Roman-Dutch common law in South Africa has
been summed up by Solomon J in Hansen, Schrader & Co. v. Kopelowitz 1903 TS 707 (at 718
sq.) in the following words: "A lessee is entitled to remission of rent either wholly or in part
where he has been prevented either entirely or to a considerable extent in making use of the
property for the purposes for which it was let, by some vis maior or casus fortuitus,
provided always that the loss of enjoyment of the property is the direct and immediate result
of the vis maior or casus fortuitus, and is not merely indirectly or remotely connected
therewith." However, these principles today only obtain in the Transvaal and Natal; in the
other two provinces the legislator has curtailed the lessee's right to a remission of rent. For
all details, see Kerr, Sale and Lease, pp. 222 sqq.
229
Mayer-Maly, Locatio conditctio, pp. 138 sqq.
230
This conclusion has been (and is) usually drawn from the Roman sources (e.g. texts
such as Paul. D. 19, 2, 24, 2); cf. e.g. Grotius, Inleiding, II I, XIX, ll;Pothier, Traite du contrat
de louage, n. 134; Windscheid/Kipp, § 400, n. 12; Frier, Landlords and Tenants, p. 37; Ebrahim
NO v. Hendricks 1975 (2) SA 78 (C) at 81E.
231
Cf, for example, Alf. D. 19, 2. 29 (duty not to fell, bark or burn the trees in a forest,
nor to allow others to do so); Ulp. D. 19, 2, 11, 1 (prohibition on the use of fire); Ulp. D. 19,
2, 11, 4 (prohibition of storing hay in the villa urbana). For all details and for an analysis of
how these clauses were interpreted by the Roman lawyers, see Bruce W. Frier, "Tenant's
Liabili ty for Da mage to Landlord's Property in Classica l Ro man Law", (1978) 95 ZSS
243 sqq.
232
Gai. D. 19, 2, 25, 3: "Conductor omnia secundum legem conductionis facere debet. et
ante omnia colonus curare debet, ut opera rustica suo quoque tempore faciat, ne
intempestiva cultura deteriorem fundum faceret. practerca villarum curam agere debet, ut
eas incorruptas habeat." On the basic duty to cultivate cf. Mayer-Maly, Locatio conductio,
pp. 177, 180 sq.; Frier, (1978) 95 ZSS 240 sq.; De Neeve, Colonus, op. cit., note 101, p. 10;
Ernst, (1988) 105 ZSS 554, 587 sqq.
233
Cf. e.g. Paul. D. 19, 2, 24, 2. It also provided a justification for the tenant's expulsion;
cf. supra, p. 356 and Mayer-Maly, Locatio conductio, p. 215.
234
Ulp. D. 19, 2, 11, 2; cf. also Marci. D. 20, 2, 2.
231
On this text Theo Mayer-Maly, "Haftung aus Miete nach Staatsunrecht", (1957) 74
ZSS 370 sqq.; Frier, (1978) 95 ZSS 235 sqq.
23(1
This must have been a (nominally) friendly army; the invasion by a hostile army was
considered vis cui resisti non potest. Cf. Mayer-Maly, (1957) 74 ZSS 368 sqq.
237
Frier (1978) 95 ZSS 234 sqq.; Tafaro, Regufa, pp. 272 sqq. It has often been suggested
that the conductor, under a contract of locatio conductio rei, apart from culpa. was liable,
beyond culpa, for custodia: cf. Mayer-Maly, Locatio conductio, pp. 202 sqq.; Arangio-Ruiz,
Responsabilita, pp. 130 sqq.; Wolfgang Hoffmann-Riem, "Die Custodia-Haftung des
Sachmietcrs untersucht an Alf./PaiTl. D. 19, 2, 3(1, 2", (1969) 86 ZSS 394 sqq. This
proposition is usually based on C. 4, 65, 28 (Diocl. et Max.) and Inst. Ill, 24, 5. But the
former text deals with locatio conductio in general and is logically and systematically
unconvincing (cf. e.g. Mayer-Maly, Locatio conductio, p. 214); and the diligentissimus
paterfamilias of Ins!. Ill, 24, 5 does not necessarily have to have been grafted on to a classical
custodia liability, but may have been a rhetorical accentuation of the diligentia required of a
careful debtor (cf. Kaser, RPr II, p. 354). Alfcnus, in the above-mentioned timber case
(D. 19, 2, 29), seems to refer to custodia (". . . an ctiam ita silvam custodire". etc.). But, first
of all, we are dealing here with a discussion of liability under a specific clause contained in
the lex locationis, and secondly silvam custodire in this context expresses the content of the
conductor's obligation rather than a standard of liability: Geoffrey MacCormack, "Custodia
and Culpa", (1972) 89 ZSS 194 sq.
;3* Ulp. D. 13, 6, 5, 2 in fine.
239
Frier, (1978) 95 ZSS 243. In modern private law negligence is also determined
according to objective criteria. For details cf. e.g. Peter Hanau, in: Miinchener Komtnentar,
vol. II (2nd ed., 1985), § 276, nn. 78 sqq. The reason is that private law is concerned with
the protection of reasonable expectations and with a balancing of interests between two
parties, rather than with an isolated adjudication of guilt.
240
The example i s not as outdated as it might seem. On Zi mbabwean tobacco farms 1
have seen big barns in which the tobacco leaves are stored and dried. An open fire is kept
burning in a furnace, and this furnace has to be watched by a servant (who still occasionally
falls asleep).
241
Ulp. D. 9. 2, 27, 9 (cf. also Coll. XII, VII, 7).
242
In the words of § 278 BGB.
243
Culpa in eligendo has often been regarded as spurious: cf. e.g. Wolfgang Kunkel,
"Diligenti a", (1925) 45 ZSS 329 sqq.; Manli o Sargenti, "Probl emi dell a responsabilit a
contrattuale", (1954) 20 SDHI210; von Lubtow, Lex Aquilia, p. 160. Contra: Mayer-Maly,
Locatio conductio, p. 199; Geoffrey MacCormack, "Culpa in eligendo", (1971) 18 RIDA 539;
Frier, (1978) 95 ZSS 256 sqq.; Rolf Kniitcl, "Die Haftung fur Hilfspersonen i m romischen
Recht", (1983) 100 ZSS 399 sqq.
244
Knutel, (1983) 100 ZSS 404.
245
For furt her det ails about t he vi cari ous li abilit y of t enant s and for a discussi on of
Proc./ Ulp. D. 9, 2, 27, 11 and Coll. XII, VII, 9, see Fri er, (1978) 95 ZSS 256 sqq. and
Knutel, (1983) 100 ZSS 391 sqq.
246
Cf. supra, p. 356.
247
It must be kept in mind, though, that this result was much less peculiar in Roman law
than it would be in a modern legal system. For whatever remedy (real or personal) the lessee
might have had —ulti mat el y everythi ng boil ed down to condemnat io pecuniari a.
248
Gai. D. 19, 2, 25, 1. C{. also С 4, 65, 9 (Alex.): "Emptori quidem fundi necesse non
est stare colonum, cui prior dominus locavit, nisi ea lege emit, verum si probetur aliquo
pacto consensisse, ut in eadem conductiorte maneat, quamvis sine scripto, bonae fidei iudicio
ei quod placuic parere cogitur." On [he reception (and the "productive misinterpretation")
of this text by the glossators, cf. E.J.H. Schrage, "Emptio (Nondum) Tollit Locatum", 1978
Actajuridica 3 sqq.
24
Wesenberg, Vertrage zugunsten Driller, pp. 41 sqq.; Мауег-Maly, Locatio conductio,
pp. 43 sqq.; Genius, op. cit., note 115, pp. 35 sqq.
250
Cf. supra, pp. 34 sqq.
251
The position of the te na nt, incide ntally, was je opardiz e d not only on a cc ount of a
transfer of ownership following a c ontract of sale; if, for insta nce, the le ssor gra nte d a n
ususfructus over the lease d property to a third party, the sa me proble m c ould arise. The
te na nt c ould not pre vail a ga inst the claim s of the usufructuary. For further details, see
Mayer-Maly, Locatio conductio, pp. 46 sqq.;J.A.C. Thomas, "The Sitting Tenant", (1973) 41
TR 35 sqq.
Mayer-Maly, Locatio conductio, pp. 45 sq.; Genius, op. cit., note 115, pp. 39 sqq.; Frier,
Landlords and Tenants, pp. 64 sqq. (who discusses the "nuisance value" of expulsion).
" Again, one must guard against evaluating Roman law, ahistorically, from a modern
perspective. A claim for damages was not as "weak" as it might appear to us. First of all, all
other claims ultimately gave the successful plaintiff not more than a sum of money either:
omnis condemnatio pecuniana. Secondly, the way in which damages were assessed in court,
particularly the iusiurandum in litem (taken by the plaintiff!), put some pressure on th e
defendant rather to provide restitution in kind.
4
But see Schrage, 1978 Acta Juridica 3 sqq. and now (more clearly) idem, "Zur
mittelalterlichem Geschichte des Grimdsatzes 'Kauf bricht nicht Miete' ", in: E.J.H. Schrage
(ed.), Das romische Recht im Mitteialter (1987), pp. 283 sqq., where he demonstrates that the
glossators and commentators interpreted C. 4, 65, 9 so restrictively and recognized so many
exceptions tha t the main rul e (e mptio toll it loc atum) di d no t have much prac tical
significance.
^ Cf. e. g . Win ds ch ei d/ Ki pp , § 4 00 , n . 7 .
~ 56 Cf. further Pap. D. 43, 16, 18 pr. and Mayer-Maly, Locatio conductio, pp. 53 sqq.;
Genius, op. cit., note 115, pp. 30 sqq.
257
Cf. e.g. Christian Fnedrich Muhlenbruch, Die Lehre von der Cession der Forderungsrechte
(3rd ed., 1836), p. 279; Rudolf von Jhering, Der Besitzwille (1889), p. 441. For a thorough
discussion of this problem, see Karl Ziebarth, Die Realexecution und die Obligation (1866),
passim, e.g. pp. 1 sqq., 163 sqq.
258
Cf. e.g. Jhering, op. cit., note 257, pp. 448 sqq.
59
Mayer-Maly, Locatio conductio, pp. 53 sqq.; Kaser, RPr II, p. 406; but see Thomas,
(1973) 41 TR 37.
2611
Hugo Grotius, Dejure belli ac pads, Lib. II, Cap. XI, IV; Christian Wolff, Jus Naturae,
Pars III, Cap. IV, § 360 ("Qui altcri ad faciendum sese obligat perfecte, particulam quandam
libertatis suae alienat"). Cf. further Diesselhorst, Hugo Grotius, pp. 34 sqq.; 50 sq.; Franz
Wieacker, "Die vertragliche Obligation bci den Klassikern des Vernunftrechts", in: Festschrift
fur Hans Welzel (1974), pp. 11 sqq.
261
For details, see Genius, op. cit., note 115, pp. 173 sqq.; cf. also Klaus Luig, "Der
Einfluss des Naturrechts auf das positive Privatrecht lm 18. Jahrhundert", (1979) 96 ZSS
(GA) 44 sqq.
26i
Inleiding, II, XLIV, 9.
263
For det ails, see J. C. de Wet, "Huur Gaat Voor Koop", (1944) 8 THRHR 166 sqq.;
Genius, op. cit., note 115, pp. 138 sqq.; E.J.H. Schrage, "Sale Breaks Hire —Or Does It?
Medi eval Foundations of the Roman-Dut ch Concept ", (1986) 54 TR 294 sqq.
264
Gudelinus, Commentarii de hire novissimo, Lib. Ill, Cap. VII, n 12. Cf. further, for
instance, John Gilissen. " 'Huur gaat voor koop' in het oud-belgische Recht", (1939) 16 TR
281 sqq.
2ЬЪ
For details Genius, op. cit ., note 115, pp. 101 sqq.; Schrage, (1986) 54 TR 293 sq. The
tenant had (although perhaps not always) "Gewere", i.e. his position had the character of a
real right, and he was granted legal protection against expulsion.
266
Paulus Voet, Institutionum imperialium commentarius (Ultrajccti, 1668), Lib. Ill, Tit.
XXV, § 6, n. 4.
267
Cf. e.g. Voet, Commentarius ad Pandectas, Lib. XIX, Tit. II, 17; Ulrich Huber,
Praelectiones, Lib. Ill, Tit. XXV, 11 (". . . per venditionem (!) a locatore factam solvitur
conductio"); Van Leeuwen, Censura Forensis, Pars I, Lib. IV, Cap. XXII, 19.
268
§§ 3, 358 I 21 PrALR; art. 1743 code civil; §§ 1095, 1120 ABGB. For all details, see
Genius, op. cit., note 115, pp. 193 sqq., 198 sqq., 204 sqq.
269
De Wet, (1944) 8 THRHR 226 sqq.; De Wet en Yeats, pp. 330 sqq.; Kerr, Sale and
Lease, pp. 277 sqq.
270
Cane v. Wynberg Municipality (1893) 10 SC 118 at 120 (per De Villiers CJ). For
Germany cf. RGZ 59, 326 (328): "Mil der Ubergabe der Mietsache entwa'chst das Recht des Mieters
dew reinen Obligationenrechte. Es bestehen nicht mehr bloss zwischen den obligatorisch Verbundenen
Rechte und Pjiichten, sondem jedermann hat das durch den Besitz erkennbare Mietrecht zu achten"
(With the ha nding ove r of the lease d objec t the le sse e's right outgrows the pure la w of
obliga tion;.. There a re no longe r only rights a nd dutie s betwe e n the pa rties to the
obligational relationship; everybody has to respect the lessee's right which is identifiable by
virtue of h ;s possession); Emmerich/Sonnenschein, op. cit., note 15, pp. 307 sqq. For a more
radical a nd une quivoc al a pproac h, cf. the Prussia n Code of 1794 whic h rec ognize d the
lessee's right as a ius in rem. For a detailed comparison and evaluation cf. Gerhard Otte, "Die
dingliche Rechtsstellung des Mieters nach ALR und BGB", in: Festschrift flir Franz Wieacker
(1978), pp. 463 sqq.
271
Cf. supra, p. 359.
272
For all details see, most recently, Duard G. Kleyn, Die Mandament van spolie in die
Suid-Afrikaanse Reg (unpublished LLD thesis, Pretoria, 1986), pp. 73 sqq.
273
Cf., for example, Leyser, Meditationes ad Pandectas, Spec. CCCCLI; Carl Georg Bruns,
Das Recht des Besitzes im Mittelaiter und in der Gegenwart (1848), pp. 393 sq.
274
Cf. e.g. Justus Henning Boehmer, Consultations et Dedsiones luris, vol. H, Pars II
(Halae Magdeburgicac, 1734), Resp. 1014, n. 6.
275
Cf. e.g. Vangerow, Pandekten, § 643, n. 1.
27(3
Cf. e.g. Windscheid/Kipp, § 402, 1.
277
Cf. supra, pp. 355 sqq., 357 sq.
278
Cf. e.g. Gluck, vol. 17, pp. 373 sqq., 477 sqq.
279
§ 564 b BGB. The interpret ation of this rule has recently been the subject of much
controversy. Cf. BVerfG, 1989 Neue Juristische Wochenschrift 970 sqq., 972 sqq.; Johann
Friedrich Henschel, "Eigentumsgewahrleistung und Mieterschutz" 1989 Neue Juristische
Wochenschrift 937 sqq.
280
§ 556 a BGB.
2H1
The historical development of security of tenure of residential accommodation has
been comprehensi vel y anal ysed in t he monographs of Genius op. cit., not e 115 (from
Roman law down to the times of usus modernus and the great natural-law codifications) and
Udo Wolter, Mietrechtiicher Bestandsschutz (1986) (who takes the reader through from 1800 to
the present-day law).
Locatio conductio II
I. LOCATIO CONDUCTIO OPERARUM
1. Essential elements of Roman "labour law"
(a) Locare conducere
"Simile est regnum coelorum homini patrifamilias, qui exiit primo mane conducere
operarios in vincam suam. conventione autem facta cum operariis ex denario diurno,
misit eos in vineam suam. Et egrcssus circa horam tertiam, vidit alios stances in foro
otiosos, ct dixit illis: Itc et vos in vineam meara, et quodjustum fucrit, dabo vobis.
Illi autem abicrunt. . . ."'
We all know the parable of the labourers in the vineyard. Quite apart
from its theological significance, it gives us a vivid picture of how the
labour market worked—in Rome as much as in Galilee. It was the place
where people offered themselves into service. They were prepared to
work for somebody else, and this involved, first of all, that they made
themselves available for a change of place (locare, 2 as derived from
locus). The employer/master, in turn, took them along or instructed
them where to go, and his activity was described as conducere. We are
dealing here with the second of the cardinal types of locatio conductio:
the contract of service, or locatio conductio operarum, as it was termed
by the lawyers of the ius commune. "Operae" are services, 3 services as
such and without reference to a specific result to be achieved. Where
such result was contemplated, one spoke of "opus".
(b) Essentialia negotii; periculum conductoris
By and large, locatio conductio operarum followed rules similar to
locatio conductio rei. It was a consensual contract, and the parties had
to agree on two essentialia negotii: the services to be rendered (operae)
and the remuneration to be paid (merces). 4 The remuneration had to
1
St. Matthew 20, 1-4.
On sc locare and operas suas locare cf. De Robertis, / rapporti di lavoro nel diritto romano
(1946), pp. 18 sq., 25 sq., 52 sq.; J.A.C. Thomas, "Locatio and operae", (1961) 64 BIDR
234; Kaufmann, Altromische Miete, p. 203. Could a slave let himself out? Cf. e.g. Lab. D. 19,
2, 60, 7; Pap. D. 33, 2, 2, and Thomas, (1961) 64 BIDR 232 sqq.; contra (on the basis that
the texts are interpolated or untechnical) Mayer-Maly, "Romischc Grundlagen des
modernen
3
Arbeitsrechis", 1967 Recht der Arbeit 285.
For a detailed discussion, see Kaufmann, Altromische Miete, pp. 182 sqq.; cf. also
Maver-Maly, 1967 Recht der Arbeit 282.
On the history and etymology of merces and its derivatives, "mcrcennarius" (a person
working for wages) and "Mercedonius" (an old, probably unofficial, name for the month of
November(?), in the course of which the merces was due) see Kaufmann, Altromische Miete,
pp. 138 sqq.
384
5
On these requirements see, in general, Theo Мауег-Maly, "Dienstvertrag und
Arbeitsvertrag", (1966) 1 Zeitschrift fur Arbeitsrecht und Sozialrecht 2 sqq.
6
Paul. D. 19, 2, 38 pr. See De Robertis, op. cit., note 2, pp. 148 sqq.; Mayer-Maly,
Locatio conductio, pp. 181 sqq.; Max Kaser, "Periculum locatoris", (1957) 74 ZSS 194 sqq.;
Giuseppe Provera, Sul problema del rischio contrattuale nel diritto romano", in: Studi in onore
di Emilio Betti, vol. Ill (1962), pp. 693 sqq.; Claude Alzon. "Lcs risques dans la 'locatio
conductio' ", (1966) 12 Labeo 319 sqq.; J.A.C. Thomas, "The Worker and His Wage", in:
Uit Het Recht, Rechtsgeleerde opstellen aangebaden aan mr. P.J. Verdam (1971), pp. 201 sqq.;
Imre Molnar, "Verantwortung und Gefahrtragung bei der locatio conductio zur Zeit des
Prinzipats", ANRW, vol. II, 14 (1982), pp. 640 sqq.
7
Differently Robert Rohlc, "Das Problem der Gefahrtragung mi Bereich des romischen
Dienst- und Werkvertragcs", (1968) 34 SDHI 184 sqq.
8
The parallel with the "Spharentheorie", which the modern German courts have
developed to determine the allocations of risk (cf. supra p. 195) is obvious. The BGB itself,
incidentally, had turned away (at least on a conceptual level) from the sphere-oriented way
of risk allocation which dominated the earlier ius commune; it followed the generalized and
will-oriented approach developed by the natural lawyers, as taken over by Savigny: in case
of impossibility of performance, counter-performance also falls away on account of a "tacita
conditio resolutiva" (Christian Wolff), i.e. the idea of the so-called conditional synallagma
(cf. infra, p. 811). In the modern discussions about risk-allocation we see how even under
the new normative roof of the BGB the old tradition of the ius commune still lives on (". . .
die gemeinrechttiche Erbschaft, die auch unter dem neuen normativen Dach des BGB fortwuchert").
For an analysis of the historical development, see Joachim Ruckert, "Vom casus zur
Unmoglichkeit und vor den Sphare zum Synallagma", (1984) 6 ZNR 50 sqq. (quotation on
p. 52).
9
Risk on employee (i.e. no claim for wages): Kaser, RPr I, p. 570; Benohr, Synallagma,
p. 107. Risk on employer (i.e. duty to pay wages): Mayer-Maly, Locatio conductio, p. 182;
Provera, Studi Betti, vol. Ill, p. 712. The question was very controversial among the writers
of the ius commune too; c(. e.g. Coing, p. 460 (today § 616 BGB).
1(1
Ulp. D. 19, 2, 19, 9; 10. On these texts, See Nicola Palazzolo, "Le consueguenze della
morte del Conductor operarum sul rapporto di lavoro", (1964) 30 SDHI 284 sqq., who
argues that the question is not one of pcriculum but of "trasmissibilita ereditaria". 1
Corpus Inscriptionum Latinarum, vol. Ill, 2, 948 X.
12
For a discussion of this question, see Molnar, ANRW, op. cit., note 6, pp. 613 sqq.
13
This rule can be found in Gai. D. 50, 17, 132.
14
Gai. D. 9, 2, 8, 1; cf. also lust. IV, 3, 8; both texts, however, deal with Aquilian
liability. For an analysis, see Mayer-Maly, Locatio conductio, pp. 158 sq.; Molnar, ANRW,
op. cit., note 6, pp. 611 sqq.; Okko Behrends, "Die Rechtsformen des romischen
Handwerks", (1981) 22 Abhandlungen der Akademie der Wissenschaftm in Gottingen 145 sqq.
15
Cf. today § 276 I 2 BGB: "A person who does not exercise ordinary care acts
negligently." Negligence is determined according to an abstract objective criterion, not
according to whether this particular debtor could have foreseen or prevented the damage.
One of the main concerns of modern labour law; for a comparative analysis, see Tony
Honore",
17
The Quest for Security: Employees, Tenants, Wives (1982), pp. 1 sqq.
Cf., for example, Behrends, op. cit., note 14, pp. 182 sqq. But see also, as far as public
works were concerned (such as large-scale imperial building programmes), P.A. Brunt,
"Free
18
Labour and Public Works at Rome", (1980) 70 JRS 81 sqq.
19
Cf. e.g. Paul. D. 19, 2, 42; 43; 45, 1.
Gai. Ш, 96.
20
For details on the operae libertorum, cf. Kaser, RPr I, pp. 298 sqq.; Behrends, op. cit.,
note 14, pp. 184 sqq.; and now, in particular, the splendid work of Wolfgang Waldstein,
Operae Libertorum (1986). He emphasizes that we are dealing here with a social phenomenon
of great importance. On the actio operarum, cf. pp. 135 sqq., 345 sqq. and passim. Cf. also
Johannes Michael Rainer, "Humanitat und Arbeit im romischen Recht", (1988) 105 ZSS 745
S
49,-
Cf. e.g. Seneca, Epistulae ad Lucilium, Lib. XI, 88, 1, 2 and 20; referring, however, to
"libcralia studia". There is an extensive literature dealing with the operae liberales (a term
that does not appear in the legal sources; cf., however, Ulp. D. 50, 13, 1: ". . . liberalia
autem studia . . ., quae Graeci eX.Evd?pux appellant"); cf, above all, Karoly Visky, Geistige
Arbeit und die "artes liberates" in den Queilen des romischen Rechts (1977), pp. 9 sqq.
22
". . . what might generally be described as 'the professions', with intellectual as distinct
from skilled manual activity": Thomas, (1961) 64 BIDR 240 sq.
23
Prevailing opinion; cf. e.g. Mayer-Maly, Locatio conductio, pp. 125 sqq.; Kaser, RPr I,
p. 569; Thomas, TRL, p. 298; Watson, Failures, p. 78. For a different view, see, for instance,
Heinrich Siber, "Operae liberales", (1939-40) SSjhJb 161 sqq. (all types of operae liberales
were typically rendered under a contract of locatio conductio) and Visky, op. cit., note 21,
pp. 9 sqq. (operae liberales by law excluded from this contract). Others differentiate between
the vari ous professi ons (cf. e. g. Karl Hel dri ch, "Der Arzt i m romi sche m Pri vat recht ",
(1939-40) SSJhJb 139 sqq.; Michel, Gratuite, pp. 198 sqq.), one of the main difficulties being
that the term "artes liberales" lacked both precise definition and technical significance. Thus,
a single coherent doctrine of the practice of "the" professions at Rome cannot be extracted
from the sources (Thomas, (1961) 64 BIDR 241). For further standard literature on the topic,
cf. Antoine Bernard, La Remuneration des Professions Liberates en Droit Romain Classique
(1936); Jean Macqueron, Le travail des hommes libres dans I'antiquite romaine (1958).
24
Cf. e.g. Ulp. D. 11, 6, 1 pr.: ". . . quia non credideru nt veteres inter talem persona m
locationem et condu ctionem esse . . . " (dealing with a gri mensores),
25
Cf. e . g. Ci ce r o, Pro P . S e x t i o o ra t i o , X LV — 98; i de m, D e o ra t o re , 1, I ; Fr an ce s c o M , de
Robertis, Lavoro e lavoratori nel mondo romano (1963), pp. 21 sqq.
26
Di et er Norr, "Zur sozi al en und rechtli chen Bewert ung der frei en Arbei t i n Ro m",
(1965) 82 ZSS 76.
27
1, XLII—150 sq. On this text cf. e.g. De Robertis, op. cit., note 25, pp. 53 sqq.; Visky,
op. cit., note 21, pp. 10 sqq.; Behrends, op. cit., note 14, pp. 149 sq.
28
On the necessity of differentiating between what he calls the ambiente volgare and the
ambiente aulico, and on the social evaluation in both spheres, see De Robertis, op. cit., note
25,pp. 21 sqq. and passim.
On the terminology, see De Robertis, op. cit., note 25, pp. 9 sqq.; cf. also Mayer-Maly,
1967
30
Recht der Arbeit 282.
Cf. e.g. Valerius Maximus, Lib. IV, Cap. IV, §§ 4 sqq.; Plinius, Historia naturalis, XVIII
sq.;
31
Cicero, Cato maior de senectute, XVI.
Cf. Cato, De agri cultura, praefatio (". . . pius stabilissimusque minimeque invidiosus")
and Cicero, De officiis 1, XLH—151: "Omnium autem rerum ex quibus aliquid adquiritur,
nihil est agricoltura melius, nihil uberius, nihil dulcius, nihil homine, nihil libero dignius."
For details, see De Robertis, Lavoro, pp. 87 sqq.
32
For an analysis of the various factors to be taken into consideration, see Norr, (1965) 82
ZSS 73 sqq.
33
Norr, (1965) 82 ZSS 76.
34
For details cf. Visky, op. cit., note 21, pp. 54 sqq. and, more generally, on the legal
professions, their status and their members, Fritz Schulz, Roman Legal Science (1946), passim;
Bruce W. Frier, The Rise of the Roman Jurists (1985), passim. Cf. also, in the present context,
Thomas, (1961) 64 BIDR 245 sqq.; Michel, Gratuiti, pp. 215 sqq.
35
Cf. e.g. Ulp. D. 11,6, 1 pr.: ". . . sed magis operam beneficii loco praeberi et id quod
datur ei, ad remunerandum dari et inde honorarium appellari" (dealing, however, with agri
mensores).
36
Cf. e.g. Ulp. D. 9, 2, 7, 8; Gai. D. 9, 3, 7; Visky, pp. 73 sqq. Too extreme are Heldrich,
(1939-40) SSJhJb 141 sqq. (medici typically entered into a contract of locatio conductio) and
Karl-Heinz Below, Der Arzt im romischen Recht (1953), pp. 57 (the medicus ingenuus—as
opposed to servi and liberti—was excluded from entering into this type of contract).
■" Cicero, De officiis, 1, XLII—150 sq. During the Republic, physicians were regarded as
artisans (faber); cf. e.g. Plautus, Aulularia, Act III, Sc. II, 1. 448 (on the notions of craft and
craftsmen in Rome generally, see Behrends, op. cit., note 14, pp. 142 sqq.; cf. also Harald
von Petrikovits, "Die Spezialisierung des romischen Handwerks", (1981) 122 Abhandlungen
der Akademie der Wissenschaften in Gottingen 63 sqq.). For a long time (and in contrast to other
Mediterranean nations) the Romans did not have any kind of scientific medicine at all. Cato is
still reported to have treated all the members of his household himself. For his ideas about
medicine cf. e.g. De agri cultura, CLXVIII, 160 ("Luxum si quod est, hac cantione sanum
fiet"). According to Varro, De re rustica, Lib. I, 2, 27, gout could be cured by singing 27
times "Ego tui memini, medere meis pedibus, terra, pestem teneto, salus hie maneto in meis
pedibus", whilst at the same time touching the soil and spitting out. But see Ulp. D. 50, 13,
1, 1 and 3 for a different assessment of the activity of doctors prevailing in classical times; cf.
also Seneca, De benefidis. Lib. VI, XIV, 3 sqq. and Watson, Failures, pp. 68 sqq.; Ralph
Jackson, Doctors and Diseases in the Roman Empire (1988), pp. 56 sqq.
38
Many of the most brilliant Roman doctors were of Greek origin: Asklepiades of
Bythinia (who was friendly with Quintus Mudus Scaevola, Cicero, Marcus Antonius and
other prominent Romans), his pupil, Themison of Laodikeia, and Galenos of Pergamon.
Under their influence, the social evaluation of medicine and of those practising it seems to
have changed. The Emperors granted them immunitas and other privileges (Below, op. cit.,
note 36, pp. 22 sqq.). Antonius Musa (a libertus and another pupil of Asklepiadcs) became
personal physician to Augustus and was able to cure a severe liver disease of the Emperor by
way of hydrotherapy. He received the anulus aureus (entailing equestris dignitas), and a
statue of him was made. For further details, see Manfred Just, "Der Honoraranspruch des
medicus ingenuus', in: Sodalitas, Scritti in onore di Antonio Gttarino, vol. VI (1984), pp. 3072
sqq.; generally on Roman physicians and their medicines cf. Jackson, op. cit., note 37,
pp. 56 sqq. From C. 4, 43, 3 it is evident that even in Justinian's time medical practitioners
could well be slaves. They were, incidentally, valued at three times the rate of slaves with
no trade, and double the rate of skilled slaves (cf. Watson, Failures, pp. 67 sq.).
Did medicine belong to the artes liberales, as opposed to the "quaestus illiberales",
activities which could not be reconciled with upper-class status? Cf. e.g. Thomas, (1961) 64
BIDR 241 sqq. (yes); Visky, op. cit., note 21, pp. 73 sqq. (no); Just, Scritti Guarino, vol. VI,
pp. 3057 sqq. (at first not, but later on yes). For a detailed analysis of the social status and
legal position of medical practitioners cf. Bernard, op. cit., note 23, pp. 57 sqq.; Below, Der
Arzt im romischen Recht (1953), passim; Visky, op. cit., note 21, pp. 73 sqq.; Watson, Failures,
pp. 66 sqq.
Cf. supra, pp. 348 sq. The same point has been emphasized with regard to English law;
cf. Kahn-Freund's Labour and the Law (infra, note 41) p. 35; cf. also Otto Kahn-Freund,
"Blackstone's Neglected Child: The Contract of Employment", (1977) 93 LQR 508 sqq.,
521.
41
Kahn-Freund's Labour and the Law (3rd ed., 1983, by Paul Davies, Marc Freedman
(eds)), p. 36.
Kahn-Freund's Labour and the Law, op. cit., note 41, p. 35.
All these factors are discussed in Kahn-Freund's Labour and the Law, op. cit., note 41,
pp. 29 sqq.
44
Not very m uch is known about the early history of service transactions. But it seems
certain that, whereas locatio conductio presupposed at least formal equality of the parties, the
legal institutions preceding it were based on a relationship of subordination; thus, the right
of the paterfamilias to the services of his slaves and of his sons in power (and his right to
tra nsfer the m into the se rvic e, i.e. the po wer, of a nothe r paterfa m ilias), the right of the
patron to the services of his clientes and of the manumissor to those of his liberti were all
based on relationships of power and status. For details, see Kaufmann, Altromisdie Miete, e.g.
pp. 44sqq., 67sqq., 118 sqq., but also the sum mary by Mayer-Maly, 1967 Recht der Arbeit
283. The contract of locatio conductio did not involve a change of the legal status on the part
of the em ployee: Norr, (1965) 82 ZSS 86 sqq. as against De Robertis, op. cit., note 25, pp.
143 sqq. M ore recently on the transition, as far as the activities of artisans are concerned,
from status relationships to the liberalistic and individualistic contractual system, see
Behrends, op. cit., note 14, pp. 193 sqq. Regarding the English com mon law, Kahn-Freund,
(1977) 93 LQR 508 sqq. has argue d that Blackstone's classification of the relationship of
master and serva nt as essentially one of status im pe de d the de velopme nt in Engla nd of a
contractual approach to em ployment. Contra: John W. Cairns, "Bla ckstone, Kahn-Freund
and the Contract of Em ployme nt", (1989) 105 LQR 300 sqq. One of the points at dispute
betwee n Ka hn-Fre und a nd Cairns is whether Blac kstone's ne glect of the c ontract of
employment is a "specimen case to demonstrate the contrast between English legal thinking
and the legal thinking of the continental nations of Western Europe". On Pothier's analysis
(Traite du contrat de louage) cf. Kahn-Freund, (1977) 93 LQR 514 sqq. and Cairns, (1989) 105
LQR 302 sq. Other civilian authors did not deal with the master-and-servant relationship as
part of the law of contract, but did so when they discussed various status relationships within
the society at large. So did, incide ntally, the Prussia n General La nd La w (§§ 1 sqq. II 5).
45
O n the se de ve lo p m e nts, whic h oc c urre d a s pa rt of the pe rm e a tion of the la w b y
national-socialistic thinking, see Bernd Riithers, Die unbegrenzte Auslegung. Zum Wandet der
Priva trecht sordnung im Nat ionalso zia li stt tus ( 1968) , pp. 379 sqq.
46
C f . , f o r e x a m p l e , M a ye r - M a l y, 1 9 6 7 R e c h t d e r A r b e i t 2 8 1 s q q . ; Rc i n h o l d T r i n k n e r ,
M aria W olfer, "M oderne s Arbcitsre c ht und seine Bezie hung z um Zivilrec ht und seiner
Geschichtc", 1986 Betriebsberater 4 sqq.; as far as the problem of risk allocation is concerned,
cf. in partic ula r Riic ke rt, (19 84) 6 Z NR 5 0 sqq. On the (e arlier) ius c o m m u ne, cf.,
in this respect, Thco Mayer-Maly, "ESemcme der Entwicklung des Arbeitsrecht", in: La
formazione storica, vol. Ill, pp. 1320 sqq. He draws attention to the fact that the history of
labour law does not commence with the Industrial Revolution, but that a scientific body of
law dealing with labour relations already existed in the late Middle Ages.
47
Cf. e.g. Gottfried Schiemann, "Der freie Dienstvertrag", 1983 Juristische Sdiulung 649
sqq. and also § 1163 ABGB. In so far as modern law deviates from the IUS commune which,
like Roman law, did not regard the services of members of the free (liberal) professions as
being rendered under a contract of locatio conductio: cf. e.g. Gliick, vol. 17, pp. 315 sqq.;
D.J. Joubert, "Die kontraktuele verhouding tussen professioncle man en khe'nt", 1970 Acta
Juridica 15 sqq.; Coing, pp. 458 scj.; cf. also Wmdscheid/Kipp, § 404 (emphasizing, however,
thai the legal regime is the same as if one were dealing with locatio conductio); § 895 I 11
PrALR; art. 1779 code civil. The situation in modern South African law is unclear (locatio
conductio or mandatum?): cf. Joubert, 1970 Acta Juridica 22 sqq. (with very sensible
suggestions). Generally on locatio conductio operarum in modern South African law, cf.
James Fourie, Die Diemkontrak in die Suid-Afrikaans? Arbeidsre^ (unpublished LLD thesis,
Pretoria, 1977).
4H
Cf, supra, p. 390.
49
At, p. 390, not e 36.
50
Ulp. D. 9, 2, 7, 8. Cf. e.g. Heldrich, (1939-40) SSJhJb 150; Just. Scritti Guarino, vol.
VI, p. 3061.
51
Cf. e.g. Wmdschei d/Ki pp, §§ 399, 401; Berger, ED, p. 567; Buckl and/St cin, p. 505;
Kaser, RPr I, p. 570; Tho mas. (1961) 64 BIDR 236 sq.; F. B. J. Wubbe, "Opus sci on l a
definition de Labeon" (1982) 50 TR 241 sqq.; for the historical development cf. particularly
Kaufmann. Altromische Miete. pp. 205 sqq.
52
lav. D. 19, 2, 51, 1.
53
Paul. D. 50, 16, 5, 1. On this text, see W ubbe, (1982)50 TR 241 sqq. He points out that
opus does not refer to a material result (in the form of a physical object produced) but to an
activity defined by and sustaine d up to an end (а т? \од).
54
Cf. e.g. Gai. Ill, 20 5; Ulp. D. 19, 2, 9, 5.
55
Ul p. D. 7, 8, 12, 6.
5f >
Uip. D. 19, 2, 13, 5.
57
Gai. D. 19, 2, 2, 1; lnst. Ill, 24, 4.
58
Alf. D. 19, 2, 30, 3; Lab. D. 19, 2, 60, 3; lav. D. 19, 2, 59; Paul. D. 19, 2, 22, 2. Cf.
Robert Rohl e, "Das Probl e m der Gefahrt ragung i m Berei ch des romi schen Di enst - und
Werkvertrages", (1968) 34 SDHl 206 sqq.; Susan D. Martin, Building Contracts in Classical
Roman Law, (unpublished Ph.D. thesis, Michigan, 1982; not available to me). The
codifications of the civil-law countries still regard building contracts as a normal instance of
a contract for work (locatio conductio operis) and provide only very few special rules dealing
with this subject matter. On the growth of self-made "law" in the building industry which
has occurred since then, see Werner Lorenz, "Contracts for Work on Goods and Building
Contracts", in: International Encyclopedia of Comparative Law, vol. VIII, 8, nn. 6 sqq. Modern
comment at ors usuall y deal wit h buil di ng cont racts as a disti ncti ve cat egory wit hi n t he
framework of locatio conductio opens.
59
Ul p. D. 19, 2, 11, 3; Gai. D. 19, 2, 19, 7; Gai. D. 19, 2, 25, 7.
60
Ul p. D. 1 9, 2, 1 3, 3; Ka se r, RPr I, p. 56 9, n. 6 0, De Ro be rt i s, op. ci t . , not e 2,
pp 197sqq.
Cf. Kaufmann, Altrdmische Miete, p. 257.
62
Cf. e.g. Dieter Giesen, Arzthaftungsrecht—Medical Malpractice Law (1981), pp. 158, 283,
who also refers to French law, where the position is the same as in German law: the obligation
medicale is an obligation de moyens, not an obligation de resultat; Franz Bydlinski, "Vertrage ubcr
arztliche Leistungen, in: Festschrift fiir Winfried Kralik (1986), pp. 345 sqq.
и
Cf. BGH, 1980 Neue Juristische Wochenschrift 1452 (1453) and LG Freiburg, 1977 Neue
Juristische Wochenschrift 340.
64
BGHZ 63, 306 sqq.
65
Horst Heinrich Jakobs, "Die 2ahnarztliche Behandlung als Werkleistung", 1975 Neue
Juristische Wochenschrift 1437 sqq.
6(1
Cf. e.g. Horst Heinrich Jakobs, "Der Architektenvertrag im Verhaltnis zum Dienst-und
Wcrkvertragsrecht", in: Beitrdge гит Zivil- und Wirtschaftsrecht, Festschrift fur Kurt
Ballerstedt (1975), pp. 355 sqq.
67
Cf. infra, pp. 576 sqq.
68
Neither Roman law nor the ius commune knew such special remedi es. The conductor
had t o produce t he work l ege artis and accordi ng t o t he speci fi cations l ai d down i n the
contract (cf. e.g. Pothier, Traite du contrat de louage, n. 419: he was under an obligation "de
faire bien I'ouvrage"). If the work was defective, the customer could bring the actio locati: the
conductor had not (properly) fulfilled his obligation. According to the BGB, the customer
may, first of all, demand removal of the defect. In the second place, he may either cancel the
contract or claim a reduction of the purchase price (i.e. bring the actiones redhibitoria or
quanti minoris). If the defect was due to the fault of the conductor, damages may be claimed
instead of cancellation or reduction (§§ 633 sqq. BGB). May the customer, insread of
demanding removal of the defect, insist on the production of a new work? The BGB is silent
on this point, the problem therefore controversial. It is obvious that the system of remedies
as provided by the BGB has been inspired by the rules relating to the purchase of fungibles.
This was not without precedent, for §§ 318 sqq. I 5 PrALR had already used the aedilitian
remedi es as a model for t he cont ract of work. For a t horough comparati ve analysis
concerning the obligation to execute the work free from defects and the remedies in case of
breach of this obligation, cf. Lorenz, op. cit., note 58, nn. 50 sqq.; idem, "Rechtsver-
gleichendes zur Mangelhaftung des Werkunternehmers", in: Festschrift fur Ernst von
Caemmerer (1978), pp. 907 sqq. In fact, contracts of sale and for work are closely related. This
is particularly obvious where the work is to be produced from material provided by the
contractor. According to Roman law, this was a contract of sale (cf. supra, p. 235). The BGB
deals with these cases under the heading of contract for the delivery of work. If a fungible
thing is to be produced, the law of sale applies; in case of a non-fungible, most of the rules
relating to the contract for work are applicable (§ 651 BGB). All in all, as Lorenz points out,
the law of sale has in many respects provided the basis for the proper development of rules
governing defects liability in contracts for work. As to the interaction, along very similar
lines, between the law of sale and the law of contract for work in the English common law,
cf. Lorenz, op. cit., note 58, nn. 86 sqq.: the rules relating to the seller's warranty against
defects have been transferred to the contract for work.
69
Six months; in the case of work on land, one year; in the case of work on buildings, five
years. The prescription begins to run from the moment of acceptance of the work (§ 638 I
BGB). Thus it can happen that t he clai ms are prescribed before i t was possi bl e for t he
customer to discover the defect. For details, critical evaluation and, particularly, what we
have termed "systemsprengendende Kraft dijferenzierter Verjahrungsfristen" (distorting influence
of diverging prescription periods), cf. Peters/Zimmermann, Verja'hrun%sfristen, pp. 196 sqq.
70
Act 30/1941.
71
Smit v._ Workmen's Compensation Commissioner 1979 (1) SA 51 (A).
72
Colonial Mutual Life Assurance Society Ltd. v. MacDonald 1931 AD 412 at 434 sq. The
court also rejected the "organisation test" (turning on the integration of the employee into
the employer's business) as being of a "vague and nebulous nature"; cf. also the critical
dictum by MacKenna J in the English case of Ready Mixed Concrete (South East) Ltd. v.
Minister of Pensions and National Insurance [1968] 1 All ER 433 (QB) at 441H-444H.
73
Smit M. Workmen's Compensation Commissioner 1979 (1) SA 51 (A) at 61 sqq., esp.
64A-68B.
74
For a detailed discussion, see Gerald Weber, Die Unterscheiduttg von Dienstvertrag und
Werkvertrag (unpublished Dr. iur. thesis, Mi mchen, 1977).
75
D. 19, 2, 25, 7. On t his t ext cf., most recentl y, Rol f Kniit el, "Di e Haft ung fur
Hilfspersoncn i m romischen Recht", (1983) 100 ZSS 419 sqq.
76
Col umns were very val uabl e and had to be handl ed wit h great care. In Ro me whol e
columns rather than t ambours were normall y used and one can easily i magi ne that thei r
transportation threw up problems and required special skills. For details cf. Vitruvius, De
architectura, Lib. X, 2, §11, and Kniitel, (1983) 100 ZSS 420 sq.; also Story. Bailments, §432.
77
But see also Ulp. D. 45, 1, 38. 21; Ulp. D. 46, 3, 31. Cf. further Gliick, vol. 17, p. 317;
Maycr-Maly, Locaiio conductio, pp. 27 sqq. In modern civil-law systems the conductor is, as
a rule, permitted to employ servants; sub-contracting is deemed to have been authorized by
the customer if the contract or the nature of the relationship so permits. For a com parative
analysis, see Lore nz, op. cit., note 58, nn. 26 sqq. Artists, for instance, ma y ofte n ha ve to
perform in person, e ve n whe re tha t is not e xpre ssly stipulate d (a s it was in the case of
Albrecht Diirer, who undertook to paint the middle section of the Heller altarpiece himself,
"a nd no othe r hu m a n be ing tha n m yse lf sha ll pa int o ne stroke of it": R ud olf Hue b ne r,
A History of Germanic Private Law (1918), p. 555).
For the inherent limitation of imperitia liability, Jones, Bailments, p. 99, gives the
following example (borrowed from Muhammadan law): "A man who had a disorder in his
eyes, called on a farrier for a remedy; and he applied to them a medicine commonly used for
his patients: the man lost his sight, and brought an action for damages; but the judge said,
'No action lies, for, if the complainant had not himself been an ass, he would never have
employed a farrier'." This example had already been discussed by Pufendorf, Dejure naturae
el gentium. Lib. V, Cap. V, 3, and was also taken up by Story, Bailments, § 435 (who referred
to Inst. Ill, 15, 3 as a basis for the argument that liability ought not to be imposed in cases
such
74
as these).
m
Cels./Ulp. D. 19, 2, 9, 5.
Ulp. D. 19, 2, 13, 5; cf. also Ulp. D. 9, 2, 27, 29. On these texts cf. recently Peter Birks,
"Other Man's Meat: Aquilian Liability for Proper User", (1981) 16 The Irish Jurist 163 sqq.
(D. 9, 2, 27, 29) and 169 sqq. (D. 19, 2, 13, 5).
81
Cels./Ulp. D. 19, 2, 9, 5.
82
On imperitia cf. further Arangio-Ruiz, Responsabilitd, pp. 188 sqq.; Cannata, Colpa,
pp. 131 sqq., 241 sqq.; Bchrends, op. cit., note 14, pp. 145 sqq. Pothier, Traite du contrat de
louage, nn. 425 sq.; Coing, p. 460. Pothier, as usual, has had his impact on English law; in
particular, courts and writers have drawn inspiration from the ci vil-law maxi m "spondct
peritiam artis—imperitia culpae adnumeratur": cf. Harmer v. Cornelius (1858) 5 CB (NS) 236
at 246 (per Willes J); cf. further Lorenz, op. cit., note 58, nn. 86 sqq. Cf. also Story,
Bailments, §§ 428, 431.
83 M
Gai. III. 205. Ulp. D. 47, 2, 12 pr.
85
Gai. D. 4, 9, 5 pr.
se
' Cf. Ulp. D. 47, 2, 14, 17 (dealing with the lia bility of a nuntius) a nd Sc hulz, CRL,
p. 54 7; Ka ser, RPr I, p. 50 8; M olna r, AN R W , o p. cit., note 6, pp. 59 9 sqq.; c ontra :
Roscnthal, "Custodia und Akiivlegitimation zur Actio furti", (1951) 68 ZSS 239 sqq. Cf.
further Arangio-Ruiz, Responsabititd, pp. 124 sqq.; De Robertis, op. cit., note 2, pp. 164
sqq.; also Mac Cormack, "Custodia and Culpa ", (1972) 89 ZSS 159 sqq., 191 sqq. The
horrearius was liable for custodia eve n though he was not conductor operis but locator rei
(cf. supra p. 346, note 37). On the question of exemption from liability ("Locator horrei
propositum habuit se aurum argentum margaritam non recipere suo periculo"), see Lab. D.
19, 2, 60, 6 a nd Andreas Wac ke, "Rec htsfrage n der romische n La gerhausvermietung",
(1980) 28 Labeo 312 sqq.
87
D. 43, 10, 4; Arangio-Ruiz, Responsabiiita, p. 127.
88
Маусг-Maly, Locatio conductio, pp. 207 sq.
89
Cf. e.g. He um a nn/Sec kei, p. 486.
'*' In this sense, in particular, Knutcl, (1983) 100 ZSS 419 sqq. Contra (liability based on
culpa) e.g. Mayer-Maly, Locatio conductio, pp. 28 sq.; MacCormack, "Culpa in eligendo",
(1971) 18 RIDA 541 sq.
'" Cf. supra, pp. 192 sq., 376. However, the superlative is not as objectionable here as in
other texts, for in Gai. D. 19, 2, 25, 7 Gaius docs not attempt to give a definition of culpa
but merely says that there is no culpa if the ut most diligence is observed, (MacCormack,
(1971) 18 RIDA 542). All interpolation hypotheses (many ot them very far-reaching) relating
to Gai. D. 19. 2, 25, 7 are listed by Knutcl, (1983) 100 ZSS 419 sq, (n. 335). who himself
accepts the text as genuine.
42
Cf- further Ulp. D. 14, 3, 5, 10; Marcell./Ulp. D. 19, 2, 41 and the discussion by
Knut cl, (1983) 100 ZSS 407 sqq.
93
Rudolf vonjhering. Das ScUuldmoment im romischen Privatrecht (1867), p. 40 (as translated
by Tony Wei r, in Zweigcrt/ Kotz/ Wci r, p. 295).
94
Cf. e.g. Windscheid/ Kipp, § 401.
93
Cf. e. g. Dcrnburg, vol. II, § 38, n. 8.
96
Cf. e.g. "Motive", in: Mugdan, vol. II, p. 16. For a detailed discussion of liability for
persons employed in performing an obligation, see Karl Spiro, Die Haftung fur
ErfjiUungsgehilfen (1984).
97
Cf! partic ularly Kascr, (195 7) 74 ZS S 186 sqq.; Em ilio Betti, "Zum Proble m der
Gefa hrtra gung bei z weiseitig vcrplic hte ndc n Vertra ge n", (1965) 82 ZSS 13 sqq.; Alz on,
(1966) 12 Labeo 324 sqq.; Rohle, (1986) 34 SDHI 203 sqq.; Cannata, Colpa, pp. 219 sqq.;
J.A.C. Thom as. "Reflections on Building Contracts", (1971) 18 RIDA 680 sqq.; M olnar,
ANRW, op. cit., note 6, pp. 651 sqq.; Felix W ubbe, "La beo zur Gefahrtragung im
Bauvertrag", in: L'homme dans son environment—Mensch und Umwelt, Festgabe der rechts-,
wirtschafts-, und sozialivissenschaftlichem Fakultat der Universitat Freiburg zum Schweizerischen
Juristentag (1980), pp. 131 sqq.; idem, (1982) 50 TR 247 sq. Generally on the passing of risk
in contracts for work and on the different meanings of risk in this context, see Lorenz, op.
cit.,}Яnote 58, nn. 124.
' D. 19, 2, 62. Cf. also Lab. D. 14. 2, 10 pr.
99
But see Cannata, Colpa, pp. 216 sqq.; Wubbc, Festgabe Schiveizerischer Juristentag, op.
cit., note 97, pp. 131 sqq.
1(10
(1867) LR 2 CP 651 at 660 (per Blackburn J).
101
Occasionally the conductor became owner of what was handed over to him for the
purposes of opus faciendum. Take Alf. D. 19, 2, 31, where grain was shot by several
customers into one heap in Saufeius's vessel. Saufeius was to transport the grain. At the first
port at which the ship called, one of the customers received back his share of the grain. In
the course of the subsequent journey the vessel sank ("navis perierat": i.e. due to vis maior).
The only thing that seems to be reasonably clear from Alf. D. 19, 2, 31 is that the contract
was treated as one of locatio conductio operis. In later times, it became known as locatio
conductio operis irregularis; for details, see Gliick, vol. 17, pp. 424 sqq.; Windscheid/Kipp,
§ 401, n. 12; Nikolaus1 Benke, "Zum Eigentumserwerb des Unternehmers bei der 'locatio
conductio irregularis" , (1987) 104 ZSS 156 sqq. (according to whom the distinction
between locatio conductio regularis and irregularis was introduced by Lauterbach in his
Collegium theoretico-practicum). Most of what has been written on this type of contract is
based on speculation. One of the main problems with the Alfenus fragment is that it does not
deal with the actio locati, but with an actio oneris aversi (of which, in turn, we do not know
anything else). Cf. e.g. Mayer-Maly, Locatio conductio, pp. 34 sqq.; Francesco M. de
Robertis, "D. 19, 2, 31 et il regime dei trasporti marittimi nell' ultima eta repubblicana",
(1965) 31 SDHI 92 sqq.; Watson, Obligations, pp. 106 sqq.; J.A.C. Thomas, "Trasporto
marittimo, locazione ed 'actio oneris aversi' ", in: (1968) 1 Antotogia Giuridica Romanistica ed
Antiquaria 223 sqq.; Rohle, (1968) 34 SDHI 219 sq.; Kaser, RPr I, pp. 571 sq. and, most
recently, Benke, (1987) 104 ZSS 156 sqq., 191 sqq.
102
Fo r a sl i gh t l y d i f f e re nt c o n si de r a t i o n c f . G l t i c k , vo l . 1 7 , p . 4 3 9 : t h e c o n d u ct o r c a n be
required to provide only what the locator would have obtained had he done the work
himself (or let it out to another conductor).
103
D. 19, 2, 62.
104
Cf. particularly Kaser, (1957) 74 ZSS 189 sq.
Cf. further Afr. D. 19, 2, 33 ("quemadmodum . . ."); lav. D. 19, 2, 37; Flor. D. 19, 2,
36. The arguments in favour of periculum locatoris are analysed succinctly by Wubbe,
lA
Feslgabe Schweizerischer Juristentag, pp. 142 sqq. Cf. supra, pp. 369 sqq.
107
According to Cannata and Wubbe (supra, note 97) there was no such development; the
rules pertaining to risk of the time of Labeo were essentially the same as those in classical
law.
108
Lorenz, op. cit., note 58, n. 149.
109
"Motive", in: Mugdan, vol. II, p. 280.
"° For details, see Hans Hermann Seiler, in: Erman, Burgerliches Gesetzbuch (7th ed.,
1981), vol. I. § 645, nn. 2 sqq.
111
Walter Erman, "Der Spharengedanke ah Gesichtspunkt fur die Verteilung der
Preisgefahr beim Werkvertrag", 1965 Juristenzeitutig 657 sqq.
112
H.U. Kantorowicz, Bractonia» Problems (1941), p. 126.
113
On this subject, more generally, see Theo Mayer-Maly, "Die Wiederkehr von
Rechtsfiguren", 1971 Juristenzeitung 1 sqq.
114
Cf. § 640 I BGB ("The customer is bound to accept the work com pleted according to
the c ontract, unless this is im p ossible by rea son of the nature of the work"). On the
significance of adprobatio operis in m odern German law, cf. Horst Heinrich Jakobs, "Die
Abnahmc beim Werkvertrag", (1983) 183 Archiv fur die civilistische Praxis 145 sqq.
115
Cf. e.g. BGHZ 48, 257 (262); 50, 160 (162)'.
116
Cf. e.g. Susan D. Martin, "A Reconsideration of probatio operis", (1986) 103 ZSS 321
sqq. She a dva nc es the intere sting a rgume nt that proba tio operis with re gard to building
contracts had a similar function to liability for imperitia in other types of locatio conductio
operis. On probatio operis in Roman law cf. particularly Richard Samter, (1905) 26 ZSS 125
sqq.; Kaser, (1957) 74 ZSS 187 sq.; Thomas, (1971) 81 RID A 679 sqq.; Ca nnata, Colpa,
pp. 193 sqq.; a nd the study by Ma rtin.
117
Matthias Pietsch, Die Ahnahme itn Werkvertragsrecht—Geschichtlirtie Entwicklung und
geltendes Recht (unpublished Dr. iur. thesis, Hamburg, 1976), pp. 37 sqq.
118
lav. D. 19, 2, 51, 1; d. also Lab. D. 19, 2, 62; lav. D. 19, 2, 37.
119
D. 19, 2, 24 pr.; cf. also Lab. D. 19, 2, 60, 3.
120
Pietsch, op. cit., note 117, pp. 18 sq., 152 sqq., 220 sqq.; this suggestion has been
followed e.g. by Seller, op. c i t . , note 110, § 645, n. 6.
121
Flor. D. 19, 2, 36.
122
Cf. e.g. Cannata, Coipa, pp. 204, 207 sqq.; Thomas, (1971) 18 RIDA 688. The
conductor continued to be li abl e onl y in the case of fraudul ent behaviour: ". . . quibus
conscquens cst, ut irrita sit adprobatio dolo conductoris facta, ut ex locato agi possit" (Paul.
D. 19, 2, 24 pr. in fine).
123
Flor. D. 19, 2,36. Мауег-Maly, Locatio conductio, pp. 40 sq.; Kaser, (1957) 74 ZSS 187
sq. ; Cannata, Colpa, pp. 209 sqq.; Rohle, (1968) 103 ZSS 327 sqq.; Thomas, (1971) 18 RIDA
677 sqq., 685 sq.; Martin, (1986) 103 ZSS 327 sqq.
124
D. 19, 2, 51, 1. On this text, see, e.g. Ca nnata, Colpa, pp. 211 sqq.; Thomas, (1971)
\8RIDA 678sq.;M olnar, ANRW , op. cit., note 6, pp. 655 sq.; Martin, (1986) 103 ZSS 330
sqq.
125
lav. D. 19, 2, 51, 1.
126
§ 631 II BGB.
127
132
Cf. e.g. Ulp. D. 14, 1, 1, 12.
133
Cf. supra, p. 182.
134
Cf. supra, p. 184, note 191.
13 D
On the position and the duties of the magister navis cf. e.g. Ulp. D. 14, 1, 1, 1-5; on the
management of a ship generally and on the role of dominus navis, excrcitor, magister navis
and gubernator, see Meyer-Termeer, op. cit., note 128, pp. 150 sqq.; Rouge, op. cit., note
128, pp. 213 sqq.; J.A.C. Thomas, "juridical Aspects of Carriage by Sea and Warehousing in
Roman Law", in: (1974) 32 Recueils de la Societe Jean Bodin pour I'Histoire Comparative des
Institutions 124 sq.
' For a well-known exa m ple of this practice cf. St. Paul's da ngerous voya ge towards
Rome, as recounted in Ada Apostolorum, 27.
137
Christian Wolff, Jus Naturae, Pars VI, Cap. IV, § 621.
138
Leyser, Meditationes ad Pandectas, Sp. CLX.
139
Paul. D. 14, 2, 1.
140
Cf. e.g. Story, Bailments, § 583; Lowndes and Rudolf, General Average and York
Antwerp Rules (10th ed., 1975).
141
For details cf. §§ 700 sqq. HGB; Philipp Heck, Das Recht der grossen Haverei (1889).
142
On the origin of the words Ня^еш/average cf. e.g. H. Kellenbe nz, HRG vol. 2, col. 2
(from the Arabic word awdr (damaged cargo)) and Lowndes and Rudolf, op. cit., note 140,
pp. 11 sq. (from the Italian avere, the ha ving of property).
143
Cf. e.g. Rou ge, op. cit., note 128, pp. 407 sqq. and, on a compilation of the 8th
century A.D. and its influence in medieval law, Walter Ashburner, The Rhodian Sea-Law,
1909. Cf. also Т.Е. Donges, The Liability for Safe Carriage of Goods in Roman-Dutch Law (1928),
pp. l s q q .
Hans Kreller, "Lex Rhodia. Untersuchungen zur Quell en geschichte des romischen
Sccrcchtes"', (1921) 85 ZHR 337 sqq.
141
Paul. D. 14, 2, 2 pr. (". . . aequissimu m enim est commune detrimentum fieri corum,
qui propter a missas res aliorum consecuti sunt, ut merces suas salvas haberent").
141
Franz Wieacker, "Iactus in tributu m nave salva venit (D. 14, 2, 4 pr.). Exegescn zur
Lex Rhodia de iactu", in: Studi in memoria di Emilio Albertario, vol. i (1953), pp. 513 sqq.;
Francesco M. de Robertis, "Lex Rhodia, Critica e anticritica su D. 14, 2, 9", in: Studi in onore
di Vincenzo Aranqio-Ruiz, vol. Ill (1953), pp. 155 sqq.; Thomas (1974) 32 Recueih Jean Bodin
152, 155.
147
Depending on the object of transportation, it was locatio conductio rerum
vehendarum or vectorum vehendorum. Alternatively, the contract could be locatio
conductio rei (the hiring of space on the ship). In this case, a duty to carry out transportation
wa s created only if the parties had added a special agreement to tha t effect. For details cf.
Meyer-Termeer, op. cit., note 128, pp. 177 sqq.;J. A.C. Thomas. "Carriage by Sea", (1960)
7 RIDA 496 sq.; idem, (1974) 32 Recueih Jean Bodin 119 sqq.
148
Or he could induce the other consignors to make their payment by withholding their
goods; on this ius retentionis cf. Paul. D. 14, 2, 2 pr. According to Wieacker, Studi Albertario,
vol. I, pp. 516 sq., this was the primary way of effecting the contribution: the ship's master
availed hi mself of the ius retentionis ex iure tertiorum (i.e. the other consignors who have
to receive their contribution from the cargo saved).
149
Cf. Paul. D. 14, 2, 2 pr.; Wieacker, Studi Albertario, vol. I, p. 516; Kascr, RPrl, p. 572;
Thomas, (1974) 32 Recueih Jean Bodin 152 sqq.; idem, TRL, p. 300.
150
On the nave salva requirement cf. Kreller, (1921) 85 ZHR 288 sqq.; Wieacker, Studi
Albertario, vol. I, pp. 515 sqq. Today cf. §§ 700, 703 HGB (and Heck, op. cit.. note 141,
p. 600). Proof of causation (that iactus saved the ship) does not seem to have been required
(cf., however, § 703 HBG and Wieacker, Studi Albertario, vol. I, pp. 530 sq.).
151
Answer: yes; cf. Call. D. 14, 2, 4, 1. After all, the iactus has saved the remaining cargo;
otherwise the ship would never have reached the point, where the water was shallow enough
for the cargo to be saved by the divers; cf. Wieacker, Studi Albertario, vol. I, pp. 523 sqq.,
531 sq.
152
Paul. D. 14, 2, 2, 2.
153
Iul. D. 14, 2, 6. Cf. t oday Rul e XIV of t he York Antwerp Rul es (1974).
154
Paul. D. 14, 2, 2, 3.
155
Pa p. D. 14, 2, 3; He rm . D. 14, 2, 5, 1.
156
Call. D. 14, 2, 4 pr.; Wieacker, St udi Al bertari o, vol I, pp. 520 sqq.
157
As to the following, see Gunter Wesener, "Von dcr Lex Rhodia de iactu zum § 1043
ABGB", in: Festschrift fur Johannes Barmann (1975). pp. 36 sqq.
158
Gl. Ae quissim um a d D. 14, 2, 2, pr.
1э9
This is how Baldus describes the relevant situations (Commentaria, Vcneths, 1586, ad D.
14, 2, 2). Cf. also e.g. Lauterbach, Collegium theoretko-practicum. Lib. XIV, Tit. II, XIV;
Lcyser, Meditationes ad Pandectas, Spec. CLX. Contra, for example, Voet, Commentarius ad
Pcmdectas, Tit. XIV, Cap. II, XVIII; cf. also Gluck, vol. 14, pp. 234 sqq.
160
For a contrary view cf. e.g. Cuiacius, "Commentarii in Lib. XXXIV Pauli ad
Edi ctum" (in: Opera Omnia, vol. v. (Mutinae, Mil), col. 518 sqq. ).
161
Modcstinus Pistoris, Consilia sive responsa, vol. I, Cons. XVI, n. 19.
162
Brunnemann, Commentarius in Pandectas, Lib. XIV, Tit. II, ad L. Si laborante 2 pr.
163
Johann Schilter, Praxis juris Romani, Exercitatio ad Pandectas XXVII, §§ XXVI sq.
164
Cf. Gluck, vol. 14, pp. 232 sq.
165
Cf. supra notes 138, 158, 159.
166
§ 1043, 1 ABGB. For the history of this provision cf. Wesener, Festschrift Barmann,
pp. 45 sqq. For a c om parison with § 904 BGB (e merge nc y) c f. Andreas Hatz ung,
Dogmengeschichtliche Grundlagen und Entstehung des zivilrechtlichen Notstands (1984), pp. 52 sqq.
167
Cf. H. Kellenbcnz, "Haverei", in: HRC, vol. 2, col. 2 sqq.; Going, pp. 554 sq.; Gotz
Landwehr, Die Haverei in den mittetatterlichen deutschen Seerechtsquellen (1985), passim. For an
"intelligent and exhaustive" treatment of "one whose country was in its golden century the
maritime leader of the world" (Percival Gane, The Selective Voet, vol. Ill (1956), p. 76),
cf. Johannes Voet, Commentarius ad Pandectas, Lib. XIV, Tit. II (dealing e.g. with the
community of property in food and drink which ought to exist among stranded castaways
in order to protect them against the horrors of cannibalism).
'й8 A collection of customary rules dealing, originally, with the transportion by sea of
wine from the ports of Bordeaux and La Rochelle. The Roles have played a central part in
the formation of the sea law in north-western Europe. Cf. H. Kellenbenz, HRG, vol. 3, col.
1240 sqq.
169
Gotz Landwehr, "Die Hanseatischen Seerechte des 16. und 17. Jahrhunderts", in: 1667
drs siolag176fi
i ett 300-drigt perspektiv (1984), pp. 75 sqq.; on "grosse Haverei" cf. pp. 103 sqq.
° §§ H 8; based on the Prussian Sea Law of 1727; cf. Gotz Landwehr, "Das
Preussische Seerecht vom jahre 1727 im Rahmen der curopaischen7 Rechtsentwicklung",
(1986) 8 ZSR 132 sqq. For the first general definition of "grosse Haverei ' cf. Quintijn Weijtsen,
Tractaet van 't Recht der Nederlantsche Avaryen (1651), § 17: "Waer by men sonde mogen
infereren, dat de schaden, die men gewillighlijk ende voluntairement doet aen 't Schip
ofte Goeden, om meerder apparenter hinder te beschutten, souden moeten gerekent werden
voor Avarye grosse." Vinnius, in his notes on Peckius. In Till, Dig. et Cod. ad rem nauticam
pertinentes Commentary i (1647), pp. 193, 206, writes: "Duac res concurrere debent. ut actio
hujus contributionis nomine competat: 1, jactura rerum ex una parte, 2. conservatio rerum
ex parte altra." On that basis he defines: "Avaria grossa vel grandis est, cum quaedam merces
jaciuntur in mare levandae laborantis navis gratia, aut armamenta navis, malus, anchorae,
rudentes, communis periculi removendi. causa dejiciuntur vel caeduntur voluntate
navigantium, atque hoc damnum contribmionc omnium atque ipsius etiam nautae
resarciatur." Dogmatically, the duty to contribute was by now usually based on "navalis
societas" or a "societas et communio tacita". Cf. further e.g. Landwehr, (1986) 8 ZNR
pp.171138 sqq.
Cf. e.g. W. Senior, Doctors' Commons and the Old Court of Admiralty (1922); Brian P.
Levack, The Civil Lawyers in England 1603-1641 (1973); Daniel R. Coquillette, "Legal
Ideology and Incorporation I: The English Civilian Writers, 1522-1607". (1981) 61 Boston
University LR 1 sqq.
172
For details, see Potter's Historical Introduction to English Law (4th ed., 1958), pp. 191
sqq.; Wiswall, The Development ofAdmiralty Jurisdiction and Practice since 1800 (1970).
3
On the Admiralty jurisdiction in South Africa and its history, see Gys Hofmeyr, 1982
Ada Juridica 30 sqq.
Mandatum
1. The essential characteristics of mandatum
If a member of "the" professions, an advocatus, an agrimensor 1 or an
architectus, 2 did not render his services under a contract of locatio
conductio (be it operis or operarum), it did not mean that these
activities took place in the purely social sphere without being
sanctioned by the law at all. What was objectionable was to work for
money, not to enter into a contractual relationship. If, for instance, an
advocate3 took care of somebody else's legal problems, he might
consider it to be infra dignitatem to receive a salary. On the other hand,
he could expect not to lose out. Thus, he ought to be able to claim
damages and to be reimbursed for any expenses that he might have
incurred on behalf of his client. The latter, in turn, would often rely on
the advocate's undertaking to bring his case to court, to represent him
in the trial or to make up a rhetorically convincing argument. Thus,
where this sort of commitment was intended, the parties usually
entered into a contract of mandatum.
Mandatum, like emptio venditio and locatio conductio, but unlike
commodatum and depositum, was a consensual contract. 4 Like
commodatum and depositum, but unlike the other consensual
contracts, it was a necessarily gratuitous transaction: "Mandatum nisi
gratuitum nullum est."5 Where a reward was fixed, the contract was
locatio conductio, not mandatum: "In summa sciendum est mandatum,
nisi gratuitum sit, in aliam formam negotii cadere: nam mercede
constituta incipit locatio et conductio esse."6 In fact, the lack of any
agreed upon counterperformance is emphasized so often as an essential
characteristic of the contract of mandatum, that we may well doubt
whether the actual practice was always in conformity with contractual
theory.
A contract of mandatum gave rise, in any event, to the actio mandati
(directa). This was a iudicium bonae fidei and lay for "quidquid ob earn
1
On these cf. e.g. Ulp. D. 11, 6, 1 pr.; Antoine Bernard, La Remuneration des Professions
Liberates en Droil Romain Classique (1936), pp. 103 sqq. and Karoly Visky, Geistige Arbeit und
die "artes lihetales" in den Quellen des romischen Rechts (1977), pp. 39 sqq.
2
Visky, op. c i t ., note 1, pp. 95 sqq.
J
Cf. supra, p. 390, note 34.
4
Paul. D. 17, 1, 1 pr.: "Obligatio mandati consensu contrahcntium consistit."
Conve nient c onse quence: "Ideo per nuntium quoque vcl per epistulani ma ndatum suscipi
potest." For details, see Watson, Mandate, pp. 61 sqq.
5
Paul. D. 17, 1, 1, 4. Cf. further Gai. Ш, 162; lav. D. 17, 1, 36, 1; Watson, M andate,
pp. 102 sqq.; Michel, Gratuite, pp. 185 sqq.
6
Inst. Ill, 26, 13.
413
7
Lenel, EP, pp. 295 sq. On the obligations of the mandatary cf. Vincenzo Arangio-Ruiz,
// mandate in diritto romano (1949), pp. 159 sqq.; Watson, Mandate, pp. 178 sqq.
K
Particularly, the mandatarius was not allowed to exceed the terms of the mandate (fines
mandati). If he did, he was liable to the mandator under the actio mandati, but was himself
not able to sue the mandator for reimbursement of his expenses (actio mandati contraria).
There was, however, a school dispute as to how far this principle should be carried. A
commissions В to purchase a farm for not more than 100, but Б buys it for 150. В is prepared
to transfer the farm to A for 100; can he force A to accept it? No, according to the rigid
approach of the Sabimans (Gai. HI, 161); yes, according to the interpretatio benignior of the
Proculians (favoured by Justinian and the writers in later centuries—cf. e.g. GLiick, vol. 15,
pp. 273 sqq.). Justinian relates the dispute in the following terms (III, 26, 8): "Is qui
exsequitur mandatum non debet excedere fines mandati. ut ecce si quis usque ad centum
aureos mandaverit tibi, ut fundum emeres . . ., [non] pluris emere debes . . .; alioquin non
habebis cum eo mandati actionem: adeo quidem, ut Sabino et Cassio placuerit, etiam si
usque ad centum aureos cum eo agere velis, inutilitcr te acturum, diversae scholae auctores
recte te usque ad centum aureos acturum existimant: quac sententia sane benignior est."
There is much dispute, today, about what the prevailing view in classical law was and how
certain other texts dealing with this problem (esp. Paul. D. 17, 1, 3-5; Gai. D. 17, 1, 41)
ought to be understood; cf. Arangio-Ruiz, op. cit., note 7, pp. 168 sqq.; Fritz Pringsheim,
"Noch einmal Gai. 3, 161 und Inst. Just. 3. 26. 8", (1955) 72 ZSS 54 sqq.; Watson, Mandate,
pp. 185 sqq.; Paul van Warmelo, "Wanneer die Lashebber sy Opdrag tc buite gaan", 1964
Acta Juridica 1 sqq.; F.B.J. Wubbe, "Benignus redivivus", in: Symbolae iuridicae et historicae
Martina
9
David dedicatae, vol. I (1968), pp. 246 sqq.
Cf. e.g. Ulp. D. 17, 1, 10, 6; Ulp. D. 17, 1, 8, 3; Paul. D. 17, 1, 20 pr.
10
Ulp. D. 17, 1, 12, 9; Pap. D. 17, 1, 56, 4; Gai. D. 17. 1, 27, 4; Cels. D. 17, 1, 50, 1;
Watson, Mandate, pp. 154 sqq.; cf. also Bernardo Albanese, "'Judicium contrarium' e
'ignominia' nel mandato", (1970) 21 lura 1 sqq. The test for the recoverability of expenses
was not whether the mandator had actually benefited but whether the mandatarius had
incurred th:m bona fide as a result of the mandate. Cf. today § 670 BGB (". . . which he
mav regard as necessary under the circumstances").
1
Cf. irAa, pp. 430 sq.
12
Lenel, EP, pp. 295 sq.
13
But see Guido Donatuti, "Contributi alia teoria del mandato in diritto romano, II. La
volonta del mandante", in: Studi di diritto romano, vol. I (1976), pp. 351 sqq.; but see
Arangio-Ruiz, op. cit., note 7. pp. 87 sqq.; cf. also Fritz Schwarz, "Die Kontrarklagen",
(1954) 71 ZSS 171 sqq., 218 sqq.; Kaser, RPr I, p. 579.
14
Paul. D. 17, 1, 1. 4. Cf. also Cicero, Pro Sexto Roscio Amerino oratio, XXXVIII—111
sqq. and, generally, Schulz, Principles, pp. 223 sqq.
■ "Gratiam vero referre, ec gratuitam operam remunerare amicitiac non est contrarium,
scd bene convenit" (Lauterbach, Collegium theoretico-practiatm. Lib. XVII. Tit. I, XIV).
16
For parallels in the case of loan transactions (mutuum was also, nominally, a gratuitous
transaction!), cf. Alfons Btirge, "Vertrag und personale Abhangigkeiten i m Rom dcr spaten
Rcpublik und der fruhen Kai serzdt", (1980) 97 ZSS 122 sqq.
" Cf. e. g. Ul p. D. 11, 6, 1 pr.
1H
Cf. Michel, Gratuite, pp. 279 sq.
19
Cf. e. g. Visky, op. cit., not e 1, pp. 60 sqq.
20
Michel, Gratuite, pp. 187 sq., 198 sqq.
21
Cf. e.g. Berger, ED, p. 422.
22
Cf. Michel, Gratuite, p. 188.
23
C. 4, 35, 1. According to Tony Honore, Emperors and Lawyers (1981), pp. 97, 56 sqq.,
this rescript was drafted by Papinian, the then secretary a libellis.
24
Michel, Gratuite, p. 192.
25
Plimus Sccundus, Historia naturalis. Lib. XXXI, 41, 89.
2( 1
Cf. e.g. Walter Hatto Gross, in: Kleiner Pauly, vol. IV, col. 1528 sq.
- 7 Plinius Secundus, loc. cit. As to the meaning of "mola salsa", c{. e.g. Konrat Ziegler,
in: Kleiner Pauty, vol. Ill, col. 1398; it was customary to strew a mixture of coarsely ground
meal and salt over victims.
Cf. e.g. Mommscn, Romisches Staatsrecht, vol. I, pp. 300 sqq. This salarium succeeded
the earlier vasarium, a lump sum which the Roman officials had received to cover the costs
of outfit and equipment (derived from vasa, baggage); cf. Hans Gartner, in: Kleiner Paitly,
vol. V, col. 1141.
29
Cassius Dio, Historia Romana, LXXIX, 22, 5.
30
Arangio-Ruiz, op. at., note 7, pp. 114 sqq.; Watson, Mandate, pp. 103 sqq.; Mi chel,
Gratuite, pp. 192 sq.
■ Cf. the literature quoted supra, p. 53, note 138; on the relationship between mandatum
and procuratio cf. also Watson, Mandate, pp. 36 sqq.
32
C f. e . g. K a se r, R P r 1 1. p p. 1 0 0 s q. F r o m t he l at e Re p u bl i c o n w a r ds, i n de pe n de nt
p ro c u r at or s o f hi ghe r so ci al st a n di n g m a de t he m se l ve s a v ai l a bl e t o l o o k a ft e r t he i nt e re st s o f
t h e i r f r i e n d s . T h e y, t o o , a c t e d u n d e r a m a n d a t e : O k k o B e h r e n d s , "D i e P r o k u r a t u r d e s
k l a s si s c h e n r o m i s c h e n Z i v i l re c h t s ", ( 1 9 7 1 ) 8 8 Z S S 2 4 7 s q q . ; K a s e r , R P r I I , p. 1 0 1 .
33
C f., apart from С 4, 35, 1, P ap. D. 17, 1, 7.
34
Phi l o so p he rs a n d "l u ri s p r ofe ss o re s ", i n ci de nt al l y, re m a i ne d e x cl u de d; t he l at t e r t o r t he
f o l l o w i n g r e a s o n : "c s t q u i d e m r e s s a n c t i ss i m a c i v i l i s s a p i e n t i a , se d q u a e p re t i o n u m m a r i o
n on si t ae st i m a n d a ne e de h on e st a n d a " ( U l p. D . 5 0, 1 3, 1, 5; t o r a n a n al ysi s, ct . D i e t e r N or r,
"I uri s pe nt us s a ce r d os ", i n: E E N I ON , Fe st sc h ri f t f u r Pa n . j. Ze p o s, vol . I ( 19 73) , p p. 5 5 5 sq q.
3
Cl audi us fi xe d a ma xi mu m li mi t of 10 000 se ste rce s; cf. al so e .g. C. 7, 72 of D i ocl et i an 's
edictum de pretiis renun venalium (Siegfried Lauffer (ed.), Diokletians Pteisedikt (1971), p, 124); for
further details about lawyers' fees cf. Ulp. D. 50, 13, 1, 9 sqq.; Paul. D. 19, 2, 38, 1;
Michel, Grattiite, pp. 215 scjq.; Visky, op. cit., note 1, pp. 60 sqq. A pactum de quota litis
wa s ina dmissible: Ulp. D. 50, 13, 1, 12; Ulp. D. 17, 1, 6. 7; Pa p. D. 17, 1, 7.
36
Arangio-Ruiz, op. cit., note 7, pp. 117 sq., who consequently suspects interpolation.
37
C f . e . g. G l u c k , v o l . 1 5 , p . 2 8 6 ; W a t s o n , M a n d a t e , p p . 1 1 0 s q q .
38 w
40
Cf. infra, pp. 534 sq. Cf. e.g. Gluck, vol. 15, pp. 285 sqq.
Vinnius, Imtitutiones, Lib. III. Tit. XXVII, 13, n. 1.
41
Iacobus Gothofredus, Tractatus novus et practkus de salario (Gcnevae, 1666),Cap. I, III.
42
For details cf, D.J. joubcrt, "Die kontraktuele verhouding tussen professionele man en
klient", 1970 Actajuridica 15 sqq.
43
Cf. e.g. Pothier, Traite du contrat de mandat, n. 23; also Dernburg, Pandekten, vol. II,
§ 115 in fine.
44
Traite du contrat de mandat, n. 23 (quoted from a translation by B.G. Rogers (ed.) (Lex
Patria,
45
1979)).
Pothier says: "pour hit donner une faibie marque de ma reconnaissance''.
46
Pothier, Traite du contrat de mandat, n. 26.
47
"Spitsvondighede", accordi ng to De Wet en Yeats, p. 341.
4H
Cf. e.g. Lauterbach, Collegium (heoretico-practicum. Lib. XVII, Tic. I, XV; Stryk, Vsus
modernus pandectarum, Lib. XVII, Tit. I, § 18.
4У
Johann Gottlieb Heineccius, "Elements Juris Germanici" (in: Opera omnia (Genevae,
1748)), Lib. II, § CCCLXXXH.
fз! Gliick, vol. 15, p. 322; "Motive", in: Mugdan, vol. II, p. 295.
Problem: was the honorarium then not really tantamount to merces? Why stilt maintain a
distinction between operae liberales (contractual regime: mandatum) and other operae
(locatio conductio)? A statement such as "[Die operae liberales werdetij nicht bezahlt, sondern
hanorirt" (Dernburg, Pandekten, vol. II, § 115 in fine) sounds like a petitio principii. Further
problem: could an honorarium be charged, if it had not been expressly promised at the time
of conclusion of the contract, but where the mandatary was a person who did not normally
render services of the kind in question gratuitously? Cf. (in the affirmative) Lauterbach,
Collegium theoretico-practiaim, Lib. XVII, Tit. I, XV; Stryk, Usus modernus pandectarum, Lib.
XVII, Tit. I, § 18; Vinnius, Institutions*, Lib. Ill, Tit. XXVII, 13; Pothier, Trait? du contra!
de mandat, nn. 24, 26. Contra e.g. Gliick, vol. 15, p. 291.
32
References in "Motive", in: Mugdan, vol. II, p. 295.
53
§ 586 E I.
54
Cf. supra, p. 393; but according to § 675 BGB, many of the rules relating to mandate
are applicable, if the contract of service or for work has as its object the taking care of a
matter. For details, see Hans-Joachim Musielak, "Entgeltliche Geschaftsbesorgung", in:
Gutachten und Vorschlage гиг Uberarbeitung des Schuldrechts, vol. II (1981), pp. 1209 sqq.
55
"Protokolle", in: Mugdan, vol. II, pp. 897 sq.
56
As far as the "honoraria" of teachers are concerned, cf. § 196 I, n. 13.
57
Cf. Gai. Ill, 162, However, where something was handed over for safekeeping without
any reward being fixed, there was the more special contract of de positum: cf. Ulp. D. 16,
3, 1, 8. On this and other details relating to the object of mandatum, see Watson, Mandate,
pp 78 sqq.
58
Gai. Ill, 162.
59
Marc./Ulp. D. 17, 1, 12, 17.
60
On the so-called "mandatum qualificatum", see supra, pp. 139 sqq.
61
Cf. supra, p. 133.
62
Cf. supra, pp. 45 sqq.
63
Cf. supra, pp. 56 sqq.
64
Supra, pp. 57 sq.
65
Cf. e.g. Gluc k, vol. 15, pp. 323 sqq.; Coing, p. 463.
66
Gai. Ill, 157; Inst. Ill, 26, 7; Voet, Commentarius ad Pandectas, Lib. XVII, Tit. I, VI;
Gluck, vol. 15, pp. 254 sqq.; Arangio-Ruiz, op. cic, note 7, pp. 105 sqq.; Watson, Mandate,
pp. 88 sqq.
67
Paul. D. 17, 1, 22, 6.
68
Arangio-Ruiz, op. cit., note 7, pp. 109 sqq.; Watson, Mandate, pp. 92 sqq.
69
Cf. Cels. D. 17, 1, 48, 1 and 2; but see Wat son, Mandat e, pp. 96 sqq.
70
Cf. e.g. Paul. D. 17, 1, 59, 6; Paul. D. 17, 1, 46.
71
III, 156.
72
III, 26, 6.
73
Cf. further Gai. D. 17, 1, 2, 6.
74
Vinnius, Institutiones, Lib. Ill, Tit. XXVII, 6, n. 1.
75
On the question whether there can be a ma ndatum tua gratia which is not c onsilium,
cf. e.g. Vangerow, Pandekten, § 659. Conversely, it is arguable that not every kind of advice
or recom mendation should be regarded as not binding. Cf., for exam ple, Ulp. D. 17, 1. 16
for a mandatum (in the nature of a proposal) mea et tua gratia. Furthermore, it has often been
argue d that a m a ndatum tua ta ntum gratia is binding, a nd thus provide s the ma ndatarius
with a claim a gainst the m a ndator, where he would not ha ve acte d as he did but for the
ma ndate (arg. Ulp. D. 17, 1, 6, 5: "Pla ne si tibi ma nda vero quod tua intererat, nulla erit
mandati actio, nisi mea quoque interfuit: aut, si non esses facturus, nisi ego mandassem, etsi
mea non interfuit, tamen erit mandati actio"; itp., cf. e.g. Watson, M andate, p. 120): Stryk,
Usus modernus pandectamm, Lib- XVII, Tit. I, §§ 8 sqq.; Lauterbach, Collegium
theoretico-practicum, Lib. XVII, Tit. I, XVI sq.; Voet, Cotnmentarius ad Pandectas, Lib. XVII,
Tit. I, IV; Gluc k, vol. 15, pp. 25 0 sqq. See a lso W in dsc heid/Kipp, § 41 2, n. 21, wh o,
howe ver, base the liability on a specific guarantee. Today, cf. § 676 BGB: "A person who
give s a dvice or a rec o m m e nda tion to a nothe r is not bo un d to c o m pe nsa te him for a n y
damage arising from following this advice or the recommendation, without prejudice to his
responsibility resulting from a c ontract or delict."
76
Gai. Ill, 155.
77
Gai. D. 17, 1, 2 pr. (taken from his Res cottidianae). Cf. also Inst. HI, 26 pr.
7H
Inst. Il l , 26, 3.
79
Cf. supra, p. 35, note 6.
80
Cf. e.g. Gai. D. 17, 1, 2, 2; Ulp. D. 17, 1, 6, 4.
81
Watson, Mandate, p. 116. Cf. further the detailed analysis of Seiler, Negotiorum gestio,
pp. 114 sqq., who confirms that it is the mandator, and not the mandatarius, whom the
classical lawyers regarded as negotiorum gestor in the case of mandata aliena tantum gratia.
On the mandatum aliena gratia, see also Wieslaw Litewski, "lnteresse des Auftraggebers, des
Dritten und des Beauftragten", (1975) 78 BIDR 193 sqq. (227 sq.).
For the traditional argument along these lines cf. e.g. Vinnius, Institittiones, Lib. I l l , Tit.
XXVII, 3; Pothier, Traite du contrat de mandat, n. 17; Gluck, vol. 15, p. 249. Contra Watson,
Mandat e, pp. 116 sqq., who does not, however, present an alternat ive solution. нз Cf.
supra, pp. 35 sqq.
84
For examples cf. Gai. D. 17, I, 2, 3, 4 and 5; Inst. Ill, 26, 2, 4 and 5; for a discussion,
see Litewski, (1975) 78 BIDR 193 sqq.
85
Inst. Ill, 26, 5.
86
For details c(. supra, pp. 139 sqq.
87
Et y mol ogi call y, " mandat um" i s deri ved fro m "mai ms" and "dare " (cf. e. g. Voet,
Commentarius ad Pandectas, Lib. XVII, Tit. I, I ("Mandatum dictum a datione manus . . . et
manus fidei signum erat."); Vinnius, Institutiones, Lib. HI. Tit. XXVII pr.). In Rome, one
did not shake hands as profusely as one does in modern Germany, for instance. The gesture
of offering one's right hand was a most inti mate sign of fri endship, and was reserved for
grand and important occasions. Cf. Michel, Gratuite, pp. 170 sq.; W.H. Gross, "Salutatio",
in: Kleiner Pauly, vol. IV, col. 1524 sq.
88
Gai. IV, 182. Was t he acti o mandati cont rana famosa t oo? Cf. Fr itz Sch warz, "Di e
Kontrarklagen", (1954) 71 ZSS 210 sqq.; Albanese, (1970) 21 lum 1 sqq.
H9
Paul. D. 17, 1, 26 pr.; Gai. Ill, 160; Gai. D. 17, 1, 27, 3. For details, see Hamed A. Rabie, L'acte
juridique "post mortem" en droit romain (1955), pp. 85 sqq.; Watson, Mandate, pp. 125 sqq.;
Manfred Harder, "Zum transmortalen und postmortalen Auftrag nach romischem und
gelcendem Recht", in: Sein und Werden im Recht, Festgabe fur USrich von Lubtow (1970), pp.
518 sqq. Today cf. § 673 BGB ("In case of doubt, a mandate is
extinguished by the death of the mandatary") and § 672 BGB ("In case of doubt a mandate
is not extinguished by the death of the mandator"). The latter rule was introduced in
conscious deviation from the ius commune (Windscheid/Kipp, § 411, 2), § 186 I 13 PrALR.
art. 2003 code civil and § 1022 ABGB; cf. "Motive", in:" Mugdan, vol. II, p. 306;
"Protokolle", in: Mugdan vol. II, pp. 954 sq. But sec Harder, Festgabe von Liibtow, pp. 529
sqq. for a reinterpretation more in line with historical precedent.
1
Similarly, the mandate came to an end if, re integra, the mandator revoked (revocare;
cf. Gai. Ill, 159) or the mandatary renounced (renuntiare; cf. Paul. Sent. II, XV, 1) the
contract. The second of these propositions is, however, questionable, for a discussion, see
Gltick, vol. 15, pp. 354 sqq.; Arangio-Ruiz, op. cit., note 7, pp. 134 sqq.; Watson, Mandate,
pp. 70 sqq.; Philippe Meylan, "Revocation et renonciation du mandat en droit romain
classique", in: Studi in onore di Giuseppe Grosso, vol. I (1968), pp. 463 sqq. Cf. today § 671
BGB.
91
According to Harder, Festgabe von Liibtow, pp. 520 sqq.. this restriction is of
post-classical origin.
92
Watson, Mandate, p. 130.
93
Paul. D. 17, l , 2 6 p r . ; G a i . Ill, 160; Inst. Ill, 26, 10. Cf. today § 674 BGB: "If a mandate
is extinguished other than by revocation, it is. nevertheless, deemed to continue in favour of
the mandat ary, until he knows or ought to know of its exti nction. "
94
C . 8 , 3 7 ,' 1 1 ; С 4 , 1 1 , 1 .
95
For details, see Arangio-Ruiz, op. c i t . , note 7, pp. 142sqq.;J.C. van Oven, "Gaius, 3,
158: Mandatum post mortem mandantis". in: Symbolae Raphaeli Taubemchiag, vol. I (1956),
pp. 529 sqq.; Watson, Mandate, pp. 133 sqq.; Harder, Festgabe von Liibtow, pp. 523 sqq.;
Kaser, RPr I. p. 578; but see Cesare Sanfilippo, "Ancora un caso di ' mandatum post
mortem'?", in: Sodalitas, Scritti in onore di Antonio Guarino, vol. V (1984), pp. 2047 sqq.
96
Marc./Ulp. D. 17 , 1, 12, 17. '" C.ai. III. 158.
1116
Geoffrey MacCormack, "The Liability of the Mandatary", (1972) 18 Labeo 156 sqq.
11)7
For a detailed analysis, see Geoffrey MacCormack, "Culpa", (1972) 38 SDHI123 sqq.;
cf.ltalso
M
idem, (1972) 18 Labeo 156 sqq.; Klami, op. cit., note 105, pp. 2 sqq.
MacCormack, (1972) 18 Labeo 157. Contra: Litewski, (1983-84) 12 Index 107 and
passim.
im
Cf. supra, pp. 208 sq.
1111
This is conceded even by Klami, op. cit., noce 105, pp. 13 sqq.
111
Watson, Mandate, pp. 198 sqq.
112
Cf. e.g. Kaser, RPr I, pp. 509 sq.
113
Donellus, Commentarii de Jure Civiii, Lib. XIII, Cap. XI, XI (n. 5).
114
For details of what follows, see Watson, Mandate, pp. 202 sqq.; MacCormack, (1972)
\8 Labeo 158 sqq.
115
Ulp. D. 17, 1. 29 pr.
116
Ulp. D. 17, 1, 29, 3.
117
MacCormack, (1972) 18 Labeo 159.
118
D. 17, 1, 29, 3.
m
D. 17, 1, 29 pr.
120
Further on the liability of the fideiussor, see Ulp. D. 17, 1, 8. 8.
121
С 4. 35, 1 3 (Dioc l. et M a x.). Cf. further С 4, 3 5, 4 (Ale x.); C. 4, 35, 9 (Dioc l. et
M a x.); С 4, 35, 11 (Dioc l. e t M a x.); Ulp. D. 17, 1, 10, 1.
122
M od. Coll. X, II, 3; Pa ul. D. 17, 1, 26. 8.
' Ulp. D. 17, 1, 8, 10 (". . . si tibi mandavi, ut hominem emeres, luque emisti, teneberis
mihi, ut restituas. sed et si dolo emere neglexisti (forte enim pecunia accepta alii cessisti ut
emerci) aut si lata culpa (forte si gratia ductus passus es alium cme re) teneberis . . .").
124
Ulp. D. 50, 17, 23; Paul. D. 17, 1, 22, 11; Paul. D. 17, 1, 26, 7.
125
Watson, Mandate, pp. 198 sq.; Kaser, RPr I I , p. 417.
126
Cf.. for example, the glossator Martinus (according to Hoffmann, Fahrlassigkeit,
p. 44); Brunnemann, Commentarius in Patidectas, Lib. XVII, ad L. Idemque. 10. pr. et L. 12.
pr, nn. 1, 2. Cf. further the discussion in Gliick, vol. 15. pp. 262 sqq.
127
Schulz, CRL, p. 556. He refers to Pro Roscio Amerino oratio, XXXVIII —111 sqq., on
which, see Watson, Mandate, pp. 199 sqq.
128
For the situation in modern South African law, cf. e.g. De Wet en Yeats, p. 341.
129
But see art. 1992 II code civil (usually, however, ignored in the practice of the courts).
- Culpa levis or culpa levissima? A much-disputed question amongst the authors of the
ius c om m une. During usus m odernus a nd pandectism, the latter of these sta ndards was
usually advocated. For details, see Hoffmann, Fahrlassiykeit, pp. 44, 62, 95 sqq., 141 sqq.,
212 sq.
131
Pothier, Traite du contrat de mandat. n. 46.
132
Commentarii de Jure Civili, Lib. XIII, Cap. XI, XI; cf. further e.g. Windscheid/Kipp,
§ 410, n. 4; Hoffmann, Fahrlassigkeit, p. 141.
133
As re porte d by Africa nus in D. 47, 2, 62. 5.
134
The last part of Afr. D. 47, 2, 62, 5 is interpolate d; here the c om pilers attem pte d to
reconcile the decision with the fault principle by means of a fiction. Cf. e.g. Dietrich Norr,
"Die Entwicklung des Utilitatsgedankens im romischem Haftungsrecht", (1956) 73 ZSS 95.
135
Cf . al so Grot i us, De j ure bel l i ac pads. Li b. II, Cap. XII, § XIII: "ne qui s . . . ex
be neficio da m num sentiat."
nfi
Paul. D. 46, 1, 67. Sedes materiac has traditionally been taken to be Paul. D. 17. 1, 26,
6: "Non omnia quac impensurus поп fuit mandatori imputabit, veluti quod spoliatus sit a
latronibus aut naufragio res amiserit vel languore suo suorum que apprehensus quaedam
crogaverit: nam haec magis casibus quam mandato imputari oportet." For a discussion, see
Peter Stein, "Julian and liability for loss suffered in the execution of a contract in Roman
law", 1956 Butterworths South African LR 67 sq.; Watson, Mandate, pp. 157 sqq.; Heinrich
Honsell, "Die Risikohaftung des Geschaftsherrn", in: De iustitia et hire, Festgabe fur Ulrich von
Liibtow (1980), pp. 488 sqq.
137
Ulp. D. 50, 17, 23 in fine.
138
Cf. Hasse, Culpa, p. 403; Arndts, Pandeklen, § 293; Baron, Pandekten, § 306 II 2;
Dernburg, Pandekten, vol. II, § 116, 2 b; but cf. e.g. Donellus, Commentarii dejure Civili,
Lib. XIII, Cap. XII, XV; Gliick, vol. 15, pp. 307 sqq.
139
But see the comment in "Motive", in: Mugdan, vol. II, p. 302; "Protokolle", in:
Mugdan, vol. II, pp. 951 sqq.
Gl. Mandato ad D. 17, 1, 26, 6; contra e. g. Bartolus, Contmentaria, ad lib. XVI Digest.:
"Vult glossa dicere, quod iste § de aequitate non debct servari: quia aequitas rigon praefertur .
. . qu od non est verum hie: c um rigor iuris huius § sit scriptus, e t ide o te ne ndus, lice t
duritia m contineat: non obsta ntc aequitate, quia non est scripta." 141 Tractatus de legibus
abrogatis. Lib. XVII, Tit. I, 1. 26, 6.
142
Cotmnentarius ad Pandectas, Lib. XVII, Tit. I, XIII.
143
Li b. XVII, Ti c. I, 26, 6 (vol. IV, Gencvae, 1626).
144
De jure naturae et gentium, Lib. V, Cap. IV. § 4.
145
§ 1014 ABGB. Cf. also Windscheid/Kipp, § 410, 2.
14()
Trails du central de mandat, nn. 74 sq.
147
Art. 2000 code civil provides for the recovery of damages which arose a {'occasion de la
yestion. Perhaps, this is not based on a mistaken analysis of Pothier, buc on Domat, Les loix
\iviles, Liv. I, Tit. XV, Sec. II, VI. Cf. also Going, p. 463.
14H
Cf. e.g. Honsell, Festgabe von Liibtow, pp. 495 sqq.
144
Claus-Wilhelm Canaris, "Risikohaftung bei schadensgeneigter Tatigkeit in fremdem
Interessc", 1966 Recht der Arbeit 41 sqq.; Klaus Genius, "Risikohaftung des Gcschaftsherrn",
(1973) 173 Archiv fur die civilistische Praxis 481 sqq.
Negotiorum gestio
1. Negotiorum gestio and mandatum
(a) Similarities
Negotiorum gestio, in the German Civil Code, follows immediately
upon mandate. 1 Both institutions, indeed, have much in common. 2 In
both cases one person (the mandatarius/the gestor) manages somebody
else's (the mandator's/principal's) affairs. As in mandate, the scope of
matters which the gestor can take care of for the principal is very broad;
they may be of a factual or of a legal nature. 3 As in mandate, the
(negotiorum) gestor must, however, not have acted solely in his own
interest. The negotium has to be alienum, or alterius; it may be alienum
et suum, but it may not be suum tantum. 4 Like mandate, negotiorum
gestio gives rise to an imperfectly bilateral relationship. There is, first of
all, an actio directa, by means of which the principal may sue the gestor
for damages in case of mismanagement and for the restoration of
whatever the latter might have acquired in the course of executing the
gestio. 5 The gestor, on the other hand, may avail himself of the actio
negotiorum gestorum contraria, if and when he has incurred any
expenses or suffered damages. 6 So close are the parallels between the
mutual claims of gestor/principal and mandatarius/mandator that the
BGB, in fact, refers the reader in its title dealing with negotiorum
gestio to what has been laid down with regard to mandatum. 7 As a
consequence, the same problems have to be solved in both areas,
particularly those arising from the narrow formulation of § 670 BGB.
(b) Difference
The main difference between mandatum and negotiorum gestio is that
1
Book II, Section VII, Title X: Mandate; Title XI: Negotiorum gestio.
2
Cf. generally on the relationship between negotiorum gestio with contract and mandate
S.J. Stoljar, "Negotiorum gestio", in: International Encyclopedia of Comparative Law, vol. X,
17 (1984). nn. 6 sqq.
" For Roma n la w cf. Seller, Negotiorum gestio, pp. 10 sqq.; for modern German la w:
Hans Hermann Seiler, in: Miinchener Kommentar гит BGB, vol. Ill, 2 (2nd ed., 1986), § 677,
n. 2; for Roman-Dutch law: D.H. van Zyl, Negotiorum gestio in South African Law (1985)
pp. 11 sqq.
For Roman la w cf. Seller, Negotiorum gestio, pp. 16 sqq.; for modern German law:
Seiler, in: Miinchener Kommentar, op. c i t . , note 3, § 677, nn. 3 sqq.
5
For Roma n la w, see Ka ser, RPr I, pp. 589; for modern Germa n la w: Christian
Wollschlager, Die Gescliajisft'ihrittig oime Aitftrag (1976), pp. 262 sqq. and § 681 BGB; for
Roman-Dutch and South African law: Van Zyl. Negotiorum gestio, pp. 49 sqq.; generally:
Stoljar, op. cit., note 2, nn. 258 sqq.
For Roman law: Kaser, RPr I, p. 590; for modern German law c{. § 683 BGB and Seiler,
in: Miinchener Kommentar, op. c i t . , note 3, § 683, nn. 1 sqq.; for Roman-Dutch and South
African law: Van Zyl, Negotiorum gestio, pp. 67 sqq.; generally: Stoljar, op. cit., nn. 66 sqq.
7
Cf. § 681 referring to §§ 666-668 and § 683 referring to § 670 BGB.
433
H
May the dominus ncgotii, by way of ratification (ratihabitio), transform what was
originally (or might have been) negotiorum gestio into a contract of mandatum? In post-
classical andjustinianic times, it was evidently thought that he could. Cf, most clearly, Ulp.
D. 46, 3, 12, 4 (". . . rati enim habitio mandato comparator"); Ulp. D. 50, 17, 60: "Semper
qui non prohibet pro se intervenire, mandare creditur. sed et si quis ratum habuent quod
gestum est, obstringitur mandati actione" (both texts itp.). Ratihabitio, in other words,
provides the basis for a (fictitious) consent. In classical Roman law, however, ratihabitio
was not of much significance. More particularly, for the granting of the actio negotiorum
gestorum contraria it did not matter whether the principal had subsequently approved the
transaction; what mattered was whether the gestio had been "utiliter", Ratihabitio could,
however, limit the gestor's liability where negotium had been "male gestum"
(Pomp./Scacv. D. 3, 5, 8); in certain other instances it could have the effect of bringing
into existence a relationship of negotiorum gestio (esp.: collection of debts owing to the
principal; С 2, 18, 9: "Si pecuniam a debitore tuo Iulianus exegit eamque solutionem ratam
habuisti, habes adversus eum negotiorum gestorum actioncm" (Ant.)), but never of
mandatum (for all details, see Seller, Negotiorum Gestio, pp. 61 sqq.). Confusion in the
sources, as usual, created confusion amongst the writers of the ius commune. Some related
ratihabitio to mandatum, others to negotiorum gestio, and there were even those who
abandoned the mutual exclusivity of both these institutions and maintained elective
concurrence of the actions arising from mandatum and negotiorum gestio as a consequence
of ratihabitio.
9
Cf. Gluck, vol. 5, pp. 333 sqq.; Van Zyl, Negotiorum gestio, pp. 20 sq.
On Negotiorum gestio and quasi-contract generally, see Stoljar, op. cit., note 2,
nn. 11 sqq.
10
Inst. Ill, 27.
11
Cf. supra, pp. 20 sq. The same tendency is already apparent in post-classical, Byzantine
law. Thus, the establishment of a duty, on the part of the principal, to ratify the actions of
the gestor is an attempt to assimilate negotiorum gestio and contract. Cf, also Ulp. D. 50,
17,12 60 (first sentence).
Cf, for example, Ruhstrat, "Beitrage zur Lehre von der Negotiorum Gestio", (1849)
32 Archiv fur die civitistische Praxis 184 sqq.
- Cf. the discussion in Wollschlager, op. cit., note 5, pp. 44 sqq. Thus, for instance, the
requirement that the gestor must have acted in accordance with the interest and the actual or
presumptive wishes of the principal, which § 683 BGB Says down for the actio negotiorum
gestoru m contraria, has very often been promoted to a general requirement for negotiorum
gestio. Critical (apart from Wollschlager) also, for example, Seller, in: MUnchener Kommentar,
op. cit., note 3, § 677, n. 43.
14
This is also emphasized, for instance, by Schulz, CRL, p. 624; Stoljar, op. cit., note 2,
nn. 1 sqq., 24 sqq.
ь
Seiler, Negotiorum gestio, pp. 332 sqq.; Kastr, RPr I I , pp. 417 sq.
16
As to R o ma n-Du tc h a n d Sou th Afri ca la w, cf. Va n Zyl, Ne g otio ru m g e stio , p. 8
(". . .except to a very limited extent, the South African law of negotioru m gestio is the sa me
as that recognized by the la w of Justinian"). On negotioru m gestio in Louisiana, seeJ.M.
Solis, "Mana gement of the Affairs of Another", (1961 -62) 36 Tulane LR 108 sqq.
ь
D e ju re be l l i a c p a d s, Li b. I I , Ca p . X , 9.
18
§ 228 I 13 PrALR; § 1035 ABGB. French law. on the other hand, recognizes the
negotioru m gestio; cf. artt. 13 72 sqq. code civil a nd Stoljar, op. cit., note 2, nn. 31 sqq.
Cf. e.g. John P. Da wson, Unjust Enrichment (1951), pp. 139 sqq.; Stoljar, op. cit., note
2, n. 17.
20
John P. Dawson, "Negotiorum gestio; The Altruistic Intermeddler", (1961) 74 Harvard
LR 817.
21 Z2 2i
D. 50, 17, 36. Schulz, Principles, pp. 140 sqq. Schulz, Principles, p. 140.
4
~ Schulz, Principles, p. 238 even maintains that " 'Roman individualism' is nothing but a
legend".
2:1
Cf. e.g. Schulz, Principles, pp. 189 sqq., 223 sqq.; Wieacker, Vom romischen Recltt,
pp. 14 sqq.; more specifically for negotiorum gestio: Theo Mayer-Maly, "Problcme der
negotiorum gestio", (1969) 86 ZSS 420 sqq.
a
Cf. supra, e.g. pp. 115, 119, 131.
27
Schulz, CRL. p. 624.
2S
Ulp. D. 3, 5. 1.
29
Moritz Wlassak, Zur Geschichte der negotiorum gestio (1879), pp. 39 sqq.; Seller,
Negotiorum gestio, pp. 2 sq., 11 sq., 38 sq.; 47 sq.
* Iul. D. 5, 1, 74, 2; Pap. D. 3, 5, 30, 2; Pap. D. 3, 5, 30, 7; Paul. D. 3, 5, 40 ct al. The
gestor ■was thus avoiding missio in bona and, as its consequence, infamia.
31
Iav./ Lab. D. 3, 5, 42; Ul p. IX 3, 5, 5, 3; С 2, 18, 12 (Al ex.) et al.
32
Cf. e. g. Afr. D. 3, 5, 45 pr. (i n fi ne) and 1; Pap. D. 30, 5, 30 pr. and 31 pr.
33
Cf. e.g. Iul. D. 46, 3, 34, 4; Paul. D. 3, 5, 22; Ulp. D. 3, 5, 5, 4.
14
Cf. e. g. Proc./ Pomp. D. 3, 5, 10; Afr. D. 3, 5, 45 pr.
35
Seller, Negotiorum gestio, e.g. pp. 314 sqq.; Kaser, RPr I, p. 587. On procuratio and
negotiorum gestio specifically, see Watson, Obligations, pp. 193 sqq.; Seller, Negotiorum
gestio, pp. 104 sqq.
%
Cf. Lenel, EP, p. 105.
37
The early history of negotiorum gestio and, particularly, of the formulae is largely a
matter of conjecture. Much of what is si mply stated in the text has been disputed. Thus, for
instance, according to Magdelain, Consensualisme, pp. 181 sqq., there was only the iudicium
ex iure civili; the formulae in factum conceptae never existed. Hans Kreller, "Das Edikt de
negotiis gestis in der Geschichte der Geschaftsbesorgung", in: Festschrift Paul Koschaker, vol.
II (1939), p. 207 sqq. and Vicenzo Arangio-Ruiz, // mandate in diritto romano (1949), pp. 29
sqq. maintain that the civilian iudicium was older than the praetorian one. Josef Partsch,
Studien гиг negotiorum gestio (1913), pp. 34 sqq. has argued that the iudicia based on
negotiorum gestio were narrowly defined (negotia absentis; sine mandatu); in all other cases
actioncs utiles were granted. Against these and other hypotheses, see Seller, Negotiorum
gestio, pp. 316 sqq.
38
Seilcr, Negotiorum gestio, pp. 47 sqq.; 320 sq.
34
Cf. Ulp. D. 3, 5, 3 pr. (containing, possibly, originally the word "absentis" in the place
of "alterius").
40
Owing t o their conservatism?: Mayer- Maly, (1969) 86 ZSS 419.
41
Seiler, Negotiorum gestio, pp. 48 sqq., 323 sqq.; Kaser, RPrl, p. 589.
42
See, too, Seiler, Negotiorum gestio, pp. 3 sq.
43
" Die M c nsc he n h ulfe im Priva tre c ht", (18 8 7) 2 5 » 4 2 sq q. Cf. also Ernst Ra be l,
"Ausba u oder Verwischung des Syste ms? Zwei praktische Fragcn", (1919-20) 10 RheinZ
94 sqq.
44
F o r t h e s e a n d f u r t h e r e x a m p l e s , se e W o l l s c h l a ge r , o p . c i t . , n o t e 5 , p p . 2 4 s q .
4э
For details W ollschlager, op. cit., note 5, pp. 28 sqq.
46
In modern German law, this is true even in many rescue cases, for according to § 323 с
StGB, everybody is under a duty to render aid in an accident or common danger or emergency
situation where aid is needed and may be expected under the circumstances.
47
So called "Auch-gestioti": Seller, in: Milnchener Kommenlar, op. cit., note 3, § 677, nn. 9,
15; Roland Wittmann, Begriffund Funktionen der Geschaftsfiihrung ohne Auftrag (1981), pp. 10
sqq.; Werner Schubert, "Der Tatbestand der Geschaftsffihrung ohne Auftrag", (1978) 178
Arckivjur die civilistische Praxis 425 sqq., 439 sqq.; Karl-Heinz Gursky, "Der Tatbestand der
Geschaftsfuhrung ohne Auftrag", (1985) 185 Archiv jiir die civilistische Praxis 13 sqq.
4R
For further criticism of the theory of human help cf. Wollschlager, op. cit., note 5,
pp. 28 sqq., 38 sqq.; Stoljar, op. cit., note 2, nn. 19 sqq.; Seiler, in: Miinchener Kommentar,
op. cit ., not e3, Vor §677, n. 1; § 677, n. 12.
49
Seiler, Negotiorum gestio, pp. 38 sqq.
50
Ulp. D. 3, 5, 3, 10. For all details, see Seiler, Negotiorum gestio, pp. 40 sqq.
51
Ulp. D. 3, 5, 5 pr.
32
Cf. e.g. Paul. D. 3, 5, 33; for details see Ernst Rabel, "Negotium alienum und animus",
in: Studi in onore di Pietro Bon/ante, vol. IV (1930), pp. 296 sqq.; Seiler, Negotiorum gestio, pp. 42
sqq. The gestor, under these circumstances, was presumed not to have acted with the
intention of recovering his expenses. On the animus recipietidi (as opposed to the animus
dona ndi) as a requirement for the actio negotiorum gestorum contraria, see Gluc k, vol. 5,
pp. 345 sqq., 383 sq.; Windscheid/Kipp, § 430, 2; Van Zyl, Negotiorumgeslio, pp. 33, 37 sqq.;
but see also Fritz Pringsheim, "Animus donandi", (1921) 42 ZSS 310 sqq. Today cf. § 685
BGB: "The manager does not have any claim if he did not have the intention to demand
compensation from the principal. If parents or grandparents furnish maintenance to their
descendants, or the latter to the former, it is to be presumed, in case ot doubt, that there is
no inte ntion to de ma nd c om pe nsation from the recipie nt."
53 S4
Stoljar, op. cit., note 2, nn. 6 sqq. Mayer-Maly, (1969) 86 ZSS 418.
^ For a detailed discussion on tutela/pro tutela and negotiorum gestio, sec Seiler,
Negotiomm gestio, pp. 145 sqq., 208 sqq. 1 Seiler, Negotiorum gestio, pp. 16 sqq. 5_7 § 677
BGB.
эН
Wollschlager, op. dr., note 5, pp. 52 sqq. 5 4
Witt mann, op. at., note 47, pp. 18 sqq.
60
This is the view that dominated during the centuries of the ius commune. Intention to
act as a negotiorum gestor has been an essential requirement from the days of the glossators,
vi a t he Ro man-Dut ch aut hors down t o modern Sout h Afri can l aw: Van Zyl , Negoti orum
gestio, pp. 34 sqq.; cf. further Witt mann, op. cit., not e 47, pp. 48 sqq. Many of the
pandectists, however, do not mention the animus negotia aliena gerendi among the
requirements of negotiorum gestio; cf. Cluck, vol. 5, p. 345; Vangerow, Pandekten, § 664;
Arndts, Pandekten, §§ 297 sq.; Dernburg, Pandekten, vol. II, § 122.
61
Aus nachgelassenen und kleineren verstreuten Schriften (1931), pp. 88 sqq.
62
S al v a t o re Ri c c o b o no , S c ri t t i d i d i ri t t o ro m a n o , v ol . I I ( 1 9 64) , p p. 1 s q q., 7 3 s q q.
63
E rnst Rabe l , S tu di Bo nf an te , vol . I V , pp. 279 sq q.; Sci l cr, Ne go ti o ru m ge sti o, pp. 22 sq q.;
K a s e r, R P r I , p. 5 8 8; i de m , R P r I I , p. 4 1 8 ; W i t t m a n n , o p. ci t ., n o t e 4 7, p p. 3 9 s q q.; b ut se e
a l s o M a ye r - M a l y, ( 1 9 6 9 ) 8 6 Z S S 4 2 6 s q q ; H o n s e l l / M a y c r - M a l y/ S c l b , p . 3 4 9 .
64
"A fre e m a n who doe s n ot kno w his status as a fre e m an an d se rve s in good faith as
a n o t h e r 's s l a v e ": B e r ge r , E D , p . 5 6 2 .
65
L ab./ P a ul . D . 3, 5, 18 , 2; U l p. D . 3 , 5, 5, 7; P a ul . D . 3, 5, 35; Se l l e r, Ne g o t i o rum g e st i o ,
pp 95 sqq.
6fi
67
Ulp. D. 3, 5, 5, 1.
6
Ulp. D. 3, 5, 5 pr.
Afr. D. 3, 5, 48. The correct interpretation of this text (interpolated?) is a controversial
matter. Cf., most recently, Seiler, Negotiorum gestio, pp. 26 sq.; Mayer-Maly (1969) 86 ZSS
417; D.H. van Zyl, Die Saakwaarnerningsaksie as Verrykingsaksie in die Suid-Afrikaanse Reg
(unpublished Dr. iur. thesis, Leiden, 1970), pp. 29 sqq.; Wollschlager, op. cit., note 5,
pp. 43 sq.
6S
C f . e . g. Se l l e r , i n: Mi m c h e n e r Ko m m e n t a r , o p . c i t . , n o t e 3 , § 6 7 7 , nn . 3 s q q. , 18 .
70
On v ol unt a ri ne ss a nd ami ci t i a, se e Se l l e r, Neg ot io ru m g e st io , pp. 38 sq q. On abse nt i a, se e
Se i l e r, Ne g o t i o ru m g e st i o , pp. 47 sq q.; V an Z yl , Ne g o t i o ru m g e st io, p p. 28 sq q., b ut al so
G r o t i u s , I n l e i d i n g , I I I , X X V I I , 1 ; St o l j a r , o p . c i t . , n o t e 2 , n n . 7 1 sq q .
71
U l p. D . 3, 5, 9, 1; f o r de t a i l s , se e Se i l e r , N e g o t i o ru m g e st i o , p p. 5 1 s q q.
72
Ce l s. / U l p. D . 3, 5 , 9 , 1 - On ne ce ssi t as and ut i l i t as, se c M a ye r -M al y, ( 1969) 86 ZS S 423.
Cf., fo r e xa mpl e , Pomp. D . 3, 5, 10. A cc ordi n g t o Se i l e r, Ne go t io rum ge st i o , pp. 54 sqq.,
this difference reflects the dual origin of negotiorum gestio in procuratorship/curatorship on
the one hand and cases of emergency help on the other; cf. also pp. 109 sq.
74
Si mi l a r l y m o de r n S o u t h A f r i c a n c a s e l a w ; c f. V a n Z yl , Ne g o t i o ru m g e st i o , p p. 4 2 s q q .
75
A u gu s t S t u r m, D a s n e g o t i u m u t i l i t e r g e st u m ( 1 8 7 8) , p p . 1 0 4 sq q . C f . a l s o Wi n d s c he i d/
Kipp, § 430, 2 b; for the notion of utility in modern law, cf. Stoljar, op. cit., note 2,
nn. 83 sqq.
76
U l p . D . 3, 5, 9 , 1 . T h e s a m e a p p l i e s i n m o d e r n l a w ; c ( . e . g. S e i l e r , i n : M i i n c h e n e r
Ko m m e n t a r, o p . ci t . , n ot e 3, § 6 8 3 , n. 1 6 . F o r t h e i u s c o m m u n e , s e e V a n Z yl , N e g o t i o r u m
g est io, p. 42.
77
Cf. U l p. D . 17, 1, 5 0 pr. an d Se i l e r, Ne go t io ru m ge st io , pp. 59 sqq.; V a n Z yl , Ne g o t io rum
g e s t i o , p p . 4 3 s q . D i f f e r e n t l y, f o r e x a m p l e , § § 6 7 7 , 6 8 3 B G B .
78
B ut e ve n t h i s w a s c o nt r o v e rs i al : c f . C . 2 , 1 8 , 2 4 ( J u st .) ; f o r a l l d e t ai l s, se e Se i l e r ,
Ne g o t i o ru m g e s t i o , p p . 8 6 s q q . C f . al s o G l i i c k , vo l . 5 , p p . 3 3 8 s q q .
R at i h a bi t i o i n cl a ssi c al R o m a n l a w w a s, of c o u rse , n ot a re q ui re me nt f or t he a ct i o
n e go t i o r u m ge st o r u m e i t h e r; c f . s u p r a , p . 4 3 4 , n o t e 8; i n p o s t - c l a s si c a l t i m e s, h o w e v e r , a
dut y on t he pa rt of t he pri nci p al t o rat i f y t he a ct i ons of t he ge st or ( i f t he y we re uti li t e r) se e ms
t o h a v e b e e n r e c o gn i z e d : c f . B a s . L i b . X V I I , T i t . I , I X ( H e i m ba c h , v o l . I I , p . 2 1 0 ) . .
80
S t olj ar, o p. ci t ., not e 2, nn. 66 sq q.
81
W o l l s c h l a ge r , o p . c i t ., n o t e 5 , p . 3 2 .
82
F u rt he r m o r e , t he l a w o f d e l i c t t o d a y l a r ge l y s at i s fi e s t he d e m a n d f o r a l i a b i l i t y o f t h e
ge st o r fo r d a m a ge s, a n d i t i s t he r e f o re oft e n n ot ne ce ss a r y t o re s o rt t o t he a ct i o ne go t i o r u m
ge s t o r u m d i r e c t a .
нз
For mo de rn Ge r ma n l a w cf. e .g. Se il e r, i n: Mii nc he ne r Ko m m e n ta r, op. ci t ., not e 3, §683,
nn. 3 sqq.
4
Cf. supra, pp. 431 sq.
85
Cf. e. g. Wol lschl ager, op. cit., not e 5, pp. 286 sqq.; Wi tt ma nn, op. cit ., not e 47,
pp. 81 sqq.; Seil cr, in: Munchener Kommentar, § 683, nn. 18 sqq.; St oljar, op. cit., not e
2, n. 69.
56
BGHZ 38, 270 sqq. For det ail s and criti cis m, see Wol lschl ager, op. cit ., not e 5,
pp. 305 sqq.; Rainer Frank, "Die Selbstaufopfcrung des Kraftfahrers i m Strassenverkehr",
1982 Juristenzeitung 737 sqq.
57
Franz von Ktibel, in: Werner Schubert (ed.), Die Vorentwurfe der Redaktoren zum BGB,
Recht der Schuldverhahnisse 2 (1980), pp. 978 sq.
m
% 683 BGB.
89
Wollschlager, op. cic., note 5, pp. 313 sq.
911
Hans Hermann Seiler, "Uber die Vergiitung von Dienstleistungen des Geschaftsfiihrers
ohne Auftrag", in: Festschrift fur Heinz Hiibner (1984), pp. 239 sqq.
91
Cf. supra, p. 420, note 53.
92
Wollschlager, op. c i t . , note 5, pp. 311 sqq.; Seller, in: MUnchener Kommentar, op. cit.,
note 3, § 683, nn. 24 sq.
93
In general, see Stoljar, op. cit., note 2, nn. 258 sqq.
94
Cf. e.g. Schulz, CRL, p. 621 (liability for omnis culpa); Franz Haymann, "Die Haftung
des negotiorum gestor wcgen Verschuldens im klassischen und iustinianischen Recht", in:
Atti del congresso internazionale di diritto roimmo, vol. II (1935), pp. 451 sqq. (liability for dolus
only); Arangio-Ruiz, Responsabilitd, pp. 205 sqq. (liability at first only for dolus, but towards
the end of the classical period also for culpa). Cf. further Erich Sachcrs, "Die Haftung des
auft ragsl osen Geschaft sfuhrers", (1938) 4 SDH/ 309 sqq. and, especi ally, Hans Hermann
Scilcr, "Zur Haftung des auftraglosen Geschaftsfuhrers im romischen Recht", in: Studien im
romischen Recht (1973), pp. 195 sqq.
9э
Cf. e.g. Gluck, vol. 5, pp. 351 sqq.
96
Cf al so С 2, 18, 20, 1 (Di ocl . et. Max. ).
97
For what follows, see Seiler, op. cit., note 94, pp. 196 sq.
9R
Cf. supra, pp. 198 sq.
99
Also emphasized by Stoljar, op. cit., note 2, n. 26.
100
The same considerations apply in the case of tutela; the tutor's liability therefore came
to be extended, not restricted, by the classical lawyers. The actio tutelae was closely related
to the ac tio ne g otioru m ge storu m a nd wa s also base d on b ona fide s. Cf. Ka ser, RPr I,
pp 365 sq.
For details, see Seiler, op. cit., note 94, pp. 197 sqq.
102
U lp . D . 3 , 5 , 3 , 9 .
103
On the position injustinianic law cf. De Robertis, Responsabilitd, pp. 501 sqq.; but see,
as to Inst. Ill, 27, 1 ("exactissima diligentia"), Seiler, op. cit., note 94, pp. 200 sq.
104
Cf. e.g. Gliick, vol. 5, pp. 365 sqq.; Pothier, "Traite" du quasi-contrat negotiorum
gestio" (appendix to Traite du contrat d( mandai), nn. 208 sqq.; Windscheid/Kipp, § 430, 1.
See also Van Zyl, Negotiorum gestio, pp. 60 sqq.
105
Cf. also §§ 234,° 237 I 13 PrALR, art. 420 II OR.
106
Cf. also § 249 I 13 PrALR, § 1040 ABGB, art. 420 III OR.
107
Cf. § 683 BGB and supra.
The authors of the ius commune debated whether the gestor was liable for culpa levis
or also culpa levissima: cf. the discussion and references in Gluck, vol. 5, pp. 352 sqq., and
Hoffmann, Fahrliissigkeit, pp. 44 sq., 63, 95 sq., 143 sqq., 213. The BGB does not draw this
distinction; it differe ntiate s only be twee n c ulpa, c ulpa lata a nd dilige ntia qua m in suis
(cf. Ǥ 276 sq.).
10
Cf. the ge neral types of situation as listed by Stoljar, op. cit., note 2, nn. 92 sqq.;
further Wollschlager, op. cit., note 5, pp. 76 sqq.; Johann Georg Helm, "Geschaftsfiihrung
ohne Auftrag", in: Gutachten und VorscMage zur Uberarbeitung des Schuldrechts, vol. Ill (1983), pp.
344 sqq.
110
For instance, the problem of the right of recourse of a person who ha s paid somebody
else's debt is often solved today by way of cessiones legis (assignment by operation of law)
and similar devices; cf. e.g. Helm, op. c i t . , note 109, pp. 351 sqq.
111
Cf., for exa mple, the self-sacrifice of a motorcar driver, supra, p. 444.
112
Helm, op. cit., note 109, pp. 385 sqq. "3 (1887) 34 ChD 234 (CA) at 248.
114
"Rewards for the Rescue of Human Life?", in: XXth Century Comparative and Conflicts
Law,
115
Legal Essays in Honor of Hesse! B. Yntema (1961) p. 142.
Stoljar, op. cit., note 2, nn. 25, 59. Cf further, Heilman, "The Rights of the
Voluntary Agent Against His Principal in Roman Law and in Anglo-American Law", (1926)
4 Tennessee LR 34 sqq., 76 sqq.: Peter Birks, "Negotiorum gestio and the Common Law",
(1971) 24 Current Legal Problems 110 sqq.; idem, "Restitution for Services", (1974) 27 Current
Legal Problems 13 sqq.; Van Zyl, Negotiorum gestio, pp. 170 sqq. On the American Restatement
of Restitution (where § 2, due to its prominent position, obscures the fact that in reality it
contains a body of rules bearing a considerable resemblance to the civil law) cf. Stoljar, op.
cit.,
1!fl
note 2, nn. 60 sqq.
This point has, most recently, been elaborated by Lee J.W. Aitken, "Negotiorum
gestio
117
and the Common Law: A Junsdictional Approach, (1988) 11 Sydney LR 566 sqq.
fenkins v. Tucker (1788) 1 H Bl 90; Ambrose v, Kerrisem (1851) 10 CB 776; Aitken, (1988)
1111Sydney LR 571 sqq.
Closely related to negotiorum gestio; the praetor granted an action to a person who
arranged a funeral at his own expense without being obliged to do so (Bcrgcr, ED, p. 343);
for details cf. e.g. Ulp. D. 11, 7, 12, 2 sqq.; 11, 7, 14, 7 sqq.; Kaser, RPrll, p. 418; Stoljar,
op. cit., note 2, n. 160. Why was this situation not absorbed by the institution of negotiorum
gestio? There is a strong public interest in a prompt and proper disposal of the body (cf. Ulp.
D. 11,7, 12, 3 "пе insepulta corpora iacerent"); thus the claim lies even if the gestor has acted
against the heir's wishes: cf. Ulp. D. 11, 7, 14, 13; Seiler, Negotiorum gestio, pp. 89 sq. In later
centuries, actio funeraria and negotiorum gestio merged; today, § 679 BGB takes care of the
proble m, whe n it states: "The fact that the ma na ge me nt ot the matter is oppose d to the
wishe s of the princ ipal is not ta ke n into c o nside ra tion if, with out the m a na ge m e nt of
the matter, a duty of the principal, the fulfilment of which is of public interest, . . . would
not be fulfilled in due time."
119
Stoljar, op. cit., note 2, nn. 58, 161.
'"° Holds worth, vol. VIII, pp. 269 sqq.; for details of the modern law cf. Goff and Jones,
Restitution, pp. 280 sqq. On maritime salvage in Roman-Dutch law, see Van Zyl, Negotiorum
gestio, pp. 14, 74 sqq.
121
Stoljar, op. cit., note 2, n. 58. For details, see, for example, Goff and Jones, Restitution,
pp. 264 sqq.; Aitke n, (1988) 11 Sydney LR 585 sqq., 591 sqq.
122
Goff and Jones, Restitution, p. 264; for the historical background, see Holdsworth, vol.
VIII pp. 248 sqq.
]2i
Cf. e.g. Buc kla nd/Mc Nair, p. 336.
124
Cf. for example, the criticism by Goff and Jones, Restitution, p. 267; Stoljar, op. cit.,
note 2, n, 136.
125
In re Rhodes (1890) 44 ChD 94 (CA); for further details, see Stoljar, op. cit., note 2, nn.
134 sqq.
12f
' Goff and Jones, Restitution, pp. 278 sq.; cf also Aitken, (1988) 11 Sydney LR 566 sqq.,
who points out that the historical connection between the—at first blush—rather
* heterogeneous instances in which English law permits the recovery of expenses of those who
Люе intervened without prior solicitation in the affairs of others is jurisdictional: they were
alronne cte d with either the Court of Ad m iralty or with the ec cle siastica l c ourts. The se
coins were controlled by civilian-oriented jurists who therefore had no hesitation to draw
upom he doctrine of negotiorum gestio.
127
Wagner v. International Railway Co. 232 NY 176, 133 NE 437 (1921) at 437 sq. Cf.
further e.g. Haynes v, Harwood [1935] 1 KB 146 (CA).
128
Cf. e .g. W ollsc hla ger, op. cit., note 5, pp. 284 sqq.; W ittm a nn, op. cit., note 47,
pp. 65 sqq.; A.K. Blom maert, "Ne gotiorum gestio a nd the Hfe-rescuer", 1981 TSAR 123
sqq., 127 sqq. For a comparative analysis relating to rescue of life or limb cf. Stoljar, op. cit,,
note 2, nn. 242 sqq.
139
The latter situation is a comparatively rare phenomenon in life, although it dominates in
philosophical discussions about suicide (according to Camus, Le Mythe de Sisyphe, p. 15, the
only question that really matters), and particularly in theatre, opera and literature. In reality,
attempted suicides are the rule, and they cannot simply be regarded as failures to com mit
suicide. As a rule, it is a very am bivalent will that underlies the suicidal act. For further
information, see Reinhard Zim merma nn, "Self-Determination, Paternalism Huma n
Care?", 1979 ТЙЛЙ 183 sqq. On suicide in Roman law, see Andreas Wacke, Selbstm ord
im romische n Rec ht und in der Rec htsentwic klung", (1980) 97 ZSS 26 sqq:
130
§ 683 BGB.
131
Rei nhard Zi mmer mann, "Der Sel bst mord al s Gefahrdungssachverhalt —Aufwen-
dungs- odcr Schadensersatz fur den Retter?", 1979 Zeitschrift fur das gesamte Familienrecht>*
103 sqq. i
Societas
I. ROMAN LAW
1. The nature of societas
The fourth of the consensual contracts was societas (partnership).
Unlike sale or hire, it is not a transaction in which the parties'
performances are reciprocal. A socius does not give or do anything in
order to receive a counterperformance from his fellow socii. Societas is
thus not based, primarily, on an antagonism of interests; its essence is
the pooling of resources (money, property, expertise or labour, or a
combination of them) for a common purpose. Socii, in the words of
Daube, are not bent on getting the utmost out of each other; they are,
in the first place, "friends", pursuing their common interests against
third parties. 1
1
Da vid Da ube, "Societas as Consensual Contract", (1938) 6 Cambridge LJ 391. Cf.
generally Jacques Heenen, "Business and Private Organisations", in: International Encyclo
pedia of Comparative Law, vol. XIII, 1, nn. 15 sqq.; Joseph Story, Commentaries on the Law of
Partnership (5th ed., 1859), §§ 1 sqq., 15 sqq.
2
Cf. e.g. Ernst Levy, "Ne ue Bruc hstuc ke aus den Institutionen des Gaius", (1934) 54
ZSS 258 sqq.
3
W h y? Has this passa ge be e n o m itte d inte ntiona lly fro m the Vero nese m a nusc ript
(which is from the late 5th century) because it dealt with an entirely outdated and obsolete
institution, the discussion of which appeared to be unnecessary for elementary instruction
purposes? Cf. e.g. Le vy, (1934) 54 ZSS 270 sqq., but also Fra ncis de Zulueta, "The Ne w
Fragments of Gaius (PSI. 1182)", (1934) 24 JRS 182.
451
4
Cf. today Gai. Ill, 154 a, b. On this text, see particularly Franz Wieacker, Societas,
Hausgemeinschaft und Erwerbsgesellschaft (1936), pp. 126 sqq.; Mario Bretone, " 'Consortium'
с 'communio'",
5
(1960) 6 Labeo 168 sqq.
On which see, for instance, Kaser. RPr 1, pp. 99 sqq.; idem, "Neue Literatur zur
'societas'", (1975) 41 SDH/281 sqq.; Honsell/Mayer-Maly/Selb, p. 331; Voci, DER, vol. I,
pp. 59 sqq.; Vincenzo Arangio-Ruiz, La societa in diritto romana (1950), pp. 3 sqq.; Bretone,
(1960) 6 Labeo 177 sqq., Herman van den Brink, lus Fasque (1968), pp. 262 sqq.
6
Kaser, RPr I, pp. 50 sqq.; Voci, DER, vol. I, pp. 23 sqq.
7
H
Cf., above all, Wieacker, Societas, pp. 126 sqq.
Comparable, probably, to an in iure cessio; Kaser, (1975) 41 SDHI 284 sq. 9
10
Gai. Ш, 154 b.
On how this was done cf. infra, pp. 465 sq.
11
Wieacker, Societas, pp. 131 sqq., 153 sqq.; Kaser, RPr I, p. 573. Contra: Antonio
Guarino, Societas consensu contracta (1972), pp. 13 sqq. According to him, the classical
consensual societas has nothing to do, historically, with the pre-classical consortium. Only
pwf-classical law created a societas omnium bonorum that fulfilled a function comparable to
that of the old consortium. For a critical discussion of Guarino's views, see Kaser, (1975) 41
SDH/278 sqq.; cf. also Kascr, RPr II, pp. 410. Originally, societas does not seem to have
been able to be concluded sub condicione, for the question was disputed among the classical
lawyers (C. 4, 36, 6 (Just.); Paul. D. 17, 2, 1 pr.; itp.). According to Wieacker, Societas,
pp. 137 sq., this is one of the characteristics inherited by the consensual societas from the old
consortium. The formal act which created the consortium of old entailed a change of status
and could not therefore be conditional. Cf. also Arangio-Ruiz, op. cit., note 5, p. 121 sqq.;
Kaser, RPr I, p. 573. But see now Kaser (1975) 41 SDHI 305; Guarino, Societas, p. 13. For
yet12 another explanation cf. Watson, Obligations, pp. 130 sqq.
Alan Watson, "Consensual societas between Romans and the Introduction of
formulae", (1962) 9 RIDA 431 sqq.; cf. also idem, Evolution, p. 21.
13
Cf. e.g. Wolfgang Kunkel, "Ein unbeachtetes Zeugnis iiber das romische consortium",
in:1(1954) 4 Annales Faculte de Droit d'Istanbul 56 sqq.; Watson, loc. cit.
On argentarii socii cf, most recently, Alfons Burge, "Fiktion und Wirklichkeit: Soziale
und Strukturen des romischen Bankwesens", (1987) 104 ZSS 519 sqq.
15
Cf. Arangio-Ruiz, op. cit., note 5, pp. 22 sqq.; Ulnch von Liibtow, "Catos leges
venditioni et locationi dictae", in: Symbolae Raphael! Taubenschlag, vol. HI (1957), pp. 286
sqq.;
Л
Kaser, RPr I, pp. 573 sq.; Guarino, op. cit., note 11, passim.
Wieacker, (1952) 69 ZSS 491 sqq. Previously {Societas, pp. 131 sqq.) Wieacker had
emphasized exclusively the root of societas in consortium. For the opposite extreme (societas
was since old a profit-oriented business organization—societa di industria—and has no
historical connection with the consortium at all), see Guarino, Societas. But cf. Kaser, (1975)
4117SDHI 278 sqq.
Ulp. D. 17, 2, 5 pr.; cf. also Gai. Ill, 148; Inst. Ill, 25 pr. An example of alicuius
negotiationis is to be found in Ulp. D. 17, 2, 52, 4 ("|q]uidam sagariam negotiationem
coierunt") (for further details and examples — venalicii, argentarii, danistae, etc.— see
Arangio-Ruiz, op. cit., note 5, pp. 141 sqq.; on societatcs argentariae cf. Manuel J. Garcia
Garrido, "La sociedad de los banqueros ('Societas argentaria')", in: Studi in onore di Arnaldo
Biscardi, vol. HI (1982), pp. 377 sqq.); of unius rei is to be found in Ulp. D. 17, 2, 52, 13 ("Si
vicini semipedes inter se contulerunt, ut ibi craticium parietem inter se aedificarent ad onera
utriusque sustinenda"), and see Wieacker, (1952) 69 ZSS 501. For the later Republic, see
Watson, Obligations, pp. 134 sqq.
18
D. 17, 2, 7. On this type of societas cf. also Paul and Ulpian in D. 17, 2, 8-13.
Ferdinando Bona, "Contribute alia storia della 'societas universorum quae ex quaestu
veniunt' in diritto romano", in: Studi in onore di Giuseppe Grosso, vol. I (1968), pp. 383 sqq.,
395 sqq., argues that only Justinian made this the prototype of societas. But see e. g. Guarino,
op.19 cit., note 11, pp. 26 sqq.
Cf. Gai. Ill, 135, 154; cf. further, particularly, Daube, (1938) 6 Cambridge LJ 381 sqq.;
Arangio-Ruiz, op. cit., note 5, pp. 63 sqq.; Watson, Obligations, pp. 128 sqq.; Kaser, (1975)
41 SDHI 299 sq.; but see also Wieacker, Societas, pp. 72 sqq. Societas could be a bilateral or
even a plurilateral contract, depending on whether there were two or more socii; cf. e.g.
Arangio-Ruiz, op. cit., note 5, pp. 70 sqq. According to Guarino, op. cit., note 11, pp. 38
sqq., 82 sqq. the consensual societas typically comprised only two socii, and it was
essentially the structure of such a societa "dualistica" which was reflected in classical law. For
a critical discussion of this theory, see Kaser, (1975) 41 SDHI 321 sqq.
Cf. e.g. Ulp. D. 17, 2, 63 pr.: "Verum est quod Sabino videtur, etiamsi non
universorum bonorum socii sunt, sed unius rei, attamen in id quod facere possunt quodve
dolo malo fecerint quo minus possint, condemnari oportere. hoc enim summam rationem
habet, cum societas ius quodammodo fraternitatis in se habeat." This is the (later, i.e. since
the 16th century) so-called beneficium competentiae: condemnation of the debtor only in id
quod facere potest. Cf. further Ulp. D. 42, 1, 16; Wieacker, Societas, pp. 165 sq.; Watson,
Obligations, p. 144; Wicslaw Litewski, "Das 'beneficium competentiae' im romischen
Recht", in: Studi in onore di Edoardo Volterra, vol. IV (1971), pp. 546 sqq.; Joachim Gildemeister,
Das beneficium competentiae im ktassischen romischen Recht (1986), pp. 27 sqq. and pa ssim. Cf.
also Holdsworth, vol. VIII, p. 195.
21
Of course, this common pu rpose wa s not to be illegal, immoral or impossible,
otherwise the partnership was void; cf. Paul. D. 17, 2, 3, 3; Ulp. D. 17, 2, 57 and Thomas,
TRL, p. 302, who draws attention to the interesting English case of Everett v. Williams of
1725; cf. (1893) 9 LQR 196 sqq. ("Truth is stranger than fiction. The story of a highwayman
filing a Bill in Equity for an account against his partner . . . is correct after all").
22
Cf. Lend, EP, p. 297; Arangm-Ruiz, op. cit., note 5, p. 30; Kaser, (1975)41 SDH/290
sqq. ( " Quo d A s A 5 cu m № № so ci et at e m o mni u m bo no ru m coi i t , . . . " ). Di ff er ent l y
(wi thout t he words "o mni um bonoru m") Guari no, op. cit., not e 11, p. 11.
23
The classical societas was, in modern termi nology, a mere undisclosed association
("Innengeselhchaft"); it did not have any effects as far as third parties were concerned. For
details, see, for example, Arangio-Ruiz, op. cit., note 5, pp. 78 sqq.
24
Gai. Ill, 151. Cf. further Inst. Ill, 25, 4; Wieacker, Societas, pp. 285 sqq.
25
Also, of c ourse, if the partners m utually a gree d to e nd the ir association (cf. Knutel,
Contrarius consensus, pp. 124 sqq.), or if the period a gree d for the c ontinua nce of the
partnership expired.
26
Of a different opinion is Guarino, op. cit., note 11, pp. 56 sqq., 90 sqq., according to
who m onl y a soci et as co mpri si ng t wo socii was di ssol ved by re nunci at i on. A "soci et a
pluralistica", on the other hand, continued to exist if only one partner decided to withdraw.
Guarino draws the same distinction in cases of death, capitis deminutio and insolvency of
one of the partners; cf. Societas, passim and idem, "Solutio societatis", (1968) 14 Labeo 139
sqq. Contra: Wi esl aw Lit ewski, "Re marques sur l a dissol uti on de l a soci et e en droi t
romai n", (1972) 50 RH 70 sqq.; Kaser (1975) 41 SDH/ 325 sqq.; cf. al soJ. A. C. Thomas,
"Solutio societatis ex actione and dissensus sociorum", (1974) 48 Tulane LR 1103 sqq.
27
Gai. Ill, 151; Mod. D. 17, 2, 4; Inst. Ill, 25, 4. For further details Paul. D. 17, 2, 65, 3-6;
I.C. van Oven, " 'Societas in tempus coita' ", in: Studi in onore di Vincenzo Arangio-Ruiz, vol.
II (1953), pp. 453 sqq.; Ferdinando Bona, Studi sulla societa consensuale in diritto romano
(1973), pp. 117 sqq. The power to renounce at any ti me could not be excluded by way of
agreement bet ween the socii: Pomp./Ulp. D. 17, 2, 14; Paul. D. 17, 2, 17, 2; Wieslaw
Litewski, "Lcs effets juridiques du pactum ne societate abcatur" (1978) 25 RIDA 279 sqq.
2H
Cf. Gai. Ill, 153; but sec al so Ul p. D. 17, 2, 58, 2; Arangi o-Rui z, op. cit., not e 5, pp.
166 sqq.
29
Gai. Ill, 152. Cf. further e.g. Paul. D. 17, 2, 65, 9 sq.; Arangio-Ruiz, op. cit., note 5,
pp. 156 sqq. But see Watson, Obligations, pp. 131 sqq. "Qui societatem contrahit certam
personam sibi elegit" is also the reason for the rule socii mei socius meus socius non est (Ulp.
D. 17, 2, 20; Ulp. D. 50, 17, 47. 1). If, for instance, three socii run a taberna, and one of the
socii accepts a fourth person as a socius in order to let him work in the shop, the latter does
not beco me partner of the ori ginal soci et as. No. 1 and No. 4 form a subpartnership, of
which Nos. 2 and 3, since they have not agreed to it, do not form part (Ulp. D. 17, 2, 19).
Was No. 1 liable, towards Nos. 2 and 3, for the actions ot No. 4? According to Ulp. D. 17,
2, 21, he has to sue No. 4 and then to bring what he receives by way of damages into the
societas with Nos. 2 and 3. What if No. 4 (the sub-socius) is not able to pay damages? "Et
put o", says Ul pi an, "omni modo eum t eneri ei us no mi ne, quern i pse sol us admi sit. qui a
difficile est negarc culpa ipsius admissum." Does that mean that No. 1 is liable for culpa in
eiigendo? This is what the text has usually been understood to mean (cf. e.g. Eticnne Laffely,
Responsabilitedu "socius" et concours (factions dans la sodete classique (1979), pp. 36 sqq., 44 s q . ) .
Consequently it has often been regarded as spurious. It is more likely, however, that Ulpian
held No. 1 liable for breach of contract. He was not allowed, under the partnership
agree ment, to han d over th e mana ge ment of the tab erna to a su bpartner; the l atter has
therefore been able to cause the damages only as a consequence of No. 1 's culpa. Cf., in this
sense, Rolf Kniitel, "Die Haftung fur Hilfspcrsonen im rdmischen Recht", (1983) 100 ZSS
423 sqq.
30
On the "coincidence" in this respect of the contract of partnership with that of mandate
cf. Story, op. cit., note 1, § 270.
31
Cf. also Story, op. cit., note 1, §§ 317 sq.; "[Partnership) is a mutual and reciprocal
engagement of each partner with all the others, that the partnership shall be carried on with
joint aid and cooperation of all; and, therefore, the survivors ought not to be held bound to
continue the connection without a new consent, when the abilities, skill and character of the
deceased partner either were, or at least might have been, a strong inducement to the original
formation of the partnership"; Pothier, Тгапё du contrat de socicte, nn. 144 sqq.; Kaser.
(1975) 41 SDH/34.
32
Ul p. D. 17, 2, 35; Pomp. D. 17, 2, 59 pr.
33
Gai. Ill, 153; Arangio-Ruiz, op. cit., note 5, pp. 163 sqq.
34
Gai. Ill, 154; Mod. D. 17, 2, 4, 1.
35
Ul p. D. 17, 2, 63, 10; cf further P aul . D. 17, 2. 65 pr.; Ul p. D . 17, 2, 52, 14 and
T h o m a s , ( 1 9 7 4 ) 4 8 Tu l a n e LR 1 0 9 9 s q q .
36
Cf . i nf r a , p. 4 6 0 .
Г
37
Cf. e.g. Wieacker, (1952) 69 ZSS 503 sq. But see Paul. D. 17, 2, 65, 15 (dealing,
however, with societas vectigalium); Arangio-Ruiz, op. cit., note 5, pp. 176 sqq.; Kaser,
(1975) 41 SDMI 329 sq.; contra: Thomas, (1974) 48 Ttdane LR 1101 sqq.
Cf. in general Schulz, Principles, pp. 19 sqq., 140 sqq.; more specifically on societas, see
Schulz, CRL, p. 553; Franz Wieacker, "Das Gesellschaftsverhaltnis des klassischen Rechts"
(1952) 69 ZSS 315 sq. 39 But cf. infra, p. 459.
Cf. C. 8, 38, 2 (Alex.) ("Libcra matnmonia esse antiquitus placuit"). For societas d,
Paul. D. 17, 2, 70: "Nulla societatis in aeternum coitio est."
41
Gai. Ill, 150; Ulp. D. 17, 2, 29 pr.
42
43
Cf. Gai. Ill, 149; cf. the example discussed in Inst. Ill, 25, 2.
44
Ulp. D. 17, 2, 29, 1.
45
Cf. the report of the controversy in Gai. Ill, 149; Inst. Ill, 25, 2.
46
Cf. the discussion by Horak, Rationes decidendi, pp. 158 sqq.
Alan Watson. "The Notion of Equivalence of Contractual Obligation and Classical
Roman
47
Partnership", (1981) 97 LQR 279 sqq.
Evolution, p. 21.
48
Gai. Ill, 149; Inst. Ill, 25, 2.
49
Inst. III. 25, 2.
50
On the problems raised by capital-service partnerships (in which one partner
contributes money, the other services), see Ben Beinart, "Capital in Partnership", 1961 Асы
Juridka 124 sqq.; Bona, op. cit., note 27, pp. 24 sqq.; Kaser, (1975) 41 SDHI 312 sqq.
51
Arangio-Ruiz, Societa, op. cit., pp. 101 sqq.; Watson, Obligations, pp. 138 sqq. Contra
(such an arrangement was valid, not because it could be fair, but only when in fact it was fair)
Watson, (1981) 97 LQR 283 sqq. The answer turns on the correct interpretation of the words
"si52modo" in Gai. Ill, 149 and on whether UIp. D. 17, 2, 29, 1 is partly interpolated or not.
On Paul. D. 17, 2, 30 cf. Gluck, vol. 15, pp. 418 sqq.; Vangerow, Pandekten, vol. Ill,
pp. 471 sq.; Arangio-Ruiz, op. cit., note 5, pp. 97 sqq.; Horak, Rationes decidendi,
pp.53162 sqq.
Ulp. D. 17, 2, 29, 2.
54
Fabulae Aesopiae, I, 5. For details of its reception by Celsus, see Antonio Guarino, "La
societa col leone", (1972) 18 Labeo 72 sqq.
55
56
Ulp. D. 17, 2, 29, 2.
Cf. supra, pp. 252, 255 sqq.
57
On societas leonina in modern law cf. Gluck, vol 15, pp. 425 sq.; Pothier, Traite du
contrat de soctete, n. 12; Story, op. cit., note 1, § 18; art. 1855 code civil; Christian
Muller-Gugenberger, "Bemerkungen zur 'societas leonina': Fabel-haftes im Gesell-
schaftsrecht", in: Gesetzgebungstheorie, juristische Logik, Zivil- und Prozessrecht, Geda'chtnis-
schrift fur Jiirgen Rodig (1978), pp. 274 sqq.; J.J. Henning, H.J. Delport, "Partnership", in:
Joubert (ed.), The Law of South Africa, vol. 19 (1983), n. 370 (n. 30); Peter Ulmer, in:
MunchmerKommentar, vol. Ill 2 (2nd ed., 1986), § 705, n. 118; Heenen, op. cit., note 1, n. 22.
s>i
Gai. IV, 182; Arangio-Ruiz, op. cit., note 5, pp. 185 sq.; Watson, Obligations,
pp. 144 sqq.
Vl
Paul. D. 17, 2, 65 pr. makes it clear that the bringing of the action, in itself, imports
renunciation of the societas.
611
This obligation could, of course, be made indirectly enforceable by way of a slipulatio
poenae: cf. e.g. Ulp. П). 17, 2, 41 sq.; Paul. D. 17, 2, 71 pr.; on the latter text c(. Apathy,
Animus navandi, pp. 237 sqq.; Kniicel, SHpulatio poenae, pp. 66 sqq.
61
Cf., in particular, Wieacker, (1952) 69 ZSS 316 sqq. Contra: Guarino, (1968) 14 Labeo
158 sqq.; idem, Societd, pp. 77 sqq., but see Kaser, (1975) 41 SDHI 329 sqq.
62
Cf. infra, p. 462.
w
Ulp. D. 17, 2, 52, 15; Paul. D. 17, 2, 67, 2.
M
Paul. D. 17, 2, 65, 3.
M
Ulp. D. 17, 2, 73; Paul. D. 17, 2, 74.
ы>
Cf. e.g. Wieacker, (1952) 69 ZSS 326 sqq.
G7
Gai. IV, 61 (as restored in accordance with Inst. IV, 6, 30). Cf. further e.g. Kascr, RPr I, pp.
644 sq. 6 H Ulp. D. 17, 2, 52, 4. Cf. further Ulp. D. 17, 2, 52, 3 and Ulp. D. 17, 2. 58 pr.
and 1.
69
Lab. / Pomp. D. 17, 2, 60. 1.
70
Сf. the argumentum ad absurdum by Labeo (D. 17, 2, 60, 1): ". . . si propter
soci etatem eum heredem quis instituerc desisset aut legatum praet ermisisset aut patri mo-
nium suum neglegentius admi nisirasset: . . . " The same, of course, applies to gains made
merely "propter societatem"; cf. the example given by Bartolus, Commentaria, D. 17, 2, 61,
§ Socius 1: "Alio modo potest intelligi propter societatem, hoc est, quod societas fuit occasi o
remota. Verbi gratia: propter societatem habui necesse accedere ad curiam principis: et dum
coram principe tractarem negotia, placui principi, ex quo donavit mihi castrum: certe hoc
non facit contemplatione societatis, sed personae meae tantum: licet nunquam habuissem nee
accessissem, nisi propter societatem." For further discussion, see Peter Stein, "Julian and
Liability for Loss Suffered in the Execution of a Contract in Roman Law", 1956 Butterworth's
South African LJ 64 sqq.; Giuseppe Gandolfi, "Damnum commune", in: Studi in onore di
Edoardo Volterra, vol. HI (1971), pp. 527 sqq.; Karlheinz Misera, "Zur Gefahrtragung bei der
romischen societas", in: luris Professio, Festgabejiir Max Kaser (1986), pp. 201 sqq.
71
Cf. e.g. Franz Wieacker, "Haftungsformen des romischen Gesellschaftsrechts", (1934)
54 ZSS 35 sqq.; Arangi o-Rui z, op. cit., note 5, pp. 188 sqq.
72
Cass./Paul. D. 17, 2, 65, 3. Prerequisite, however: ". . . quod utique observandum est,
si dolo malo renuntiatio facta sit." Cf. further Paul. D. 17, 2, 65, 6; Bona, op. cit., note 27,
pp. 79 sqq., but see Kaser, (1975) 41 SDHI 335 sq.
73
Example: ". . . plane si quis in hoc renuntiaverit societati, ut obveniens aliquod lucrum
solus habeat, veluti si mihi totorum bonorum socius, cum ab aliquo heres esset relictus, in
hoc renuntiaverit societati, ut hereditatem solus lucri faciat, cogetur hoc lucrum
communicare" (Gai. Ill, 151); cf. also Cass./ Paul. D. 17, 2, 65, 3.
74
Paul. D. 17, 2, 65, 4.
75
For further texts cf. Paul. D. 2, 13, 9 pr.; Pom p. D. 17, 2, 59, 1; Ulp. D. 17, 2, 63 pr., 7.
76
Gai. D. 17, 2, 72; largely incorporated into Inst. Ill, 25, 9. Diligentia quam in suis in
D. 17, 2, 72 is usually taken to be of post-classical origin; cf. e.g. Wieacker, (1934) 54 ZSS
67 sqq.; De Robertis, Responsabilitd, pp. 549 sqq. But see Herbert Hausmaninger,
"Diligentia quam in suis", in: Festschrift fur Max Kaser (1976), pp. 271 sqq.; Laffely, op. cit.,
note 29, pp. 31 sq., 137; Liebs, RR, pp. 210 sq.
77
See, too, Hausmaninger, Festschrift Kaser, pp. 275 sq.
78
Ulp. D. 17, 2, 52, 2 in fine.
79
See Wieacker, (1934) 54 ZSS 57 sqq.
80
Cf., apart from Ulp. D. 17, 2, 52, 2 and Ulp. D. 13, 6, 5, 2, Paul. D. 17, 2, 65, 9; Ulp.
D. 50, 17, 23; Paul. Sent. II, XVI. These texts have al! been suspected of interpolation;
traditionally the liability of the socius for culpa has been regarded as being of post-classical
origin. Cf. particularly Wieacker, (1934) 54 ZSS 52 sqq.; but, see more recently, Laffely, op.
cit., note 29, pp. 22 sqq., 60 sqq., 137 sqq.; cf. also Hausmaninger, Festschrift Kaser, p. 275.
For a further interesting case of liability for culpa (in eligendo?) (also, possibly, spurious), cf.
supra, note 29.
81
Ul p. D. 17, 2, 52, 2.
82
Cf. supra, pp. 192 sq.
83
Cf. furt her Ul p. D. 17. 2. 52, 3.
84
The contribution of the partners to the societas could consist in money or other material
assets, expertise or labour (or, of course, a combination of these); cf. e.g. Ulp. D. 17, 2, 5,
1; Pomp. D. 17, 2. 6; Proc. D. 17, 2, 80. "Pretium eni m operae artis est velamentum" is a
somewhat cryptic way of expressi ng this idea; cf. Arangi o-Ruiz, op. cit., not e 5, p. 192;
Wieacker, (1934) 54 ZSS 48; Laffely, op. c i t . , note 29, p. 29.
a5
Cf. supra, pp. 397 sqq.
86
Cf. Wi eackcr, (1934) 54 ZSS 45 sqq.; Laffely, op. cit.. note 29, pp. 46 sqq., 52 sqq.
87
For detai ls, sec Wieacker, (1952) 69 ZSS 332 sqq. Conversel y, of course, the mere
existence of common property (res communes) did not entail societas, cither: UIp. D. 17, 2,
71; Pothier, Traite du contrat de societe, n. 2; Story, op. cit., note 1, § 3.
88
Cels./Ulp. D. 13, 6, 5, 15.
89
For details, see Kaser, RPr I, pp. 590 sqq. Differently Guarino, op. cit., note 11, pp. 60
sqq. (accordi ng t o who m soci et as coul d be co mbined wit h communi o onl y by way of a
special pactum adicctum); but see Kaser, (1975) 41 SDMI 293 sqq.
90
Paul. D. 10, 3, 1.
96
For an alternative way of organizing entrepreneurial activities (use of servi comm unes) cf.
Andrea Di Porto, Impresa coliettiua e schiavo 'manager' in Roma antica (II sec. a.C.—II sec. d.C)"
(1984). According to Di Porto, certain deficiencies of the Roman societas (as, for instance,
the instability of its structure) could thus be avoided. But see Alfons Biirge, (1988) 105 ZS S
856 sqq.
7
On the law of partnership under Justinian, see Guarino, op. cit., note 11, pp. 41 sqq.;
Kaser, RPrll , pp. 410 sqq.; i de m, (1975)41 SDH/ 318 sqq.
98
Inst. Ill, 25, 9; cf. further De Robertis, Responsabilita, pp. 545 sqq.
99
Cf. Hoffmann, Fahrlassigkeit, pp. 100 sq., 146 sqq., 215 sq.; Gliick, vol. 15, pp. 433 sqq.
100
The diligentia quam in suis in § 708 BGB has repeatedly been criticized, and the courts
have tried to limit its range of application in various ways. Cf, for example, BGHZ 46, 313
(317), relating to road-traffic situations; further Karsten Schmidt, "Gesellschaft burgerlichen
Rechts", in: Gutachten und Vorschlage zur Uberarbeitung des Schuldrechts, vol. Ill (1983), pp. 525
sqq.
1(11
D. 21, 1, 44, 1; cf further Ulp. D. 14, 1, 4 pr. and 1, Ulp. D. 14, 1, 1, 25, relating to a
partnership of cxerdtores; Paul. D. 2, 14, 9 pr.; Paul. D. 2, 14, 25 pr.; Paul. D. 2, 14, 27
pr. relating to socii argentarii. For details, see Feliciano Serrao, "Sulla rilevanza esterna del
rapporto di societa in diritto romano", in: Studi in onore de Edoardo Volterra, vol. V (1971),
pp. 743 sqq.; Guarino, op. cit., note 11, pp. 104 sqq.; cf. also already Wieacker, (1952) 69
ZS5102
496.
On these fragments cf. e.g. Scrrao, Studi Volterra, vol. V, pp. 744 sqq.; Claus,
Stellvertretung, pp. 145 sqq., 354 sqq.; Kaser, RPr II, pp. 106 sq.
"" Cf e.g. Buckland/Stern, p. 513; Thomas, TRL, p. 472; P.W. Duff, Personality in
Roman Private Law (1938), pp. 159 sqq.; J.A. Crook, Law and Life in Rome (1967), pp. 233
sqq.; for further details especially Ferdinand Kniep, Societas pubticanomrn (1896); Claude
Nicolet, "Polybius VI, 17, 4 and the Composition of the societates publicanorum", (1971) 6
The Irish Jurist 163 sqq.; Maria Rosa Cimma, Ricerche suite societa di publicani (1981); for the
social background cf. E. Badian, Publicans and Sinners (1972), passim.
104
Paul. D. 17, 2, 65, 15.
Ю5 "-p ne Roman Law is an inexhaustible treasure of various and valuable learning; and the
principles applicable to the Law of Partnership are stated with uncommon clearness . . . A
slight glance at them will at once show the true origin and basis of many of the general
doctrines, incorporated into the modern jurisprudence of Continental Europe, as well as into
that of the Common Law" (Story, op. cit., note 1, p. IX).
106
For details, see Coing, pp. 464 sqq.
107
On the development of agency in general cf. supra, pp. 54 sqq.; on agency of partners,
see especially Peter Stein, "The Mutual Agency of Partners in the Civil Law", (1958-59) 33
Tulane LR 595 sqq., and Story, op. cit., note 1, § 1, §§ 101 sqq.
108
This was done already by the glossators; cf. Stein, (1958-59) 53 Tulane LR 598.
It seems to have been taken first by the commentators: Stein, (1958—59) 33 Tulane LR
599 sq.; cf. also Coing, pp. 466 sqq.
110
"Titius et socii" was sufficie nt; the other soc ii did not ha ve to be na m e d; cf. e.g.
Holdsworth, vol. VIII, p. 198; Coing, p. 468. Cf. further Story, op. cit., note 1, § 102. On
the business name of a commercial partnership {"Firma") in modern law, sec Heenen, op.
cit., note 1, nn. 127 sqq.
111
Coing, p. 468; cf. also Stein, (1958-59) 33 Tuiane LR 600 sqq.; Henning/Delport, op.
cit., note 57, n. 413.
112
Voet, Contmentarius ad Pandectas, Lib. XVII, Tit. II, XII. Example: one of the socii
manages the business at Perugia, the other at Florence. It seems to have been possible to limit
liability to the amount of capital which they had originally invested: cf. Coing, p. 468; also
Henning/Delport, op. cit., note 57, n. 362 in fine. On the question whether the beneficium
divisionis applied, cf. Stein, (1958-59) 33 Tulane LR 601.
113
Voet, Commentarius ad Pandectas, Lib. XVII, Tit. II, XIII in fine.
114
Cf. Pothier, Traile du contrat de saciete, n. 96.
115
Grotius, De jure belli ac pacts, Lib. II, Cap. XI, 13; Pothier, Traite du contrat de societe,
n. 96.
116
On the liability of me mbers of a part nership t o third parties, see Heenen, op. cit.,
note 1, nn. 91, 140 sqq. It is charact eristic of a partnership (as opposed to other forms of
business association) that all members are personally and without limit liable for partnership
debts. On South African law, see Henni ng/ Del port, op. cit., not e 57, nn. 412 sqq.
117
On the need for a contribution by each member in modern law, cf. Heenen, op. cit.,
note 1, nn. 23 sqq.
118
Cf. e.g. Pap. D. 17, 2, 82 {classical, according to Kaser, RPr II, p. 410, n. 9).
119
Kaser, RPr II, p. 410. In t he t ermi nology of t he l at er i us commu ne, soci et as was
normally (though nor necessarily) quoad sortem, not merely quoad usum; cf. e.g. Wieacker,
(1952) 69 ZSS 302 sqq., and particularly Ben Beinart, "Capital in Partnership", 1961 Acta
Juridica 122 sqq., 144 sqq. On partnership property cf. also Story, op. cit., note 1, §§ 88 sqq.
120 -j- ne same applied incidentally, according to the English com m on law; only in equity
was a reme dy granted under certain (narrow) circumstances. For the details, see Story, op.
cit., note 1, §§ 216 sqq.
121
Cf . e . g. G l u c k, v ol . 1 5, p p. 4 45 s qq .; P ot hi e r , T ra i t e d u c o n t ra t d e so c i e t e , n . 1 3 5.
122
Like m ost mo de r n civil-l a w j uri sdi ctio ns, Ge r ma n l a w distin guis h e s be t we e n civil
p ar t ne rs hi ps ( § § 7 0 5 sq q. B G B) a n d c o m me r ci a l p art ne rs hi ps ( as re gu l at e d i n § § 1 0 5 s q q. o f
t he C o m m e r c i a l C o d e ( H G B ) ) . T h e l a t t e r t yp e m u s t h a v e a s i t s o b j e c t t h e c a r r yi n g o n o f a
c o m m e r ci a l e n t e r p ri se ( a s d e f i ne d i n § § 1 - 3 H G B ) o f a ki n d o r si z e w h i c h i s t h at o f a fu l l y
fl e d ge d me r c h a n t . F o r a n o ve r vi e w c ( . He e ne n, op . c i t . , n ot e 1, n n. 6 8 s q q. , 9 6 s q q. O n t he
histo r y of t he co m me r ci al co m p anie s c f., f or e x a mple , H. Ke lle nb e nz , H R G , v ol. I , c ol.
1935 sq q.
123
C f . f o r i n s t a n c e , t h e a n a l ys i s b y K a r s t e n S c h m i d t , o p . c i t . , n o t e 1 0 0 , p p . 4 5 0 s q q .
124
C f. "P r o t o k oll e ", i n: Mu g d a n , v ol. I I , p p. 9 8 8 s q q ., a s o p p o se d t o "M o ti ve ", in :
Mi t g d a n , v ol . I I , p. 34 4; Wi n ds c he i d/ Ki p p, § 4 05; f o r a n ove r vi e w c f. e . g. He e ne n, op . ci t .,
n o t e 1 , n . 8.
125
§ 718 I BGB.
126
§§ 74 1 sqq. B GB.
127
A s a c o n se q ue n c e , § 7 1 9 I I B G B p r o vi de s t h at a de bt o r m a y n o t se t o f f a cl a i m w hi c h
h e h a s a ga i n s t a si n gl e p a r t n e r a ga i n s t a c l a i m w h i c h b e l o n gs t o t h e p a r t ne r s h i p p r o p e rt y.
128
§ 7 19 I B G B. Fu rt he rm ore , i t i s ch a r act e ri st i c of t he c om m uni t y o f c ol l e ct i ve h an d, t h at
w h e r e a p a r t n e r re t i re s f r o m t h e p a r t n e r s h i p ( e . g. b y gi v i n g n o t i ce , d yi n g, o r h a v i n g
b a n k r u pt c y p r o c e e di n gs i n st i t ut e d a ga i n st h i m) a n d w he r e - t h cj ^ rt gi f c r s hi p m n t i n ue s a m o n g
th e o th e r p a rtn e rs, th e sh a re o f th e re tirin g p a rtp e ta c tru e s'tp th e re m a in in g p a rtn e rs :
cf. §§736, 738. /'.-'" . ' ". ' •■"■■ ' "■' "'
x , „ ^
L
i - '
129
A History of Germanic Private Law (1918), p. 159.
130
And propagated, in the course of the 19th century, most notably by Otto von Gierke;
cf., for instance, Das deutsche Genossenschaftsrecht, vol. II (1873), pp. 923 sqq.
For further reference cf. G. Buchda, Geschichte und Krilik der deutschen Gesamthandlehre
(1936); idem, HRG, vol. I, col. 1587 sqq.; cf. also e.g. Huebner, op. cit., note 129, pp. 139
~~ Karsten Schmidt, op. cit., note 100, pp. 471 sqq., 481 sqq.
133
Karsten Schmi dt, op, cit., note 100, pp. 491 sqq.
134
Cf. e.g. Werner Flume, Algemeiner Teil des Biirgerlichen Rechts, vol. I, 1, Die
Personengesellschaft (1977), pp. 54 sqq., 68 sqq. For a comparative analysis of the problem cf.
Heenen, op. cit., note 1, nn. 6 sqq.; in France, for instance, civil and commercial
partnerships are now legal entities by statute.
135
Wegnerv, Surgeson 1910 TPD 571 at 579; Purdon v. Muller 1961 (2) SA211 (A)at230G.
136
Cf. Mutual and Federal Insurance Co. Ltd. v. Oudtshoorn Municipality 1985 (1) SA 419 (A)
at 433C-F (per Joubert JA), relating, however, to insurance contracts: ". . . Moreover, there
is no magic in the expression ubcrrima fides. There are no degrees of good faith. It is entirely
inconceivable that there could be a little, more or most [utmost] good faith. The distinction
is between good faith or bad faith. There is no room for uberrima fides as a third category
of faith in our law. . . . In my opinion uberrima fides is an alien, vague, useless expression
without any particular meaning in law."
137
D. 17, 2, 63 pr. It is a common characteristic of all modern personal business
associations: c(. Heencn, op. cit., note 1, nn. 28 sqq.; on rights and liabilities flowing from
the ius fraternitatis Heenen, op. cit., note 1, n. I l l sqq.
138
Cf. e.g, Braker & Co. v. Detner 1934 TPD 203 at 206 sqq.
li 9
Cf. e.g. Better v. Van Niekerk 1960 (2) SA 779 (A) at 784F-785A. For a detailed
comparative investigation of the principles of Roman law, 17th and 18th century civil law
and the old common law cf. Story, op. cit., note 1, passim; for a comparison between
(classical) Roman law and (modern) English law cf. Buckland/McNair, pp. 300 sqq.; j.M.
Barrett, Erwin Seago, Partners and Partnerships in Law and Taxation, vol. I (1956). pp. 7 sqq.
("The law of partnership is a noted exception to the common expression: The Roman law
has not had an appreciable influence on the English Law"). In many respects, the English law
reflects Roman ideas still more closely than modern Continental codes. Thus, for instance,
Heenen (op. cit., note 1, n. 4) states that "fi]t is unquestionably in England and in the United
States that the 'personal' character of the partnership has been taken the furthest: any change
in the members or even the simple withdrawal of a member results in the dissolution of the
partnership; if the business is continued, a new partnership is created." (This is different in
Germany, Italy and France: Heenen, op. cit., note 1, n. 48.)
140
Cf. e.g. Hol dsworth, vol. VIII, pp. 194 sqq.
141
Anot her fact or bringing partnershi p cases under t he jurisdi ction of equit y was the
i mpossi bilit y of acti ons at common l aw bet ween partners and the fi rm, or bet ween t wo
firms having a common member; ct. Sir Frederick Pollock, Л Digest of the Law of Partnership
(11th ed., 1920), p. 24.
142
Verhandeling van het Recht omtrent Socie'teiten of Compagnieschappen en Andere
Cemeenschappen (1802). An English translation (A Treatise on the Contract of Partnership) by
O.D. Tudor appeared in 1854. Van der Linden himself, incidentally, also wrote about the
law of partnership in his Regtsgeleerd Practicaal en Koopman's Hctndboek fBoek IV, Afdeeling
I, §§ XI sqq.), leaning heavily on Pothier's Treatise. Cf. Pothier, Traite du contrat de
societe, nn. 8 sqq.
144 145
For example in Besier v. Van Niekerk 1960 (2) SA 779 (A) at 783H-784A; Purdon v.
Mullet 1961 (2) SA 211 (A) at 217H.
146
Detyannis v. Kapousousoglu 1942 (2) PH A40 (W) (". . . illegality as a ground of
invalidation seems to be part of the general law of contract; as such it does not seem to me
to be convenient to include it in a category of the essentials of partnership").
147
Criticism has in so far been levelled at the qualification ("Where all . . ."). F.P. van den
Heever, The Partiarian Agricultural Lease in South African Law (n.d.), p. 23, for instance,
writes: "The ruling is about as sound as the argument that because an ostrich is a two-legged,
animate being it is, prima facie, and in the absence of proof of some non-essential
disqualification, a man." Cf. further De Wet en Yeats, p. 384.
'*8 Torbel v. Executors ofAttwell (1879) 9 Buch 195 at 200 sq. (per de Villiers CJ).
149
150
Coing, p. 469.
Cf. e.g. Voet, Commentarius ad Pandectas, Lib. XVII, Tit. II, IV, as opposed to Van
Bynkershoek, Quaestiones Juris Privatt (Lugduni Batavorum, 1744), Lib. Ill, Cap. X; Van der
Linden, Koopman's Handboek, Boek IV, Afdeeling I, § XII; further: Story, op. cit., note 1,
§§ 5, 196. Roman law had accepted only a contractual arrangement to the effect that the
partnership should continue to exist between the remaining partners: Paul. D. 17, 2, 65, 9
(often, however, regarded as interpolated; cf. e.g. Arangio-Ruiz, op. cit., note 5, p. 159, but
see Kaser, RPr II, p. 412; idem, (1975) 41 SDHI 323 sqq.); cf. also Inst. Ill, 25, 5.
151
Strydom v. Protect Eiendomsa^ente 1979 (2) SA 206 (T) at 209C-D. Cf. also e.g. Mutter
v. Pienaar 1968 (3) SA 195 (A) at 202G-H.
152
H.R. Hahlo, Ellison Kahn, The Union of South Africa: The Development of its Laws and
Constitution (1960), p. 702.
153
Michalow v. Premier Milting Co. Ltd. 1960 (2) SA 59 (W) at 63B-G; Strydom v. Protect
Eiendomsagente 1979 (2) SA 206 (T) at 209F-210C. In Potchefstroom Dairies and Industries Co.
Ltd. v. Standard Fresh Milk Supply Co. 1913 TPD 506 at 513, partnership has been referred
to as a "quasi-persona".
154
Cf. He nning/Delport, op. cit., note 57, n. 365; for the c om m on la w, see Story, op.
cit., note 1, §§ 71 sqq., for the ius c om m u ne Gliic k, vol. 15, pp. 375 sqq.
155
Bester v. Van Niekerk 1960 (2) SA 779 (A) at 783F-784A.
156
Annabhay v. Ramlall 1960 (3} SA 802 (D) at 805A-F; Henning/Delport, op. cit., note
57, n. 366. The societas omnium bonorum has possibly fallen into disuse in Roman-Dutch
law; according to Grotius, Inleiding, III, XXI, 3, it was even "van oude tijden in Holland . . .
verboden geweest". But see Pothier, Traite du control de societe, nn. 24 sqq. The French code
civil forbade an absolute societas omnium bonorum except between husband and wife (art.
1837).
15
This may be due to the influence of English law, where such a distinction does not
obtain either. On the situation under the ius commune ("II est manifeste que, pour nos
anciens auteurs, la societe de commerce n'est qu'une variete, a paine differenciee, de la societe
civile") cf. Levy-Bruhl, as quoted by Coing, p. 465. But cf. Pothier, Traite du central de
societe, n. 56.
158
Shingadia Brothers v. Shingadia 1958 (1) SA 582 (FC) at 583H.
159
Cf. e.g. Munro v. Ekerold 1949 (1) SA 584 (SWA) at 589; Oostkuizen v. Swart 1956 (2)
SA 687 (SWA) at690H-691A; Shingadia's case, at p. 583; Henning/Delport, op. cit., note 57,
nn. 407 sqq.
160
For details, see Henning/Delport, op. cit., note 57, n. 391; Beinart, 1961 Actajuridica
118 sqq.
For details, see Henning/Delport, op. cit., note 57, n. 395. According to Voet,
Commentarius ad Pandectas, Lib. XVII, Tic. II, VI and Oosthuizen v. Swart 1956 (2) SA 687
(SWA) at 692A-E, movables which are in the possession of a partner at the date of entering
into the partnership bec om e ipso iure com m on to the partners, without ge nuine delivery.
This is the transitus legalis of D. 17, 2, 1. 1 and 2, as understood by the jurists of the ius
com m une.
162
On the various circumstances under which a partnership is dissolved (apart, of course,
from the bringing of the actio pro socio substantially the same as in Roman law), cf.
He nning/Delport, op. cit.. note 57, n. 419. Cf. also Pothier, Traite du control de societe.
nn. 138 sqq.; Story, op. cit., note 1, §§ 265 sqq. (who concludes [§ 267]: "This general
coincidence of opinion, in assigning the same causes for the dissolution of partnership, in so
many countries, shows, that the doctrine has its true foundation in the general principles of
natural justice and reason, rather than in the peculiar institutions of any particular age or
nation"; cf. also § 281: "Pothier, Vinnius, and other learne d jurists, have done little m ore
than to state the [Roma n] doctrine with a few appropriate illustrations." For a comparative
surve y of the m ode rn la w, see Hee ne n, op. cit., note 1, nn. 4t sqq .
163
For a discussion of the problems arising, see Beinart, 1961 Actajuridica 148 sqq.
164
Robson v. Theron 1978 (1) SA 841 (A).
165
Robson's case at 854E.
166
At 857D.
167
At 861G-862B. For a discussion of the problem of the goodwill in the context of the
dissolution of a partnership, cf. also Story, op. cit., note 1, §§99 sq.
1
Zweigert/Kotz/Weir, p. 61.
2
Konrad Zweigert, "Seriositatsindizien. Rechtsverglcichcnde Bemerkungen zur Schei-
dung verbindlicher Geschafte von unverbindlichen" 1964 Juristenzeitung 349 sqq.
3
2. Corinthians 9, 7 (" IXapov yap SOTT^V dfana 6 -вебе, ").
477
of rescue, or the donor may have wished to induce the donee to act in
a certain way or to produce a certain result. In this latter instance, the
donor will often impose a charge on the gift (donatio sub modo), with
the result that the transaction includes a strong element of exchange.
But then there is also a whole variety of situations where the donor does
not appear in a very respectable light at all: the gift may have been
intended to bribe public officials, to "purchase" political influence
(Germany has just been shaken by the "Flick" scandal, stirred up by the
discovery of generous contributions by a large firm to political party
funds), or to remove certain assets from an insolvent estate before the
creditors are able to seize it. Donations are often made with tax
advantages in mind, or in order to sidestep and evade statutory
provisions affecting either the position of the donor or the validity of an
exchange transaction. They can also be used to undermine the formal
requirements relating to the making of a last will; 4 in particular,
donations can lead to a substantial depletion of the donor's assets,
which may in turn jeopardize the prospects of inheritance of the donor's
next of kin. 5 Every legal system that accepts the notion of forced
heirship6 must therefore face the problem that gifts inter vivos may
diminish the estate transmissible on death to such an extent that the
compulsory portions of the necessary heirs may be eroded.
(c) Conceptual problems
There are thus many reasons for policing the transfer of gratuitous
benefits. But any such policing requires first of all some conceptual
clarity about what a donation is. Is it a contract or a unilateral promise?
If a contract, is it a consensual or a real one? If not a contract, when and
how does it become binding? Or does it not become binding at all? Is
it merely a disposition, on account of which an unbargained-for
transfer of assets takes place: the position of the donee being not
dissimilar, under those circumstances, to that of an heir after the death
of the testator? Is it, as Savigny7 put it, not a specific type of transaction
but "ein allgemeiner Charakter . . ., welchen die allerverschiedensten
Rechtsgeschafte annehmen konnenV®
* Hence, for instance, provisions such as § 2301 I BGB: "The provisions relating to
dispositions mortis causa apply to a promise of a gift made subject to the condition that the
donee shall survive the donor." But see § 2301 II: "If the donor executes the gift by delivery
of the object given, the provisions relating to gifts inter vivos apply." For details, see Hans-
Joachim Musielak, in: Munchener Kommentar, vol. 6 (1982), § 2301, nn. 1 sqq.; on donatio
mortis causa in Roman law, see Kaser, RPr I, pp. 763 sqq.; Yaron, Gifts in Contemplation of
Death in Jewish and Roman Law (1960).
3
This aspect has been emphasized, in particular, by John P. Dawson, Gifts and Promises.
Continental and American Law Compared (1980).
6
Cf. e.g. § 2303 BGB; art. 913 code civil and, on the origins of forced heirship, Dawson,
op.7cit., note 5, pp. 29 sqq.
System, vol. IV, p. 3.
8
A general character which the most divergent legal transactions may adopt.
9
This is already evident from the wide range of opinions as to the appropriate
systematical niche for the law of donations. Justinian dealt with it in the context of
acquisition of ownership; Buckland/Stein still place it under the heading "The Law of
Property; lure civili Modes of Acquisition". Savigny's treatment of donation is part of his
discussion of the principles relating to legal transactions in general. Others, too, have
regarded the general part of the system of private law as the proper place to discuss donation
(contra: Windscheid/Kipp, § 365, n. 18 (pp. 549 sqq.}). The Austrian ABGB places it
between the general part of the law of obligations and the specific contracts, the BGB next
to sale (i.e. as part of its section entitled "particular obligations"), the code civil alongside
succession
10
by will (both being gratuitous methods of acquisition).
Gian Gualberto Archi, La donazione (I960), pp. 23 sqq.; Michel, Gratuite, pp. 290 sqq.;
Kaser, RPrl, pp. 601 sq.
11
Cf. e.g. Archi, op. cir., note 10, pp. 85 sqq.; Biondo Biondi, "II concetto di
donazione",
12
in: Scritti giuridici, vol. Ill (1965), pp. 649 sqq.
Cf. the example discussed by Schulz, CRL, pp. 566: A pays what D owes to C. A's
payment is at one and the same time a solutio with regard to С and (provided there has been
an13agreement between A and D to that effect) donatio in respect of D.
Or factual conduct: c(. e.g. lul. D. 39, 5, 14 ("Qui alienum fundum donationis causa
excolit. . ."); C. 3, 32, 2, 1 (". . . si non donandi animo aedificia alieno solo imposita sint";
Sev.
14
et Ant.).
Cf. Marc. D. 24, 1, 49; lul. D. 12, 1, 20 (". . . non ea menta pecunia daretur . . ."); lul.
D. 39. 5, 1 pr.
15
Cf., for example, Paul. D. 39, 5, 34 pr.; С 5, 3, 1 (Sev. et Ant.)- The origin of the
concept of animus donandi is a controversial topic. All references to it were regarded as
interpolated by Fritz Pringsheim, "Animus donandi", (1921) 42 ZSS 273 sqq. Biondo
Biondi has gone to the opposite extreme and accepts animus donandi, wherever it occurs, as
classical (op. cit., note 11, pp. 680 sqq.). For a balanced assessment, see Archi, op. cit., note
10, pp. 33 sqq., 49 sqq.; Kaser, RPr 1, p. 160; for a full re-examination of the matter, see
Sergio Broise, Animus donandi (1975) ("in luogo di una rigida contrapposizione fra diritto classico
e dirittogiustittianeo, sipotrebbe suppore una lettta egraduate trasformazione dei testi lungo tutto I'arco
di tempo die va daila fine delta giurisprudenza classica alia codificazione di Giustiniano"
(pp.
16
48 sq.)).
Vat. 269.
17
Ulp. D. 43, 26, 1, 2.
1M
Cf. e.g. Ulp. D. 43, 26, 1, 2 and 3; for details, see Biondi, op. cit., note 11, pp. 674 sqq.;
Klaus Slapnicar, Gratis habitare, Unentgeltliches Wohnen nach romischetti und geltendem Recht
(1981), pp. 70 sqq. According to Geoffrey MacCormack, "Gift, Debt, Obligation and the
Real Contracts", (1985) 31 Labeo 137 sqq. gift is the earliest type of transaction in simple-
societies. According to him, loans, deposits and pledges (i.e. the real contracts) were only
subsequently separated from the class of gifts. This would fit in with the fact that
commodatum
19
is much better defined than the broad concept of donatio.
Hence, Schulz, CRL, p. 566 says that the classical donation can be defined only in a
negative way. Since it did not give rise to obligations, there could, for instance, be no
implied warranty of title or for latent defects: see Michel, Gratuite, pp. 294 sqq.
" Cf. supra, note 2.
21
E xce ption: pollicitatio. Cf. infr a, p p. 508 s qq. On poliidtatio cf. p . 496.
22
T hi s i s t h e c a u s a d o n a n d i w h i c h w a s b a s e d o n t h e d o n o r 's i nt e n t i o n t o d o n a t e a n d o n
t h e c o r r e s p o n d i n g w i l l o f t h e d o n e e t o r e c e i v e t h e gi f t . O f c o u r s e , i t w a s p a r t i c u l a r l y t h e
forme r t hat was of vit al i mp ort ance for a don ati on and w as t he re fore usual l y e mph asiz e d.
B u t n o b o d y h a d t o a c c e p t s o m e b o d y e l s e 's g i f t s a g a i n s t h i s w i l l : " n o n p o t e s t H b e r a l i t a s
nole nti ad qui ri " (Ul p. D. 39. 5, 19, 2); cf. furt her l av. D. 44, 7, 55 and Ho nsell/M ayer-
M a l y/ S c l b , p . 3 4 5 .
23
F o r a c r i s p a n d c l e a r a c c o u n t o f t h e d e v e l o p m e nt , se e W a t s o n , E v o l u t i o n , p p . 6 s q q .
24
Eberhard F. Bruck, Uber Romisches Recht im Rahtnen der Kulturgeschichte (1954), pp. 121 sqq.
But see also Wolfgang Kunkel, (1955) 72 ZSS 478, who draws attention to the fact that
munificentia and liberalitas were highly rated virtues amongst the aristocracy during the later
Republic and Principate. But they were often rather ostentatiously displayed and became an
object of political calculation.
Livius, Ah urbe condita, Lib. XXXIV, IV, 9. Cf. generally vat. 250 sqq. and for the
discussion of all details, Archi, op. cit., note 10, pp. 13 sqq., 145 sqq. and Franco Casavola,
Lex Cincia (I960), passim. Cf also, m ore recently, Am paro Gonzalez, "The Possible
M otivation of the Le x Cincia de donis et m uneribus", (1987) 34 RIDA 161 sqq.
2(<
The lex Cincia applied not only to dona but also to munera. On the latter cf. Marci. D.
50, 16, 214: "M unus proprie est, quod necessarie obim us lege more im periove eius, qui
iube ndi habet potestatem"; as to the former, cf. Pap. D. 50, 17, 82: "Donari videtur, quod
nullo iure c oge nte conce dkur." Ulpia n (D. 50, 16, 194) e xplains the differe nce in the
following way: "Inter donum et munus hoc interest, quod inter genus ct speciem: nam genus
esse donum Labeo a donando dictum, munus speciem: nam munus essc donum cum causa,
ut puta natalicium [birthda y prese nt], nuptalicium [marriage present]."
Advocates were not allowed to receive any gifts at all; cf. e.g. Tacitus, Annales, Lib. XI,
5, 3 (". . . ne quis ob ca usa m ora nda m pec unia m donum ve accipiat"); Casa vola, op. cit.,
note 25, pp. 15 sqq.; Gonzalez, (1987) 34 RIDA 167 sqq. (who regards this part of the le x
as the m ost importa nt from a social and political point of view).
28
Vat. 298-309.
29
Cf. e .g. Ca sa vola, op. cit., note 25, pp. 19 sqq.
30
Wieacker, Vom romischen Recht, pp. 62 sq. On the leges sumptuariae cf. further Norr,
Rechtskrilik, pp. 73 sqq.
31
Cf. especially Archi, op. cit., note 10, pp. 21 sq.; along similar lines cf. also Gonzalez,
(1987) 34 RIDA 167 sqq.
32
Cf. supra, pp. 388 sqq., 413, 415 sqq.
33
Dawson, op. cit., note 5, p. 13.
34
Exception: advocates accepting a gift (cf. supra, note 27) were liable, according to an
enactment by Augustus, to pay a penalty of quadruplum: Cassius Dio, Historia Romana, LIV,
18 2; Casavola, op. cit., note 25, pp. 16 sqq.
5
Lenel, EP, p. 513; for details cf. Wolf, Causa stipulationis, pp. 136 sqq.; Behrends, Fraus
legis, pp. 19 sqq.
36
Cf. Ulp. D. 39, 5, 17.
37
Paul. vat. 311.
38
39
Ulp. vat. 266 (cf. also Ulp. D. 12, 6, 26, 3); Schwarz, Condictio, pp. 31 sqq.
Pap. vat. 259; 266; 278; Heinrich Siber, "Confirmatio donationis", (1933) 53 ZSS 141
sqq.;
1
Archi, op. cit., note 10, pp. 175 sqq.
Cf. generally Jean Gaudemet, "Perseverantia voluntatis", in: Melanges Philippe Meylan, vol.
I (1963), pp. 139 sqq. 41 Kaser, RPr II, p. 399.
42
Act 88/1984.
43
June Sinclair, An Introduction to the Matrimonial Property Act 1984 (1984), p. 42.
44
For a thorough analysis of the sources, c{. especially Karlhcinz Misera, "Die Zcugnisse
zum Grund des Schenkungsverbots unter Ehegatten", in: Festschrift fur Max Kaser (1976),
pp. 407 sqq.; cf. also Archi, op. cit., note 10, pp. 195 sqq. and Lothar Holzapfel,
Ehegattenschenkungen und Gltiubigerschutz (1979), pp. 69 sqq. Holzapfel (pp. 65 sqq.) draws
attention to the protection of creditors resulting from (rather than providing the original
rationale of) the prohibition.
45
Treb./Lab. D. 24, 1, 64; Lab. D. 24, 1, 65 and 67; Alf. D. 24, 1, 35.
46
Kaser, RPr I, p. 331; Misera, Bereicherungsgedanke, pp. 237 sqq.; cf. also Alan Watson,
The Law of Property in the Later Roman Republic (1968), pp. 229 sqq.
47
As has been argued, for instance, by Mario Lauri a, "II di vieto delle donazioni fra
coniugi", in: Studi in memoria di Aldo Albertoni, vol. II (1937), pp. 513 sqq.; Archi, op. cit.,
note 10, pp. 195 sqq.
4K
49
As quoted (probably) by Ulpianus in D. 24, 1, 1.
Cf, in particular, Franz Wieacker, "Hausgenosscnschaft und Erbeinsetzung", in:
Festschrift der Leipzigcr Juristenfakuttat fur Heinrich Siher, vol. I (1941), pp. 45 sqq.; Misera,
Festschrift Kaser, p. 420; both hint at a connection with the leges sumptuariae, esp. the lex
Voconia (about 169 B.C., designed, inter alia, to restrain the luxury of women inheriting big
patrimonies, cf. e.g. Kaser, RPr I, p. 684). The prohibition can, of course, have originated
only
5ti
in the context of free marriage (i.e. without conventio in manum).
Ulp. D. 24, 1, 1.
51
Cf. e.g. Misera, Festschrift Kaser, pp. 419 sq.; Holzapfel, op. cit., note 44, pp. 76 sqq.
This is also the reason why the prohibition did not apply only between the spouses
themselves but between all the persons belonging to their two family units: cf. Ulp. D. 24,
1, 3, 2-8; Ulp. D. 24, 1, 32, 16-21.
Hence, for instance, the rendering of gratuitous services to each other or the use or
occupancy by one spouse of servants, lands or other assets belonging to the other were not
prohibited; cf. infra, note 69.
53
Cf. also Ulp. D. 24, 1, 5, 13; 14.
54
For an example of a donation which was regarded as valid because the receiving spouse
was l eft i n t he end wit h no net gai n, see Ul p. D. 24, 1, 5, 8 (donati o sepult urae causa;
discussed by Misera, Bereicherungsgedanke, pp. 15 sqq.).
55
The donor could not recover more than the value by which he was impoverished. Cf.,
for example, Paul. D. 24, 1, 28, 3 {in fine): If a husband gives his wife 10 and she uses it to
buy a slave worth 15, recovery could only be for 10. (On the other hand, if the wife bought
a sl ave wort h 5, she woul d be li abl e onl y for 5 (t hi s bei ng t he su m by whi ch she was
ultimately enriched).)
56
For a detailed analysis, see Misera, Bereicherungsgedanke, pp. 6 sqq.; Archi, op. cit., note
10, pp. 75 sqq.
37
E mph asiz e d b y D a ws on, o p. cit., note 5, pp. 1 5 sqq. an d pa ssim.
5H
D . 2 4, 1, 2.
5y
P a p . D . 3 9 , 5, 3 1 p r .; c f . K a s c r , R P r I , p . 3 2 1 .
60
T he di vorce rat e s oare d t o war ds t he e nd of t he R e publ i c, a fact whi ch ma y h ave
i nfl ue nce d t he pe rce pt i on and ap pli cat i on of t he prohi bit i on ( Mi se ra, Fe st sc hrif t Ka se r, p. 425).
T he p r ohi bi t i o n di d not , h o w e ve r, ori gi n at e a s a re a ct i o n t o t he di vo r ce p r obl e m ( as W i l e ns,
Over Schenkingen tusschen Edttgenooten in het Romeinsche Recht (1934), pp. 9 sqq., 90 sqq. and
others will have it).
61
Ulp. D. 24, 1, 3, 1.
62
Q ua e st ion e s R o tnan ae , V II and V I II ; Mi se ra, Fe st sc h ri f t Ka se r, pp. 415 sq.
3
For details, sec Misera, Bereichemngsverbot, pp. 84 sqq.
64
Ul p. D. 24, 1, 5, 18; Paul . D. 24, 1. 36 p r. ; i f t he o bj e ct h ad b e en co nsu me d or
destroyed, its val ue coul d be recovered, but onl y t o t he ext ent that t he donee was still
enriched. Cf. Misera, Bereichentngsgedanke, pp. 84 sqq.
65
Cf. e. g. Ulp. D. 24, 1, 21 pr.; Po mp. D. 24, 1, 29, 1; Po mp. D. 24, 1, 31, 8.
ы
- Ulp. D. 24, 1, 32 pr.-2; Pap. vat. 294, 2: С 5, 16, 1 and 3 (both Ant.); Siber, (1933)
53 ZSS 103 sqq.; Archi , op. at. , not e 10, pp. 219 sqq.
67
Ul p. D. 24, 1, 9, 2; Gai. D. 24, 1, 10; Pap. D. 39, 6, 40.
( H
' Ulp. D- 24, 1, 11, 11; Hermog. ID. 24, 1, 60, 1. The divorce must be i mminent: Paul.
D. 24, 1,12. "If. . . the gift is made vaguely in contemplation of a possible divorce . . . the
donation is void 1 ' (Van Schalkwyk v. Van Schalkwyk 1947 (4) SA 86 (O) at 96-7).
m
Misera, Festschrift Kaser, p. 433. The same author draws attention to the fact that, where
a donation has in fact been made, the obligation to return or to make good the value is
excluded where the recipient is no longer enriched. That shows that in actual practice the
spouses were to a certain extent seen to be sharing in each other's assets. The same appears
from the fact that where one spouse was permitted to use clothes or slaves, or to live in a
house belonging to the other, this was not regarded as an infringement of the prohibition of
donations between spouses. Cf. Pomp. D. 24, 1, IS: "Si vir uxoris aut uxor viri servis aut
vesti mentis usus vel usa fuerit vel in aedibus ems gratis habitaverit, valet donatio."
This text raises intricate problems. Does it imply that habitatio gratuita was, after all,
regarded as donation (rather than commodatum; cf. supra, p. 191)? Slapnicar, op. cit., note
18, pp. 103 sqq., disputes that and translates "valet donatio" with: "it is to be treated as a
donation" (rather than "the donation is valid"). He argues that while habitatio gratuita was
commodatum, certain rules relating to donations were applied per analogiam (Pomp. D. 39,
5, 9 pr. as to the lex Cincia; Pomp. D. 24, 1, 18 as to the prohibition of donations between
spo use s). Thu s h e c o me s t o t he co n cl usi o n t hat ev en t h ou gh t h e t ra ns a ct i on was n ot
donation, it was invalid. But his view is unconvincing (cf e.g. Knutel, (1984) 184 Archiv fur
die civilistische Praxis 190). The prevailing opinion is that even though the transaction was a
donation, it was valid. Cf. e.g. Karlheinz Misera, "Gebrauchsuberlassung und Schenkung
unter Ehegatten", (1972) 3 Index 397 sqq. The solution seems to be that Pomponius is using
the term "donatio" in D. 24, 1, 19 in a wide and untechnical sense. Here, as in so many other
cases, one should not rashly assume that the Romans used and developed a fixed and
technical terminology. In this particular instance, the Roman lawyers generally seem to have
used a dual terminology: sometimes we find them referring to a particular transaction as a
donation, and then stating that a particular rule did, nevertheless, not apply to it; on other
occasions they (more narrowly) used the term "donatio" only to refer to those transactions
that fitted into the framework of this particular rule. See Hugo Burckhard, Zum Begriff der
Schenkung
70
(1899), pp. 15 sqq.; Misera, Bereicherungsgedanke, pp. 161 sqq.
Ulp. D. 18, 1, 38: "Si quis donationis causa minons vendat, venditio valet. . . ." On
verum pretium, see supra, p. 252.
Ulp. D. 18, 1, 38 in fine. Cf. generally Karlheinz Misera, "Der Frcundeskauf unter
Ehegatten im romischen Recht", in: Rechtswissenschaft und Gesetzgebung, Festschrift fur Hduard
Wahl
72
(1973), pp. 25 sqq.; Broise, op. cit., note 15, pp. 119 sqq.
Ner./Ulp. D. 24, 1, 5, 5 (genuine; see Misera, Bereicherungsgedanke, pp. 120 sqq.; idem,
Festschrift Wahl, pp. 34 sqq.)
73
Cf. Ul p. D. 18, 1, 38; Afr. D. 16, 1, 17 pr.; Pap. D. 24, 1, 52 pr.
74
H a n s H e r m a n n S e i l e r , "U t i l e p e r i n u t i l e n o n v i t i a t u r ", i n : F e s t s c h r i f t f u r Ma x Ka s e r
( 1 97 6) , p. 1 39; Zi mme rm a nn, Mo d e ra t i on sre c h t , p. 1 29; di f fe re nt l y, M i se ra , Fe st sc h ri f t Wa h l ,
pp. 40 sqq., according to whom Neratius based his decision on the lack of a certum pretium.
75
Kaser, RPr I I , p. 172.
76
Coing, p. 240; Windscheid/ Kipp, § 509.
77
Cf. e. g. St ryk, Usus modernus pandectarum. Lib. XXIV, Tit. I, § 6 with regard t o
"donati ones . . . t e mpore nati vit ati s Chri st i " and "di e nat ali donati o modi ca"; Huber,
Praelectiones, Lib. XXIV, Tit. I, 4 ("Hinc etiam munera, quae sum modicae praestationes
escut ent orum, pot ul emorum; vel st renae nat alitiae aut novi anni, inter coniuges non
prohibentur"). As far as remuneratory gifts are concerned, see, for instance, Brunnemann,
Comtnentarius in Pandectas, Lib. XXIV, Tit. I, ad L. Quod autem 7, 3; Voet, Commentarius ad
Pandectas,
7H
Lib. XXIV, Tit. I, X; Lib. XXXIX, Tit. V, XVII.
For details, seeH.R. Hahlo, The South African Law of Husband and Wife (4th ed., 1975),
pp. 128 sqq. A variety of other modern legal systems have adopted the Roman prohibition
of 79donations between spouses; see Holzapfel, op. cit,, note 44. pp. 99 sqq. for an overview.
On the rise of the term "liberalitas" in the imperial propaganda and on its meaning, cf.
Armin U. Stylow, Libertas und Liberalitas (unpublished Dr. iur. thesis, Munchen, 1972),
pp. 58 sqq.
80
Cl e mence Dupont, "Les donati ons dans l es constit uti ons de Constanti n", (1962) 9
RID A 314 sqq.; as to the contemporary practice in general, see Dupont, pp. 308 sqq.
81
Th e f a mo us " Const ant i ni an Don at i on " p ro vi d ed t h e f or mal l eg it i mat i on f or t h e
establishment of the Papal State; the document was drawn up by Roman clergymen in the
second half of the 8th century. Constantine allegedly made the donation when he moved his
resi dence fro m Ro me t o wh at ca me t o be known as Const anti nopl e (By zant i um, t oday
Ist anbul ). The Cat holi c Church regarded the document as so i mp ort ant t hat every new
Emp e ror (of t h e Hol y Ro ma n Empi r e of Ger ma n Nat i o n) h a d t o c onfi r m i t ; who e v er
doubted its authenticity was regarded as a heretic. On all this, cf. Horst Fuhrmann, "Das
fruhmittelalterliche Papsttum und die konstantinische Schenkung", in: (1973) 20 Settimane di
studio del Centre Italiano di Studi mil' Alto Medioevo; D. Waley, The Papal State in the 13th
century (1961); P. Partner, The Lands of St. Peter. The Papal State in the Middle Ages and the
Early Renaissance (1972).
82
Co nst a nt i ne ha d b e en a cq uai nt ed wi t h t h e Ch ri st i an r el i gi on fr o m a n e arl y a ge.
Amongst the servants of Diocletian's court (where he grew up) Christianity was widespread.
Di ocl et i an' s wi fe and d aug ht er i ncl i ned t owards i t, as di d Con st ant i ne' s own fat her,
Constantius. Const antine was probably educated by Lactantius (one of the Fathers of the
Church), who was a grammaticus (language instructor). One of Diocletian's co-emperors,
Maximian, had a Christian wife (Eutropia); her daughter Theodora (also a Christian) became
Const antius' wife (i.e. Constanti ne' s st ep-mot her; Const anti ne's mother was t he fa mous
concubine Helena). Their daughters (Constantine's step-sisters) received a Christian
educati on. The decisi ve event regardi ng Const anti ne's att itude towards t he Christ i an
religion was, of course, the battle at the Milvian Bridge in Rome on 28 October 312 against
the usurper Maxentius, and his famous vision preceding it. Constantine was baptized shortly
before he died in 337. The new Christian ideas were bound to be reflected in Constantine's
legislatorial activities. One of his (heathen) successors, Julianus Apostata, referred to him as
"novator turbatorque priscarum legum" (Ammianus Marcellinus, Res gestae. Lib. XXI, 10,
8). Const antine's panegyrist Nazarius acknowl edged t he same, onl y fro m a di fferent
perspective: "Novae leges regendis mori bus et frangendis vitiis constitui ae. Vet erum
calumniosae ambages recisae captandae simplicitatis laqueos perdiderunt" (Nazarii Patiegy-
rius Const. Aug., XXXVIII). On Constantine as a Christian ruler cf. e.g. Ramsey
MacMullen, Constantine (1987), pp. 101 sqq.; Avril Cameron, "Constantinus Christianus",
(1983) 73JRS 184 sqq.
83
"Mult as saepe nat as ex donatione, causas cognavi mus i n qui bus vel adumbrat a pro
expressis vel inchoat a pro perfectis vel pluri ma pro omni bus controversiam faciant, cum
agenti u m visa pro i ngeni o ac facul t at e di cendi aut perfect a defo r marent aut i nchoat a
perficerent": vat. 249, 1.
84
D i e t ri c h V . Si m on, Ko n st a n t i n i sch e s Ka i se rre c h t ( 19 77) , pp . 9 2 s qq.
85
For de t ai l s, se e v at . 24 9 ( d at e : A.D . 3 23) ; fu rt he r Le v y, Vu l g a r La w, pp. 13 8 s qq .; i de m,
O bl i g a t i o t t e n re c h t , p p. 2 3 6 sq q .; A r c hi , op . c i t . , no t e 1 0, p p. 2 2 5 sq q .; Bi on di , op . a t ., not e
11 , p p. 7 0 7 s q q. ; K a se r, R P r I I , p p . 28 0 s qq ., 3 9 4 sq q. ; S i m o n, o p . ci t ., n ot e 8 4, pp . 84 s q q.
Le v y, Vu l g a r La w , p. 14 6.
87
Le vy, Vu lga r La w, pp. 127 sqq.; i de m, "V e rkauf und U be re i gnung", ( 1963) 14 lu ra 19 sqq.;
William M. Gordon, Studies in the Transfer of Property by Traditio (1970), pp. 63 sqq.; Ka ser,
RPr II, pp. 276 sqq. Contra : Wu lf Eck ha rt Voss, Rech t und Rhetorik in den
Kaisergesetzen der Spatantike (1982), pp. 131 sqq.
8K
On this latter requirement cf. Gothofredus, ad CT 8, 12, 1: "Ius eius, id est, ex qua
causa, quo titulo dominii rem earn quam donat habeat, ne forte rem alienam donet" (Simon,
op. cit., note 84, p. 108),
H
'' Cf. also e.g. Codex Theodosianus 8, 12, 3.
90
As is usually beli eved; cf. e.g. Archi, op. at., p. 236; Kaser, RPr II, p. 395. But see
Sim on, op. cit., note 84, pp. 116 sqq.
91
For details, see Fra ncisc o Sa m per Polo, "La disposicion m ortis ca usa e n el dcrec ho
Roma no vulgar", (1968) 38 AHDE 87 sqq.
92
Code x The odosianus 8, 17, 7.
93
Pringsheim, "Liberalitas", in: Studi in memoria di Emiiio Albertario, vol. I (1953), p. 667.
94
Cf. e.g. Dupont, (1962) 9 RID A 308 sqq.
95
Generally called venerabiles domus. These include the xenodochia (locus venerabilis in
quo peregrini susdpiuntur), ptochotrophia (in quo pauperes et infirmi homines pascuntur),
nosotrophia (in quo ae groti homines c ura ntur), orphanotrophia (in quo pare ntibus orbati
pueri pascuntur); brephanotrophia (in quo infantes aluntur); gerontocomia (in quo pauperes
et proptc r se nec tute m sola m infirm i hom ines c ura ntur). Cf. e.g. C. 1, 3, 45, 3 (for the
definitions, see P.W. Duff, Personality in Roman Private Law (1938), p. 178). As to the
establishment and administration of these so-called "piae causae", cf. Hans Rudolf
Hagemann, Die Stelhtng der Piae Causae nack justinianischem Rechte (1953), pp. 42 sqq.; Kaser,
RPr II, p. 158. The history of the law of foundations can be traced back to the m: cf Hans
Liermann, Handbuch des Stiftungsreckts (1963), pp. 24 sqq. On the relief and welfare activities
of the Churc h, base d on Christia n caritas, cf. ge nerally Ha ge ma nn, pp. 5 sqq.; August
Knecht, System desjustinianischen Kirchenvertnogensrechtes (1905), pp. 43 sqq.; also Gluck, vol.
39, pp. 448 sqq. Cf. further Eberhard F. Bruck, Kirchenvdter und soziales Erbrecht (1956),
pp. 31 sqq., 37 sqq.; Duff, pp. 189 sqq.; C.P. Joubert, Die Stigting in die Romeins-Hollandse
Reg en die Suid-Ajrikaanse Reg (1951), pp. 29 sqq.
6
Cf. e.g. C. 1, 2, 25. The Gree k Fathers of the Churc h ha d a ttem pte d to strike a
compromise between the ideal of absolute poverty and the realities of a less perfect, secular
(but none the less Christian) existence and postulated that part of the estate ought to be left
to Christ (on behalf of the poor); for details, see Bruck, op. cit., note 95, pp. 1 sqq., 41 sqq.,
55 sqq. Essential for these gifts pro animae redemptione was their voluntariness.
Accordingly, Justinian did not fix a quota either (but see his advice in Nov. 7, 2, 1: "u'piorov
fp
9
On the meaning and interpretation of pia causa first in the East-Roman Empire, then
(fro m t he Mi ddl e Ages onwards) i n conti nent al Europe and in Engl and (sub tit ul o
"charitable purposes"), see Reinhard Zimmermann, "Cy-pres", in: Iuris Professio, Festgabe
fur Max Kaser (1986), pp. 395 sqq.
98
In the Middle Ages, the gift pro animae remedio was taken to be domina testamenti; the
mai n funct i on of t he l ast will was t o make provi si on for t he sal vati on of t he soul . Cf.
generally Philippe Aries, Geschichte des Todes (1980), p. 233 sqq., 242 sqq; Bruck, op. cit.,
not e 95, pp. 257 sqq.; Li er mann, op. cit. , not e 95, pp. 106 sqq.; Al fred Schult ze, "Der
Einfluss der Kirche auf die Entwicklung des germanischen Erbrechts", (1914) 35 ZSS (GA)
75 sqq., 98 sqq. In England, too, dispositions ad pias causas were part of every testament;
cf. Pollock and Maitland, vof. II, pp. 337 sqq.; Joseph Willard, "Illustrations of the Origin
of Cy Pres", (1894) 8 Harvard LR 69 sqq.
99
Cf. e.g. Andreas Tiraquelles, "De Privileges piae causae tractatus", in: Opera Omnia,
vol. v. (Francofurti, 1574); Justus Henning Boehmer, [us Ecdesiasticum Protestantiutn (3rd ed.,
Halae Magdeburgi cae, 1732), III, XXVI, §§ 19 sqq.
!
"° Kaser, RPr II, p. 467.
101
Archi, op. cit., note 10, p. 255.
102
Consta ntine him self fou nd it a dvisa ble Co a dm it ce rtain e xce ptions from the ne w
formal requirements he had devised (cf. Codex Theodosianus 8, 12, 5 ( A .D . 332, concerning
donationes inter liberos et pare ntes), Code x The odosia nus 3, 5, 3 ( A . D . 330, c oncerning
donationes ante nuptias)). To subject every occasional gift to public registration must have
bee n e ntirely im practica ble. Le gal pra ctic e ge nerally does not se e m to ha ve bee n m uc h
concerned about the official requirements: "It is striking to see how often the emperors took
occasion to insist on Constantine's requirements." On all this, see Levy, Vulgar Law, pp. 140
sqq. As far as the traditio requirement is concerned, cf. Gordon, op. cit., note 87, pp. 68 sqq.
Analyse d in detail by Sim on, op. cit., note 84, pp. 86 sqq.
104
Levy, Vulgar Law, pp. 152 sq.; Archi, op. cit., note 10, pp. 272 sqq.; Kaser, RPr II, pp.
396 sqq.
105
Cf. generally Kaser, RPr II, pp. 282 sqq. As far as donations are concerned, cf. e. g. C. 8,
53, 35, 5 b (". . . non ex hoc inutilis sit donatio, quod res non traditae sunt, nee confirmetur
ex traditione donatio") and Inst. II, 7, 2 (". . . et ad exemplum venditionis nostra constitutio
eas eti am i n se habere necessit at em t raditi oni s voluit, ut, et si non t radant ur, habeant
plenissimum et perfectum robur et traditionis necessitas incumbat donatori").
106
Cf. e.g. Inst, II, 7, 2: "[PJerfiriuntur autem [donationes], cum donator suam
voluntatem scriptis aut sine scriptis manifestaverit."
107
Cf. e.g. C. 4, 21, 17 pr.; Pringsheim, (1921) 42 ZSS 275 sqq.
108 109
C. 8, 53, 33 pr. (529 A. D.). С 8, 54, 36, 3 (531 A. D.); Inst. II, 7, 2.
11(1
Certain provincial governors earned 300 solidi a year (of which 40-50 had to be passed
on): Nov. 24-26.
C. 8, 53, 36 pr. On redemptio ab hostibus in classical law, see Kaser, RPr I, p. 291; in
post-classical times, see Knec ht, pp. 105 sqq.; Ernst Levy, "Captivus rede m ptus", in:
Gesammelte Schrijten, vol. II (1963), pp. 40 sqq.; generally Adalbert Erler, Der Loskauf Gefangener.
Ein Rechtsproblem sett drei Jahrtausenden (1978). Usually, one was dealing with the redemption of
Christian prisoners who had fallen into heathen hands; in a wide sense of the term, the donor
was thus promoting pia causa; hence the favourable treatment of the donation.
112
C. 8, 53, 36, 2.
113
Nov. 52, 2. As to gifts ma de by the Em pe ror, c(. C. 8, 53, 34, 1 a (a nd the case of
Prince William of Orange, who promised to pay to "faeminae illustri" an annuity of 4 000
florins, as reported by Van Bynkershoek, Observations Tumultuariae, nn. 260, 1870).
114
С 5, 16, 27, 1.
115
For details, see Kaser, RPr II, p. 398; Pringsheim, Studi Albertario, vol. I, pp. 667 sqq.
Levy, Obligationenrecht, p. 240 refers to an "inflation" of the concept of donatio. The term
"donation" was now also used to cover pollicitationes. Cf. e.g. Ulp. D. 39, 5, 19 pr. Both
had been kept separate in classical law. A pollicitatio was the promise of a gift of money or
of the performance of work (e.g. to build a monument) which a citizen made to his
municipality, usually on the occasion of his candidacy for a municipal office or for a
priesthood ("ob honorem"). Such a promise was binding and actionable in the cogmtio extra
ordinem, even though it was based on a unilateral, informal declaration. For details, see
D. 50, 12 and Archi, op. cit., note 10, pp. 28 sqq.; Biondi, op. cit., note 11, pp. 677 sqq.;
Pringsheim, Studi Albertario, vol. I, pp. 672 sqq.; cf. also T.B. Smith, "Pollicitatio—
Promise and Offer", in: Studies Critical and Comparative (1962), pp. 168 sqq. Furthermore,
"suffragium" had, in the course of the 4th century, come to be regarded as a variety of
donation and was subjected to the formal requirements laid down in vat. 249 (Codex
Theodosianus 2, 29, 2). Suffragium was the promise of a reward in order to obtain a public
office; it provides a remarkable testimony to the corruption rampant during this period. If
the donor obtained the office, he was bound to honour his promise. Nor could he claim back
what he had given in advance. Cf. Levy, Vulgar Law, pp. 169 sq.; idem, Obligationenrecht,
pp. 248 sq.; Claude Collot, "La pratique et l'institution du suffragium au Bas-Empire",
(1965) 43 RH 185 sqq.
"" Pringsheim, (1921) 42 ZSS 273 sqq. (but see supra, note 15); Bruck, op. cit., note 24,
pp. 134 sqq.
"' D. 39, 5, 1 pr. (generally held to be interpolated from "et propter" to "exercat"):
Kaser, RPr I I , p. 398.
118
Cf. supra, note3.
119
For a detailed analysis, see Bruck, op. cit., note 24, pp. 101 sqq. (first under the title
"Ethics vs. Law: St. Paul, the Fathers of the Church, and the "Cheerful Giver' in Roman
Law", (1944) 2 Traditio 97 sqq.).
120
Recounted by Bruck, op. ci t . , note 24, pp. 137 sqq. (first in (1946) 4 Seminar 45 sqq.
sub titulo "The Ghost Story of the 'Cheerful Giver' in Medieval and Modern Civil Law").
121
Dawson, op. cit., not e 5, p. 86.
122
Ul p. D. 15, 3, 10, 7.
123
Ulp. D. 5, 3, 25, 11 (interpolated; Pierre Cornioley, Naturaiis obligatio (1964),
pp. 256 sq.).
124
Cf. e . g. Le v y, O bl i g a t i o n en re c h t , p. 23 9; Fe r di n a nd o B on a, "Co nt ri bu t i al i a st o ri a de l l a
's o c i e t a s u n i v e r s o r u m q u a e e x q u a e s t u v e n i u n t ' i n d i r i t t o r o m a n o ", i n : S t u d i i n o r t o r e d i
G i u s e p p e G ro s so , v o l . I ( 1 9 6 8 ) , p p . 4 1 8 s q q . ; b u t se e M i c h e l , G ra t u i t e , p p . 2 7 9 s q q . , w h o
concludes that for the Romans remuneratio and donation were two different things.
125
Paul. D. 39, 5, 34, 1 (interpolated). This text deals with a rescue situation ("Si quis
aliquem a latrumculis vcl hostibus eripuit et aliquid pro eo ab ipso acdpiat, hacc donatio
inrevocabilis est: non mcrccs eximii laboris appellanda est, quod contemplatione salutes certo
modo aesti mari non pl acuit "). Cf, most recentl y, Broisc, op. cit., not e 15, pp. 89 sqq.
126
C. 8, 55, 1 ( A. D. 249).
127
Vat. 248; Codex Theodosianus 8, 13, 1 and 2; Levy, Obligatiownrecht, pp. 245 sqq.
97
C. 8, 55, 10 pr.
98
Cf. e.g. Voet, Commentarius ad Pandectas, Lib. XXXIX, Tit. II, XXII; Grotius, Inleiding,
III, II, 17; Coi ng, p. 486; P. R. Owens, "Donation", in: Joubert (ed. ), The Law of Sout h
Africa, vol. 8 (1979), n. 128.
99
Artt. 953, 955 code civil; §§ 948 sq. ABGB; § 530 BGB.
100
Cf. e.g. RG, \9\0 Juristische Wochenschrift 148.
101
Cf. also § 947 ABGB.
102
Ulp. D. 23, 3, 33; Ulp. D. 39, 5, 12; Paul. D. 42, 1, 19, 1; for details, see Wieslaw
Litewski, "Das 'beneficium competentiae' im romischen Recht", in: Studi in onore di Edoardo
Volterra, vol. IV (1971), pp. 563 sqq.; Antonio Guarino, La condanna net limiti del passibile
(1975), pp. 44 sqq.; Joachim GUdemeister, Das benejicium competentiae im klassischen romischen
Recht (1986), pp. 26 sq., 26 sqq.
103
But see § 1123 1 11 PrALR.
104
For details, see §§ 528, 529, 534 BGB.
105
According to С 8, 55, 8, a gift by a patron without filii to his freedm an reverts to the
patron if he subse que ntly has childre n. In the practice of the ius c om m une, this rule was
often applied in an extende d version: any gift could be revoke d by the subseque nt birth of
childre n to the donor (cf. e.g. Voe t, Commentarius ad Pandectas, Lib. XXXIX, Tit. V,
XXVI); it was not, however, incorporated into the BGB. For details of the development, see
William M. Gordon, "The Interpretation of C. 8, 55, 8", in: Studi in onoredi Edoardo Volterra,
vol. IV (1971), pp. 413 sqq.
137
Coing, pp. 485 sq. For a particularly detailed discussion, see Voet, Commentarius ad
Pandeclas, Lib. XXXIX, Tit. V.
138
Grotius [Inleiding, III, II, 15) refrained from expressing an opinion on the matter. He
saw the registration requirement as an attempt by the Romans to check excessive liberality
("om de overda dighe mildheid in te tom e n") a nd procee de d to state, with a touc h of dry
hum our: "I do not find anything to this effect in our own laws, perhaps because there is no
e xce ss of liberality in this c ountry" ("waer va n ic h in onzes la nds wette n nie t e n vinde,
misschieri om dat de mildheid hier niet te groot is geweest"). The background story on how
Grotius tried to establish the la w of Holla nd is told ("ut mihi pro c erto relatum") by Van
Lee uwc n, Censura Foretisis, Pars I, Lib. II, Ca p. VIII, 7. But for Grotius, all a uthorities
agre e d that the re gistration rule was in force in Holla nd; cf. e.g. Voet, Comme ntarius ad
Pa nd ectas, Lib. X XXI X, Tit. V, 18, w ho state s tha t there is no rea son to a ba nd on this
requirement, since fictitious alienations in fraud of creditors are so commonly practised; Van
der Keessel, Praekctiones ad Grotium, HI, II, 15.
139
Groenewegen, De legibus abrogatis. Cod. Lib. X, Tit. LXX, 1. 5 quotiescumque.
140
"Q uotie sc unq ue c erta su m m a solidoru m a b ho m ine profe rtur, se c und u m c on-
setudinem regionis intellcgi atque taxari debe nt": Groene wege n, loc. cit.; Stryk, Usus
modernus pandectamm, Lib. XXXIX, Tit. V, § 4.
141
System, vol. IV, § 116 (p. 210).
142
§ 367, 2. Cf. also RGZ 1, 313 (4.666 2/3 Reichsmark).
143
Thorpe's Executors v. Thorpe's Tutor (1886) 4 SC 488 at 490. Cf. further R.G.
McKerron, "Regist ration of Gi fts", (1935) 52 SAL] 17 sqq.; Coronet' s Curat or v. Est at e
Coronel 1941 AD 323 at 339 sqq.
144
See P.R. Owe ns, op. c it., note 129, n, 125. To da y, s. 43 of the Ge ne ral La w
Amendment Act (70/1968) applies; no longer are donations invalid merely through failure to
register the donation. Exec utory c ontracts of donation, howe ver, m ust now be re duce d to
writing and signed by the donor or by a person acting on a written authority granted by him
in the presence of two witnesses. Failure to com ply with these formalities appears to render
the contract unenforceable, not void (i.e. subseque nt performa nce is not recoverable).
145
Cf. supra, pp. 492 sq. (note 90).
146
For what follows, see Dawson, op. cit. , not e 5, pp. 29 sqq. , 42 sqq.
147
Art. 931 c ode civil. Cf. also a m. 932 sq., 1339 c ode civil.
48
This is already apparent from the systematical position of donation next to the law of
succession.
144
For an overview, see Dawson, op. cit., note 5, pp. 29 sqq., 123 sqq.; cf. also Coing, pp.
610 sqq.
150
Art. 913 code civil. The testator can dispose of 3 of his estate only if one legitimate child
survives him, of j if two and of j if three or more legitimate children survive. For further
details, see artt- 914 sq. The BGB provides for a compulsory portion ("Pflichtteil"): "If a
descendant of a testator is excluded by disposition mortis causa from succeeding, he may
demand his com pulsory portion from the heir. The com pulsory portion amounts to one-half
the statutory portion. The parents and spouse of the testator have the same rights if they have
been excluded from succeeding by a disposition m ortis causa" (§ 2303).
151
Cf. § 2325 I BGB: "W here a testator has ma de a gift to a third party, a com pulsory
beneficiary may claim, as supplement to his com pulsory portion, the am ount by which the
c om p ulsor y p ortion w oul d be inc re a se d if the o bje c t gi ve n we re a d de d to the e sta te."
However, a ten-year limit is imposed as far as this retrospective review of gifts is concerned
(§ 2325 I I I BGB). According to the Frenc h code civil, donations can also be cancelled or
scaled down retrospectively if the total of the descenda nt's gifts exceeded the disposa ble
quota. Here not e ve n a tim e limit e xists. Cf. art. 922 c ode civil.
152
For det ails, see Dawson, op. cit., not e 5, pp. 70 sqq., 74 sqq.
153
Marcel Planiol, Georges Ripert, Traite pratique de droit civil francais (2nd ed., 1957),
vol. V, p. 325.
154
Da wson, op. cit., note 5, p. 87.
155
§ 128 BGB: "If notarial authentication of a contract is prescribed by law, it is sufficient
if first the offer and later the acceptance of the offer be authenticat ed by a notary."
156
§ 51 8 I BG B. The re asons give n for the form ality ha ve bee n we ll su m m e d up b y
Dawson, op. cit., note 5, p. 134: to ensure care and deliberation by promisors; the need for
better e vide nce tha n the inform al a nd a m biguous la ngua ge ofte n use d in sponta ne ous
expressions; the undesirability of allowing the strict requirements of form for testamentary
gifts to be bypa sse d too easily; the ne e d to pre ve nt e xploitation o f the thoug htle ss a nd
good-natured and to protect their creditors and heirs. Cf. "Motive", in: Mugdan, vol. II,
p. 162; Protokolle, in: Mugdan, vol. II, p. 743. Cf. also supra, pp. 85 sqq.
157
§ 518 II BGB.
158
The same applies in French law. As to how this requirement and the ensuing restriction
of the concept of donation fits in with the new purposes for policing gift transactions, see
Dawson, op. cit., note 5, pp. 54 sqq., 142 sqq., 221 sqq. He emphasizes that, for instance,
promises made without recompense to render a service or to permit the use of some piece
of property are exempt from all restrictions because they are not regarded as promises of gift,
but fall into separate contractual categories. In England, on the other hand, they will all be
void for want of consideration. On locupletior-pauperior cf. further, for example, Savigny,
System, vol. IV, §§ 145 sqq.; Archi, op. cit., note 10, pp. 75 sqq.
159
Burckhard, op. cit., not e 69, pp. 76 sqq.
160
Cf. e.g. Savigny, System, vol. IV, § 153, pp. 86 sq.; Windscheid/Kipp, § 365;
Dernburg, Pandekten, vol. II, § 106, 2.
161
This, for Savigny, also settled the highly problematical question whether a
remuneratory gift was a gift. For if the pursuit of selfish and egoistical purposes does not
detract from the nature of the transaction as a gift, it would indeed be odd if the unselfish
motive of gratitude for services rendered would. The qualification of remuneratory gifts has
al ways been very cont roversi al : Paul . D. 39, 5, 34, 1. Those wh o regarded donati ones
remun erat ori ae as t rue donati ons and as such as being subj ect t o all t he posi ti ve rul es
governing donations (such as Savigny, System, vol. IV, § 153 or Wi ndscheid/Kipp, § 368)
tended to look at this text as an exception, which related specifically to rescue situations.
Ot h ers r eg ar de d i t as t he exp ressi o n of a g en er al pri n ci pl e cov eri ng al l i nst an ces of
remuneratory gifts (cf. e.g. Miihlenbruch, Doctriria pandectarum, % 443). That led some
wri t e rs t o t he con cl usi o n t hat r e mun er at or y gi ft s ar e n ot t rue d onat i ons at al l , an d,
consequently, that none of the rules governing donations are applicable. Others tried to
strike a compromise and contended that, while remuneratory donations had to be classified
as donations, they were exempted at least from some of the rules applying to donations: the
right to revoke the gift and possibly also the requirement of insinuation and the prohibition
of donations between spouses. Most of the Roman-Dutch lawyers drew a distinction
between donatio propria and impropria (or mera and non-mera or eygentlijke and
oneygentlijke schenkinge). But whereas Voet put donationes remuneratoriae into the first
category {Commentarius ad Pandectas, Lib. XXXIX, Tit. V, III), Huber (Heedendaegse
Rechtsgeleertheyt, III. Boek, XIV. Кар.), Van Leeuwen (Centura Forensis, Pars I. Lib. IV,
Cap. XII, 22) and others argued that they could not properly be called donations. This is,
however, largely a merely terminological difference, for it did not follow for Voet that all
the rules relating to donations had to be applied to remuneratory gifts. As a result, there was
widespread agreement, for instance, that no registration was required. "The reason (for this)
. . . is not far to seek. The formality of insinuatio was required in the interests of the donor
and his heirs; it gave the donor time for reflection, thus putting him on guard against himself
and at the same time protecting the interests of his heirs. Its object was to check impulsive
liberality. . . . Where the donation is not a genuine donation and does not arise from sheer
liberality, the donor having been influenced by some other inducing reason or reasons and,
therefore, presumably having considered the matter and not having acted on a generous
impulse of the moment, the safeguard of registration was not considered necessary" (Avis v.
Verseput 1943 AD 331 at 365, per Tindall JA). Grotius based the exemption of remuneratory
gifts from certain rules applying to donations on usage: "Doch is by ghebruick
aenghenomen, dat schenckinge die uit verdienste gheschied niet en is onderworpen de
wetten die tot nadeel van die schenckinghen iet bevelen" (Inleiding, III, II, 3). There was a
difference of opinion, however, as to whether remuneratory donations were exempted from
registration absolutely or only in so far as they did not exceed the value of the services
received from the donee (in the latter sense, for instance, Voet, Commentarius ad Pandectas,
Lib. XXXIX, Tit. V, XVII). But this limitation would have been totally impractical because
it is hardly possible to draw up a comparison between the benefit received and the
remuneration given (Savigny, System, vol. IV, § 153).
Modern South African law still draws the distinction between donatio mera and non mera;
remuneratory and reciprocal donations fall into the second category and are not subject to
the formalities and restrictions which apply to a donatio mera. Cf. for instance, Brink,
Executors of Van der By! v. Meyer (1832) 1 Mem. 552; Fichardt Ltd. v. Faustmann 1910 AD 168
and particularly the very thorough and interesting decision of Avis v. Verseput 1943 AD 331
sqq., esp. the judgments of Watermeyer ACJ (pp. 347 sqq.), Tindall JA (pp. 363 sqq.) and
Fischer AJA (pp. 381 sqq.).
The German BGB makes one special concession for a certain group of remuneratory
donations: "Gifts which are made in compliance with a moral duty or for the sake of
common decency are not subject to recall or revocation" (§ 534). Apart from this,
remuneratory donations do not enjoy a special status. In modern practice, difficulties of
classification can crop up where employees receive an additional bonus, gratification, etc.
from their employers. Remuneration or remuneratory donation? Interesting, too (even
though very rarely the cause of litigation), the legal qualification of the tip (usually taken to
be extra-remuneration for satisfactory fulfilment of contractual obligations on the part of the
waiter, porter, etc., not donation; consequence: taxable as income. On the problems
connected with the social institution of the tip, see Rudolf von Jhering, Das Trinkgetd (3rd
ed., 1889)). On remuneratory donations in French law, see Dawson, op. cit., note 5,
pp. 96 sqq.
1( 2
'
163
Oawson, op. cit., note 5, p. 138.
"Die Lehre von der Voraussetzung (im Hinblick auf den Entwurf cines burgerlichen
Gesetzbuches)", (1889) 74 Archiv fur die civilistische Praxis 230 sqq.
1вг>
Cf. the account by Franz Haymann, Die Schenkung unter einer Auflage (1905), pp. 1 sqq.
Cf., particularly, Werner Lorenz, "Entgeltliche und unentgcltliche Geschafte", in: lus
privatmn gentium, Festschrift fiir Max Rheinstein, vol. II (1969), pp. 547 sqq. One of the main
problem areas is that of gifts with charge (donationes sub modo). Here it is often difficult to
decide whether the parties intended to conclude a donation or an onerous contract. On
donations sub modo, see Savigny, System, vol. IV, § 175; Windscheid/Kipp, § 369;
Haymann, op. cit., note 164, pp. 22 sqq.; Schulz, CRL, pp. 568 sq.; Michel, Gratuite, pp.
265 sqq.; Coing, pp. 486 sq.; on modern law: Lorenz, Festschrift Rheinstein, vol. II, p. 561;
Dawson, op. cit., note 5, pp. 103 sqq., 166 sqq.
1ЛА
For a classic "definition", see Currie v. Mha (1875) LR 10 Exch 153 at 162: "A valuable
consideration, in the sense of the law, may consist either in some right, interest, profit, or
benefit accruing to the one party, or some forbearance, detriment, loss, or responsibility,
given,
1
suffered, or undertaken by the other."
For a recent summary of the position in modern law, see Treitel, Contract, pp. 52 sqq.;
Basil S. Markesinis, "La notion de consideration dans la common law: vieux problemes;
nouvelles theories", (1983) 35 Revue intematicmale de droit compare 735 sqq.; Clare Dalton,
"An Essay in the Deconstruction of Contract Doctrine", (1985) 94 Yale LJ 1066 sqq.; cf. also
infra, pp. 554 sqq.
l<
* Cf. e.g. the famous case of Stitk v. Myrich (1809) 2 Camp 317.
169
Cf. e.g. (Lord) Wright, "Ought the Doctrine of Consideration to be Abolished?",
(1936) 49 Harvard LR 1225 sqq.; P.S. Aliyah, "Consideration: A Restatement", in: idem,
Essays on Contract (1986), pp. 179 sqq.
17
As an example of a successful one cf. the doctrine of promissory estoppel which has
been developed in the United States (cf. e.g. Restatement Contracts 2d (1981), § 90: "A
promise which the promisor should reasonably expect to induce action or forbearance on the
part of the promisee or a third person and which does induce such action or forbearance is
binding if injustice can be avoided only by enforcement of the promise. The remedy granted
for breach may be limited as justice requires"; judicial adoption of this principle, which is
designed to protect reliance, into German law has been urged by Zweigert, 1964
Juristenzeitung 354). For an unsuccessful attempt to break through the confines of the
consideration doctrine, cf. Lord Mansfield's moral consideration theory ("Where a man is
under a moral obligation, which no Court of law or equity can inforce, and promises, the
honesty and rectitude of the thing is a consideration. . . . [T]he tics of conscience upon an
upright mind are a sufficient consideration" (Hawkes v. Saunders (1782) 1 Cowp 289 at 290));
since every promise engenders a moral duty to perform, Lord Mansfield's theory would
have led to a total collapse of the consideration doctrine. Not long after his death, it was
rejected in Eastwood v. Kenyan (1840) 11 Ad & El 438, because, in the words of Lord
Denman, it "might be attended with mischievous consequences to society; one of which
would be the frequent preference of voluntary undertakings to claims for just debts. Suits
would thereby be multiplied, and voluntary undertakings would also be multiplied, to the
prejudice of real creditors. The temptations of executors would be much increased by the
prevalence of such a doctrine, and the faithful discharge of their duty be rendered more
difficult" (pp. 450 sq.)- Some years before, Lord Mansfield (and his court) had, incidentally,
launched an even more direct assault on the doctrine of consideration. In Pillans v. Van
Mierop ((1765) 3 Burr 1663 sqq.) it was held that the enforceability of "naked promises" is
not based on consideration; what matters is merely whether the undertaking "was entered
into upon deliberation and reflection" (p. 1670). In this context, Wilmot j referred to civilian
contractual doctrine and quotes Vinnius, Grotius and Pufendorf. Lord Mansfield argued that
"the ancient notion about the want of consideration was for the sake of evidence only"
(p. 1669). However, in 1778 the House of Lords confirmed the doctrine of consideration: "It
is undoubtedly true that every man is by the law of nature bound to fulfil his engagements.
It is equally true that the law of this country supplies no means nor affords any remedy to
compel the performance of an agreement made without sufficient consideration. Such
agree ment is nudum pactum e x quo non oritur actio; and whatsoe ver ma y be the sense of
this maxim in the civil law, it is in the last-mentioned sense only that it is to be understood
in our law" (per Lord Skynner). On Pillans v. Van Mierop cf. the a nalysis by Nikolaus
Benke, "No inefficacy arises merely from a naked promise", (1987) 14 Ius Commune 1 sqq.;
cf. also Peter Stein, "Continental Influences on English Legal Thought", in: La formazione
storica, vol. HI, p. 1117. Ward v. Byham [1956] 2 All ER 318 (CA) offers a good example of
the doctrinal difficulties which the modern courts have to circumna vigate, in order to try to
reach a reasonable result.
171
Cf. e.g. A.G. Chloros, "The Doctrine of Consideration and the Reform of the Law of
Contract", (1968) 17 International and Comparative Law Quarterly 137 sqq.
172
On the origi n of considerati on cf, in particul ar, J. L. Bart on, "The Earl y History of
Consideration", (1969) 85 LQR 372 sqq.; Simpson, History, pp. 316 sqq., 375 sqq. The idea
of causa, i ncident ally, reappeared in Lord Mansfi eld's moral consideration theory; cf.
generally Holdsworth, vol. VIII, pp. 42 sqq. Lord Mansfi eld, the t owering fi gure on the
English legal scene in the second half of the 18th century, had attended lectures on Roman
law at Oxford and was thus familiar with civil-law ideas. His Scottish background may have
contributed too. For details cf e.g. C-H.S. Fifoot, Lord Mansfield (1936); cf also Daniel R.
Coquillette, The Civilian Writers of Doctors' Commons (London, 1988), pp. 282 sqq.
Cf., for example, Sc. Germain's famous dialogue Doctor and Student (1530), as quoted
by Simpson, History, p. 322: ". . . But if his promise be so naked that there is no manner of
consideration why it should be made, then I think him not bound to perform it." On St.
Germain's work and his sources, see Si mpson, pp. 376 sqq.
174
In a si milar vein Voet, Commentarius ad Pandectas, Lib. XXXIX, Tit. V, III: ". . .
donatio sine ulla praecedente causa ad donandum impellente profusio magis ac prodigalitas,
quam liberalitas est."
175
Da wson, op. cit., note 5, pp. 220 sq.; for further details, see pp. 207 sqq. The point
that "c onsideration . . . has give n a spurious unity to legal proble m s that are substa ntially
dissimilar" (Edwin W. Patterson, "An Apology for Consideration", (1958) 58 Columbia LR
938) has bee n made by ma ny authors.
176
R i se a n d Fa l l , p. 45 3. A ri ya h re l at e s t he c ha n ge o f f un ct i on a nd c ont e nt o f t he d oc t ri ne
of co ns i de r at i o n t o t he p r o fo u nd ch a n ge s i n t he co n ce pt u al st r u ct u re of co nt r a ct u al l i a bi l i t y,
m or e p a rt i c ul a rl y t he ri se o f t he e xe cut o r y c ont r a ct d ur i n g t he "a ge o f fre e d o m o f co nt r a ct ".
177
Or, as P ro fe ss o r Ati yah wo u l d p ro b abl y s a y, wi t h t h e co n ce p tu al st ru ct u re o f
cont ract ual l i abil it y. For a crit i cal anal ysi s of Ati yah's vi e ws on consi de rat i on, se e
G . H. T re ite l, "C o n si de r ati on: A C riti c al A n al ysi s of P r ofe ss o r A ti ya h 's F u n d a me nt al
Re st at e me nt ", ( 1 97 6) 50 A u st ra l i a n LJ 4 3 9 s q q.
178
Z w e i ge rt/ K o tz / We i r, p p. 6 0 sq q. , wit h a ve r y v al u a ble c o m p a r ati ve re vie w o f t he
proble m.
179
O n c i v i l -l a w a n a l o gi e s t o c o n s i d e r a t i o n i n ge n e r a l , se e A r t h u r T . v o n M e h r e n ( 1 9 5 9)
7 2 H a rv a rd LR 1 0 0 9 s q q .; c f . a l s o B . S. M a r k e si n i s , "C a u s e a n d C o n si d e r a t i o n : A St u d y i n
P a r al l e l ", ( 1 9 7 8) 3 7 C LJ 5 3 s q q .
180
P ro m i se s w h i c h h a v e n ot b e e n m a d e a g a i n st a c o n si de r at i on a re a ct i o n a bl e i f t he y a r e
" u n d e r se a l " ( i . e . c o n t a i n e d i n a se a l e d d o c u m e n t ) .
1
2
Gai. Ill, 89,
D. 2, 14, 7, 4. Cf. further e.g. Ulp. D. 2, 14, 7, 5; Ulp. D. 19, 5, 15; Paul. Sent. II, XIV.
1; C. 2, 3, 10 (Alex.) and Schmidlin, Rechtsregeln, pp. 97 sqq. In later times this rule was
usually referred to in a slightly different formulation: ex nudo pacto non oritur actio.
3
On the terminology cf. Andre Magdelain, Le consensualisme dam {'edit du preteur (1958),
pp. 5 sqq. Pactum/pactio is derived from pacisci/расеге and originally referred to
redemption from liability, i.e. to the act by which the wrongdoer "bought off" the victim's
right of vengeance: cf. e.g. 8, 2 of the XII Tables: "Si membrum rupsit, ni cum eo pack, talio
esto"; for details, see Kaser, RPr I, pp. 171 sqq. Ulpianus (D. 2, 14, 1, 1) draws attention to
the fact that the word for peace has the same root: "Pactum autem a pactionc dicitur (inde
etiam
4
pacis nomen appellatum est)."
Cf. Gai. IV. 122: "Dilatoriae sunt exceptiones quae ad tempus valent, veluti illius pacti
conventi, . . . ne intra quinquennium peteretur."
508
5
Ulp. D. 2, 14, 7, 7. Cf. e.g. Biondo Biondi, Contralto e stipulatio (1953), pp. 144 sqq.;
Knutel, Contrarius consensus, 1pp. 63 sq. and, particularly, Gian Gualberto Archi, "Ait
Praetor: 'Pacta conventa servabo ", in: De iustitia et iure, Festgabe jur Ulrich von Lubtow
(1980), pp. 373 sqq. Differently Magdelain, Consensualisme, pp. 49 sqq., who reads into
"[t]his rather high-sounding pronouncement" (Schulz, CRL, p. 470) the "charte du
consensualisme". Cf. further on this passage Gyorgy Diosdi, "Pacta nuda servabo?", (1971) 74
BIDR6
89 sqq.
Cf. Paul. D. 18, 5, 3; Ulp. D. 2, 14, 7, 5 sq. and Rolf Knutel, "Die Inharenz der
exceptio pacti im bonae fidei iudicium", (1967) 84 ZSS 133 sqq.
7
8
Paul. D. 18, 5, 3.
lav. D. 19, 2, 21; on this text, see, for example, J.A.C. Thomas, "Tenancy by
Purchaser",
9
(1959) 10 Iura 103 sqq.
Pap. D. 18, 1, 72 pr.
10
Ulp. D. 2, 14, 1 pr.; Ulp. D. 2, 14, 7, 5; Knutel, Contrarius consensus, pp. 64 sqq. "
Cf.
12
e.g. Grosso, Sisiema, pp. 187 sqq.
The most prominent examples of pacta appended to contracts of sale were the in diem
addictio, the lex commissona and the pactum displicentiae. The former two gave the
vendor, the latter the purchaser the right to call ofTthe sale under certain circumstances. For
details cf. infra, pp. 735 sqq. Practically less important were the pactum de retroemendo (the
vendor is granted the right to buy back the thing sold; cf. Proc. D. 19, 5, 12; C. 4, 54, 2
(Alex.); Gliick, vol. 16, pp. 199 sqq.; Peters, Rucktrittsvorbehalte, pp. 277 sqq.; on the
subsequent history, see Theo Mayer-Maly, "Beobachtungen und Gedanken zum
Wiederkauf', in: Festschrift fur Franz Wieacker (1978), pp. 424 sqq.) and the pactum
protimiseos ("si ita fundum tibi vendidero, ut nulli alii eum quam mini venderes"; cf. Paul.
D. 19, 1, 21, 5; Hermog. D. 18, 1, 75; Gluck, vol. 16, pp. 156 sqq.; Peters,
Rucktrittsvorbehalte, pp. 282 sqq. On the historical development of the modern right of
pre-emption (§§ 504 sqq. BGB) from this (and other) root(s), cf. Klaus Schurig, Das
Vorkaufsrecht im Privatrecht (1975), pp. 36 sqq., 49 sqq.
13 l4
D.
15
2, 14, 7, 5. Ulp. D. 2, 14, 7, 5.
Cf. further e.g. Grosso, Sistema, pp. 179 sqq.; Biondi, op. cit., note 5, pp. 144 sqq.;
Kniitel, Contrarius consensus, pp. 67 sqq.
16
Cf. supra, pp. 83 sq. and infra, pp. 622 sqq.
17
Cf. e.g. Fritz Pringsheim, "Id quod actum est", (1961) 78 ZSS 54 sqq.
1. Constitutum debiti
(a) The actio de pecunia constituta
A constitutum (derived from constituere = to fix, to appoint or to
determine) is the informal20 promise to pay an already existing debt,
either one's own (constitutum debiti proprii) or that of another
(constitutum debiti alieni), on a specific date. 21 "Qui pecuniam debitam
constituit se soluturum esse, in eum iudicium dabo" is what the praetor
promised, 22 and an actio de pecunia constituta was therefore made
available to the creditor. In comparison with the condictio it had one
great advantage for the creditor: the judge was instructed to assess
"quanti ea res est"; he therefore had considerable latitude in
determining the amount owed by the debtor. More particularly, not
only could he condemn the latter into the sum of money or the
monetary equivalent of what he had promised; he was able to take into
consideration the creditor's interest in being paid timeously, i.e. to
award damages for the delay in payment. If, for example, A had
18
This text has usually been regarded as corrupt; cf. e.g. Riccobono/Kerr Wylie/Beinart,
pp. 184 sqq.; but see e.g. Knutel, Stipulatio poenae, pp. 286 sq.
19
For a detailed discussion and examples, see Rolf Knutel, "Stipulatio und pacta", in:
Festschrift fur Max Kaser (1976), pp. 201 sqq.
20
Ul p. D. 13, 5, 14, 3.
21
For what follows cf. Buckland/ Stein, pp. 529 sq.; Schulz, CRL, pp. 560 sqq.;
Magdelain, Consensuaiisme, pp. 126 sqq.; Jules Roussier, "Le constitut", in: (1958) 3 Varia,
Etudes de droit romain 1 sqq.; Salvatore Tondo, "In tema di 'constitutem debiti'", (1958) 4
Labeo 208 sqq.; Frezza, Garanzie, vol. I, pp. 229 sqq.
22
Cf. Lenel, EP, pp. 247 sqq.
23
For details cf. infra, pp. 783 sqq., 790 sqq.
24
C f. U lp . D . 1 3 , 5 , 1 8 , 3 .
25
Cf. С 4, 18, 3; Nov. 4, 1; Roussier, (1958) 3 Varia 142 sqq.; Frezza, Garanzie, vol. I,
pp. 281 sqq.; Kaser, RPr II, p. 461.
26
Groencwcgcn, Tractatus de iegibus abrogatis, Cod. Lib. IV, Tit, XVIII, 2-3. Cf. further
e.g. Voet, Commentarius ad Pandectas, Lib. XIII, Tit. V, XIV; Windscheid/Kipp, § 476; but
see Gliick, vol. 13, pp. 398 sqq.
27
See the detailed exposition by Gliick, vol. 13, pp. 373 sqq.
2
* Cf. e.g. Ulp. D. 13, 5, 18, 3.
Cf. C. 4, 18, 2, 1 sq. On the constitutum in the law of Justinian cf. Gian Gualberto
Archi, "Contributi alia critica del Corpus Juris", (1962) 65 BIDR 134 sqq.; Kascr, RPrll,
pp. 383 sq.
30
Cf. infra, note 147.
31
Cf. Lothar Seuffert, Zur Geschichte der obligaforischen Vertrage (1881), pp. 75 sqq.; Guido
Astud, "Pactum geminatum", in: Studi in onore di Enrico Besta, vol. I (1939), pp. 219 sqq.;
Alfred Sollner, "Di e causa i m Kondiktionen- und Vcrtragsrecht des Mittelalters bei den
Glossatoren, Komment atoren und Kanonisten", (1960) 77 ZSS 262 sq.; Nanz, Vertrags-
b
%nff> pp-42 sciq-
Once nuda pacta had become generally enforceable, there was little point in retaining
constitutum as a special type of agreement. The BGB therefore no longer deals with it. For
South African law cf. Percival Gane, The Selective Vaet, vol. Ill (1956), p. 29 (translator's
note); for the situation preceding codification in Germany, cf. Windscheid/Kipp, § 284.
33
Ulp. D. 4, 8, 13, 2. For details, see Magdehin, Consensualisme, pp. 156 sqq.; Ziegler,
Privates Schiedsgericht, pp. 77 sqq.; Peter Stein, "Labeo's Reasoning on Arbitration", (1974)
91 SAL] 135 sqq.
34
Cf. e. g. Paul. D. 4, 8, 19, 1.
35
The e dict provide d: "Qui arbitrium pe c unia c om prom issa rece pcrit, eum se ntc ntia m
diccre c oga m "; cf. Ulp. D. 4, 8, 3, 2; Ulp. D. 4, 8, 3, 15; Le nd, EP , pp. 130 sq.; Zie gler,
Privates Schiedsgericht, pp. 84 sqq.
36
Cf. e.g. Cluc k, vol. 6, pp. 74 sqq., 87 sqq.; W indsc heid/Kipp, § 417.
37
Leo Rosenberg, Karl Heinz Schwab, Ziviiprozessrecht (13th ed., 1981), p. 1113.
3K
Rosenberg/Schwab, op. cit., note 37, p. 1114.
39
But see Alfons Burge, "Fiktion und Wirklichkeit: Soziale und rechtliche Strukturen des
romischen Bankwescns", (1987) 104 ZSS 527 sqq.: liability was undertaken by a formal act
(i.e. the sol emnity connected with the word "recipio").
40
Lend, EP, pp. 132 sqq., Berger, ED, p. 668; Magdelain, Consensuaiisme, pp. 152 sqq.;
Frezza, Garanzie, vol. I, pp. 274 sqq,
41
С 4, 18, 2 pr.; Inst. IV, 6, 8; Kaser, RPr II, p. 383; Burge, (1987) 104 ZSS 535 sq.
42
Ulp. D. 4, 9, 1 pr.; cf. also Ulp. D. 4, 9, 3, 5 and Lend, EP, p. 131. Were there
originally separate edicts for nautae on the one hand and caupones and stabularii on the
other? Cf. Francesco M. de Robertis, "Receptum nautarum. Studio sulla responsabilita dell'
armatore in diritto romano, con riferimento alia disciplina particolare concernente il caupo
e lo stabularius", (1953) t2 Annati Ban 125 sqq.; J.A.C. Thomas, "Carriage by Sea", (1960)
7 RID A 489. On the origin of the edict, as far as nautae were concerned, in the Rhodian sea
laws, see Т.Е. Donges, The Liability for Safe Carriage of Goods in Roman Dutch Law (1928), pp
8 sqq.
On the meaning of "recipere" cf. e.g. A.J. M. Meyer-Termeer, Die Haftung der Schiffer
im vriechischen und romischen Recht (1978), pp. 201, 209; also e.g. Gliick, vol. 6, p. 106.
п
Ott o Lend, " Knti sches und Ant i knt isches", (1929) 49 ZSS 5.
45
L a b ./U lp . D . 4 , 9 , 3 , 1 .
46
Cf. Ulp. D. 4, 9, 3, 1 i. f.
47
D. 4, 9, 5 pr. On this text cf, particularly, Robert Feenstra, "Deux textes dc Gaius sur
la responsabilite" contractuelle: D. 19, 2, 40 et D. 4, 9, 5", in: Droits de Vantiquiti et socioiogie
juridi que, Mel anges Henri Levy-Bruhl (1959), pp. 105 sqq. Cf. further Ulp. D. 4, 9, 1, 8
(". . . et put o omni um eum reci pere cust odi am, quae i n navem ill atae, sunt . . . ").
48
Ul p. D. 47, 5, 1, 4.
53
Cf. e.g. De Robertis, (1953) 12 Annali Bari 51 sqq. and passim; Meyer-Termeer, op.
cit., note 43, pp. 185, 191. Contra: Manlio Sargenti, "Problemi dclla responsabilita
contrattuale", (1954) 20 SDHI 150 sq.
54
The term "nauta" in the conte xt of the receptum refers to the exercitor navis; cf. Ulp.
D. 4, 9, 1, 2: "Qui sunt igitur, qui te nea ntur, vide ndum est- a it pra etor 'na utae '. na uta m
accipere de be m us e um qui na ve m e xercet: qua m vis na utae appella ntur om nes, qui na vis
navigandae causa in nave sint: sed dc exercitore solummodo praetor sentit." Even where the
magister navis concluded the receptum, it was the exercitor who was bound; his obligation
arose "ve l pe r se ve l pe r na vis m a gistrum " (Ulp. D. 4, 9, 1, 2 i . f ) . On the position of
exercitor na vis, ma gister na vis a nd others involve d in the ma nage me nt of a ship, cf.
Me yer-Termeer, op. cit., note 43, pp. 150 sqq.
" Cf. supra, p. 40 8.
56
Cf. supra, pp. 398 sq.
57
Paul. D. 4, 9, 6, 1 sqq.; Ulp. D. 47, 5, 1 sqq.; Sargenti, "Osservazionj sulla
responsabilita dell' exercitor navis in diritto romano", in: Studi in onore di Emilio Albertario,
vol. I (1953), pp. 555 sqq.; J.A.C. Tho m a s, "Juridica l Aspe cts of Carria ge by Sea a nd
Warehousing in Roman Law", in: (1974) 32 Recueils de la Societe Jean Boditi pour I'Histoire
Comparative des Institutions 133 sqq.
5e
Thomas, (1974) 32 Recueils Boditi 136; cf. also Meyer-Termeer, op. cit., note 43, p. 194.
59
J. C . v a n O ve n, "A c tio de re ce pt o e t a c tio l o c ati ", ( 1 9 56) 2 4 TR 1 3 7 s q q.; cf . als o
al re a d y S a r ge nt i , S t u d i A l be rt a ri o , v ol . I , p p. 5 5 3 s q q.
60
e . g. M c ye r - T e r m e e r , o p . c i t ., n o t e 4 3 , p p . 1 8 5 s q q .
61
CR L, p. 565.
62
( 195 3) 1 2 A n na l i Ba ri 8 3 sq q.
63
Christoph Heinrich Brecht, Zur Haftung der Schiffer im antiken Recht (1962), pp. 99 sqq.
M
J.A.C. Thomas, "Carnage by Sea", (1960) 7 RIDA 489 sqq.
63
This was even the older type of transaction: Thomas, (1960) 7 RIDA 497; idem, (1974) 32
Remeils Bodin 138.
Thus it was necessary for the praetor to introduce, by reason of the special
circumstances of sea carriage, the actiones furti and damni in factum adversus nautas in order
to subject the nauta-locator to a special liability which was not inherent in the contract of
locatio conductio rei: Thomas, (1960) 7 RIDA 497; idem, (1974) 32 Recueih Bodin 137 sq.
f7
' (1960) 7 RIDA 500, 501.
"H Cf. supra, p. 399.
flV
This line of argument is taken, for instance, by Meyer-Termeer, op. cit., note 43,
pp.70 177 sqq., 185 sqq.
Kaser, RPr I, pp. 508, 586.
71
Ul p. D. 4 , 9 , 3 , 1 .
72
That was possible; cf. Ulp. D. 4, 9, 7 pr.
73
Giuseppe Ignazio Luzzatto, Caso fortuito e forza maggiore come limite alia responsabilita
contrattuale (1938), p. 170; Arangio-Ruiz, Responsahilita, pp. 103 sqq.; Van Oven, (1956) 24
TR 148 sqq.; Magdelain, Consensualisme, pp. 148 sqq.; Thomas, (1960) 7 RIDA 498 sq.; cf.
also Kaser, RPr I, p. 585, but cf. also RPr II, p. 408 (n. 57). According to Dc Robertis, (1953)
12 Annali Bari 61 sqq. and Brecht, op. at., note 63, pp. 112 sqq., these changes took place
only in post-classical times. Against any such development, be it in classical or post-classical
la w, see however, E. Ude, "Da s receptu m nautaru m, ein pa ctu m praetoriu m", (189 1) 12
ZSS 66 sqq. a nd M eyer-T erm eer, op. cit., note 43 , pp. 2 01 sqq.
74
Cf. e.g. Story, Bailments, §§ 458 sq., 464 sqq., 488; for Roman-Dutch law c(. Donges,
op. cit., not e 42, pp. 33 sqq.
75
Cf. e.g. Davis v. Lockslone 1921 AD 153 sqq.; Chr. van der Horst. in: Joubert (ed.), The
Law of South Africa, vol. 2 (1977), n. 166.
7
Cf. e.g. artt. 1782 sqq., 1952 sqq. code civil (s.v. depositu m necessariu m), 77 §§ 701
sqq. On the lia bility of carriers in Germa ny, cf. Windscheid/Kipp, § 384 i . f ; Johann
Georg Helm, "Haftung fur Schadcn an Fraehtgutern" (1966), passim; for a
comparative analysis, seejurgen Basedow, Der Transportvertrag (1987), pp. 392 sqq.
7H
Su ch exclu sionary clau ses ha ve, on the basis of Ulp. D. 4, 9, 7 pr., alwa ys been
regarded as permissible; cf., for exa mple, Gluck, vol. 6, p. 115; Voct, Commentarhis ad
Pandectas, Lib. IV, Tit. IX, XVII; Donges, op. c i t . , note 42, pp. 100 sqq.; for modern South
African law cf. Van dcr Horst, op. cit., note 75, n. 177. The same applied in Germany (to
innkeepers) until 1966; but cf. now § 702 a BGB.
79
Cf. e. g. Gl uck, vol. 6, pp. 112 sq.; Donges, op. cit., not e 42, pp. 27 sq.
80
Liability of the innkeeper according to the §§ 701 sqq. BGB was first seen within the
framework of the contract of lodging ("Beherbergungsvertrag") concluded between the
innkeeper and his customer; it was then viewed by some authors as being based on a separate
contract of deposit. Today, the view prevails that we are dealing with a liability ex lege
(quasi ex contract u?). For details cf. e.g. Peter Koch, "Zur Neuregelung der Gast wirt-
shaftung", 1966 Versicherungsrecht 707 sqq.; Uwe Hiiffer, in: Miitichener Kommentar, vol. Il l ,
2 (2nd ed. 1986), § 701, nn. 3 sq.
*"
S2
Pomp./Ulp. П. 4, 9, 3, 1.
Cf. Davis v. Lockstone 1921 AD 153 at 159.
аз
M4
"Motive", in: Mugdan, vol. II, p. 326.
For details cf. e.g. Gluck, vol. 6, pp. 110 sq.; Donges, op. cit., note 42, pp. 21 sq.;
"Motive", in: Mugdan, vol. II, pp. 326 sq.
H5
Ulp. D. 4, 9, 1, 4; cf. e.g. Gluck, vol. 6, pp. 126 sq.; Donges, op. cit., note 42,
pp. 78 sq.; Meyer-Termeer, op. cit., note 43, pp. 188 sq.
m
Cf. e.g. Ferdinand Christian Harpprecht and Wolfgang Adam Lauterbach, as quoted by
Gliick,
87
vol. 6, p. 128 and discussed by Donges, op. cit., note 42, pp. 73 sqq.
Gliick, vol. 6, pp. 126 sqq.; cf. further Story, Bailments, § 488; Donges, op. cit., note
42, pp. 80 sqq.; on the codifications of the late 18th and 19th centuries (as,
particularly, § 2459 II 8 PrALR and §§ 970, 1316 ABGB) cf. Ogorek, Gefahrdungshaftung,
pp. 83 sq. Contra, however, the pandectists; cf., for example, Vangerow, Pandekten, § 648;
CF. Muller, Ueber die de recepto actio und deren analog? Ausdehnung auf die Postanstalten (2nded.,
1857); pp. 65 sqq.
8a
Tregidga & Co. v. Sivewright (1897) 14 SC 76 at 81 sq.; CSAR v. Adtmgton & Co. 1906
TS 964 at 970 sq. (but cf. also Stocks & Stocks (Pty.) Ltd. v. T.J. Daly & Sons (Pty.) Ltd. 1979
(3) SA 754 (A) at 761G-H).
89
90
Van der Horst, op. cit., note 75, n. 170.
Bssa v. Diuaris 1947 (1) SA 753 (A) at 775-6. Cf. also the judgment by Tindall JA,
pp. 765 sq.
91
Essa v. Divaris 1947 (1) SA 753 (A) at 775.
92
Cf. e.g. Story, Bailments, §§ 488 sqq.
Cf. the references in Story, Bailments, § 495. He adds: "To bring a person within the
description of a common carrier, he must exercise it as a public employment; he must
undertake to carry goods for persons generally; and he must hold himself out as ready to
engage in the transportation of goods for hire as a business, not as a casual occupation pro
hac vice". On the early history of the "common" callings in general, see Simpson, History,
pp. 229 sqq.
For a detailed comparison between the common carrier of English law and what is
usually termed "public carrier" in South African law (a person who holds himself out to the
public as undertaking the carriage of goods (or persons) as his profession; c(. Prinsloo v.
Venter 1964 (3) SA 626 (O) at 627D-G), see Donges, op rit., pp. 62 sqq.
95
96
Cf. e.g. Donges, op. cil., note 42, pp. 69 sqq.
§ 489. Cf. further the detailed exposition of the law relating to common carriers by Sir
William
97
Jones, An Essay on the Law of Bailments (1836), Appendix pp. 1-106.
(1703) 2 Ld Raym 909 at 918.
<)H
Cf. also Best CJ, in Riley v. Home (1828) 5 Bing 217: "When goods arc delivered to a
carrier, they are usually no longer under the eye of the owner; he seldom follows, or sends
any servants with them, to the place of their destination. If they should be lost or injured by
the grossest negligence of the carrier or his servants, or stolen by them, or by thieves in
collusion with them, the owner would be unable to prove either of these causes of loss. His
witnesses must be the carrier's servants; and they, knowing that they could not be
contradicted, would excuse their masters and themselves. To give due security to property,
the law has added to that responsibility of a carrier which immediately arises out of his
contract to carry for a reward, namely, that of taking all reasonable care of it, the
responsibility of an insurer. From his liability as an insurer, the carrier is only to be relieved
by two things, both so well known to all the country, when they happen, that no person
would be so rash as to attempt to prove that they had happened when they had not, namely,
the act of God, and the King's enemies" (p. 220).
99
Cf. also Lane v. Cotton (1701) 12 Mod Rep 472: ". . . and the law will not expose him
[sc. the carrier] to so great a temptation, but he must be honest at his peril. And this is the
reason of the civil law in this case, which though I am loth to quote, yet inasmuch as the laws
of all nations are doubtless raised out of the ruins of the civil law, . . . it must be owned that
the principles of our law are borrowed from the civil law, therefore grounded upon the same
reason in many things" (p. 482, per Holt CJ).
""' One of the main differences is that under the common law the carrier is liable in case
of robbery (unless committed by public enemies). In Roman (and Roman-Dutch) law this
fell under the exception of vis maior (or damnum fatale). On the liability of innkeepers under
the English common law, cf. Story, Bailments, nn. 469 sqq. He states at the outset of his
discussion that the strict (though not as strict as the common carrier's!) liability of an
innkeeper is usually said "to be founded on the custom of the realm. In point of fact, the
origin of the latter may be clearly traced up to the Roman law, from which the common law,
without any adequate acknowledgements, has from time to time borrowed many of the
important principles which regulate the subjects of the contracts." One important difference,
however, lies in the fact that the common carrier (unlike the Roman nauta) is under an
obligation
10
to contract.
For what follows, cf. particularly W.J. Hosten, "Die Aanspreeklikheid van die
depositarius en die vervoerder mgevolge die gemene reg", 1964 Ada Jitridica 128 sqq. 112
Lange , S chadense rsa tz und Pri vatstra fe , pp. I l l sqq.
1(13
Cf. also Domenico Maffei, Caso fortuito e responsabihta ne\V eta del glossatori (1957), pp. 23
sqq.; Hoffmann, Fahrlassigkeit, pp. 35 sqq.
1 04
On the terminology cf Donges, op. at., note 42, pp. 41 sqq.; Hosten, 1964 Acta
Juridka 132 sq.; cf. also Windscheid/Kipp, §§ 384, n. 6. 1(15 Institutiones, Lib. Ill, Tit. XXV,
5, 2.
106
Stephan Frazer & Co. v. Port Elizabeth Harbour Board (1900) 17 SC 231 at 234; МаЯаца
v. Cole (1908) 25 SC 434 at 436; Postmaster-General v. Van Niekerk 1918 CPD 378 at 382 sq.
107
Tregidga & Co, v. Sivewright (1897) 14 SC 76 at Й1, per Lord De Villiers CJ. Cf. further
Davis v. Lockstone 1921 AD 153 at 158 sq., 164 sqq.; also Essa v. Diuaris 1947 (1) SA 753 (A)
at 764 sq.
108
Cf. Commentariits ad Pandectas. Lib. IV, Tit. IX, II .
109
Cf. e .g. Cluc k, vol. 6, p. 120.
The sa me applies to the liability of the innkee per in m odern Germ an law; cf. § 701
BOB.
111
The term occurs in Ulp. D. 2, 14, 5 and Paul. D. 2, 14, 6 ("Legitima convcntio est quae
lege aliqua confirmatur. ct ideo interdum ex pacto actio nascitur vel tollimr, quotiens lege vel
senatus
112
consulto adiuvatur.").
On donatio cf. supra, pp. 477 sqq.
113
It must immediately be stated that among modern scholars there is no unanimity on
this topic. The views put forward in the following lines have been substantiated, in
particular, by Zieglcr, Privates Schiedsgericht, pp. 47 sqq., 180 sqq., 246 sqq.; cf. also Giorgio
La Pira, " 'Compromissum' e 'litis contestatio' formuiare", in: Studi in onore di Salvatore
Riccobono, vol. II (1936), nn. 187 sqq. A different picture is presented, most notably, by
Mario Talamanca, Ricerche in tema di "compromissum" (1958), passim; idem, "L'arbitrato
romano dai 'veteres' a Giustiniano", (1974) 20 Labeo 86 sqq. He emphasizes (even for
classical law) the informal arbitration agreement; the stipulationes poenae merely served to
secure fulfilment of the obligations arising from it. In other words: he, more or less, regards
as classical what is presented here as a postclassical conception.
114
On the terminology ("compromittere", as used in the praetorian edict) cf. Ziegler,
Privates Schiedsgericht, pp. 8 sqq.
115
Ulp. D. 4, 8 , 11 , 4 .
116
Cf. further Zieglcr, Privates Schiedsgericht, pp. 55 sq.
117
Cf. e.g. Pau l. D. 4 , 8 , 19 pr.; Ulp. D. 4, 8 , 17 , 3 .
118
A "c o mpr o mi ssu m pl e nu m" (" qu o d . . . a d om n e s co ntro v er si a s p erti n et") wa s
possible: Ulp. D. 4 , 8, 21, 6 .
m
C f. e .g . С 2 , 5 5 , 1 ( Ant .).
1211
Cf. supra, pp. 78 sqq.
121
For details, see Walter Selb, "Episcopalis audientia von der Zeit Konstantins bis zur
Nov. XXXV Valentinians III.", (1967) 84 ZSS 162 sqq.; Ziegler, Privates Schiedsgerkht,
pp. 167 sqq.; Giulio Vismara, "Ancora sulla 'episcopalis audientia'", (1987) 54 SDHI53 sqq.
Apart from e piscopalis audie ntia, the special jurisdiction c oncede d by the Roma ns to the
Jews was of some significance in the present context; cf. Ziegler, Privates Schiedsgerkht,
pp. 175 sq.; ge nera lly: Kaser, RZ, p. 527.
122
1. Corin thians 6, 1.
123
C f. С 2 , 5 5 , 5 p r. (ju st.).
124
Cf. C. 2, 55, 4, 6 sq. (Just.). C. 2, 55, 4 pr. sqq. dea l with a c onfirma tion of this
arbitration agreement by oath. But see Nov. 82, 11, 1 (repealing again the possibility of such
confirmation).
125
Cf. Ulp. D. 4, 8, 13, 1 (interpolated?: Talamanca, Rkerche, op. cit., note 113, pp. 125
sqq., but see Ziegler, Privates Schiedsgerkht, pp. 51 sq., 183); C. 2, 55, 5 pr. (Just.).
fe6
Ulp. D. 4, 8, 2; cf. further Ziegler, Privates Schiedsgerkht, pp. 50 sq.
" Even in case of an entirely informal compromissum sine poena (". . . sub со pacto in
scriptis
1 K
vcl non in scriptis habito, ut eorum definitioni stctur"): С 2, 55, 5 pr.
C. 2, 55, 4, 4; C. 2, 55, 4, 6; C. 2, 55, 5 pr, sq. This actio in factum was based
(dogmatically) on a recognition in writing of the sententia arbitri on the part of both parties
(subscripto), i.e. on a special agreement post sententiam arbitri, not on the (informal)
compromissum. However, a tacit recognition of the award was sufficient too ("si sikntio
earn roboraverint"); it was deemed to have taken place if the parties did not protest within
a period
129
of 10 days.
Nov. 82, П; Talamanca, Ricerche, op. cir., note 113, pp. 139 sqq.; Ziegler, Privates
Schiedsqericht, pp. 239 sqq.
110
Cf. infra, pp. 539 sqq.
131
Commentaruis ad Pandectas, Lib. IV, Tit. VIII, III. For the modern South African
common law, cf. Catherine Smith, in: Joubert (ed.)> The Law of South Africa, vol. 1 (1976),
n. 458.
Cf. particularly C. 2, 55, 6 (women) and Ulp. D, 4, 8, 9, 2 (referring to the person who
would otherwise have been judge in the same matter); Karl-Heinz Ziegler, "Arbiter,
arbitrator und amicabilis compositor", (1967) 84 ZSS 376 sqq.
" Helmut Coing, "Zur Entwicklung des Schiedsvertrages im Jus Commune", in:
Festschrift fur Heinz Hiihner (1984), pp. 35 sqq.
1M
D. 17, 2, 76.
155
Cf. further Paul. D. 4, 8. 19 pr. ("Qualem autem sententiam dicat arbiter, ad
practorem non pertinere Labeo ait, dummodo dicat, quod ipsi videtur"); Ulp. D. 4, 8, 27, 2;
Ziegler, Privates Schiedsgericht, pp. 135 sqq.
136
Speculum iudiciale, Pars I, Lib. I, Partic. I, Rubrica De Arbitro et Arbitratore, § 1, 3.
137
Pillius, Tancredus, Gratia, Libri de iudkiorum ardine (ed.: F.C. Bergmann), 1842, p. 107
(n. 36). Cf. also already the Summa tocius artis notariae Rolandini Rudolphini Bononiensis,
as quoted by Ziegler, (1967) 84 ZSS 381.
LH
139
Durantis, Speculum iudiciale, loc. dt., § 1, 2.
Durantis, Speculum iudiciale, §1,2. This was contrary to Roman law where, as far as
the procedure was concerned, the arbiter was bound only by the terms of the
compromissum: for details, see Ziegler, Privates Schiedsgericht, pp. 129 sqq.
14
Baldus, as quoted in an appendix to the rubrica "De Arbitro et Arbitratore" of
Durantis1 Speculum iudiciale. This, too, was contrary to Roman law; cf. supra, note 134.
141
Practycke in civile saecken (Rotterdam 1649), Cap. CCIII.
142
Commentarius ad Pandectas, Lib. IV, Tit. VIII, II.
143
For details, see Coing, Festschrift Hubner, pp. 38 sqq., also on the meaning of ex aequo
et bono under the ius c om m une.
144
"Schiedsvertrag": §§ 1025 sqq. ZPO.
145
§§ 1026 sqq. ZPO.
146
As far as the procedure is concerned, the arbitrator must observe a number of special
rules laid down by the ZPO, and certain general principles of (civil) procedure; otherwise he
is free (within the terms of the arbitration a gre e me nt) to determine the a ward in his own
discretion. Toda y, incide ntally, the arbitration a gree m e nt norm ally has to be in writing
(§ 10 27 Z P O). O n the historica l de velop m e nt of a rbitration in Germ a ny, see He rm a nn
Krause, Die geschichttiche Entwicklung der Schiedsgerichtsbarkeit in Deutschland (1930). The
French code de procedure has taken over the "amiable compositeur" from the ius commune
{art. 1019).
147
However, in the Corpus Juris Civilis nuda pacta are associated with aequitas naturalis
(Ulp- D. 2, 14, 1 pr.); thus they could provide the basis for a naturalis obligario (cf. e.g. Ulp.
D. 46, 3, 5, 2; Pap. D. 46, 3, 95, 4; Guido Astuti, I contratti obbligatori nella storia del diritto
italiano, vol. I (1952), pp. 176 sqq.).
148
On the pactum reservati dominii of the ius commune cf. .e.g. Gliick, vol. 16,
pp. 229 sqq.; Windscheid/Kipp, § 172, 7; Gottfried Schiemann, "Ober die Funktion des
pactum reservati dominii wahrend der Rezeptionen des romischen Rechts in Italien und
Mitteleuropa", (1976) 93 ZSS 161 sqq. In South African law, considerable confusion exists
about the legal effect of such pacts reserving ownership; this is due to the decision by Lord
De Villiers CJ, in Quirk's Trustees к. Assignees of Liddte & Co. (1885) 3 SC 322. For a
discussion, see M.A. Diemont, P.J. Aronstam, The Law of Credit Agreements and Hire-
Purchase in South Africa (5th ed., 1982), pp. 13 sqq. On the reservation of title in Roman law cf,
most recently, Anton Meinhart, "Dogmengeschichtliches und Dogmatisches zum
Eigentumsvorbehalt",
49
(1988) 105 ZSS 729 sqq.
Cf., for South Africa, the provisions of the Hire-Purchase Act, 36/1942 and now the
Credit Agreements Act, 75/1980. On the legal nature of this type of contract (sale or lease?),
see Diemont/Aronstam, op. cit., note 148, pp. 20 sqq.
150
C f , f o r G e r m a n y, t h e " G e se t z be t re f f e n d d i e A b za h l u n g sg e s c h a f t e " ( A c t r e l a t i n g t o
instalment-transactions) of 16 May 1894 (pre-BGB!); cf. e.g. Hans-Peter Benohr,
"Konsumentenschutz vor 80 Jahren", (1974) 138 ZHR 492 sqq.; Eike von Hippel,
Verbraucherschutz (3rd ed. 1986), pp. 192 sqq.
151
For details, see Rolf Knutel, "Kauf und Pacht bei Abzahlungsgescha'ften im romischen
Recht", in: Studien im romischen Recht (1973), pp. 33 sqq.
152
Paul. D . 19 , 2, 2 0, 2; ide m, D . 19, 2, 22.
155
Contra: Da vid Da ubc, (1958) 5 RIDA 430, 433; but see Knutel, op. cit., note 151,
pp. 35 sqq.
154
Pa ul. D. 19, 2, 20, 2 a nd 22, 1; cf. J.A.C. Thomas, "Te na nc y by Purchaser", (1959)
10 Iura 107 sq.; Salvatorc Tondo, " 'Pignus' e 'precarium'", (1959) 5 Labeo 200 sqq.; Knutel,
op. c i t . , note 151, pp. 41 sqq. For a differe nt interpretation, se e Da ube, (1958) 5 RIDA
All sqq.
155
If there had been a lex commissoria, the sale could simply be called off by the vendor;
If the sale was unconditional, it could be cancelled contrario consensu.
156
Knutel, op. c i t . , note 151, pp. 47 sqq.
157
Daube, (1958) 5 RIDA 431 sq.; Thomas, (1959) 10 Iura 108 sq.; Knutel, op. cit., note
151, pp. 51 sqq.
158
Cf. supra, pp. 250 sqq.
1=9
Cf. infra, pp. 843 sqq . Apart from that, there was the actio doli (cf. e.g. Paul. D. 19,
5, 5, 3) which, however, also did not aim at enforceme nt of the agreeme nt betwee n the
parties.
1611
Pap. D. 1, 1, 7, 1.
161
Aristo/Iul./Ulp. D. 2, 14, 7, 2.
162
Cf. supra, p. 277.
163
La b./Pa p. D. 19, 5, 5, 1; Pa ul. D. 19, 5, 5, 2; Ma x Kascr, "Oporterc und ius civile ",
(1966) 83 ZSS 37 sqq.
164
D. 19, 5; C. 4, 64; Kaser, RPr II, pp. 419 sqq. Cf also James B. Thayer, "Actio
Praescriptis verbis", (1944-45) 19 Tulan? I_R 62 sqq.; most recently, cf. Karlheinz Misera,
"Julian-Afrikan D. 19, 5, 24. Ein Beitrag zu 'agere praescriptis verbis' ", in: Sodalitas, Scritti
in onore di Antonio Guarino, vol. VI (1985), pp. 2591 sqq.
165
Kaser, RPr I, p. 582.
166
As has been done for some time; cf. e.g. Pietro de Francisci, XvvaXKayfjM, vol. I
(1913) and vol. II (1916), passim; Schulz, CKL, pp. 522 sqq.; but see e.g. Rabel, Gmndzuge,
pp. 116 sqq.; Buckland/ Stein, p. 522; Jors/Kunkel/Wenger, pp. 243 sqq.; Biondi, op. cit.,
note 5, pp. 85 sqq., 101 sqq.; Kaser, RPr I, pp. 580 sqq.; Raimondo Santoro, "II contratto
nel pensiero di Labeone", (1983) 37 Annali Palermo 71 sqq.; Honsell/Mayer-Maly/Selb,
PP. 340 sqq.
On the question of how the innominate contracts fitted into Roman contractual
theory, cf. Geoffrey MacCormack, "Contractual Theory and the Innominate Contracts",
(1985) 51 SDHI 131 sqq.; but see Alberto Burdese, "Ancora in tema di contratti
innominati", (1986) 52 SDHI 442 sqq.
168
This notion alrea dy a ppears in Ulp. D. 2, 14, 1, 4; Ulp. D. 2, 14, 7, 1.
169
Si mi l a r t o t he cont ra ct s re, t h er e h ad t o b e " rei i nt e rv ent i o", i n t he se ns e t hat
somet hi ng had t o happen ap art fro m t he consent of t he part i es. Onl y here i t was part
performance, there performance (the real contracts were unilat eral!), here a rendering of
services or a transfer of an object, there only the latter.
170
"In English legal terms, they were contracts made binding on executed consideration"
(Thomas, TRL, p. 311).
171
On the whole fragment D. 19, 5, 5, see Paul Collinet, "Le Fr. 5, Dig. 19, 5 De Praescr.
Verbis et in F. Act.: Application de la Methode critique de Decomposition des Textes", :n:
Festschriffjur Paul Koschaker, vol. I (1939), pp. 70 sqq.; idem, La genese du digeste, du code et
des institutions dejustinien (1952), pp. 182 sqq. The fourfold subdivision (do, ut des; facio, ut
facias; facio, ut des; do, ut facias) is, incidentally, referred to by Blackstone, Commentaries,
vol. II, pp. 44 sq., not, however, in the context of innominate real contracts, but in order
to discuss the concept of "valuable consideration"; cf. Nikolaus Benke, "No inefficacy arises
merely from the naked promise", (1987) 14 Ius Commune 39 sqq.
172
It is, however, not exhaustive; cf, for example, Kaser, RPr II, pp. 420 sq.
Post-classical jurisprudence conceived of the actio praescriptis verbis as a (subsidiary) actio
generalis. The innominate contracts "constitute the nearest approach that Roman law made
to a generalized system of contract" (Thomas, TRL, p. 311). For a detailed analysis, see De
Francisci, op. cit., note 166, vol. I, pp. 85 sqq.; cf. also Santoro, (1983) 37 Annali Palermo
95 sqq. and passim.
173
Paul. D. 19, 5, 5, 1.
174
Ulp. D. 2, 14, 7, 2.
175
176
Paul. D. 19, 5, 5, 4.
Cf. e.g. Afr. D. 19, 5, 24, dealing with a transaction of the type of do ut facias
containing elements of mutuum and mandatum: Misera, Scritti Guarino, vol. VI,
pp. 2591 sqq. For a recent discussion of further texts, see MacCormack, (1985) 51 SDHI134
sqq.; cf. also the comprehensive analysis by De Francisci, op. cit., note 166, vol. I, pp. 105
sqq.7
^ Cf. supra, p. 355.
178
Ulp, D. 19, 3, 1; De Francisci, op. cit., note 166, vol. I, pp. 85 sqq; W.W. Buckland,
"Aestimatum", (1927) 43 LQR 74 sqq.; idem, "Aestimatum", (1932) 48 LQR 495 sqq.;
Buckland/Stein, pp. 522 sqq.; Thayer, (1944-45) 19 Tulane LR 63 sqq.; Kudret Ayiter, "The
Aestimatum Contract", in: J.E. Spruit (ed.), Maior vigintt quitique annis, Essays in
commemoration of the sixth lustrum of the Institute for Legal History of the University of Utrecht
(1979), pp. 22 sqq.
179
D. 19, 3, 1 pr.
180
Cf., too, Ulp. D. 19, 5, 13 pr.
181
Cf. e.g. the Digest title 19, 4 ("De rerum perm utatione ").
182
Buckland/Stein, pp. 524 sqq.; Thomas, TRL, pp. 314 sq.; Kaser, RPrll, pp. 407,445;
more specifically on transactio, cf. Maria Emilia Peterlongo, La transazione nel diritto romano
(1936); Aldo Schiavone, Studi sulie logiche deigiuristi romani. "Nova negotia" e "transactio" da
Labeone a Ulpiano (1971), pp. 7 sqq., 163 sqq.; Friedrich Ebel, Berichtung, transactio und
Vergkich (1978), pp. 50 sqq., who also deals specifically with the reception and
post-reception developme nt of transactio in the German ius com mune; Karoly Visky, "Les
regies du droit romain relatives a ux tra nsactions judiciaires et extrajudiciaires a la fin de
l'epoque classique", (1983—84) 12 Index 87 sqq.; on the condictio ob transactionem, see Fritz
Sturm, Studi in onore di Cesare Sanjilippo, vol. Ill (1983), pp. 627 sqq. On precarium cf.
Pierpaolo Zam orani, Precario habere (1969); Max Kaser, "Zur Geschichte des precarium",
(1972) 89 ZSS 94 sqq.
1Ю
With the general recognition of the enforceability of all kinds of pacts (also "naked"
ones), the actio pracscriptis verbis (and also the actio aestimatoria) became, of course,
redundant ("inutilis et in desuetudinem abiit": Groenewegen, Tractatus de kgibus abrogatis,
Digest. Lib. XIX, Titt. Ill, V). On the treatment of innominate contracts by glossators and
com me ntators, cf. Jea n-Pierre Ba ud, "Contrats nom mes et c ontrats innom mes e n droit
savant", (1976) 19 Studia Gratiana 31 sqq.
1S4
However, they were not merely an extension or generalization of the contracts re. for
the nodon of a quid pro quo was absent in the latter. On the relationship between contracts
re and innominate real contracts, cf., most recently, MacCormack, (1985) 51 SDH1131 sqq.
18э
The term "avva.Wa-^fi.a." appears in Lab./Ulp. D. 50, 16, 19 and in Aristo/Ulp. D. 2,
14, 7, 2, but was not yet used as the terminus technicus that we know in modern law (hence
the inverted commas); for details cf. Bcnohr, Synallagma, passim; further: Constantm
Despotopoulos, "La notion de synallagma chez Aristote", (1968) 13 Archives de philosophie du
droit 115 sqq.; Schiavone, op. cit., note 182, pp. 37 sqq,.; Werner Macheiner, "Zu den
Anfangen des Kontraktssystems", in: Festyabe fiir Arnold Herdtitczka (1972), pp. 172 sqq.;
Santoro, (1983) 37 Annali Palermo 7 sqq., 35 sqq. (on D. 50, 16, 19) and 207 sqq., 277 sqq.
(on D. 2, 14, 7, 2); Arnaldo Biscardi, "Quod Gracci synallagma vocant", (1983) 29 Labeo
127 sqq.; MacCormack, (1985) 51 SDHI 138 sqq.
18(1
Cf. e.g. Paul. D. 19, 5, 5, 1.
187
Uip. D. 2, 14, 7, 1.
18Я
D. 2, 14, 6.
1Я9
Cf. e.g. Paul. D. 22, 1, 30; Scaev. D. 22, 2, 5, 1; C. 4, 32, П (all relating certain to
exceptional cases of informal promises of interest; interpolated?). On these texts cf. Kaser,
RPr I, p. 498, n. 37; RPr 11, p. 371, n. 17; also (on the Scaevola text, dealing with fenus
nauticum) Wieslaw Litewski, "Romischcs Secdarlehen", (1973) 24 lura 152 sqq., 165 sqq.,
and supra, p. 182, note 179 and p. 187.
190
For details, see Hermann Dilcher, "Dcr Typenzwang im mittelalterlichen Vertrags-
recht" (I960) 77 ZSS 273 sqq.
191
D . 2, 1 4, 1, 1.
192
Azo, Summa Codicis, Lib. II, Rubrica De Pactis, 1 ("Si enim ego et tu consentiamus:
puta quod Socrates sit lapis, non est pactum").
19: 5
The commentators preferred "conventio" as the nomen generale; cf. Nanz,
Vertragsbegriff, p. 45.
194
Azo, Summa Codicis, Lib. II, Rubrica De Pactis, 15.
195
The vestimentum "consensus" presented a specific difficulty: why did consensus give
rise to an action only in the case of the consensual contracts and not also as far as pacta nuda
were concerned (they are, after all, also based on consensus!)? Accursius (gl. Quinimo ad D.
2, 14, 7, 5) dismissed the problem in a rather playful manner: "Sed videtur quod nullum
pactum sit nudum: cum quodlibet habeat in se consensum: unde vestiri consensu videtur . . .
Respond, el egans, et t enuis vestis est consensus, quae non dat ur nisi certis contractibus
enumeratis . . . qui cum sint favorabiles, et pingues, et calidi, levi veste vestiuntur."
196
On these see specifically Pietro Vaccari, "Pactum vestitur contractus cohaerentia. La
concezione dei patti aggiunti nella dottrina dei glossatori", in: Scritti di storia del diriito privato
(1956), pp. 233 sqq.
197
Gl. Legitima ad D. 2, 14, 6.
198
" . . . ni si m i ra bi li te r h oc in qui busd am casi b us a cci d at , i n qui bus c asi bus nudu m p act u m
p a r i t a c t i o n e m : u t i n d o n a t i o ne ": A z o , S u m m a Co d i c i s, L i b . I I , R u b r i c a D e P a c t i s , 1 4 .
199
Az o's vi vi d de s c ri pt i o n o f t he w a y i n whi c h p a ct a a di e ct a an d i n no mi n at e re al c ont r act s
b e c o m e c l o t h e d i s q u o t e d b y R i c c o b o n o / K e r r W yl i e / B e i n a r t , p . 1 0 ; i t f u l l y e x p l o i t s t h e
g a r m e n t m e t a p h o r : ". . . se d c u m n a t u m e st a n t e e t r e t r o a s p i c it e t o c u l i s a p e r it a n
prae ce sse ri t ve l se qut possi t ve l st at i m i nsi t al i qui s cont ra ct us c ui us va ri i s e t gri si i s pe nni s se u
ve st i b u s i n d u a t u r; ut b o re a m r a b ri e m q u e p r o ce l l ae e x pe l l at ; e t s u u m s uo d o mi n o i n a ge n d o
auxilium pr ae be at. "
200
C f. e . g. F r a n ci s c u s D u a re n u s , F r a n ci s c u s C o n n a n u s , j a c o b u s C u j a ci u s a n d H u go
D on e l l u s, as di s c us se d b y S e uf f e rt , o p. c i t ., n ot e 3 1, p p. 1 0 8 s q q .; N a nz , Ve rt ra g s be g ri f f ,
p p . 6 5 s q q . B ut c f . a l s o a l r e a d y C a r o l u s M o l i n a e u s , "C o m m e n t a r i u s i n C o d i c e m ", L i b . I I ,
T i t . I l l , i n: O p e ra O m n i a ( P a ri si i s , 16 8 1) , vol . 1I L
201
Ce n t u ra Fo re n si s, P a rs I , Li b . I V , C ap . I I , n. 2.
202
Cf. e . g. V oe t , Co m m en ta riu s ad Pand e ct a s, Li b. II , Ti t . XI V , IX ; Groe ne we ge n,
Trac tatus de leg ibu s abrogati s, Cod. Li b. II , Tit . Ill , 1. 10 l e ge m; Vi nni us, "T ract atus de pact is",
i n : i de m , T ra c t a t u s q u a t u o r ( L u gd u n i 1 7 4 8) , C a p. V I I , 6; c f . f u r t he r C o e n r a a d V i s se r , "T he
P ri n ci pl e p a c t a se r v a n d a s u n t i n R o m a n a n d R o m a n - D u t c h L a w , W i t h S pe c i fi c R e fe re n ce t o
C o nt r a c t s i n R e st r a i nt o f T r a de ", ( 1 9 8 4) 1 0 1 S A L) 6 5 2 s q q .; J o u be rt , Co n t ra c t , p p . 2 7 s q q.
an d, p a rt i c ul a rl y, N a nz , Ve rt ra g sbe g ri f f , pp. 95 s qq.
203
Cf . e . g. S a mue l St r yk , U su s m o d e m u s p a n d e c t a ru m , Li b. I I , T i t . X I V , § 1; G l u c k, v ol .
4, p p. 27 9 sq q.; P ot hi e r , T ra i t e d e s o bl i g a t i o n s, n. 3; Wi n ds c he i d/ Ki p p, § 31 2; Se uf fe rt , o p.
c it. , n o te 3 1 , p p . 1 3 0 s q q . T he f ir st a n d m os t i nf l ue nt i al w r ite r o f t he u s u s m o d e m us
pa nde ct ar u m t o asse rt t hi s p ri n ci pl e w as M at t h ae u s We se nbe ci us ( 1 53 1- 86) ; c f. t he q uot at i o n
gi v e n i n n ot e 2 3 1 i n fra. M o s t o f t h e wri te rs o f t h e 1 7t h ce n t u ry re fe rre d t o h i m . On
W e s e n b e c i u s ' s i g n i f i c a n c e f o r t h e d e v e l o p m e n t o f a ge n e r a l l a w o f c o n t r a c t , s e e N a n z ,
Vertragsbegriff, pp. 85 sqq.
2(14
For the origin of this maxim cf. infra, pp. 543, 576.
2(to
The most recent account of the historical development can be found in Klaus-Peter Nanz,
Die Entstehung des allgemeinen Vertragsbegriffs im 16. bis 18. Jahrhundert (1985), pp. 5 sqq., 31
sqq. For a concise and modern survey cf. the discussion and the texts in Robert Feenstra,
Margrcet Ahsmann, Contract. Aspecten van de begrippen contract en contractsvrijheid in historisch
perspectief (1980), pp. 1 sqq., 33 sqq. Cf. also A. Steinwenter, "Die Vertragstreue im
burgerlichen Recht", 1950Juristische Blatter 173 sqq., 197sqq.;Johannes Barmann, "Pacta sunt
servanda. Considerations sur l'histoirc du contrat consensuel", (1961) 13 RIDC 18 sqq.;
Coenraad Visser (1984) 101 SAL] 641 sqq.
Yason de Mayno listed 16 exceptions, Andreas ab Exea, in a work on Pacta (1542),
mentions no fewer than 67 exceptions (cf. Joubert, Contract, p. 27, n. 6). On the pactum
ge min atu m—on e of the most i mpor ta nt enf orc eab le pa ct a cre a ted dur ing th e Midd le
Ages—cf. supra, p. 513. Clearly, the problem of the unenforceability of pacta nuda was not
an enormously important one.
207
Hermann Dilcher, (1960) 77 ZSS 302.
208
Commentaria, D. 17, 1, 48, 1, § Quintus Mucius.
209
Commentaria in Decretales, I, Rubr. De pactis, Cap. I, n. 11; further Norbert Horn,
Aequitas in den Lehren des Baldus (1968), pp. 90 sq., 189 sqq. This exception to the rigour of
the Ro man l aw was based on t he "aequit as mercatori a" ("domus mercat orum debet esse
domus vcritatis et aequitatis": Angelus Aretinus; on the aequitas mercatoria in general, see
Wilhel m Endcmann, "Beitrage zur Kenntnis des Handelsrechts im Mittelalter", (1862)
5 ZHR 362 sqq.). Another transaction which developed in medieval commercial practice as
a successor to the Roman stipulation was the bill of exchange: an abstract obligatio litteris.
Cf. Endemann, Studi en, vol. I, pp. 75 sqq.
21(1
Cf. F. Spies, De {'observation des simples conventions en droit canonique (1928), pp. 150 sqq.
"и Cf. also art. 1374 BW ("Alle wettiglijk gemaakte overeenkomsten strekken dengenen
die dezelve hebben aangegaan tot wet") and Feenstra/Ahsmann, op. cit., note 205, pp. 5 sq.
For details cf. Francesco Calasso, La "convenientia" (1932); Paul Ourliac, "La 'convenientia'
", in: Etudes d'histoire du droit prive ojjertes a Pierre Petot (1959), pp. 413 sqq.; Pierre-Clement
Timbal, Les obligations contractuelles dans le droit francais des XII!e el XlVe siecles d'apres la
jurisprudence du Parlement (1973); cf. also Theo Mayer-Maly, "Der Konsens als Grundlage des
Vertrages", in: Festschrift Jiir Erwin Seidl (1975), pp. 121 sq.; Nanz. Vertragsbegriff, pp. 60
sqq.
213
Cf. particularly the Coutumes de Beauvaisis (1283) of Philippe de Beaumanoir, Cap. 34,
artt. 998 sqq.
214
Antoine Loisel, Institutes coutumiires (3rd ed., Paris, 1611), n. 342, expressed the
situation in a metaphorical way: "On lie les boeufs par les comes et les hommes par les paroles, et
autant vautune simple promesse ou convenance, que les stipulations du droict Romain. " This is based
on an addition to the Accursian gloss, which can be found in 16th- and 17th-century editions
of that work (ad "iuris vinculum" in Inst. Ill, 13 pr.): "Verba ligant homines, taurorum
cornua funes. Cornu bos capitur, voce ligatur homo", and gave rise to the French proverb:
"Comme les boeufs par les comes on lie / Aussi les gens par leur mots font folie" (for all this, see
Feenstra/Ahsmann, op. cit., note 205, pp. 38, 43).
215
Mevius, Decisiones, Pars V, Dec. CCCCVII.
216
Hugo Grotius, Inleiding, III, I, 52.
217
"Aleam, quod mirere, sobrii inter seria exercent, tanta lucrandi perdendive temeritate
ut, cum omnia defecerunt, extremo ac novissimo iactu de libertate ac de corpore contendant.
Victus voluntariam servitutem adit: quamvis iuvenior, quamvis robustior, adligari se ac
venire patitur. Ea est in re prava pervicacia; ipsi fidem vocant. Servos condicionis huius per
commercia tradunt, ut se quoque pudore victoriae exsolvant" (XXIV, 3 and 4).
218
Cf. e.g. Gliick, vol. 4, pp. 281 sqq.
219
It meant originally that a man is bound, in court, by what he has said, even though he
had meant to say something else; cf. Ekkehard Kaufmann, "Ein Mann—ein Wort", 1961
furistische Schulung 120 sqq.
220
Cf. W. Kunkd fed.), Quellen гиг neueren Privatrechtsgeschichte Deutschlands, vol. I, 1 (1936),
p. 254. The Stadtrecht was drafted by Ulrich Zasius. On the passage quoted in the text and on
Zasius' view on the matter in general, cf. Seuffert, op. cit., note 31, pp. 96 sqq.;
Feenstra/Ahsmann, op. cit., note 205, p. 16; but also Theo Мауег-Maly, "Die Bedeutung
des Konsenses in privatrechtsgeschichtlicher Sicht", in: G. Jakobs (ed.), Rechtsgeltung und
Kansens (1976), pp. 101 sq. On forms of obligational transactions and on the question of
contractual fidelity in the old German law prior to the reception of Roman law, see Rudolf
Huebner, A History of Germanic Private Law (1918), pp. 490 sqq.; Nanz, Vertragsbegriff,
PR; 24 sqq-
Cf. e.g. Winfried Trusen, "Die gelehrte Gerichtsbarkeit der Kirche", in: Handbuch der
Quellen und Literatur der neueren europaischen Privatrechtsgeschichte (1973), p. 486; Berman, Law
and Revolution, p. 261.
222
St. Matthew 5, 34 and 37. Cf. also Epistula Jacobi 5, 12.
223
Mayer-Maly, Rechtsgeltung und Konsens, op. cit., note 220, p. 101.
224
Albericus de Rosate, Dictionarium iuris tarn civilis quam canonici, s.v. promissio. Cf. also
St. Thomas Aquinas, Summa theologiae, Secunda Secundae, q. 110, art. 3, 5 ("mendacium
est, si quis non i mpleat, quod promisit"), and Secunda Secundae, q. 88, art. 3.
225
Secunda pars, Causa XII, Quaest. II, с. вв.
22 6
Lib. I, Tit. XXXV, Cap. I.
7
Particularly, the fact was left out that the agreement between the two bishops had been in
writing ("manuscriptiones nostrae tencntur et pittacia") and was therefore not an informal
pactum.
22K
Johannes Teutonicus, gl. Promiserint ad. C. 12, q. 2, c. 66.
229
An institute of canon law that was based on St. Matthew 18, 15-17: "Si peccaverit in
te frater tuus, vadc ct corripe eum inter te et ipsum solum: si te audierit, lucratus eris fratris
tuum: si te non audierit, adhibe tecum unum vel duos, ut in ore duorum vel trium testium
stet omne verbum: quod si non audicrit, die ecclesiae: si autem ecclesiam non audierit, sit tibi
sicut ethnicus et pubheanus."
230
For details of the development in canon law, cf. F. Spiess, De {'observation des simples
conventions en droit canonique (1928); Jules Roussier, Lefondement de Vobligation contmctuelle dans
le droit dassique de I'Eglise (1933); Hermann Dilcher, (1960) 77 ZSS 281 sqq.; Alfred Sollner,
"Die causa im Kondiktionen- und Vertragsrecht des Mittelalters bei den Glossatoren,
Kommentatoren und Kanonisten", (1960) 77 ZSS 240 sqq.; Nanz, Vertragsbegriff,
pp. 46 sqq.
Cf. e.g. Wescnbecius, Commentarii in Pandectas, Lib. II, Tit. XIV, 10 (p. 57): "Etsi vero
longa est disputatio, an in reliquis Curiis, in quibus secundum ius civile pronunciatur, ius
Pontificium obtinere debcat: tamen communis opinio est, et ita usus observat, ut indistincte
ex pactis Nudis, serio et deliberate initis, etiam in foro Civili hodie detur actio". One of the
first influential writers who unequivocally adopted the rule of canon law in iure civili was
Carolus Molinaeus (cf. supra, note 200), who stated: "Sed hodie in praxi hae et omnes leges
et theoriac de formulis stipulationum supervacuae sunt, qui etiam extra scripturam publicam
vel privatam, sive confessione partis sive testibus aut alias legitime appareat de conventione
serio pacta et conclusa in re licita nee prohibita nee inter prohibitos auc inhabilis, pro
stipulationc habetur et oritur efficax actio iuxta notatum in с 1, Extra de pactis, quod ita
debet intelligi et restringi ct ita in utroque foro seeulari et ecclesiastico observatur".
Spec. XXXIX, V.
1
Cf. supra, pp. 68 sqq., 89 sqq; see also, for example, Wolfgang Adam Lauterbach,
Collegium theoretico-practkum. Lib. XLV, Tit. I, I (". . . apud Romanos fere omnia negotia in
stipulationcm deducebantur, propter eius firmitatem . . . Quasi nodus enim est omnium
obligationum").
2
Cf. supra, pp. 80 sqq.
3
Cf. supra, pp. 81 sq.
546
4
For details, see Romualdo Trifone, "La 'stipulatio' nelle dottrine dei glossatori", in:
Studi
5
in onore di Enrico Besta, vol. I (1939), pp. 171 sqq.; Nanz, Vertragsbegriff, pp. 36 sqq.
Nanz, Vertragsbegriff, p. 38; cf. also Francisco Brandileone, "La 'stipulatio' nelle carte
italiane
6
del medio evo", in: Melanges Fitting, vol. I (1907), pp. 101 sqq.
Riccobono/Кегг Wylie/Beinart, pp. 7 sqq., 204 sqq.; Nanz, Vertragsbegriff, pp. 38 sq.
7
Bartolus had tried to extend the presumption to this term too, but his opinion has not
been followed; cf. C. Karsten, Die Lehre vom Vertrage bei den italienischen Juristen des
Mittelalters
8
(1882), pp. 187 sqq.
The tabellio, in Rome, was a private, professional person who drew up written
documents for private individuals (Berger, ED, p. 727). On the medieval notariate based on
that tradition, cf. Armin Wolf, "Das offentliche Notariat", in: Handbuch der Quellen und
Literatur der neueren europdischen Privatrechtsgeschkhte, vol. I (1973), pp. 505 sqq.; Winfried
Trusen,
9
"Zur Geschichte des mittelalterlichen Notariats", (1981) 98 ZSS 369 sqq.
Wesenberg/Wesener, p. 47.
1
One important consequence of this was that contracts in general became subject to the
regime of bona fides, which had governed the application and construction of consensual
contracts in Roman law.
11
Riccobono/Kerr Wylie/Beinart, p. 7.
" Voet, Commentarius ad Pandeclas, Lib. XLV, Tit. I, I; other authors equally disinclined
to part with such a venerable institution of Roman law are discussed by Nanz, Vertragsbegriff,
pp.13123 sq. In particular, they admired the "firmitas" of the Roman stipulation.
Inleiding, III, I, 52. In later centuries, a more positive attitude towards the stipulation
prevailed once again. Savigny, for instance, stressed the advantages of this formal type of
contract and regretted its abolition in contemporary practice: ObUgalionenrecht, vol. II,
pp.H 186 sqq; c(. also e.g. Puchta, Pandekten, § 250.
De legibus abrogatis, Dig. Lib. XLV, Tit. I, 1. 1.
13
Cf. supra, p. 543, note 231 and p. 545.
Commentarius ad Pandectas, Lib. XLV, Tit. I, I; his statement quoted above (note 12) has
to be read in this light.
II. TH E D O C TR IN E O F C A USA
1. Ex nudo pacto oritur actio and the notion of causa
The oral formality required for the classical Roman stipulatio had been
a convenient way of establishing whether the parties seriously intended
to be bound or not. The danger always exists that people will commit
themselves rashly and without due consideration; but the question-and-
answer ritual with, in particular, the use of a key verb, must have made
it abundantly clear to any Roman citizen what he was letting himself in
for. The rule of "ex nudo pacto поп oritur actio", from this point of
view, served to protect those who were inexperienced or careless in
handling their affairs. This, in any event, was the opinion of the late
medieval lawyers. 1 7 But how under these circumstances could
one—particularly the canon lawyers!—justify giving up this rule? The
answer to this question is simple: actionability was extended only to
those pacta which were seriously intended. 18 Acceptance of the
principle that every lawful agreement begets an action thus carried with
it, as a corollary, the introduction of what Zweigert19 has called an
indicium of seriousness: a general requirement intended to distinguish
serious promises from those which should not be regarded as binding.
We have already come across this criterion; Grotius, for instance,
referred to it when he said that all "toezegginghen die uit eenighe
redelicke oorzaecken geschieden . . . recht gaven om te eisschen". 20 It
is the idea that an agreement, in order to be enforceable, must be shown
to be based on a (lawful) cause. This doctrine lives on in several modern
legal systems, most notably in French law, where art. 1131 code civil
provides that promissory contracts are valid only if they have a cause. 21 It
found its origin in medieval law, which had in turn, as was so often the
case, used a few Roman bricks in order to create a totally un-Roman
doctrinal edifice.
2. Causa in Roman law
In the title 2, 14 of the Digest the term "causa" appears in two places,
both times in connection with the innominate real contracts. In the one
case, Ulpian quotes Aristo as stating that "et si in alium contractum res
non transeat, subsit tamen causa, . . . esse obligationem": there is an
obligation, even if the matter does not fall under any of the "nominate"
17 1Я
Cf. L ot ha r Se uffe rt , Zu r G e sc h kh te de r o bl iga to ri sd i en Ve rt rdg e ( 1881) , pp. 68, 7 6 sq.
H e n ce , f o r i n st a n c e , t he re c o gn i t i o n o f p a c t a ge m i n at a ; c { . s u p r a , p . 51 3 .
19
"Se ri osi t at si ndi z i e n ", 1 96 4 J u ri st e n ze i t u n g 349 s qq.
20
Me i d i n g , HI , I , 5 2.
21
Cf. als o a rt. 13 71 B W.
29
Cf. further Riccobono/ Кегг Wylie/ Beinart, pp. 123 sqq.; S6llner, (I960) 77 ZSS 219
sqq.; on causa and synall agma cf., most recently, Rai mondo Santoro, "II contratt o nel
pensicro di Labeonc", (1983) 37 Annali Palermo 221 sqq.
30
St. Thomas Aquinas, Summa theologiae, Tcrtia Pars, q. 86, art. 6.
31
Summa theologiae, e.g. Pri ma Secundae, q. 72, art. 3. Forma and materia were grouped
together as causae intrinsicac as opposed to the causae extrinsicae, (i.e. the causae efficientes
and finales). Cf. further e.g. Sollner, (1960) 77 ZSS 183 sqq.; Gerhard Ottc, Dialektik und
Jurisprudenz (1971), pp. 193 sqq.
32
Sollner, (1960) 77 ZSS 236; cf. also Barton, (1966) 34 TR 59 sqq.
33
Ad С 4, 30, 13, n. 23.
34
For details, see Sollner, (1960) 77 ZSS 219 sqq., 223, In the case of stipulations, the
document had to refer to an existing legally enforceable obligation. This was the negotium
antecedens, which the glossators referred to as the causa stipulationis; the sources most often
quot ed in this context were C. 4, 30, 13 and Paul. D. 22, 3, 25, 4. The situation was thus
very si milar to the well-known concept of a iusta causa traditionis. Paul. D. 41, 1, 31 pr.
stat es: "Numqua m nuda t raditi o transfert domi nium, sed it a, si venditi o aut aliqua lusta
causa praecesserit, propter quam traditio sequeretur"; on which the gloss (gl. lusta causa)
re marks: ". . . idem i n promissore per stipul ationem. . . . " 3 5 Bal dus, adC. 4, 30, 13, n.
22.
36
Sollner, (1960) 77 ZSS 249; contra: Barton, (1966) 34 TR 60 sqq.
37
Baldus, Commentaria in Decretates, I, De Pactis, n. 14.
38
Supra, pp. 538 sq.
39
Argument: if a causa was required even for the validity of a stipulation, the same had
to apply, a fortiori, to pacta.
40
Baldus, Commentaria in Decretates, I, De Pactis, nn. 4 sq. (causa as vestimentum); cf. also
Norbert Horn, Aequitas in den Lehren des Baldus (1968), pp. 187 sqq.
41
Co mment ari a, ad D. 2, 14, 7, 4, n. 1.
42
Cf. Seuffert, op. cit., note 17, pp. 96 sqq.
4
Cf. e.g. Wesenbecius, Comtnentarii in Pandectas, Lib. II, Tit. XIV, n. 10; Wissenbach,
Exercitationes, Disp, IX, 35; Voet, Cammentarius ad Pandectas, Lib. II, Tit, XIV, IX; Stryk, Usus
modernus pandectarum. Lib. II, Tit. XIV, § 1.
44
Cf. also John P. Dawson, Gifts and Promises (1980), p. 114 ("[cause] served as a
catch-word in the long ca mpaign, led by the canonists, to expand the range of enforcea ble
pro mise s. . . . In the ga llery of idea s tha t ha ve h elpe d to libera te thou ght it therefore
deserves a small corner located out in a distant wing").
45
Coing, p. 403. Lord Mansfield (unsu ccesfully) tried the sa me with regard to the
doctrine of consideration: Pillans v. Van Mierop (1765) 3 Burr 1663 sqq.; cf. supra, p. 505,
note 170.
4(1
Pothier, Traite des obligations, n. 42.
47
Zweigert/Kotz/Weir, 'p. 66.
48
Cf. e.g. E. Lorenzen, "Causa and Consideration in Contracts", (1919) 28 Yale LJ 621
("There is in reality no definable 'doctrine' of causa. The term 'causa' includes a variety of
noti ons whi ch may equall y well be deri ved from t he nat ure of t he j uri sti c act and from
considerations of equity" (p. 646)) and, more recently, Dawson, op. cit., not e 44, p. 114
(". . . in truth [causa] has no meaningful functions at all").
49 5(1
Cf. Zweigert/K6 tz/Weir, p. 67. Art. 1131 code civil.
51
52
Cf. supra, pp. 504 sqq.
B.S. Markesinis, "Саша and Consideration: A Study in Parallel", (1978) 37 Cambridge
LJ5353.
C.H.S. Fifoot, History and Sources ofthe Common Law. Tort and Contract (1949), p. 399.
54
On the Royal Writs and Writ Procedure cf. e.g. R.C. van Caenegem, The Birth ofthe
English Common Law (1973), pp. 29 sqq.; for a comparison between the English writ and the
Roman action, see Hans Peter, Actio und Writ (1957).
55
For all details cf. Simpson, A History ofthe Common Law of Contract. The Rise ofthe
Action
56
of Assumpsit (1975), pp. 199 sqq.; cf. also infra, pp. 777 sqq.
57
Simpson, History, pp. 316 sqq. (316, 321).
58
Simpson, History, p. 321.
Second Dialogue, Chapter 24, p. 229 (vol. 91 of the Publications of the Selden Society,
1974, eds. Plucknett and Barton).
59
History, p. 322.
60
On the concept of "nudum pactum" in England, see Nikolaus Bcnkc, " 'No inefficacy
arises merely from the naked promise'", (1987) 14 Ius Commune 1 sqq.
61
De Legibus et Consuetudinibus Angliae, f. 16 b (p. 64); cf. also F.W. Maitland, Bracton and
Azo (vol. 8 of the Publications of the Se lde n Society); Pa ul Vinog radoff, Roman haw in
Medieval Europe {2nd ed., 192У), pp. 116. Even earlier than that, we find in the Tractatus de
legibus et consuetudinibus regni Angliae (ascribed traditionally to Glanvill) the following
enumeration of causae debendi: "Aut enim debetur quid ex causa m utui, aut ex venditionis
causa aut ex com modato, aut ex locato, aut ex deposito, aut ex alia iusta debendi causa" (X,
3, p. 117). On the exact meaning and im pact of this statement on the treatment of the law
of obligations by Glanvill, on the Roma nistic background thereto and on Glanvill's
(Contine ntal) sources, cf. the study of Horst Ka ufma nn, "'Ca usa de be ndi' und 'ca usa
pete ndi' bei Gla nvill sowie im romisc he n und ka nonisc he n Rec ht seiner Zeit", (1961) 17
Traditio 107 sqq.
62
Cf. e.g. Si mpson, History, pp. 376 sq.
63
It was "an encyclopedia with the material arranged under alphabetical headings"; first
published under the title Summa Casuum Utilissima, it later became known as the Summa
Rosella, "because it was a collection of the most elegant conclusions . . . which could be
co mpar ed t o a garl and of sweet -s mell i ng roses whi ch Bapt ist a had gat hered t oget her"
(Si mpson, History, p. 379).
64
Cf. e.g. Pa ul Vinogra doff, "Reason a nd Consc ie nce ", (1908) 24 LQR 377 sqq.;
Sim pson, History, pp. 377 sqq.
fiS
The law schools of both Oxford and Cambridge followed the continental pattern. The
teaching of civil law at Oxford started with the Bologna-trained Italian, Magister Vacarius,
in about the middle of the 12th century. Guilelmus de Droghcda (who died around 1245)
was appointed "Rcgcns in Lcgibus". For details, see H.G. Richardson, "The Oxford Law
School under John", (1941) 57 LQR 319 sqq.
''6 Simpson, History, p. 400. Cf. further, especially William T. Barbour, The History of
Contract in Early English Equity (1914), pp. 163 sqq. Generally on the influence of canon law
on English law through the medium of the Court of Chancery, see, for example, Helmut
Coing, "English Equity and the Denunciatio Evangclica of the Canon Law", (1955) 71 EQR
223 sqq.; John L. Barton, Roman Law in England, his Romanum Medii Aevi, pars V, 13 a, (1971),
pp. 50 sqq.
67
Zwcigert/K6tz/Weir, pp. 60 sqq.; d. also e.g. Markcsinis, (1978) 37 LQR 55 (both
doctrines "represent a kind of form —a check, one could say, on the unrestricted application
of the philosophical doctrine of the autonomy of the will which is prepared to ascribe legally
binding
f
effects to the mere coincidence of the wills of the contracting parties").
* De Vilhers AJA, in: Conradie v. Rossouw 1919 AD 279 at 323.
m
On the situation in other mixed legal systems cf. Markesinis, (1978) 37 Cambridge LJ 53
sq. (n. 3).
70
Cf. e .g. A lex ande r v . Perry ( 1874) 4 Buch 59 at 61; Ma tan and Va n d e r Me rwe v . S ec retan ,
Boo n & Co . 1880 Foord 94 at 95 sqq.; Trade smen' s Ben ef i t So c ie ty v . Du Fre e s ( 1887) 5 SC 269
at 272 sqq. The history of the question is reviewed fully by De Vilhers AJA, in Conradie v.
Rossouw 1919 AD 279 at 299 sqq.
71
South Africa, vol. II (1878), p. 121.
72
For a comprehensive yet eminently readabl e biography, see E. A. Walker, Lord de
Villiers and His Times (1925).
73
On this terminology and on the bellum iuridic um between the so-called purists,
antiquarians, pollutionists and pra gmatists ra ging over the nature and the true sources of
South African private law cf Rcinhard Zimmermann, "Synthesis in South African Private
law: Civil La w, Com m on La w a nd Usus Hodicrnus Pa ndectarum ", (1986) 103 SALJ 259
74
1904 TS 187 sqq.
75
(1904) 21 SC 323 sqq.
76
1919 AD 279 sqq. All three decisions are well worth reading.
77
Conradie v. Rossouw 1919 AD 279 (headnote).
7K
At 288 sq. and 309 sqq.
79
On other—English—lawyers who "have fallen into the error of treating causa and
consideration as if they de note one and the same thing" (a mongst them Blackstone, Sir
Williams Evans (the translator of Pothier) and Sir Henry Maine), see John G. Kotze, Causa
in the Roman and Roman-Dutch Law of Contract (1922), pp. 8 sq. He also quotes Pollock, who
glosses over Maine's slip with the following charming observation: "The use of the specially
English term Consideration to represent the Roman causa is too dangerous a liberty to be
allowe d to any lesser ma n tha n Maine."
H
" Cf. particularly his monograph on "Causa" in the Roman and Roman-Dutch Law of
Contract (1922), passim, e.g. pp. 26, 31, 56; also e.g. Kennedy v, Steenkamp 1936 CPD 113 at
117.
81
Introduction, p. 224.
82
On Roman-Dutch authors, cf. Kotzc, op. cit., note 79, pp. 25 sqq.; Joubert, Contract, pp.
27 sqq.; J. C. St asscn, "Causa i n die Kont rakt ereg", (1979) 42 THRHR 364 sqq. S 3 Cf.
supra, p. 549, note 20.
84
III, I, 9; III, I, 47. On onevenheid (comprising inter alia enrichment, delict and the real
contracts), cf. Ill, I, 15 sqq.
85
III, I, 49. On toezegging door wet duiding, cf. Ill, VI.
86
III, I, 50. On schriftelicke toezegging, cf. Ill, V.
87
III, I, 52.
88
III, I, 53.
89
Cf. t he expl anati on of t he me ani ng of t oezeggi ng wel cke di ent t ot eeni ge andere
handelinge in III, III, 1.
90
St assen, (1979) 42 THRHR 366 sq.
91
Inleiding, III, XXX, 14.
92
The question arises why Grotius singled out these two situations. The answer may be
that all (or nearly all) other pacta were enforceable as a matter of course, i.e. normally as
consensual contracts (toezegging door wetduiding; cf. Ill, VI (entitled: "Van overkoming in
't gemeen"). In III, I, 53 Grotius clarifies that even promises of gift and auxiliary (incidental
or accessory) agreements were now actionabl e. In Roman law, both had been enforceable
only if couched in the form of a stipulation (the latter also if they had been added by way of
III. C ONSENSU S
1. Consent as the basis of contract in modern law
Having looked at two factors—form and causa—which are not
essential to the modern concept of contract, we now have to turn our
attention to the one which is: consensus. Consent forms the basis of the
modern law of contract. But what exactly does that imply? It is
obvious, first of all, that not every kind of consent can be relevant. A
and В agree that Socrates is a stone, 97 or that Socrates is Socrates. 98
Clearly, their minds are ad idem, and thus there is consent. But it
would be absurd to claim that this agreement can create a contract (or,
for that matter, a pactum). Thus, consent between the parties has to
pactum adiectum in continenti). No matter whether these subtleties have been complied with
or not, the mere pactum can be regarded (according to Grotius) as a redelicke oorzaecke —
counts as a contract — gives rise to an action. Cf., apart from Stassen, (1979) 42 THRHR
366 sq., especially Kotze, op. cit., note 79, pp. 28 sqq.; Lcc, Introduction, pp. 431 sqq., and
De Villiers AJA in Conradie v. Rossouw 1919 AD 279 at 314 sqq., all offering somewhat
different interpretations. One basic difficulty in understanding the contractual theory of
Grotius is that he nowhere clearly states whether (in his view) ( I ) all pacts are actionable and
(2) all promises must be based on a iusta causa. Both propositions can merely be inferred.
But by still discussing, in a separate chapter, the express verbal contract (i.e. the stipulation
of Roman law, although in modern dress), he shows that he has not (or rather: not totally)
thrown off the shackles of Roman law (Lee, Introduction, pp. 432 sq.)
93
Cf., particul arly, Kot ze, op. cit., note 79, pp. 25 sqq.
94
Cf, parti cul arl y, Kotze, op. cit., note 79, pp. 25 sqq.
95
Cf, particularly, De Villiers AJA, in his erudite judgment in Conradie v. Rossouw 1919
AD 279 at 298 sqq.
96
Cf. today, for example, Stassen, (1979) 42 THRHR 358 sq.; Joubcrt, Contract,
pp. 32 sqq. Neither De Wet en Yeats nor Kerr, The Principles of the Law of Contract (3rd ed.,
1982), in their textbooks deal with (iusta) causa as a special requirement for the validity of
contracts. Cf further JansenJA, in Saambou-Nasionale Bouvereniging v. Friedman 1979 (3) SA
978 (A) at 990B-993 C. A (i ust a) causa, however, conti nues t o be requi red for bill s of
exchange; cf. s. 25.1 of the (South African) Bills of Exchange Act 34/1964, and F.R. Malan,
Bills of Exchange, Cheques and Promissory Notes in South African Law (1983), pp. 71 sqq.
97
Cf t he exampl e discussed by Azo, supra, p. 538, not e 192.
98
Petrus Placentinus, Summa Codicis (Moguntina, 1536), Lib. II, Tit. III.
99
Placentinus, loc. at. Cf., much later, also Wolfgang Adam Lauterbach, Collegium
theoretico-practicum. Lib. II, Tit. XIV, IV.
irx)
For a comparative discussion of this problem, see Zweigert/Kotz/Weir, pp. 27 sqq.; for
a very comprehensive comparative investigation of all problems relating to offer and
acceptance, sec Rudolf B. Schlesinger, Formation of Contracts, A Study in the Common Core of
Legal Systems (2 vols., 1968).
§ 145 BGB; for further details cf. §§ 146 sqq., particularly § 147 II: "An offer made to
a person who is not present may be accepted only up to the moment when the offerer may
expect to receive an answer under ordinary circumstances." Cf. also § 862 ABGB and Artur
Nussbaum, "Comparative Aspects of the Anglo-American Оffer-and-Acceptance Doc-
trine", (1936) 36 Columbia LR 920 sqq. ("Apparently it was only after the use of mail had
become common in the 18th century that the traditional rule (sc. no binding effect to be
attributed to an offer) was felt to be unsatisfactory" (p. 923)).
1(12
The reason for this lies in the doctrine of consideration. No consideration is normally
given for the offer, and hence the latter cannot bind the offeror. On South African law
(where it is also accepted doctrine that an offer can be revoked, even though the doctrine of
consideration has been rejected), cf. Ben Beinart, "Offers Stipulating a Period for
Acceptance",
1(13
1964 Ada Juridica 200 sqq.; Joubert, Contract, pp. 36 sqq., 42.
The practical effects of this rule arc to a certain extent modified by the so-called
mailbox theory (dating back to Adams v. Lindsell (1818) 1 В & Aid 681 sqq.): the contract is
concluded (and thus the offer can no longer be revoked) when the offeree dispatches his
acceptance (by, for instance, throwing it into the mailbox), not only when it reaches the
offeror.
104
Cf. inf r a, pp. 585 s qq., 621 s qq.
105
Cf., i n p art i c ul ar, Fr a nz Wi e a cke r, "D i e ve rt r a gl i c he Obl i gat i on be i d e n Kl a ssi ke rn de s
V e r nu n ft re c ht s ", i n : Fe st sc h ri f t f u r H a n s We l ze l ( 1 9 74) , p p. 8 s qq .; T he o M a ye r-M a l y, "D e r
K o nse ns al s G r un dl a ge de s V e r t r a ge s ", i n : Fe st sc h ri f t f u r E rw i n S e i d l ( 1 9 75) , pp . 1 1 8 sq q. ;
idem, "Die Bedeutung des Konsenses in privatrechtsgeschichtlicher Sicht", in: G. Jakobs
(ed.), Rechtsgettung und Konsens (1976), pp. 96 sqq.; Flume, AT, pp. 1 sqq.; Martin Lipp, Die
Bedeutung des Naturrechts fur die Ausbildung der AUgemeinen Lehren des deutschen Privatrechts
(1980), pp. 130 sqq.; Hans Hattenhauer, Qrundbegriffe des Burgerlichen Rechts (1982),
pp. 58 sqq.; Nanz, Vertragsbegrijf, pp. 135 sqq.
106
Cf. e.g. Gerhard Dulckeit, "Zur Lehre vom Rechtsgeschaft im klassischen romischen
Recht", in: Festschrift for Fritz Schulz, vol. I (1951), pp. 148 sqq.; Kaser, RPr I, pp. 227 sqq.
1117
Cf. still e.g. Pap. D. 1, 3, 1 (delictum contrahere); Kaser, RPr I, p. 523; Biondi,
Contralto e stipulatio, pp. 197 sqq.; Franz Wieacker (1967) 35 TR 130 sq.; Honsell/Mayer-
Maly/Selb, p. 250. But cf. also Wunner, Contractus, pp. 10 sqq., 26 sqq.; Werner Macheiner,
"Zu den Anfangcn des Kontraktssystems", in: Festsgabejiir Arnold Herdlitczka (1972), pp. 168
sqq.; Santoro, (1983) 37 Annali Palermo 31 sq.
™ Gai. Ill, 88 sq.; Wieackcr, (1967) 35 TR 132 sq.; Wunner, pp. 42 sqq. On the
contract-delict
109
dichotomy, see also supra, pp. 10 sqq.
There is a vast literature on the Roman concept of contract; cf. e.g. Dulckeit, Festschrift
Schulz, vol. I, pp. 152 sqq.; Kaser, RPr I, p. 523; Arnaldo Biscardi, "Some Critical Remarks
on the Roman Concept of Obligations", (1977) 12 The Irish Jurist 371 sqq.; Santoro, (1983)
37 Annali Palermo 61 sqq. and passim (for the time of Labeo).
""Kaser, RPr II, pp. 362 sq.
111
Labeo's attempt (Ulp. D. 50, 16, 19) to confine the term "contractus" to "ultro
citroque obligationem, quod Graeci awaWay fux vocant" is difficult to understand and
possibly spurious. In any event, it has remained isolated and has never been followed up. Cf.
e.g. Wunner, Contactus, pp. 33 sqq.; Benohr, Synallagma, pp. 10 sqq.; Macheiner, Festgabe
Herdiitczka, pp. 172 sqq.; but see the comprehensive analysis by Santoro, (1983) 37 Annali
Palermo
112
7 sqq.
Ulp. D. 2, 14, 1, 3.
113
Cf. supra, pp. 508 sqq.
114
115
Kaser, RPr II, pp. 362 sqq.
116
D. 2, 14, 1, 3.
117
Ulp. D. 2, 14, 1, 3.
Ulp. D. 2, 14, 1, 3
118
Thus, the Romans did not concern themselves with questions relating to the actual
formation of the contract as such. They looked at contract (and consensus) as a single,
undivide d unit and not at the individual declarationes voluntatis of the parties involve d.
Only after a general the ory of contract ha d been de velope d by the natural la wyers and
contract had come to be analysed in terms of offer and acceptance did, in particular, the
question when a contract inter absentee can be taken to be concluded (e.g.: is it necessary that
the offeror be notified of the acceptance of his offer?) come into the purview of scholarly
debate. For a historical analysis, cf. Jorn Augner, Vertragsschluss ohne Zugang der
Annahmeerklarung: § 151 BGB in rechtshistorischer und rechtsvergleichender Sicht (1985).
119
Cf. e.g. Silvio Perozzi, Istituzioni di Diritlo Romano (2nd ed.. 1928), vol. II, pp. 30 sqq.;
Wieacker, Societas, pp. 80 sqq.
120
Very clear on t his point is David Daube, "Societ as as Consensual Contract", (1939)
7 Cambridge LJ 395 sqq.
- Heinz Hiibncr, "Subjektivismus in der Entwicklung des Privatrechts", in: Festschrift jiir
Max Kaser (1976), pp. 715 sqq., 720 sq.
122
Cf. supra , pp. 78 sqq., 82 sqq.
123
Cf. e.g. Daube, (1939) 7 Cambridge LJ 395 sqq.; Grosso, Sistema, pp. 53 sqq.
124
Cf. infra, pp. 587 sqq.
125
Fritz Raber, "Hoc animo dare", (1965) 33 TR 51 sqq.; Kaser, RPr II, pp. 365 sq.;
Grosso, Sistema, pp. 53 sqq.; Thomas, TRL, pp. 225 sq.; Buckland/Stein, pp. 412 sqq.;
Santoro, (1983) 37 Annali Palermo 184 sqq. (on "conventio re"); for the law of stipulations
cf, most recently, Make Dobbertin, Zur Auslegung der Stipulation im klassischen Romischen
Recht (1987), pp. 51 sqq.
126
Ulp. D. 2, 14, 1, 3.
127
Cf. supra, pp. 156 sqq., 165, 510 sq.
128
Pietro De Francisci, SYNAAAAHVIA, vol. II (1916), pp. 498 sqq.; Melchiorre Roberti,
"L' influenza Cristiana nello svolgimento storico dei patti nudi", in: Cristianesimo e diritto
romano (1935), pp. 87 sqq.; but cf. Biondi, DRC, vol. Ill, pp. 214 sqq.; Ugo Brasiello, "SulT
influenza del Cristianesimo in materia di elemento subbicttivo nei contratti", in: Scritti di
diritto romano in onore di Contardo Ferrini (1946), pp. 505 sqq.
129 ''yerinfierlichung" der sckuldrechtlichen Bindung: RPr II, p. 366.
130
Ulp. D. 2, 14, 1, lsq.;Ulp. D. 50, 12, 3pr.; Grosso, Sistema, pp. 171 sqq.; Magdelain,
Consensualisme, pp. 5 sqq.
131
Cf. e.g. Duarenus and Donellus, as discussed by Nanz, Vertragsbegrijf, pp. 78 sqq. On
the attitude of the glossators and commentators and of the authors of the usus modernus, cf.
Nanz, Vertragsbegriff, pp. 44 sqq., 93 sq., 130 sqq.
132
The general term for agreement in the medieval English common law was
"covenant ".
133
Tractatus de pactis, Cap. I, 1 sqq. (A translation of this tractatus into Afrikaans by
L.J. du Plessis has recently (1985) appeared.)
134
Cf. e.g. Struve, Syntagma, Exercit. VI, Lib. II, Tit. XIV, 32; Stryk, Usus modemus
pandectarum. Lib. II, Tit. XIV, §§4, 7; Voet, Commentarius ad Pandectas, Lib. II, Tit. XIV, IX;
135
Liv. I, Introduction.
136
D e ju r e n a t u ra e e t g e n t i u m . L i b. I I , C a p . I l l , § 1 4; L i b . I l l , C a p . I V , § 1 . F o r f u r t h e r
de t a i l s c f . H a n s We l z e l , D i e Na t u r re c h t s l e h r e S a m u e l Pu f e n d o r f s ( 1 9 5 8) ( e . g. p p . 4 3 s q q.) ;
N ot ke r H a m me rs t e i n , "S a m ue l Pu fe nd o r f ", i n: M . St ol l e i s ( e d.) , S t a a t sd e n k e r i m 1 1 . u n d 1 8 .
J a h rh u n d e rt ( 197 7) , p p. 17 4 sq q. , 1 8 0 s q q.
137
L i v . I , I nt r o d u c t i o n .
138
C f . al s o s u p r a , p . 5 4 0 .
~ O n Ro m a n l a w as " ra i so n e c ri t e " a n d D o m at 's vi e w s i n t h a t re ga r d cf . Je a n G a u de me t ,
"Le s t e nd an ce s a l 'uni fi c at i o n d u dr oi t e n Fr an ce d a ns l e s de rni e rs si e cl e s de F An ci e n Re gi m e
( X V I e - X V I I I e ) ", i n : L a j o r m a z i o n e s t o r i c a , v o l . I , p p . 1 7 9 s q q . ; K l a u s L u i g, " D e r
G e t t u n gs g r u n d d e s r o m i s c h e n R e c h t s i m 1 8 . J a h r h u n d e r t i n I t a l i e n , F r a n k r e i c h u n d
De utschl and ", i n: La jo rma zion e sto ri ca, vol . II ( 1977), pp. 834 sqq. For much more host ile
comme nt , see Chri sti an T hom asi us, In st itut ione sJu ri sp ruden tia e Diu in ae Ital ia (1702), Li b. II ,
C a p . X I , 6 3 ( " H i n c d i s t i n c t i o n e s . . . i n ne s c i o q u a s s u b s p e c i e s o bs c u r i s s i m a s , q u a r u m
s i n g u l a e i n f i n i t i s l i t i gi i s i n t e r J u r i s c o n s u l t o s d e d e r u n t o c c a s i o n e m o r t a e s u n t ") . O n
T h o m a s i u s ' a t t i t u d e t o w a r d s t h e R o m a n l a w ge n e r a l l y, s e e W o l f g a n g E b n e r , Kr i t i k d e s
ro m i sc h e n R e c ht s be i Ch ri st i a n Th o m a siu s ( unpubl i s he d D r. i u r. t he si s , Fr an kf urt , 1 97 1) .
140
Le s l o i x c i v i l e s , Li v. I , T i t . I , 8 .
141
Traite des obligations, n. 4.
142
Cf. in particular Maltc Dicsselhorst, Die Lehre des Hugo Grotius vom Versprechen (1959);
Nanz, Vertragsbegriff, pp. 139 sqq. Cf. also § 861 ABGB; for a general evaluation of the
influences of the Roman ius commune and of natural law in the contract law of the ABGB,
cf. Gunter Wesener, "Naturrechtliche und romisch-gemeinrechtliche Elementc im Vertrags-
recht des ABGB", 1 984 ZNR 113 sqq.
143
For details of the tradition on which Grotius built (particularly Molina and Lessius), cf.
Diesselhorst, Hugo Grotius, pp. 4 sqq., 10 sqq., 39 sqq.
De jure belli ac pads, Lib. II, Cap. XI, 4. Cf. also Inleiding, III, I, 1 and 12; see further Okko
Behrends, "Treu und Glauben, Zu den christlichen Grundlagen der Willcnstheoric im
heutigen Vertragsrecht", in: L.L. Vallauri, G. Dilcher (eds.), Christentum, Sakularisation und
modemes Recht, vol. II (1981), pp. 964 sqq.
145
Dejure belli ac pads. Lib. II, Cap. XI, 3 and 4.
146
Rea son: ". . . nu dis a nimis a ctibu s efficientia m juris tnbu ere non fu erat congruu m
naturae humanae, quae nisi ex signis actus cognoscere non potest": Dejure belli ac pads. Lib.
II, Ca p. IV, 3.
147
De jure belli ac pads. Lib. II, Cap. XI, 14; cf. also Inleiding, I I I , I, 10: "Toezegging
noemen wy een willighe daed eens mensches wa er door hy aan een ander iet belooft, met
meninghe dat den ander het zelve aennemen ende daer door op den belover eenig recht zal
mogen verkrijgen." For details, see Diesselhorst, Hugo Grotius, pp. 106 sqq.. I l l sqq.
1
The qu estion ha s recently been asked whether Grotius' view of contract as the su m o f
two unilaterally binding promises does not reflect the psychological realities much better
than the "mystification" of a consensus: Eugen Buchcr, "Fur mehr Aktionendenken", (1986)
186 Archiv fur die ciuilistische Praxis 21.
149
Dejure naturae et gentium, e.g. Lib. Ill, Cap. IV; cf. further Make Diesselhorst, Zum
Vermb'gensrechtssystem Samuel Pufendorfs (1976); Lipp, op. cit., note 105, pp. 141 sqq.; Nanz,
Vertragsbegriff, pp. 149 sqq.
I5U
Grundsatze des Natur- und Vb'ickerrechts (Halle, 1754), § 438; Nanz, Vertragsbegriff, pp. 165
sqq. The term "Vertrag", incidentally, is derived from "sich vertragen", which means as mu c h
as to agree, to mak e pea ce, to be reconciled (with ea ch other) and thu s ha s connotations
va gu ely similar to the Latin "pa ctu m".
!5i
Institutions § 27; cf. also Мауег-Maly, "Die Bedeutung des Konsenscs", op. c i t ., note
105, pp. 98 sq.
152
D e ju re na tu ra e et ge nt iu m . Li b. I l l , Cap. V I , § 15.
153
D e ju re na tu ra e et ge nt iu m , Li b. I l l , Cap. V I , § 16.
Г
154
The doctrine of ''Willenserklarung" (dcdaratio voluntatis) owes much to Wolfgang
Adam Lauterbach; cf. his Disputatio de voluntate, as discussed by Mayer-Maly, "Die
Bedeutung des Konsenses", op. cit., note 105, pp. 97 sq. and Festschrift Seidl, pp. 126 sq.
Generally on the history of this concept, see Siegmund Schlossmann, "Willenserklarung und
Rechtsgeschaft. Kritisches und Dogmengeschichtliches", in: Festgabe der Kieler Juristen-
Fakultatjur Hanel (1907), pp. 48 sqq.; Hermann Dilcher, "Die Willenserklarung nach dcm
preussischen ALR 'frei, cmstlich und zuverlassig' ", in: Gedachtnisschrift fur Hermann Conrad
(1979),
155
pp. 85 sqq.
Savigny dealt with the concept of contract and all questions relating to its formation
within the general part of his system of private law (on the idea of a "general part" cf. supra,
p. 31); he thus detached it from the law of obligations. Cf., for example, System, vol. Ill, pp.
7, 310, and Hammen, Savigny, pp. 95 sqq. This is also the approach adopted in the BGB
which includes in book one its rules both on declarations of intention (Willenserkla'rungen;
§§ 116 sqq. BGB), and on contracts {Vertrage; §§ 145 sqq. BGB). Book two (containing the
law of obligations) commences only with § 241. On the reasons cf. "Motive", in: Mugdan,
vol. I, p. 422. The generic term, covering both "Willenserklarung" and "Vertrag" is that of
"Rechtsgeschaft" (legal act); cf. the title of Book I, section III (§§ 104-185 BGB). On the
history of this concept cf. Flume, AT, pp. 23 sqq., 28 sqq.; Hattenhauer, op. cit., note 105,
pp. 58 sqq.
In recent times, the concept of contractual liability based on consent has been
questioned; cf., as far as England is concerned, Atiyah, Rise and Fall, passim, e.g. pp. 716
sqq.; for Germany cf. e.g. the discussion by Eugen Dietrich Graue, "Vertragsschluss durch
Konsens?",
157
in: G. Jakobs (ed.), Rechts%eltun% und Konsens (1975), pp. 105 sqq.
15Я
Cf. Harold j. Berman, Law and'Revolution (1983), p. 18.
The translator's preface, p. X.
159
Cf. especially A.W.B. Simpson, "The Rise and Fall of the Legal Treatise: Legal
Principles and the Forms of Legal Literature", (1981) 48 University of Chicago LR 632 sqq.
160
(l
At p. 4.
Cf. the analysis of A.W.B. Simpson, "Innovation in Nineteenth Century Contract
Law", (1975) 91 LQR 247 sqq.
162
Rise and Fall, p. 345. Cf. also at pp. 388 sqq., where the rise of formalism and, in
conjunction
lfo
with it, principle-orientation is discussed.
164
Atiyah, Rise and Fall, pp. 398 sqq., 681 sqq.
Simpson, (1975) 91 LQR 254.
165
( 182 2) 5 В S c Ai d 4 74 at 4 80. Fo r fu rt he r de t ai l s co n ce r ni n g t he re ce p t i on of Pot hi e r i n
E n gl a n d a n d ( vi a E n gl a n d ) So u t h A f r i c a , c f . Re i n h a r d Zi m m e r m a n n , "D e r E i n fl us s P ot hi e rs
a u f d a s r o mi s c h - h ol l a n di s c he Re c ht i n S u d a f ri k a ", ( 1 9 8 5) 1 0 2 ZS S ( G A ) 1 6 8 s q q ., 1 7 6 s q q.
166
S y s t e m o f t h e Mo d e m R o m a n La w , t r a n s l a t e d b y W . H o l l o w a y.
167
"C o n s i de r i n g t h e a m o u n t o f c oi n c i de n ce { i f n ot m o re t h a n c oi n c id e n ce ) b e t w e e n
E n gl i s h a n d R o m a n l a w i n t he m a i n p ri n ci p l e s o f C o nt r a c t , I h a ve fe l t j u st i fi e d i n m a ki n g a
p re t t y f re e use o f t h e R o m a n l a w f o r p u r p o se s o f i l l us t r at i o n a n d a n a l o g y. . . . O n p oi n t s of
R o m a n l a w ( a n d t o a c o n s i d e r a b l e e x t e n t , i n de e d , o n t he p r i n c i pl e s i t h a s i n c o m m o n w i t h
o u r o w n ) I h a v e c o n s u l t e d a n d ge n e r a l l y f o l l o w e d S a v i g n y ' s g r e a t w o r k . " ( P r i n c i p l e s o f
Co n t ra c t a t La w an d in E qu i t y ( 1st e d.) , fore wo rd) .
168
Cf. supr a, pp. 5 54 sq q.
169
Si m p s o n , ( 1 9 7 5 ) 9 1 L Q R 2 5 8 s q q .; A t i ya h , R i s e a n d Fa l l , p p . 4 4 6 s q q .
170
( 1 8 1 8 ) 1 В & A i d 6 8 1 . C f . a l s o St e f a n A . Ri e s c n f e l d , "T h e I m p a c t o f R o m a n L a w o n
t h e C o m m o n L a w S y s t e m s ", ( 1 9 8 5 ) 1 L e so t h o L J 2 6 9 s q q .
171
Frederick Pollock, Principles of Contract at Law and in Equity (1876), p. 2.
172
Si mpson, (1975) 91 LQR 263 sqq.
173
System, vol. Ill, § 140.
174
Cf. supra, pp. 559 sq.
175
[1893] 1 QB 256 (CA); on this aspect of the smoke ball case, see Simpson, (1985) 14
Journal of Legal Studies 375 sqq. Cf. further especially Heilbut, Symons & Co. v. Buckleton
[191 3] AC 30(H L).
17(1
Cf. e.g. Kindersley VCin Haynes v. Haynes (1861) 1 Dr & Sm 426 at 433: "When both
parties will the same thing, and each com municates his will to the other, with a mutual
agree ment to carry it into effect, then a n e nga ge me nt or contract betwee n the two is
constituted"; Atiyah, Rise and Fall, pp. 405 sqq. (esp. p. 407).
177
Cf. e. g. Si mpson, (1975) 91 LQR 257 sqq.
178
On the connection between canon law (laesio fidei) and the growth of assumpsit, sec
R.H. Helmholz, "Assum psit and Fidei Laesio", (1975) 91 LQR 406 sqq. On the emergence
and rise of the action of assum psit ge nerally, see A.W.B. Sim pson, History, passim.
179
Simpson, History, pp. 248 sqq.
180
Simpson, (1975) 91 LQR 257.
81
For a recreation "of the historical background and significance of this landmark in the
history of contract law and its relationship to the seedy world of the late nineteenth-century
vendors of patent medical appliances", cf. A.W.B. Simpson, "Qua ckery and Contract Law:
The Case of the Carbolic Smoke Ball", (1985) 14 Journal of Legal Studies 345 sqq. The brief
account that follows in the text is base d on Sim pson's a nalysis.
182
The defe nce was le d by H.H. Asquith, Q.C., who bec a me Ho m e Secretary shortly
afterwards, and later Prime Minister (1908-1916).
183
[1892| 2 QB 484; the tri al was before Hawkins J ("assist ed by his fox terri er Jack,
which always sat on the bench with him": Simpson, (1985) 14 Journal of Legal Studies 362).
184
[1893] 1 QB 256.
185
Simpson, (1985) H Journal of Legal Studies 378.
1H6
§ 657 BGB.
1H7
This term is of very recent origin (second half of the 19th century) and has not
managed to establish itself in popular parlance; cf. Hans Hermann Seiler, in: Mtinchener
Kcmmentar, vol. Ill, 2 (2nd ed., 1986), § 657, n. 1.
1HR
"Contractual theory": cf. e.g. Vangerow, § 603, n. 2; Windschcid/Kipp, § 308.
i S9
"Motive", in: Mugdan, vol. II, p. 290.
190
Jost Wiechmann, Der Ausschluss des Rechtsweqes bei den qffentlichen Belohnungsversprechen
(1987), pp. 56 sqq.
191
Bloom v. The American Swiss Watch Company 1915 AD 100.
192
Bloom's case at 107 (per De Villiers AJA).
193
Bloom's case at 103 (per Inncs Cj).
194
Karlheinz Dreiocker, Zur Dogmengeschkhte der Auslobung (unpublished Dr. iur. thesis,
Kiel, 1969), pp. 10 sqq., 65 sqq.
195
Cf. supra, p. 496.
196
In favour of a close historical connection, cf. Rudolf Dull, "Auslobung und Fund im
anti ken Rccht", (1941) 61 ZSS 19 sqq. But see Drei ocker, op. cit., not e 194, pp. 16 sqq.
197
Cf. Dreiocker, op. cit., note 194, pp. 40 sqq. Cf., for example, Petronius, Satiricon,
XCVII, 2: "Puer in balneo paulo ante aberravit, annorum circa XVI, crispus, moUis,
formosus, nomine Giton. Si quis eum reddere aut commonstrare voluerit, accipiet nummos
mille."
m
Kaser, RPr I, p. 604.
194
Cf. supra, p. 568, note 147.
A promissio, according to Grotius, was designed, if accepted, to confer a ius upon
another person; the person who uttered a pollicitatio, on the other hand, did not contemplate
such a transfer of a right; cf. Dejure belli ac pacts. Lib. II, Cap. XI, 3 sq. and Lib. II, Cap. XI,
XIV. Pufendorf (De iure naturae et gentium. Lib. Ill, Cap. V, 6) describes pollicitatio as an
"imperfecta promissio". Cf. also Geoffrey MacCormack, "A Note on Stair's Use of the
Term
2(11
Pollicitatio", 1976 Juridical Review 124.
Cf, for example, Voet, Commentarius ad Pandectas, Lib. L, Tit. XII, I {"Pollicitatio est
solius
202
offerentis promissio").
Dejure belli ac pads. Lib. II, Cap. XI, 3.
Commentarius ad Pandectas, Lib. L, Tit. XII (listing, however, a considerable number of
exceptions to the principle).
211
T.B. Smith, "Pollicitatio—Promise and Offer", in: idem, Studies Critical and
Comparative (1962), pp. 168 sqq.; cf. also Coing, p. 408.
2115
Traite des obligations, n. 4.
2116
"Pa ctu m est du oru m consen su s a tqu e conventio, pollicitatio vero offerentis soliu s
promissu m."
2(17
Simpson, (1975) 91 LQR 259.
2(1M
John Austin, Lectures on Jurisprudence, vol. II (1885), p. 906.
20y
Cf. e.g. Dernburg, Pandekten, vol. II, § 9; Arndts, Pandekten, § 241; Baron, Pandekten,
§211.
210
§ 657 BGB.
211
Institutions of the Law of Scotland (4th cd.), vol. I (1826). Book I, Tit. X, IV; Т. В.
Smith, op. cit., note 204, pp. 168 sqq., 173 sqq.; cf. also D.I.C. Ashton Cross, "Bare
Promise in Scots Law", (1957) 2Juridical Review 138 sqq. There is considerable confusion as
to the use of the terms "promissio" and "pollicitatio" by Stair; cf. Alan Rodger, "Molina,
Stair and the Jus Quaesitum Tertio", 1969 Juridical Review 130 sqq.; MacCormack, 1976
Juridical Review 121 sqq.
212
Percival Gane, The Selective Voet, vol. Vll (1957), Book L, Title 12, translator's note.
213
Cf. supra, p. 543.
214
Cf. e.g. Robert Feenstra/Margreet Ahsmann, Contract (1980), p. 21.
215
Printing and Numerical Registering Company v. Sampson (1875) LR 19 Eq 462 at 465.
216
Cf. e.g. Atiyah, Rise and Fail, pp. 398 sqq.; idem, "Contract and Fair Exchange", in:
P.S. Atiyah, Essays on Contract (1986), pp. 329 sqq.; Arthur van Mehren, "A General View
of Contract", in: International Encyclopedia of Comparative Law, vol. VII, 1 (1982), nn. 72 sqq.;
Ludwig Raiser, "Vertragsfunktion und Vertragsfreiheit", in: Hundert Jahre deutsches
Rechtsleben, Festschrift zum lOOjahrigen Bestehen des Deutschen Juristentages, vol. I (1960),
pp. 101 sqq.; Franz Wieacker, IndustriegeseUschaft und Privairechtsordnutig, passim; Dieter
Grimm, "Soziale, wirtschaftliche und politische Voraussetzungen der Vertragsfreiheit, Eine
vergleichende Skizze", in: La formazione storica, vol. Ill, pp. 1221 sqq.; Giinther Honn,
{Compensationgestorter Vertragsparitdt (1982), pp. 5 sqq., 18 sqq.: Ernst Kramer, in: Munchener
Kommentar, vol. I (2nd ed., 1984), Vor § 145, nn. 2 sqq.
217
Cf. e.g. Werner Scherrer, Die geschichtliche Entwkklung des Prinzips der Vertragsfreiheit
(1948), pp. 31 sqq.
Cf. Atiyah, Essays on Contract, op. cit., note 216, p. 330; or, in modern civilian
parlance,
219
defects of the will (cf. e.g. Honsell/Mayer-Maly/Selb, p. 119; Flume, AT, § 19).
Cf. e.g. Schulz, Principles, pp. 223 sqq.
220
For an overview cf., in particular, A. Steinwcnter, "Die Vcrtragstreue im biirgerlichen
Recht", 1950 Jtiristische Blatter 173 sqq.
221
Cf. supra, p. 356.
222
Cf. supra, p. 356.
223
Cf. supra, p. 425, note 90.
224
Cf. supra, p. 455.
225
Cf. supra, pp. 317 sq., 318 sq
226
Cf. supra, pp. 259 sqq.
227
Cf. su pra, p. 537.
22H
Schemer, Riicktrittsrecht, pp. 23 sqq.; Going, p. 404. On paenitentia in Roman law, cf.
e.g. Bergcr, ED, p. 616 .
29
~ Cf. e.g. Schemer, Riicktrittsrecht, pp. 18 sqq.
2311
Schemer, Riicktrittsrecht, p. 27.
231
Cf. e.g. Samuel Stryk, Ustts modernus pandectarum, Lib. I I , Tit. XIV, § 5; Augustin
Lcyser, Meditationes ad Pandectas, Spec. XXXIX, VII. Cf. further Going, p. 404.
232
For details, cf. Schemer, Rticktrittsrecht, passim. A unilateral right of withdrawal from
the contract was still rejected by the pandectists: for details, sec Leser, Rucktritt vom Vertrag,
pp. 2 sqq.
233
Friedrich Mcrzbacher, "Die Rcgel 'Fidem frangenti fides frangitur' und ihre
Anwendung", (1982) 99 ZSS (KA) 339 sqq; further, sec Georges Boyer, Recherches
historiques sur la resolution des contrats (1924), pp. 212 sqq., 235 sqq., 259 sqq.
234
Schemer, Riicktrittsrecht, pp. 92 sqq.; Going, p. 444.
235
§§ 325 sq. BGB; for details cf. Leser, Rucktritt vom Vertrag, passim. For a comparative
analysis cf. G.H. Treitel, "Remedies for Breach of Contract", in: International Encyclopedia of
Comparative Law, vol. VII, 16 (1976), pp. 110 sqq. and Hans G. Leser, "Losung vom
Vertrag", in: Recht und Rechtserkenntnis, Festschrift fur Ernst Wolf (1985), pp. 373 sqq.
236
Cf. § 1 b AbzG (deali ng wit h i nst al ment sal es) and § i Haust urWG (deali ng wit h
door-to-door sales).
237
Cf. e.g. A.D. Weber, Systematische Entwicklung der Lehre von der natu'rlichen Verbind-
tichkeit (1784), § 90; for further details, see Leopold Pfaff, "Die Clausel: Rebus sic stantibus
in der Doktrin und der osterreichischen Gesetzgebung", in: FestschriftjiirJoseph Unger (1898),
pp. 272 sqq.
238 23У
De beneficiis. Lib. IV, XXXV, 3. 3, XXV—95.
2411
Enarrationes in Psalmos, V, 7.
241
Secunda Pars, Causa XXII, Quaest. II. с 14.
242
Johannes Tcutonicus, gl. Furens, ad С 22, q. 2, c. 14. Cf. further Robert Feenstra,
"Impossibilitas and Clausula rebus sic stantibus", in: Daube Noster (1974), pp. 81 sqq.
The wording of the condition is taken from a text by Africanus (D. 46, 3, 38 pr: ". . . si in
codem statu maneat"), which does, however, not deal with the problem in question. The
legal construction of the clausula remained that of an implied condition. A very
similar construction, incidentally, appears in Taylor v. Caidwell (1863) 3 В &с S 826, the
decision which broke with the principle established in Paradine v. Jane (1647) Aleyn 26 and
became one of the roots of the modern doctrine of frustration of contract (cf. infra, pp. 582,
817].
2
■'Johannes Teutonicus, loc. cit.
44
Summa theologiae, Secunda Secundae, q. 110, art. 3, ad quintum; the general rule is
expressed in the following terms: "Si vcro non faciat quod promisit, tune videtur infideliter
agere per hoc quod ani mum mut at."
245
Commentaria, D. 12, 4, 8, § Quod Servius, 3.
246
Commentaria (Venetiis, 1586), ad D. 12, 4, 8.
247
Yason de Mayno, Commenturia, ad D. 12, 4, 8.
248
Andreas Tiraquellus, as quoted by Pfaff, Festschrift Unger, p. 229.
249
Meditationes ad Pandectas, Spec. XL, IV. For a detailed account of the historical
development, c(. Pfaff, Festschrift Unger, pp. 225 sqq.; O. Fritze, "Clausula rebus sic
stantibus", (1900) 17 Archiv fur BUrgcriiches Recht 29 sqq.; cf. also Margarethe Beck-
Mannagetta, "Die clausula rebus sic stantibus und die Gescha'ftsgrundlage in der
Dogmengeschichte", in: La formazivne storied, vol. Ill, pp. 1263 sqq.
250
Feenstra/Ahsmann, op. cit., note 214, p. 21.
251
E.M. Meijers, "Essai historique sur la force majeure", in: Etudes d'histoire du droit, vol.
IV (1966), p. 29.
2
^ On Grotius' attitude cf. Feenstra, Daube Noster, pp. 84 sqq.; Beck-Mannagetta, in: La
fomazione storka, vol. Ill, pp. 1270 sqq.
253
Cf. e.g. Pfaff. Festschrift Unger, pp. 282 sqq.; Erich Kaufmann, Das Wesen des
Votkerrechts und die ctausula rebus sic stantibus (1911).
254
Cf. supra, note 237.
255
"Die Voraussetzung", (1892) 78 Archiv fur die civilistische Praxis 197.
256
Windscheid defined the term "presupposition" in terms of an "undeveloped
condition": one party wishes the effects of a transaction to be dependent on a certain state of
affairs without, however, elevating such presupposition, by way of an express declaration,
to the status of a term of the transaction. Such party may refuse to render performance, if
his contractual opponent was in a position to gauge, from the circumstances of the
transaction, that the presupposition in fact formed an element of his intention. Cf. esp.
Bernhard Windscheid, Die Lehre des riimischen Rechts von der Voraussetzung (1850); idem, in:
Wi n d sch e id / Ki p p, § § 9 7 sq q. C o nt ra e. g . O tt o L en e l, "N o ch ma l s di e L e hr e v o n d er
Voraussetzung", (1892) 79 Archiv fur die civilistische Praxis 49 sqq.; cf. also Gerhard Kegel,
"Empfielt es sich, den Einflu ss gru ndlegender Vera nderungen des Wirtscha ftslebens au f
Vertrage gesetzlich zu regeln und in welchem Sinn?", in: Verhandlungen des 40. Deutschen
Juristentages (1953), vol. I, pp. 143 sqq; for a recent analysis, cf. Ulrich Falk, Ein Gelehrter w'xe
Windscheid (1989), pp. 193 sqq. The notion of "economic" impossibility (cf. e.g. RGZ 100,
129 (130)) may be mentioned a s a nother attempt to cope with the problem of changed
circumstances.
257
"Protokolle", in: Mugdan, vol. II, p. 1174. On the clausula cf. "Motive", in: Mugdan,
vol. II, pp. 109, 471.
258
Paul Oertmann, Die Geschaftsgrundlage, ein neuer Rechtsbegriff (1921). On the judicial
recepti on of t hi s doct ri ne si nce the fa mous deci si on of RGZ 103, 328 sqq., see Bernd
Riithers, Die unbegrenzte Auslegung (1973), pp. 40 sqq.
259
Cf., for example, Karl Larenz, Geschaftsgrundlage und Vertragserfullung (3rd ed., 1963);
Matt e Diesselhorst, "Die Geschaftsgrundlage in der neueren Rechtsent wicldung", in:
U. Immenga (ed.), Rechtswissenscha.fi und Rechtsentwicklung (1980), pp. 153 sqq.; Giinther H.
Roth, in: Munchener Kotnmentar, vol. II (2nd ed., 1985), § 242, nn. 465 sqq.; for a crisp
account of the development cf. also Joachi m Mei necke, "Frustration in the West German
Law of Contract", (1978) 13 The Irish jurist 83 sqq.
260
Treitcl, The Law of Contract, pp. 663 sqq.; on its history, see Kegel, op. cit., note 256,
pp. 172 sqq.; for a comparison, cf. Stefan Schmiedlin, Frustration of Contract und clausula rebus
sic stantibus (1985). The Louisiana Civil Code, interestingly, deals with the problem as being
one of an error in motive, which can under certain circumstances constitute a ground for the
voidability of contracts: "No error in motive can invalidate a contract, unless the other party
was apprised that it was the principal cause of the agreement, or unless from the nature of
the transaction it must be presumed that he knew it" (art. 1826). For det ails, see Ti mothy
Hofi", "Error in the Formation of Contracts in Louisiana: A Comparative Analysis",
(1978-79) 53 Tul am LR 358 sqq.
Error
1. Error and contractual theory
(a) Cotton ex Peerless
Sometime in the 1860s two ships sailed from Bombay to Liverpool.
Both were called Peerless. The one had left Bombay in October, the
other in December. Meanwhile, back in England, 125 bales of cotton
"to arrive ex Peerless from Bombay" had been sold. When the vendor
tendered the cotton that had arrived with the December Peerless, the
purchaser refused to accept it. He had meant and intended, so he
alleged, to buy the cotton from the October Peerless.
We do not know what the (real) reason for the purchaser's reaction
was. Possibly the price had fallen below the level of 17^ pence per pound
(which was the contract price) during the time between the arrival of
the two ships. The court, in any event, gave judgment in his favour. 1
Again, we do not know the reasons, since none have been reported.
Shortly after counsel for the defendant had risen, the court abruptly
stopped him in his argument and announced its judgment. What had he
said that so impressed the court? "That being so, there was no
consensus ad idem, and therefore no binding contract."
Quite understandably, under these circumstances, the decision in
Raffles p. Wichelhaus was taken to lend support to a subjective approach
to the formation of contract. What matters is that the minds of the
parties are ad idem; if that is not the case, there can be no contract. But
there have also been different interpretations. Oliver Wendell Holmes,
for instance, tried to "objectify" Raffles v, Wichelhaus and wrote:
"It is commonly said that such a contract is void, because of mutual mistake as to the
subject-matter, and because therefore the parties did not consent to the same thing.
But this way of putting it seems to me misleading. The law has nothing to do with
the actual state of the parties' minds. In contract, as elsewhere, it must go by
externals, and judge parties by their conduct. . . . The true ground of the decision
was not that each party meant a different thing from the other . . . but that each said
a different thing. The plaintiff offered one thing, the defendant expressed his assent
to another."3
These words remind us of what has been mentioned very briefly in the
previous chapter. 3 A contract, in modern analysis, is made up of two
1
Raffies v. Wichelhaus (1864) 2 H & С 906. On the rule developed on the basis of this
decision cf, in particular, William F. Young, "Equivocation in the Making of Agreements",
(1964) 64 Columbia LR 619 sqq.; for a critical evaluation, see also Grant Gilmore, The Death
of Contract (1974), pp. 35 sqq.
2
The Common Law, p. 309. "Even for Holmes this was an extraordinary tour de force",
comments Gilmore (p. 41).
3
Supra, pp. 567 sqq.
583
4
Arr. 2 I GG; cf. e.g. Ludwig Raiser, "Vertragsfreiheit heute", 1958 Juristenzeitung 4 sqq.;
Manfred Wolf, RechtsqeschaftUche Entscheidungsfreiheit und t>ertra%licher Interessetutusgleich
(1970), pp. 21 sqq.
3
Art. 1819; cf. further Saul Litvinoff, "'Error' in the Civil Law", in: Joseph Dainow (ed.),
Essays on the Civil Law of Obligations (1969), pp. 222 sqq.
'' Supra, pp. 577, 578.
For a recent analysis of the "dynamic that operates in areas of doctrine caught between
the commitment to objectivity, expressed as reliance on 'manifestation', and the
commitment to subjectivity expressed as reliance on 'intent'" (p. 1065), cf. Clare Dal ton,
"An Essay in the Deconstruction of Contract Doctrine", (1985) 94 Yale LJ 1039 sqq.
я
Cf., for example, supra, pp. 87 sqq.
9
For a general discussion, see Konrad M. Kritzinger, "Approach to Contract: A
Reconciliation", (100) 1983 SALJ 47 sqq.; De Wet en Yeats, pp. 7 sqq.; Joubert, Contract,
pp79 sqq.
10
Cf. e.g. Robinson v. Randfontein Gold Mining Co., Lid. 1925 AD 173; Trollip v, Jordaatt
1961 (1) SA 238 (A); Ocean Cargo Line Ltd- v. F. R. Warm? (Pty.) Ltd. 1963 (4) SA 641 (A).
11
The classic text in this regard is j.C. dc Wet, Estoppel by Representation in die
Suid-Afrikaatue
12
Reg (1939).
Cf. R.H. Christie, "The Doctrine of Quasi-Mutual Assent", 1976 Actafuridica 149 sqq.
13
But it is doubtful whether fault is always required: cf. the discussion by Tebbutt J, in
Sonday v. Surrey Estate Modern Meat Market (Pty.) Ltd. 1983 (2) SA 521 (C); he himself
answers the question in the negative. Another problem, which has not yet been
authoritatively settled, is whether the party relying on estoppel must have acted to his
prejudice (on which see e.g. Peri-Urban Areas Health Board v. Breet 1958 (3) SA 783 (T),
which answers this question, too, essentially in the negative).
14
The most recent authoritative statements by the Appellate Division are Saambou-
Nasionale Bouvereniging v. Friedman 1979 (3) SA 978 (A); Mondorp Eiendomsagentskap (Edms.)
Bpk . v . Ke mp en be Be er 197 9 (4 ) SA 74 (A) a nd S pes Bona Bank Ltd . V Po rtals Wa te r
Treatment South Africa (Pty.) Ltd. 1983 (1) SA 978 (A). Historically, this modification of the
"will theory" dates back to che famous leading English case of Smith v. Hughes (1871} LR 6
QB 597, which contains the following dictum by Blackburn J (at p. 607) : "If, whatever a
man's real intention may be, he so conducts himself that a reasonable man would believe that
he was assenting to the terms proposed by the other party, and that other party upon that
belief enters into the contract with him, the man thus conducting himself would be equally
bound as if he had intended to agree to the other party's terms." The dogmatic basis for this
reception is unclear. Trollip J in Connoch's (SA) Motor Co. Ltd. v. Sentraal Westelike
Ko-operatiewe Maatskappy Bpk. 1964 (2) SA 47 (T) at 49A-B described it thus: "The English
doctrine of Estoppel by representation migrated to this country on the authority of a
passport that it approximated the exceptio doli mali of Roman Law. However doubtful the
validity of that passport might originally have been . . ., the doctrine has now become
naturalized and domiciled here as part of our law." "The immigration authority who first
stamped the doctrine's passport for entry into the Cape . . . appears to have been Lord de
Villiers CJ": Tebbutt J, in Sonday v. Surrey Estate Modem Meat Market 1983 (2) SA 521 (C)
at 525C.
15
"Even, therefore, if from a philosophical standpoint the minds of the parties do not
meet, yet, if by their acts their minds seem to have met, the law will, where fraud is not
alleged, look to their acts and assume that their minds did meet and that they contracted in
accordance with what the parties purport to accept as a record of their agreement. This is the
only practical way in which courts of law can determine the terms of a contract": South
African Railways & Harbours v. National Bank of South Africa Ltd. 1924 AD 704 at 716 sq. Cf.
further e.g. Cotlen v. Rietfontein Engineering Works 1948 (1) SA 413 (A) at 431. For a nearly
identical formulation of this proposition, see Holmes, The Common Law, p. 309 ("The law
has nothing to do with the actual state of the parties' minds. In contract, as elsewhere, it must
go by externals, and judge parties by their conduct").
lfi
For these various meanings of iustus error cf. D.B. Hutchison/B.J. van Heerden,
"Mistake in Contract, A Comedy of (Justus) Errors", (1987) 104 SALJ 522 sqq., who also
draw attention to the anomaly that the iustus error doctrine is still applied in spite of the fact
that the courts now generally appear to adhere to the (subjective) will theory, and no longer
to the declaration theory. In fact, in recent years, there has been an unprecedented flood of
decisions and case notes on the question of iustus error. Cf, most recently, Horty Investments
(Pty.) Ltd. v. Interior Acoustics (Pty.) Ltd. 1984 (3) SA 537 (W); Osman v. Standard Bank
National Credit Corporation Ltd. 1985 (2) SA 378 (C); Du Toil v. Atkinson's Motors Bpk. 1985
(2) SA 893 (A); Spindrifter (Pty.) Ltd. v. Lester Donovan (Pty.) Ltd. 1986 (1) SA 303 (A);
Nasionale Behuisingskommissie v. Greyiing 1986 (4) SA 917 (T); Standard Credit Corporation Ltd. v.
Naicker 1987 (2) SA 49 (N); Carole Lewis, "Caveat Subscriptor and the Doctrine ofjustus
Error" (1987) 104 SALJ 317 sqq.; A.J. Kerr, "Uses and Misuses of the Term Iustus Error.
Questions concerning Error in Corpore", (1987) 104 SALJ 377 sqq.;J.S. McLennan, "Justus
Error,
17
Snatching of Bargains, and Rectification", (1987) 104 SALJ 382 sqq.
For a redefinition of iustus error in terms of quasi-mutual assent (an error is iustus when
the other party, due to his unreasonable reliance, cannot uphold the contract on the basis of
quasi-mutual assent), cf. M.F.B. Reinecke/Schalk van dcr Merwe, 1984 TSAR 290 sqq.;
Hutchison/Van Heerden, (1987) 104 SALJ 522 sqq.
18
Cf, for example, Voci, L'errore (1937); Gian Gualberto Archi, "Dal formalismo
negoziale repubblicano al principio giustinianeo 'cum sit iustum voluntates contrahentktm
magis quam verborum conceptionem inspicere'", (1980) 46 SDHI 1 sqq.
1
Joseph Georg Wolf, Error im romischen Vertragsrecht (1961); Ugo Zilletti, La dottrina dell'
errors nella storia del diritto roinano (1961); Franz Wieacker, "Irrtum, Dissens oder
gcgenstandslose Leistungsbestimmung?", in: Melanges Philippe Meylan, vol. I (1963), pp. 383
sqq.
211
Error, pp. 23 sqq., 99 sq., 135 sq.
21
For some more general statements cf. Iul./Ulp. D. 2, 1, 15 ("non consentiant qui
errent"); Iul./Ulp. D, 5, 1, 2 pr. ("error . . . non habet consensum"); Pomp. D. 39, 3, 30
("nulla enim voluntas errantis est"); Diocl. C. 1, 18, 8 ("cum crrantis voluntas nulla sit");
Diocl. C. 1, 18, 9 ("cum nullus sit errantis consensus"). The identification theory is also in
direct conflict with Iul. D. 18, 1, 41, 1, a text regarded as genuine even by Wolf (Error,
pp. 160 sqq.): cL e.g. Luigi Labruna, (1962) 8 Labeo 138.
22
Thco Mayer-Maly, "Bemcrkungen zum Aspekt der Konscnsstorung in der klassischen
Irrtumslehre", in: Melanges Philippe Meylan, vol. 1 (1%3), pp. 241 sqq.; Wunner, Contractus,
pp. 134 sqq., 144 sqq., 193 sqq.; Ka ser, RPr I, p. 237; Honsell/Ma yer-Maly/Selb, p. 122.
21
Gai. Ill, 135.
24
C f . , i n p a r t i c u l a r , W u n n e r , C o n t ra c t u s , p p . 1 4 5 s q q .
25
Cf. e.g. § 155 BGB ("If the parties to a contract which they regard as concluded ha ve
in fact not a greed u pon a point upon which a greement should ha ve been arrived at . . .").
In the terminolog y of the English com m on la w, we are dea ling in this alternative with
mutual mistake. For a comparative discussion cf. Dietrich Rothoeft, System der Irrtumslehre
(1968), pp. 147 sqq. Earlier in this century, it was argued repeatedly that only a hidden lack
of agreement (dissensus in the modern sense) vitiated the contract; texts such as D. 18, 1 , 9
pr. were thus explained solely in terms of alternative (1), and it was argued that unilateral
error did not affect the validity of the contract: cf, in particular, Werner Flu me, "Irrtum und
Rechtsgescbaft im romischen Recht", in: Festschrift fur Fritz Schulz, vol. I (1951),
pp. 236 sqq. Contra (e.g.) Wicacker, Melanges Meylan, pp. 389 sqq.; Wunncr,
Contractus, pp. 163 sqq.; Frier, (1983) 100 ZSS 262.
"6 This idea found its expression in the maxim "errantis voluntas nulla est" (e.g. Pomp.
D. 39, 3, 20 and supra, p. 588). It does, of course, not mean that a person labouring under
a mistake does not have a will at all, but only that his will is not his true will and thus a
nullum. The idea that mistake excludes consensus can be traced back to Julian and appears
to have been well established in high and late classical jurisprudence. Cf Arnold Ehrhardt,
"Errantis voluntas nulla est", (1938) 58 ZSS 167 sqq.; idem, "Betrachtungen uber die
Lehre vom Error", (1952) 69 ZSS 402 sqq.; Wolf, Error, pp. 1 sqq.; Wunner, Contractus,
pp,27195 sqq.
3H
Cf. D. 18, 1, 9 pr.
Pomp. D. 19, 2, 52.
24
Pomp. D. 19, 2, 52. On this text cf. e.g. Wolf, Error, pp. 75 sqq.; Wunner, Contractus,
pp. 199 sqq.; Wieacker, Melanges Meylan, pp. 398 sq.; Hans Hermann Seiler, "Utile per
inutile non vitiatur", in: Festschrift fur Max Kaser (1976), pp. 129 sq.; Okko Behrcnds,
"Insti t uti onell es und pri nzi pi ell es Denken i m ro mi schen Pri va trecht ", (1978) 95 ZSS
209 sqq.
30
Cf. supra, pp. 74 sq.
31
Utile per inutile non vitiatur.
32
Cf. supra, pp. 75 sqq.
33
On this te xt a nd error in ne gotio in ge ne ral, see W olf, Error, pp. 86 sqq.; W unner,
Contractus, pp. 207 sqq.
34
Contra: Flume, Festschrift Schulz, vol. I, p. 243; but see Wunner, loc. cit. For a different
interpretation of this fragment (not based on lack of consensus), sec Wolf, loc. cit.
" For я modern definition of error in negotio cf. art. 1841 Louisiana Civil Code: "Error
as to the nature of the contract will render it void. The nature of the contract is that which
characterizes the obligation which it creates. . . . "
36
Cels. D. 12, 1, 32; cf. Wunner, Contract»!, pp. 210 sq.
37
D. 18, 1, 9, 2.
"эя Cf. Bruce W. Frier, "Roman Law and the Wine Trade: The Problem of'Vinegar Sold
As39Wine"1, (1983) 100 ZSS 268 sq.
Stein, Fault, p. 44.
On the question of terminology cf. Wolf, Error, pp. 121 sqq.; Pierre Cornioley, "Error
in substantia, in materia, in qualitatc", in: Stttdi in anore di Giuseppe Grosso, vol. II (1968), e.g.
pp. 275 sqq., 293 sqq.; Robert Feenstra, "The Dutch Kantharos Case and the History of
Error in Substantia", (1974)48 Tulane LR 853 sqq.; Frier, (1983) 100 ZSS 267 sq. It is highly
unlikely that each of these terms had a fixed and distinct technical meaning. Substantia was
probably, at least in Ulpian's parlance, a wider concept that went beyond the mere question
of "material". Qualitas (cf. e.g. Paul. D. 19, 1, 21, 2), incidentally, docs not mean
"goodness" in this context, but "characteristic" in the abstract; recognized already by
Cuiacius ("dissensus in materia, qualitate ct substantia cadem SUM"): Comment, in Tit. I De
contrah. empt. Lib. XVIII Digest., ad L IX.
41
Paul. D. 18, 1, 10. "~
Cf. supra, pp. 311 sqq.
43
I share the widely held opinion that the Roman lawyers considered error in substantia
only from the point of vie w of the insufficienc y of the pre vailing syste m of re me dies for
breach of warranty (cf. e.g. Fee nstra, (1974) 48 Tutane LR 854) and that the doctrine was
developed—in typically casuistic fashion (Kaser, RPr I, p. 238; Schulz, CRL, p. 529)—to fill
a n unsatisfactory ga p in the protec tion of the purc haser. He nce, only the m ista ke of a
p urc ha se r w h o pa id to o m uc h wa s c o nside re d sig nific a nt. T he la tte r poi nt ha s, m ost
recently, also been emphasized by Frier. Frier, (1983) 100 ZSS 257 sqq., disagrees, however,
with the general view on the historical development of the doctrine of error in substantia.
Ac c ording to him , it wa s de vise d in the e arly c la ssic al period a s a prim itive m e a ns of
protecting the purchaser from unconscionable results of enforcing the sale. However, by the
late classical period m ore refine d wa ys of protecting the purc hase r within sale ha d bee n
develope d, and consequently the error in substantia doctrine had become so hem med in by
limitations "as to be all but insignificant in practice" (p. 272). Many jurists (Marcellus!)
therefore wishe d to abolish it altogether. But Ulpia n "with his usual respect for tradition"
was unwilling to follow their lead; he preserved "the doctrine even in its sharply truncated
form" (p. 273). In fact, howe ver, Frier is forced to admit that Ulpia n bega n to broaden the
doctrine once m ore (e .g. p. 284), thus pa ving the wa y for its survival (a nd e ve n further
exte nsion) in the Europea n ius com m une. Frier's argume nt is m ost inge nious a nd contains
a wealth of interesting observations. It is. however, ultimately unconvincing, because some
of the premises are shaky. Thus, for instance, Frier argues (p. 275) that early classical jurists
considered the sale to be void whenever vinegar was sold as wine. He deduces that from the
words "ego in vino quidem consentio" in Ulp. D. 18, 1, 9, 2: for how, Frier asks
rhetorically, could Ulpian "a gree" with Marcellus, except to overrule a previous decision?
But surely it ca n m a ke se nse to e xpre ss one 's a gree m e nt with a firmly esta blishe d vie w,
particularly if one wants to em phasize (as Ulpian does) that he agrees with it only in part.
44
Cf. also, however, the notoriously difficult fragment of Paul. D. 19, 1, 21, 2,
containing both a general statement and an example which appears to be in conflict with the
a pproac h a dopte d by the other Ro m a n la wyers (a nd by Pa ul himself: D. 18, 1, 10):
"Qua m vis supra dicim us, cum in c orpore c onsentia m us, de qualitate autem disse ntiam us,
emptione m csse, tame n ve nditor teneri debet . . .: veluti si mensas quasi citreas cmat, quae
no n sunt." D oe s "qua litas" here, afte r all, m ea n "q ua lity", not "c harac te ristic " in the
abstract? Has a controversy been dropped from the original text, so that it can be considered
an inept sum mary by the com pilers? Has a "non" been left out before "csse" ("emptione m
non esse")? On this text see, m ost recently, Stein, Fault, pp. 46 sq.; W olf, Error, pp. 157
sqq.; Honsell, Qtiod interest, pp. 99 sqq.; J.A.C. Thom as, "Error in persona a nd e rror in
substantia", in: Laformazionestorica, vol. Ill, pp. 1219 sq., Marie Thercs Fogen, "Citrusholz
und Fussschemel", 1982 RJ 165 sqq.; Frier, (1983) 177 ZSS 286 sq. The example concerns
the sale of a table which was supposed to have been made of the wood of citrus tuia, a
cypress-like tree growing in North Africa, which was characterized by its beautiful grain.
Rich Romans liked to buy expensive tables; in one case more than one million sesterces
appear to have been paid for a mensa citrea, and Cicero once bought a table for half a million
sesterces: Honsell, Quod interest, p. 101; cf also Fogen, 1982 RJ 165, 170.
45
On the Aristotelian background of the outrun clause, see Wolf, Error, pp. 139 sqq.; but
cf. Frier (1983) 100 ZSS 284.
46
On the problem of vinegar sold as wine, particularly on the jurist's evaluation of acetic
ferme ntation, cf. the detailed a nalysis by Frier, (1983) 100 ZSS 257 sqq., 274 sqq.
47
D. 18, 1, 41, 1.
48
Cf. e.g. Wieacker, Melanges Meylan, p. 396, who tries to distinguish the facts of the two
cases; cf. also Stein, Fault, pp. 44 sqq.; Thomas, in: La jormazione storica, vol. Ill, pp. 1212
sqq. But see Corniolcy, Studi Grosso, vol. II, pp. 274 sq., 280 sqq.; Feenstra, (1974) 48 Tulane
LR 853 sqq. For a comprehensive discussion of D. 18, 1, 41, 1, see Fritz Sturm, Die
rechtsgeschichtliche Exegese (1972), pp. 62 sqq.
52
For details, see Rothocft, op. at., note 25, pp. 80 sqq., 36 sqq., 283 sqq. The policy on
which this distinction is based has been spelt out succinctly by Roscoe Pound, Jurisprudence,
vol. IV (1959), p. 457: "The re ason for de nying relief where there is mista ke only in the
motive is the need of weighing against the individual interests of one who acts on mistaken
m otive the social interest in the security of transactions. The other party had nothing to do
with the mistake and it does not inhere in the declaration of the will. But what is decisive is
the e c onom ic reason, the se c urity of tra nsac tions, whic h should be uphe ld in orde r to
maintain the economic order, unless failure of an essential element of the transaction makes
a strong case of impairment of the interest in individual free self-assertion. M otives are too
shifting, too varying in de gree of weight, too complex and too little susceptible of proof to
be weighe d a gainst the security of transactions." Cf., further, Flum e, AT, § 25, and Ma ke
Diesselhorst, "Zum Irrtum bei Vertragsschluss", in: Sympotka Franz Wieacker (1У70),
pp. 186 sqq.
53
The matter is different with regard to testamentary dispositions; cf. Hans Josef Wieling,
Testamentsausle%utu; im romischen Recht (1972), pp. 208 sqq.; Honscll/Mayer-Maly/Selb,
p. 124.
34
Ulp. D. 18, 1, 9, 1.
55
Cf. e.g. Flume, AT, § 16, 2; for details, see Hans Josef Wieling, "Die Bedeutung der
Regel 'falsa demonstratio non nocet' im Vertragsrecht", (1972) 172 Archiv Jur die civilistische
Praxis 297 sqq.
Guido Donatuti, "Falsa demonstratio non nocet", in: Studi di diritto romano, vol. I
(1976), pp. 247 sqq.; Giuseppe Grosso, "Sulla falsa demonstratio nelle disposizioni d'ultima
volonta", in: Studi in onore di Pietro Bon/ante, vol. II (1930), pp. 187 sqq.; Hans Josef Wieling,
"Falsa demonstratio, condicio non scripta. condicio pro impleta im romischen Testament",
(1970)
57
87 ZSS 197 sqq.
D. 35, 1, 17 pr.; cf. also Gai. D. 35, 1, 17, 1.
58
Cf. e.g. Flume, Festschrift Schulz, vol. I, pp. 209 sqq.; Pasquale Voci, Diritto ereditario
romano (2nd ed.), vol. II (1963), pp. 806 sqq.; Alan Watson, "Narrow, Rigid and Literal
Interpretation in the Later Roman Republic", (1969) 37 TR 351 sqq.; Wieling, op. cit., note
53, passim; cf. also Kaser, RPr I, pp. 239 sq.; Honsell/Mayer-Maly/Selb, p. 123.
5
Cf. e.g. supra, pp. 156 sqq., 165, 510 sq., 565.
60
Cf. supra, pp. 510 sq.
61
Ulp. D. 2, 14, 1, 3.
62
Cf. also Paul. D. 45, 1, 83, 1.
f3
' "Si de alia re stipulator scnscrit, dc alia promissor, perinde nulla contrahitur obligatio
ac si ad interrogatum responsum non essct, veluti si hominem Stichum a te stipulatus quis
fuerit, tu de Pamphilo senseris, qucm Stichum vocari credidcris": Inst. Ill, 19, 23.
For a different view, see Flume, Festschrift Schulz, vol. I. pp. 245 sqq. (the text deals
only with dissensus in the modern sense); Wolf. Error, pp. 61 sqq. (stipulation is invalid,
because the object of the transaction has not been identified); cf. also Wieacker, Melanges
Meyian, pp. 400 sqq.; but see Wunner, Contractus, pp. 167 sqq.; Mayer-Maty, Melanges
Meylan, pp. 248 sq.; Fritz Rabcr. "Hoc animo dare". (1965) 33 TR 55 sqq.; Kaser, RPr I,
p. 239.
"5 Cf. the example in Inst. Ill, 19, 23.
66
Error in corpore, to be more specific.
(7
' Cf. supra, pp. 589 sq.
6M
Ulp. D. 45, 1. 32.
69
Paul. D. 45, 1, 22.
70
Cf. e.g. Atiyah, Rise and Fall, pp. 407 sqq., quoting as an example Kindersley VC in
Haynes v. Haynes (1861) 1 Dr & Sm 426 at 433: "When both parties will the same thing, and
each communicates his will to the other, with a mutual agreement to carry it into effect, then
an engage ment or cont ract bet ween t he t wo i s constitut ed. "
71
Anon. "(1478) YB17EdwIV, Pasch. f. 1, pi. 2", in: C.H.S. Fifoot, History and Sources
of the Common Law (1949), pp. 252 sqq. (253).
" 72 William Markby, Elements of Law (4th ed.. 1889), n. 622. Cf. also e.g. Lord Wright, in
Norwich Union Fire Insurance Society Ltd. v. WH. M. Price Ltd. 11934] AC 455 at 463: "[T]he test
of intention in the formation of contracts . . . is objective; that is, intention is to be
ascertained from what the parties said or did"; Furmston, in: Cheshire, Fifoot and Furmston,
Law of Contract (11th cd., 1986), pp. 27 sq.: "Agreement, however, is not a mental state but
an act and, as an act. is a matter of inference trom conduct. The parties are to be judged, not
by what is in their minds, but by what they have said or written or done. . . . The function
of an Englishjudge is not to seek and satisfy some elusive mental element. . . ." Further on
the objective theory of contract and on the development from intent to responsibility, cf.
Dalt on, (1985) 94 Yal e LJ 1039 sqq.; for Germany, cf. Gerhard Kege), "Verwi rkung,
Vertrag und Vcrtrauen", in: Festschrift fiir Klemens Pleyer (19B6), pp. 528 sqq.
73
But see e.g. Treitel, Contract, p. 230.
74
Cf. the leading case of Smith v. Hughes (1871) LR 6 QB 597 at 607: a party is bound, if,
"whatever |his] real intention may be, he so conducts hi mself that a reasonable man would
believe that he was assenting to the terms proposed by the other party, and that the party
upon that belief ent ers int o a contract wit h hi m". (Extreme) consequence: "It is even
concei vabl e that a cont ract may be formed whi ch i s i n accordance wit h t he int ention of
neither party" (Willislon, quoted by Dalton. (1985) 94 Yale LJ 1043).
75
For details, see Treitel, Contract, pp. 254 sqq.
76
It is usually said that the rcpresentee may rescind the contract. On the various meanings
of "rescission" c{. Treitel, Contract, pp. 283 sqq.
77
Not every mistake has this effect: mistakes as to the person and as to the subject matter
only if they are fundamental, mistakes as to the terms of the contract even though they may
not have been fundamental. For details, sec Treitel, pp. 224 sqq.
7f
* As opposed to one which is common to both parties.
79
In short, t hen, "Anglo-Ameri can l aw solves t he probl em of prot ecting t he unerring
part y by givi ng relief onl y if t here is no unerring part y to t he contract " (Ti mot hy Hoff,
"Error in the Formation of Contracts in Louisiana: A Comparative Analysis", (1978-79) 53
Tulane LR 374).
80
So, t oo, Fri edri ch Kcssl cr, Edit h Fi ne, "Culpa i n cont rahendo. Ba rgai ning in Good
Fai t h, and Freed o m of Cont ract : A Co mp arat i ve St udy", (1964) 77 Harvard LR 429;
Diesselhorst, Sympotica Wieacker, pp. 206 sqq.
81
§ 119 I: "A person who, when making a decl aration of intention, i s in error as to its
cont ent, or di d not i nt end t o make a decl arati on of such cont ent at all, may resci nd t he
declaration if it may be assumed that he would not have made it with knowledge of the facts
and with reasonable appreciation of the situation." § 119 II: "An error as to the content of
the declaration is regarded in the same way as an error as to those characteristics of a person
or a thing which arc regarded in business as essential."
82
§ 122 BGB.
83
Cf. infra, pp. 613 sq.
84
Claus Wilhelm Canaris, Die Vertrauenshaftung im deutschen Privatrecht (1971), pp. 479
sqq., 532 sqq.
* Cf. e . g . Ka se r, R Prl, p. 2 4 2.
86
Frier, (1983) 100 ZSS 274.
87
Cf. today e.g. § 119 II BGB, covering every attribute or characteristic of the object of
the contract relevant for the determination of its value (except the value itself).
88
See, for example, the discussion by Rudolf von Jhering, "Culpa in contrahendo,
Schadensersatz bei nichtigen oder nicht zur Perfektion gelangten Vertragen", (1861) 4JhJb
106 sqq., sti mulated by a decision of the District Court ("Landgericht") of Cologne dating
from 1856 and applying French law; for a report of this decision, dealing with the incorrect
transmission of a telegraphic order (the recipient was instructed to buy rather than sell certain
shares), see (1859) 19 Zeitschrifi for deutsches Rechl utid deutsche Rechtswissetischaft 456 sqq. This
case raised the question of the protection of the reasonable reliance of the recipient of the
telegram. For contemporary pandectist doctrine it posed a major problem, since a
contractual clai m could not be construed in view of the fact that the contract was void; nor
coul d a deli ct ual cl ai m be grant ed, si nce Aquili an li abilit y for pure economi c l oss was
generally rej ect ed (cf. infra, pp. 1036 sqq. ) Jhering's culpa i n contrahendo doct rine and
Bahr's declaration theory (cf. infra, note 188) were attempts to grapple with this difficulty.
The Latidsgericht of Cologne could resort to the famous general clause of delictual liability
(art. 1382 code civil; on which, see infra, pp. 906, 1036) in order to achieve a satisfactory
result.
89
Cf. supra, pp. 237 sqq.
90
In England, for instance, the question has been discussed whether an error in persona
is possible inter praesentes; for details, see Treitel, Contract, pp. 225 sqq.
91
Frier, (1983) 100 ZSS 293.
92
(1983) 100 ZSS 289 sqq. (291).
93
Cf. in general e.g. Heinz Hubner, "Subjektivismus in der Entwicklung des
Privatrechts", in: Festschrift fur Max Kaser (1976), pp. 715 sqq.
^ Cf. Ul p. D. 18, 1, 9, 2.
9D
On this text cf. Schmidlin, Rechtsregelti, pp. 36 sqq.; Laurens C. Winkel, Error iuris nocet—
Rechtsdwaliny als rechtsordeprobleem (1982), pp. 149 sqq.
'*' Lab. /Paul. D.'22, 6, 9. 3.
'л Paul. D. 41, 4, 2, 15. On error iuris in Roman law generally (apart from the recent book
by Winkel), cf. Voci, L'errore, pp. 211 sqq.; Paul van Warmeto, "Ignorantia iuris", (1954) 22
TR 1 sqq.; Zilletti, op. cic, note 19, pp. 254 sqq.; Theo Mayer-Maly, "Error iuris", in: Ius
Humanitatis, Festschrift fur Alfred Verdross (1980), pp. 147 sqq.; Henryk Kupiszewski,
"Ignorantia iuris nocet", in: Sodalitas, Scritti in onore di Antonio Guarino, vol. Ill (1984),
pp. 1357 sqq.
Kb
Mayer-Maiy, Festschrift Verdress, pp. 161 sqq.
106
Ulp. D. 29, 5, 3, 22.
1117
Ulp. D. 14, 6, 3 pr.; Pom p. D. 14, 6, 20; Ulp. D. 17, 1, 29, 1.
10Я
С 5, 6, 1 (Sev. et Ant.).
109
Mayer-Maly, Festschrift Verdross, pp. 165 sq.; Winkcl, op. cit., note 95, pp. 277 sq.
110
On how imperial constitutions were published (and thus brought to the knowledge of
those subject to them), cf. Fritz Schwind, Zur Fraqe der Publication im romischen Recht (2nd
ed., 1973), pp. 155 sqq.
111
C. 1, 14, 9 (Val. e t M a rc ).
112
Theo Mayer-Maly, "Einsicht und Erkundigungspflicht", (1976) 27 lura 1 sqq.;
Winkel, op. cit., note 95, pp. 275 sqq.
111
They were allowed not to know the law (ius ignorare permissum est): cf. Paul. D. 22,
6, 9 pr.
M
*On rusticitas, e.g. C. 2, 2, 2 (Gord.) and Mayer-Maly, (1976) 27 lura 2 sqq.; idem,
"Rusticitas", in: Studi in onore di Cesare Sanfilippo, vol. I (1982), pp. 309 sqq.
115
Pa ul. D. 22, 6, 9, 5 in fine.
116
On the differe nt restrictive strate gies pursue d, a nd criteria proposed by the Roma n
lawyers, see Winkel, pp. 79 sqq.
117
Cf. also Kaser, RPr I, p. 242; Honsell/Mayer-Maly/Selb, p. 125-
1IH
Augustin Leyscr, Meditationes ad Pandectas, Spec. CCLXXXIX, I and II; Gliick, vol. 4,
p. 164. The criterion of a n error vincibilis a ppears to go back to Cuiacius (cf. Hiibner,
Festschrift fur Kaser, p. 722), who had introduced it in respect of error iuris.
119
Voet, Commemarius ad Pandectas, Lib. XXII, Tit. VI, VI.
120
Blasius Altomarius, as quote d by Coing, p. 417. Cf. further Peter Ha upt, Die
Entwicklung der Lehre vom Irrtum beim Rechtsgeschaft seit der Rezeption (1941), pp. 17 sqq. For
the Pandectists, see Windscheid/Kipp, § 79 a.
121
Lauterbach, Collegium tlieoretico-practicum. Lib. XXII, Tit. VI, VIII.
122
Voet, loc. cit. Cf. also Codex Maxi milianeus Bavaricus ci vilis I, 1 , 7 ,
123
Lauterbach, Collegium tlieoretico-practicum. Lib. XXII, Tit. VI, V sqq.; Struve,
Syntagma, Exerc. XXIX, Lib. 22, tit. 6, LUX sqq.; Voet, loc. cit.
124
*Struvc, Syntagma, Exerc. XXIX, Lib. 22, Tit. 6, LX.
125
Voet, Commetttaritts ad Pandectas, Lib. XXII, Tit. VI, VII.
X2f
' Lauterbach, Collegium theoretico-practicum, Lib. XXII, Tit. VI, VIII.
127
Voet, loc. cit.
128
Pom p. D. 22, 6, 3.
129
Both Haupt (infra note 130) and Coing (p. 418), incidentally, draw attention to the fact
tha t the a uthors of the ius c om m une dea lt with ign ora ntia inns e t fa cti in the form of a
ge neral doctrine (c overing all areas of the la w, including, partic ularly, criminal la w). To
what extent they specifically intended their propositions to be applied to the law of contract
is occasionally unclear. In modern (German) criminal law the distinction between error iuris
and error facti c ontinues to be of great significa nce; cf. §§ 16 sqq. StGB a nd (e.g.) H.-J.
Rudolphi, Unrechttbewusstseirt, Verbotsirrtum und Vermeidbarkeit des Verbotsirrtums (1969). In
South Africa n c riminal la w, the Appella te Division has rece ntly set the ca t a m ong the
pigeons in S v. De Blom 1977 (3) SA 513 (A) by suddenly reversing the principle of error iuris
non excusat. The decision has remained controversial (cf. recently, for instance, 5 v.
Wagiines (Pty.) Ltd. 1986 (4) SA 1135 (N)).
l3t>
Haupt, op. cit., note 120. p. 20.
131
For what follows cf. Theo Mayer-Maly, "Rcchtsirrtum", in: HRG, vol. IV, col. 302
sqq.; as far as modern South African law is concerned, c{. Paul van Warmelo,
"Regsdwaling", (1975) 38 THRHR 207 sqq.
"" Cf. e.g. The Summula de iuris et facti ignorantia of Bulgarus ("Quia leges ab omnibus
sciri debent et intclligi, qui ignarus iuris in aliquo labitur, indignus videtur auxilio"), printed
on pp. 244 sqq. and commented upon on pp. 73 sqq, in Hermann Kantorowicz, Studies in
the113Glossators of the Roman Law (1938).
Cf. still e.g. Grotius, De jure belli ac pads. Lib. II, Cap. XX. XLI11: "Sicut ergo circa
leges civiles eos excusamus qui legum notitiam aut intellectum non habuerunt, ita et circa
naturae leges par cst eos excusan quibus am ratiocinationis imbecillitas aut prava educauo
obstant. Nam ignorantia legis sicut inevilabilis si sit tollit peccatum."
114
Cf. Hans Kicfner, "Die gegenwartige Bedeutung dcr Maxime 'Nul n'est cense ignorer
la loi"\ in: E. v. Caemmerer, K. Zwcigert (eds.), Deutsche Latidesreferate гит VII.
huernationalen Kongress fiir Rechtsvergleichung in Uppsala (1966), pp. 87 sqq. The Code Civil
presupposes, but does not spell out, this maxim.
Meditationes ad Pandectas, Spec. CCLXXX1X, I sqq. ПГ)
135
l4r
' ". , . circa id, quod (contrahentes) principaliter respiciunt": cf. e.g. Lauterbach,
Collegium theoretico-practictmt. Lib. XVIII, Tit. I, CV.
14
Cf. e.g. Lauterbach, loc. cit., CVI sqq.; Voct, Commentarius ad Pandectas, Lib. XVIII,
Tit. I, V; Gliick, vol. 4, pp. 147 sqq. This is still the position in modern South African law:
cf. e.g. Joubcrt, Contract, pp. 77 sqq.
14M
144
But see e.g. Pothier, Traite des obligations, n. 20.
That does not mean that all these types of errors were necessarily entirely irrelevant. A
motive, tor instance, could have become part of the content of the contract. Under certain
circumstances, the clausula rebus sic srantibus (ct. supra, pp. 579 sqq.) could be invoked (in
Louisiana error in motive can invalidate the contract in these cases: cf. supra, p. 582, note
260). An error concerning the value of the object ot sale could be taken into consideration
under the rules relating to laesio enormis; the medieval authors in particular dealt with many
error problems from this point of view (Feenstra, (1974) 48 Tttlane LR 855). And as far as
mistakes about the quality of the object of sale were concerned, the aedilitian remedies (as
incorporated into the actio empti) provided the answer. The exact delimitation between the
respective areas of application ot the rules relating to mistake and the remedies for latent
defects remains a matter of contention in modern German law: ct. e.g. Harm Peter
Westermann, in: Miinchener Kommentar, vol. Ill, 1 (2nd ed., 1988). § 459, nn. 73 sqq. Of
course, the problem that the same fact may be looked upon as an error in substantia or as 3
latent defect appears in other civilian jurisdictions too. For Louisiana ct. Hoff, (1978-79) 55
Tulane LR 357.
1511
Cf. in particular Cuiacius, Comment, in Tit. I. Dc contrah. empt. Lib. XVIII. Digest., Ad, L.
IX, whose comments appear to have gained considerable influence (Haupt, op. c i t . , note
120. p. 11).
151
Cf. supra, p. 600.
lT>
~ Cf. Bartolus, Cuiadus. Donellus, as quoted by Haupt. op. cit., note 120, pp. 22 sq.
1эЭ
Cf. Haupt, op. cit., note 120, pp. 20 sq. (referring to Struve and Richelmann).
'=* Mod. D. 1, 3, 25.
Ьз
1эЬ
Haupt, op. cit., note 120, pp. 23 sqq.
Cf, for instance, Treite!, Contract, p. 226, discussing the policy reasons why English
courts have tried to restrict, as far as possible, the range of operative mistakes as to the
identity of the other party.
'" 1935 NPD 219 at 226.
1эН
Traite des obligations, § 19; but cf. e.g. Barbeyrac in his annotations to Pufendorf, Of the
Law1э9
of Nature and Nations (tr. B. Kennett, 4th ed., London 1729), Book III, Chap. VI, 7. n. 2.
For details on the reception of this Pothier rule in South Africa, cf. Reinhard
Zimmcrmann, "Dor Einfluss Pothiers auf das romisch-hollandische Recht in Siidafrika",
(1985)
160
102 ZSS (GA) 172 sqq.
Cf. e.g. J.C. Smith, J. A.C. Thomas, "Pothier and the Three Dots", (1957) 20 Modem
Li? 38 sqq.; J.A.C. Thomas, "Error in persona and error in substantia", in: La formazione
storica, vol. Ill, pp. 1203 sqq.
161
For Natal cf. Hahlo/Kahn. The Union of South Africa (I960), pp. 64 sqq. and Peter
Spiller, A History of the District and Supreme Courts of Natal 1846-1910 (1986). On the process
of reception of English law in South Africa generally, cf. Zimmermann, RHR, pp. 13 sqq.
162
System des Pandekten-Rechts (6th ed.), vol. I 1823, § 146.
1И
System, vol. HI, § 136.
164
Dwaling en Bedrog by die Kontraksluiting (1943), pp. 11 sqq.; De Wet en Yeats, p. 22. Cf.
also |oubert, Contract, pp. 77.
165
A.L. Goodhart, "Mistake as to Identity in Contract", (1941) 57 LQR 235; cf. also Lewis
v. Averay [1972] 1 QB 198 (CA) at 206F.
"*"' Cf. e.g. Bird v. Sumeri'ille 1961 (3) SA 194 (A) at 204G-H; Landsbergen v. Van der Walt
1972 (2) SA 667 (R) at 669C-G; Kerr, Contract, pp. 26 sqq.
167
For details, see Trcitcl, Contract, pp. 224 sqq.; Thomas, in: La formazione storica, vol.
Ill, pp. 1203 sqq.
1(
* Cf. e.g. § 76 I 4 PrALR; art. 1110 code civil; art. 24, n. 2 OR; art. 1429, n. 3 codicc
civile; Gluck, vol. 4, pp. 158 sq.; Wachter, Pandekten, vol. II, p. 371.
169
For details, see Haupt, op. cit., note 120, pp. 25 sqq.; Klaus Luig, "Der Einfluss des
Naturrechts auf das positive Privatrccht im 18. Jahrhundert", (1979) 96 ZSS (GA) 50 sqq.;
idem, Forschungsband von Zeiller (cf. infra, note 174), pp. 157 sqq.; cf. also Coing, pp. 418 sq.
170
De jure belli ac pads. Lib. II, Cap. XI, VI. On Grotius' views on error cf. further
Diessclhorst, Hugo Grotius, pp. 91 sqq.; cf. also Robert Feenstra, "L'influcnce de la
scolastique espagnole sur Grotius en droit prive: quelques experiences dans les questions de
fond ct de forme, conccrnant notamment les doctrines de l'erreur et dc 1'enrichisscmcnt sans
cause", in: Fata Iuris Romani (1974), pp. 338 sqq.
171
Cf. e.g. Diesselhorst, Hugo Grotius, pp. 97 sqq.
172
Cf. supra, pp. 567 sqq.
173
IV , 1 , § 2 5 .
174
§ 876. On the bac kground a nd history of this se ction of the ABG B cf. Kla us Luig,
"Fra nz vo n Ze ille r u nd die Irrtu m src ge lung de s AB G B", in: Sclb/Hofm c isrer (e ds.),
Forschunysband Franz von Zeiller (1980), pp. 157 sqq.
175
Cf. Ha upt, op. cit., note 120, p. 36.
Acc ording to the ABGB, if the mistake was induce d by a misrepresentation by the
other party or if the other party ought to ha ve notice d the mista ke.
177
Grotius, De jure belli ac pads. Lib. II, Cap. XI, VI; Pufendorf, De jure naturae et gentium.
Lib. Ill, Ca p. VI, § 6.
I7S
In French law, the problem is obviated by the general clause of delictual liability (art.
1382), which, in turn, derives from the theories of natural law; cf. infra, pp. 906, 1036; also
supra, note 88.
179
(1861) 4JhJb 1 sqq. On Jhermg's views, as expressed in this famous article, cf. recently
Erich Schanze, "Culpa in Contrahendo bei Jhcring", (1978) 7 lus Commune 326 sqq.; Dieter
Medicus, "Zur Entdeckungsgcschichtc der culpa in contrahendo", in: Iuris Projcssio, Festgabe
fur Max Kaser (1986), pp. 169 sqq.
18(1
§ 122 BGB. Along different lines still, § 99 II E I. For a comparative analysis cf.
Frie dric h Kessler, Edith Fine, "Culpa in c ontra he ndo, Bargaining in Good Faith, a nd
Freedom of Contract: A Comparative Study", (1964) 77 Harvard LR 429 sqq. They note a
trend in Fre nc h la w, too, to c om pe nsate the innoce nt party by awarding him relia nce
da m a ges, a nd e ve n a te nde nc y in the c om m o n la w to e m ploy the idea of c ulpa in
contra he ndo as a wea pon to softe n the rigours of the "objective theory" of c ontracts.
181
System, vol. I l l , § 138, n. (d).
182
Cf. e.g. Wi eacker, Melanges Meylan, p. 385; Flume, AT, p. 445.
183
Windsc heid/Kipp, § 76, n>
184
System, vol. Ill, §§ 135 sqq. a nd Beyla ge VIII (pp. 326 sqq.). On Savigny's error
doctrine cf. Haupt, op. cit., note 120, pp. 40 sqq.; Flu me, AT, § 22, 2; Klau s Luig,
"Sa vignys Irrtu mslehre" (1979) 8 lus Commune 36 sqq.; Ha mmen, Savigny, pp. I l l sqq.
185
Cf. supra, note 88.
186
Cf. supra, pp. 592, 612.
ш
System, vol. III. § 138 (p. 294).
1SH
Cf. e.g. Windscheid/Kipp, § 75; Ernst Zitelmann, Irrtum und Rechtsgeschafi (1879),
passim; "Motive", in: Mugdan, vol. I, p. 457; De Wet en Yeats, pp. 7 sqq. A different view
was taken by the adherents of the so-called "declaration theory", as developed since the
1870s: cf. e.g. Otto Bahr, "Ueber Irrungen im Contrahiren", (1875) HJhJb 393 sqq.; Rudolf
Leonhard, Der irrtum ah Ursache nichtiger Vertrage (2nd ed., 1907), pp. 14 sqq.
§ 122 BGB. The majority of pandectist writers had continued to protect the interests
of the recipient of the declaration in a different manner: like the authors of the older ius
commune, they regarded as operative only those mistakes for which the parly labouring
under them could not be blamed (error invincibilis). It was disputed whether every type of
fault or only gross negligence was to be taken into account in this regard. Cf., for example,
the discussion by Dernburg, Pandekten, vol. I, § 101, who refers to Savigny's solution as
"mathematically" and abstractly correct, but as practically unsuitable (and as not being in
accordance with the sources of Roman law); cf. further e.g. Windscheid/Kipp, § 76 in fine
and, 1for modern South African law, Joubert, Contract, p. 83.
Cf. § 119 I BGB (". . . may rescind the declaration if it may be assumed that he would
not have made it with knowledge of the facts and with reasonable appreciation of the
situation"); Ernst Kramer, in: Miinchener Kommentar, vol. I (2nd ed., 1984), § 119, n. 129. On
the earlier discussion about error in persona in this context, cf. supra, pp. 611 sq.
191
This is in line with the principle of private autonomy: cf. Harder, (1973) 173 Archiv fur
die civiiistische Praxis 225.
192
§§ 119, 142 sqq. BGB. § 142 I BGB attributes ex-tunc effect to the declaration of
rescission. Only a few of the pandectists had been prepared to follow Savigny and to regard
the contract as null and void (cf. e.g. Wachter, Pandekten. vol. II, § 186, Beil. B). According
to the majority view, only the party in error was allowed to invoke the invalidity of the
transaction ("relative invalidity"); cf. e.g. Regelsberger, Pandekten, § 142, IV; Brinz,
Pandekten, § 317, in fine. Towards the end of the century the term "Anfechtbarkeit"
(rescindability) came into use and one started to require a declaration of rescission. It is
interesting to note that this concept of "Anfechtbarkeit" can be traced back to Savigny too
(who had, however, not applied it to error): System, vol. IV, pp. 536 sqq. For details, see
Manfred Harder, "Die historische Entwicklung dcr Anfechtbarkeit von Willenscrklarun-
gen", (1973) 173 Archiv fiir die civiiistische Praxis 209 sqq.; cf. also Hammen, Savigny, pp. 123
sqq. For modern South African law ("The way in which error is raised is . . . by the party
who relies on it pleading it") cf. Joubert, Contract, pp. 83 sqq. According to Hoff, (1978-79)
53 Tulane LR 337, there has been a general tendency in both civil-law and common-law
systems to expand the idea of voidability or relative nullity and to contract the scope of the
notion of absolute nullity correspondingly.
193
What mattered for adherents of the will theory was whether will and declaration
coincided: without a corresponding will no (valid) declaration. Whether the deviation
between will and declaration could be labelled error in persona, in objecto, etc. became more
and more irrelevant. The fathers ot the BGB did not want to put judiciary and legal science
into the strait-jacket of these categories of the ius commune. A similar attitude was adopted
when it came to the codification of the law of unjustified enrichment: cf. infra, pp. 887 sq.
Other civilian codifications (as. for instance, the Swiss, Austrian and Italian ones) still use the
categories of error in objecto, ncgotio and persona; for an overview cf. Diesselhorst,
Sympotica Wieacker, pp. 181 sqq. The system ot operative errors as recognized by the BGB
(§ 119, cf. supra, note 81) is based on the analysis by Ernst Zitelmann as presented in his
work on Irrtum und Rechtsgeschaft (1897). On the origin of § 119 BGB and on the theories of
Zitelmann, cf., in particular, Rothoeft, op. cit., note 25, pp. 64 sqq., 92 sqq.; Werner
Schubert, "Zu cincr Edition unveroffentlichter Materialicn zum BGB", (1975) 175 Archiv fur
die194
civilistische Praxis 430 sqq.; cf. also Hammen, Savigny, pp. 128 sqq.
Cf. already RGZ 64, 266 (269); further e.g. BGHZ 34, 32 (41).
1Чэ
For the (abundant) casuistry cf. e.g. Kramer, op. cit., note 190, § 119, nn. 108 sqej.
''"' Discussed by Feenstra, (1974) 48 Tulane LR 846 sqq. The Supreme Court of the
Netherlands
147
did not regard the contract as void or voidable.
Savigny, System, vol. Ill, § 137, p. 280.
198
Savigny, System, vol. Ill, § 137, p. 282. Zitelmann, Irrtum und Rechtsgeschaft, p. 574, on
the other hand, criticized Savigny for distorting the sources.
199
Savigny. System, vol. Ill, § 137, p. 283.
200
Savigny, System, vol. I I I . § 137, p. 277.
201
Savigny, loc. cit.
202
Cf. also Haupt, op. cit., note 120, pp. 44 sqq.; Flume. AT, § 22, 2; Luig, (1979) 8 lus
Commune 54 sqq.; Hammen, Savigny, pp. 114 sqq.
2113
So Savigny himself {System", vol. Ill, § 138, p. 293). 20 4
Cf. e.g. Windscheid/Kipp, § 76 a, e).
2115
Irrtum und kechtsyeschafi, pp. 435 sqq., 549 sqq.; cf. also Flu me, AT, § 22, 3.
2116
§ 102 E I; "Motive", in: Mugdan, vol. I, p. 462.
207
"Protokolle", in: Mugdan, vol. I, pp. 238 sq.; d. the analysis by Flume, AT, % 24, 1.
208 i "pa nT t ins Blaue, . . . cine Vorschrift aufs Geratewohl': Sachmangelhaftung und
Irrtum beim Kauf", (1949) 150 Archiv fur die civilistische Praxis 501.
209
For a critical discussion of all modern views on § 119 II BGB, cf. Kramer, op. cit.. note
190, § 119, nn. 10, 89 sqq.; cf. also Diesselhorst, Sympotica Wieacker, pp. 194 sqq.
210
Cf. the analysis by F.H. Lawson, "Error in substantia", (1936) 52 LQR 79 sqq. 11
1
Cf. supra, pp. 612 sq.
This distinction was, however, not employed in the context of error by Pufendorf: cf. the
analysis by G.E. Mulder, "De dwalingslecr van Samuel Pufendorf en zijn commenta-
toren", (1962) Rechtsgeleerd Magazijn Themis 111 sqq.; Feenstra, (1974) 48 Tulane LR 856 sq.
213
Cf. Mulder and Feenstra, loc. cit. 2X4 Traite des obligations, n. 18.
215
Art. 1110 I code civil; cf. also art. 1358 I of the Civil Code of the Netherlands. But see
artt. 1842 sqq. of the Louisiana Civil Code (1870) providing the following detailed
regulation: "Error as to the thing, which is the subject of the contract, does not invalidate
it, unless it bears on the substance or (!) some substantial quality of the thing" (art. 1842).
"There is error as to the substance, when the object is of a totally different nature from that
which is intended. Thus, if the object of the stipulation be supposed by one or both of the
parties to be an ingot of silver, and it really is a mass of some other metal that resembles
silver, there is an error bearing on the substance of the object" (art. 1843). "The error bears
on the substantial quality of the object, when such quality is that which gives it its greatest
value. A contract relative to a vase, supposed to be gold, is void, if it be only plated with that
metal" (art. 1844). "Error as to the other qualities of the object of the contract, only
invalidates it, when those qualities are such as were the principal cause of making the
contract" (art. 1845). It is quite extraordinary to see how the code itself used to assume what
would (for instance) in Germany be regarded as the role of a commentary. In 1984, these
rules were replaced by the new art. 1950.
216
For details, see Lawson, (1936) 52 LQR 81 sqq.; Rene David, "La doctrine de l'erreur
dans Pothier et son interpretation dans la Common Law d'Angleterre", in: Etudes de droit civil
a la memoire de Henri Capitant (1939), pp. 145 sqq.; cf. also Watson, Failures, pp. 24 sq.
217
Emphasized particularly by Lawson, loc. dt. Cf. also Hoff, (1978-79) 53 Tuiane LR
353 ("very i mprecise and uncontrollable device").
218
For a brief overview from a comparative perspective cf. Zweigert/Kotz, pp. 108 sqq.,
116sqq.;T.B. Smith, "Error in the Scottish Law of Contract", (1955)71 LQR 507 sqq.; Saul
Litvinoff, "' Error' in the Civil Law", in: Joseph Dainow (ed.), Essays on the Civil Law of
Obligations (1969), pp. 222 sqq., 253 sqq.
219
Grotius, Dejure belli ac pacts, Lib. II, Cap. XI, VI.
220 "fhe treatment of mistake is certainly one of the weakest aspects of (Anglo-American)
contract law. The cases and 'rules' are contradictory and impossible to reconcile": Arthur I.
Rosett, "Contract Performance: Promi ses, Conditions and the Obl igati on to Communi
cate", (1975) 22 University of California at Los Angeles LR 1095.
221
Cf. e.g. Lawson, (1936) 52 LQR 105: "In fact, the instinct of English law is to isolate
a contract as far as possible from its environment. This, though operating inequitably on
occasion, gives greater certainty and makes parties more careful in settling the terms of their
contract. Perhaps therefore the ultimate distinction is between a pat ernally minded equity
and strict law." Any evaluation of the comparatively narrow ambit of the doctrine of error
in English law must also (for instance) take account of the fact that it is interrelated with and
supplement ary t o the doctri ne of misrepresent ation (whi ch civili an legal syst ems do not
know) and that Continental safeguards such as (for instance) culpa in contrahendo are not
available in English law.
222
(1936) 52 LQR 98. For a very t horough co mparat i ve anal ysis of Ger man l aw and
English law on the topic of mistake in general, see, however, Rothoeft, System der
Irrtumslehre (1968), who demonstrates the functional equivalence of the solutions found in
both l egal syst ems. Cf. also Buckl and/ McNai r, pp. 205 sqq.; Thomas, in: La formazi one
stori ca, vol. Ill, pp. 1203 sqq., 1208 sqq. and Ti mothy Hoff, "Error in t he Formati on of
Contracts in Louisiana: A Comparative Analysis", (1978-79) 53 Tuiane LR 329 sqq., who
concludes that the doctrine of error in a modern civil code has a coherence within the legal
system and a measure of predictability that the common law has yet to achieve (p. 379). Hoff
refers in this context to Louisiana's paucity of case law. The Louisiana Civil Code enunciates
a particularly thorough and detailed theory of contractual error (contained in 30 articles),
whi ch is largely based on Pothier and the French Code Civil.
223
Kennedy v. Panama, New Zealand and Australian Royal Mail Co. Ltd- (1867) LR 2 QB
580 at 588 (per Blackburn J). For examples of the application of error in substantia in other
common-law jurisdictions, cf. Hoff, (1978-79) 53 Tuiane LR 355 sqq.
Trcitel, Contract, pp. 215 sqq. (also discussing Bell v. Lever Brothers, Ltd. [1932] AC 161 >).
22
" The leading case is Smith v. Hughes (1871) LR 6 QB 597.
226
For America, c(. e.g. Roscoc Pound, Jurisprudence, vol. IV (1959), pp. 453 sqq. and,
more recently, Ti mothy Hoff, (1978-79) 53 Tulane LR 34b sqq. For England, see e.g.
Pollock, Principles of Contract (7th cd., 1902). pp. 461 sqq., referring to error in negotio, in
persona, in substantia, in corporc and in pretio.
227
Cf. Lord Atkin in Bell v. Lever Brothers Ltd. [1932] AC 161 (HL) at 217.
22M
A.W.B. Simpson, "Innovation in Nineteenth Century Contract Law", (1975) 91 LQR 265
sqq.; cf. also Feter Stein, "Continental Influences on English Legal Thought", in: La
/ormazione storica, vol. Il l , pp. 1124 sq.
229
Cf. supra, notes 14, 15.
2i
" Si mpson, (1975) 91 LQR 268 sq. Accordi ng to Si mpson, t he common l aw had
traditionally dealt with mistake by way of an implied condition: the agreement was taken to
have included a condition to the effect that a certain state of affairs existed; if that proved to
be a mistaken assumption "the contract was off not because the parties had failed to reach
consensus, but because that was what they had in fact (tacitly) agreed upon." This is vaguely
remi niscent of Grotius' construction of error (supra, pp. 612 sq.).
Interpretation of Contracts
I. FR ENCH FR ANCS A ND BELGIA N FRANCS
(INTRODUCTION)
If a Frenchman and a Belgian meet in Hamburg, and the one sells his car
to the other for 2 000 francs, the question arises as to what currency the
parties have intended: 2 000 French or Belgian francs. Both parties have
probably had their own currency in mind, and the reasonable and
objective bystander may well be taken to have understood the mutual
declarations accordingly. Thus, we would be dealing with a case of
hidden lack of agreement (dissent): the one party intended and declared
French francs, whilst the other party both meant and referred to
Belgian francs. If the same transaction had taken place in Brussels,
rather than in Hamburg, one would probably have to come to a
different conclusion: in this case the declaration, not only of the
Belgian, but also of the Frenchman, would have to be construed, from
an objective point of view, as referring to Belgian francs. Thus,
according at least to modern German law, a contract would have come
into existence, since the declarations of both parties to the contract
corresponded. However, due to the obvious deviation between
intention and declaration, the Frenchman would be able to rescind the
contract; but if he chooses to do so, he is under an obligation to
compensate the other party for his reliance interest.
This very simple example shows how closely the questions of error
and interpretation are intertwined. Whether the problem of error arises,
and if so, in which way, often depends on how a contract or the
declarations leading up to it are to be understood. Andjust as in the case
of error the law can emphasize either the intention of the parties (their
"consensus ad idem") or the external manifestation of their intention, 1
so it can adopt either a subjective or an objective approach in matters of
interpretation. 2 Archaic legal systems are usually dominated by a very
literal, word-oriented (i.e. objective) approach, and it is only with the
increasing refinement of legal culture that subjective elements begin to
be taken into consideration. 3 When a certain stage in this process is
reached, however, progress ceases and decline begins. 4 Sole emphasis
1
Cf. supra, pp. 584 sqq.
~ Cf. e.g. Zweigert/Kotz, pp. 96 sqq.; Alexander Liidcritz, Ausle%utt% von Rechtsgeschaften
(1966), pp." 78 sqq~
' Cf. generally Heinz Hubner, "Subjektivismus in dcr Entwicklung des Privatrechts", in:
Festschrift/Ur Max Kaser (1976), pp. 715 sqq.
4
Fritz Pringsheim. "Animus in Roman Law", (1933) 49 LQR 48.
621
3
Both rules supplement each other: cf. e.g. Flume, AT, § 16, 3 a. For criticism of the
apparent contradiction, see Zweigert/Kotz, pp. 101 sqq.; but see Staudinger/H. Dilcher,
1979, §§ 133, 157, nn. 7 sqq.
6
Pap. D. 50, 16, 219. This maxim was almost literally taken over (via Pothier, Traite des
obligations, n. 91) into art. 1156 code civil: "On doit dans les conventions rechercher quelie a ete
la commune
7
intention des parties contractantes, plutot que se d'arriter аи sans litteral des termes."
Paul. D. 32, 25, 1. § 157 BGB takes up this view in so far as it postulates a strictly
objective criterion. The reference to "good faith" has a double root in the Roman bona fides
and in the (Germanic) concept of "Treu itnd Glauben" in the late Middle Ages (on the latter
cf. Wolfgang Stratz, Treu und Glauben, vol. I (1974), pp. 47 sqq.). In England, this maxim
(in a slightly different form: "Quoties in verbis nulla est ambiguitas, ibi nulla expositio
contra verba expressa fienda est", cf. Blackstone, Commentaries, vol. II, p. 379) became the
origin of the "plain meaning" rule and is thus to a large extent responsible for the
expression-oriented approach of the English courts :o contract interpretation.
8
9
Schulz, RLS, pp. 24, referring to Jhering, Geist, vol. II, pp. 45 sqq., 470 sqq.
For examples cf. Schulz, RLS, pp. 24 sqq.; Heinrich Honsell, "Das Gesetzesverstandnis
in der romischen Antike", in: Buropaisdies Rechtsdenken in Geschichte und Gegenwart, festschrift
fur Helmut Coing, vol. I (1982), pp. 138 sqq.; cf. also Wieacker, RR, pp. 320 sq., 330 sqq.
1
This is the "nimia subtilitas" to which Gains (IV, 30) refers; cf. also Gai. IV, 11.
1
Examples in Schulz, RLS, p. 333. The anxious formalism and the excessive subtlety of
the jurists were often caricatured; cf. e.g. Cicero, Pro L. Licinio Murena oratio, XII—26 sqq.;
Pro A. Caecina oratio, XXIII — 26; Norr, Rechtskritile, pp. 84 sqq.; Frier, Roman Jurists,
pp. 134 sq., 240 (". . . their |sc. the jurists'] supposed pretentiousness, pedantry, and
conservatism are all often attacked, but in terms that imply more a lighthearted disdain for
the 'lawyer class' than any decpseated animosity"); for a detailed analysis of rhetorical
criticism of legal science in Cicero's Pro Murena, see Alfons Burge. Die Juristenkomik in
Cicero's Rede Pro Murena—Ubersetzung and Kommenlar (1974); Claude Cantcgrit-Moatti,
"Droit
12
et politique dans le 'Pro Murena' de Ciceron", (1983) 61 RH 515 sqq.
Festus, De verborum significatione. s.v. Ver sacrum, who continues: "[S]ed cum crudele
vidcretur pucros ac puellas innocentes intcrficerc, perductos in adultam aetatem velabam
atque ita extra fines suos exigebant." On this incident, see Honsell, Festschrift Coin%, vol. I,
p. 139.
13
For recent criticism of the style of English legislative drafting, see, for instance, the
remarks by two distinguished Hamlyn lecturers: Tony Honore, The Quest For Security:
Employees, Tenants, Wives (1982), pp. 118 sqq. and P.S. Atiyah, Pragmatism and Theory in
English Law (1987), p. 31 ("fM]ost legislation is not drafted in the form of a statement of true
principle. . . . Much of it is drafted in the form of a set of specific rules, ad hoc solutions to
particular problems. Nobody would read a modern English statute for its literary elegance
as it was said that Flaubert used to read the French Code Civile. . . . Even when we do use
legislation, an instrument well suited to the enactment of broad principles and
generalisations, we find ourself so shackled by the traditional common law methodology,
that we fail to use legislation in an effective and principled manner. . . . In particular, the
detailed and crabbed style of legislative drafting means that it becomes almost impossible for
the courts to draw principles from legislation, to treat legislation as a living graft on the
common law, and to develop the law as an integral whole").
A considerable body of South African legislation is derived, either directly or indirectly,
from English statutes, and so, too, is the South African style of legislative drafting. Statutes
tend to be clumsily drafted, since the legislator anxiously tries to provide for every
conceivable eventuality himself rather than to leave anything to the good sense of those
interpreting the statute. Particularly odd, from a Continental perspective, are the long lists
of (usually rather unhelpful) definitions with which many statutes commence (cf., for
instance, Act 19/1893 where the term "banker" was defined as including "a body of persons
. . . who carry on the business of banking"; on which, see National Housing Commission v.
Cape of Good Hope Savings Bank Society 1963 (1) SA 230 (C) at 233). There is even an
Interpretation Act (33/1957) which provides illuminating insights such as that "Christian
name" means any name prefixed to the surname, whether received at Christian baptism or
not, that "month" means a calendar month, or that "la w" means any law, procla mation,
ordinance, Act of Parliament or other enactment having the force of law. This approach to
legislation neither presu pposes nor engenders a particularly liberal approa ch to th e
interpretation of statu tes. And, indeed, statutory interpreta tion in South Africa , as in
England, is traditionally governed by the so-called "golden rule": "The rule by which we are
to be guided in construing acts of Parliament is to look at the precise words, and to construe
them in their ordinary sense, unless it would lead to any absurdity or manifest injustice"
(Perry i>. Skinner (1837) 2 M & W 471 at 476); for all details, as far as South African law is
concerned, cf. L.C. Stcyn, Die Uitleg van Wette (5th ed., 1981); Lourens M. du Plessis, The
Interpretation of Statutes (1986). T he equivalent of the "golden rule" for contra ct
interpretation is the "plain meaning rule" (cf. supra, note 7; for details, see Liideritz, op. c it. ,
note 2, pp. 65 sqq.) which applies to all those transactions that have been laid down in a
docu ment (no matter whether the formality is required by la w or not). The plain meanin g
rule and the closely allied (procedural) "parol evidence rule" serve to protect reliance on the
contractual declaration and are an expression of the objective (declaration-oriented) approach
of the English courts to contra ct interpretation. According to the parol-evidence rule a
written instrument ma y not be contradicted, added to or varied by oral evidence (cf. e.g.
Bro wn v. Selivin (1734) Cases T. Talbot 240 at 242; Liideritz, op. cit., note 2, pp. I l l sqq.,
172 sqq.; Zwcigert/Kotz, pp. 105 sqq.). South African law, again following English law, has
traditionally adopted a rather rigid and formalistic approach to the interpretation of written
contracts too; for details cf. E.L. Jansen, "Uitleg van Kontraktc en die bedoeling van die
partye", 1981 TS AR 97 sqq.: jou bcrt, Contract, pp. 59 sqq.
14
Ka ser, RPr II, pp. 82 sqq.
15
Cf. generally Ka ser, RPr II, pp. 60 sqq.; Biondi, DRC, vol. II, pp. 1 sqq.
16
Cf. pa rticu larly hi s a rticle o n " Ani m u s i n R o ma n La w", (1 93 3 ) 49 LQ R 4 3 sqq.,
379 sqq.
17
(1933) 49 LQR 48.
18
Pringsheim, (1933) 49 LQR 48.
19
Giuseppe Gandolfi, Studi sull'ittterpretazione de%li atti negoziali in diritto romtmo (1966),
pp. 243 sqq.; Franz Wiea ck er, (1966) 83 ZSS 437 sq., 444 sq.
20
Ka ser, RZ, pp. 276 sqq.
21
Sc hulz , RLS, p. 263.
22
For de tails, se e Kase r, R Z, pp. 4 84 sq q.
23
Scacv. D . 35, 2, 25, 1.
24
_ P a ul . D . 3 1, 8 5 . C f . f u r t he r W i c a c k e r , ( 1 9 6 6) 8 3 ZS S 4 3 7. 3 D e v e rbo ru m
si g n i f i c a t io n e , Li b. I , n. 2, i n: O pe r a, Fr a nc o fu rt i , vol . I V ( 16 17) , p. 7 55.
L a ut e r b a ch , Co l l e g i u m t h e o r e t i c o - p ra c t i c u m . Li b. X V I I I , T i t . I , CX I X ; c f. al so G oi n g,
p p. 4 1 0 s q .
27
Cf. e.g. Savigny, System, vol. Ill, p. 258: "Intention per sc is really the only important
and effective thing, and only because it is an internal and invisible phenomenon do we need
a si gn by whi ch we can recognize it " (cf the t ranslati on by Weir i n Zwei gert/ Kot z/ Weir,
p. 72).
28
Cf. in particular Otto Gradenwitz, Interpolationen in den Pandekten (1887), pp. 170 sqq.;
also e.g. Fritz Pringshei m, "Ani mus donandi", (1921) 42 ZSS 273 sqq.; Emilio Albertano,
"La crisi del metodo interpolazionistico", in: Studi in onore di Pietro Bon/ante, vol. I,
pp. 611 sqq.
29
Cf. Horak, Rationes decidendi, p. 194 ("quellenfremde Getehrtenkonstruktion"); Kniitel,
Stipulatio und pacta, Festschrift fur Max Kaser (1976), pp. 202 sq.
Cf. also the warning sounded, in a related context, by Robert Feenstra, "The Dutch
Kantharos Case and the History of Error in Substantial (1974) 48 Tulane LR 849 sq.
31
Kaser, RPr I, p. 235.
32
Supra, pp. 567 sqq.
33
Cf. Al an Wat son, "Narrow, Ri gid and Lit eral Interpret ation in the Lat er Roman
Republi c", (1969) 37 TR 351 sqq. This i s a good exa mpl e of t he cruci al i mport anc e of
Republican jurisprudence for the development of Roman law. The decisive achievements of
Roman law, according to the prevailing modern view, were already established by the end
of the Republic. Wieacker, (1969) 2 The Irish Jurist 151 sq., writes: "First of all, I believe the
development of an independent juristic technique made possible (perhaps for the first ti me
in history) the solution of social conflicts according to a rational intellectual rule. In the
second pl ace t here arose t he great j uri sti c abstracti ons, such as Person, Propert y, and
Obli gati on, whi ch all European l egal syst ems have achi eved onl y wit h t he hel p of t he
Romans. Finally, it was already the Republic which had created the Praetor's ius
honorarium, which supplemented the formalism of the old ius civile through a progressive
legal et hi c, i. e. t hrough the i deas of bonum et aequum and bona fi des, and t hrough t he
struggle against dolus and the old rigidity of formalism. And all that was not only a mere
promise of a great classi cal future, but had already been perfect ed in the finest technical
detail."
In the same vein, see Frier, Roman Jurists, pp. 139 sqq.: "Around the middle of the second
century B. C., Roman jurisprudence was profoundly transformed. [What emerged from this
revoluti on was, first and fore most, the concept of] 'aut onomous law' —a theory that not
only became the guiding ethos of classical Roman law, but also is perhaps the single most
important Roman contribution to the Western legal tradition" (pp. 156, 188 sqq.; on the
doctrine of "autonomous law" cf. pp. 188 sqq.; 269 sqq.). For a comprehensive evaluation
cf. now the authoritative study by Wieacker, Romische Rechtsgeschichte, pp. 519 sqq.
34
On whi ch, see Kaser, RPr I, pp. 202 sqq.; Honsell/ Mayer- Maly/ Selb, pp. 57 sqq.
35
On t hese t erms cf. supra, pp. 563 sqq.
36
On the interpretation of wills cf. Voci, DER, vol. II, pp. 885 sqq.; Hans Josef Wieling,
Testamentsauslegang im romischen Recht (1972), passim; Kaser, RPr I, pp. 241 sqq.; RPr II,
pp. 84 sq.
37
Cf. su pra , pp. 599 sq.
3H
Supra, 156 sqq., 165.
39
Supra, pp. 510 sq., 565
On the causa Curiana cf. Johannes Stroux, Summum ius summa iniuria (1926), pp. 29
sqq.; Gandolfi, op. cit., note 19, pp. 288 sqq.; Franz Wieacker, "The causa Curiana and
Contemporary Roman Jurisprudence", (1967) 2 The Irish Jurist 151 sqq.; idem, "La 'causa
Curiana' e gli orientamenti della giurisprudenza coeva", (1968) 1 Antologia giuridica
romanistka ed antiquaria 111 sqq.; Wieling, Testamentsauslegung, op. cit., note 36, pp. 9 sqq.,
60 sqq.; Alan Watson, The Law of Succession in the Later Roman Republic (1971), pp. 153 sqq.,
94 sqq.; J.W. Tellegen, "Oratores, Iurisprudentes and the 'Causa Curiana' ", (1983) 30
RID A 293 sqq.; Richard A. Bauman, Lawyers in Roman Republican Politics (1983), pp. 341
sqq.; Frier, Roman Jurists, pp. 135 sqq.
On the jurisdiction of this court cf. Kaser, RZ, pp. 37 sqq.
42
Was Crassus merely an orator, or also a recognized jurist? Cf. Bauman, op. cit., note
40, pp. 341 sqq.
Cf. supra, pp. 24 sq. On the relationship between Crassus and Scaevola (they were of
the same age and had held the quaestorship, aedileship, praetorship and consulship together),
cf. Bauman, op. cit., note 40, pp. 341 sqq. He also discusses the question whether the causa
Curiana had political overtones and whether it soured the relations between the two men.
"G I L II, 113.
45
On the "Roman Passion for Testacy" Maine, pp. 128 sq. ("No evil seems to have been
considered a heavier visitation than the forfeiture of Testamentary privileges; no curse
appears to have been bitterer than that which imprecated on an enemy that he might die
without a Will"); Schulz, Principles, p. 156. But see David Daube, "The Preponderance of
Intestacy at Rome", (1964—65) 39 Tulane LR 253 sqq. In support of the Roman dislike of
intestacy, a famous remark by the elder Cato is usually referred to; according to Plutarch
(Vitae, Cato maior, 9, 6), he had made three mistakes in his life, one of them being that he
had remained without a will for an entire day. Daube, Roman Law, p. 73 finds it indefensible
"to base on such an utterance by an eccentric one's estimate of the mores among, say, the
tailors or carpenters or even the bankers of Rome. . . . The same Cato, let me remind you,
remarked that he never made love to his wife except during a thunderstorm. Are we to
generalize this too?" Contrary to Daubc, the word абкйдцтос; used by Plut arch can,
incidentally, have the meaning "without a will". According to Daube, it means "without
serious, planned work".
46
On substitutio (pupillaris and vulgaris) Gai. II, 174 sqq.; D. 28, 6; Inst. I I , 15 sq.;
Schulz, CRL, pp. 260 sqq.; Voci, DER, vol. I I , pp. 160 sqq.; Kaser, RPr I, pp. 688 sqq.
47
On the institution of postumi, see Kaser, RPr I, pp. 684 sq. The postum us did not even
ha ve to ha ve be e n c onceive d at the tim e the will was ma de: Ulp. D. 28, 2, 4.
4H
Cf., for e xa m ple, M od. D. 28, 6, 1, 1.
49
Kaser, RPr I, p. 236, remarks that Scaevola's viewpoint was no mere formalism, but
arose from the m oral a wa re ne ss of the e duc ative forc e of c om p ulsory form . For a
sympathetic evaluation of the "legal" point of view, represented by Scaevola, cf. Wkacker,
(1967) 2 The Irish Jurist 157 sqq. He also emphasizes that "fb]efore the great court of the
centum viri the skilled jurist Scaevola, as advocate opposing the famous orator Crassus, was
in an uncomforta ble situation. As a rule, the old aristocratic jurist stood as an im partial
adviser above the parties; Scaevola's cousin, the augur, looked down with amused contempt
on the juristic ignorance of the average court speaker. We do not know what duty of
friendship . . . induced him to enter into the legal arena. In any case he tried, at least in the
beginning, to accommodate himself to the rhetorical style. At length the jurist broke
through. Therefore one has the impression that in his plea rhetorical and juristic arguments
were not quite happily combined." Cicero, who of course favoured Crassus' point of view,
pays tribute to Scaevola with a rather malicious compliment: he was "iuris peritorum
eloquentissimus, eloquentium iuris peritissimus" (De oratore, 1, XXXIX—180; cf. also
Brutus XLI—151: "videtur mihi in secunda arte [i.e. jurisprudence] primus esse maluisse
quam in prima [rhetoric] secundus"). Watson, (1969) 37 TR 366 draws attention to the fact
that Quintus Mucius Scaevola himself was prepared to take a wider view; he refers to Pomp.
D. 35, 2, 33 concerning the rather queer case of a senator who wore women's dinner dresses;
how was a legacy of "women's clothing" to be understood under those circumstances? On
whether Watson's argument can be construed as an implied attack on Quintus Marcius'
integrity (in that he "cut his coat according to his cloth"), see Bauman, op.cit., note 40,
pp. 349 sqq. Wieacker's evaluation of the causa Curiana and of the role of the two main
protagonists in the case are rejected by Tellegen, (1983) 30 RIDA 300 sqq. The latter asserts
that the accepted distinction "between oratores and iurisprudentes is fundamentally wrong",
and that the causa Curiana cannot be appreciated properly if one assumes that the members
of these professions were "opposite extremes" (pp. 294 sq.); but see the detailed analysis of
the (different) roles of orators and jurists by Frier, Roman Jurists, passim (e.g. pp. 127 sqq.,
18450
sqq.); cf. also Wieacker, RR, pp. 666 sqq.
His speech was regarded as a masterpiece of forensic oratory; for details, see Wieacker
(1967) 2 The Irish Jurist 160 sq.; Tellegen, (1983) 70 RIDA 297 sq., 307 sqq.
In classical law, a pupillary substitution was in fact construed as containing a vulgar
substitution and vice versa: cf. the constitutio by the Emperors Marcus Aurelius and Lucius
Verus referred to in Mod. D. 28, 6, 4 pr. In our own time, § 2102 I BGB can mentioned:
the appointment of a reversionary heir contains, in case of doubt, also the appointment of a
substitutional heir.
52
This was essentially the view of Stroux, op. cit., note40, pp. 29 sqq.: the causa Curiana
marked the victorious breakthrough of rhetoric and intention-oriented interpretation against
the archaic formalism of the older lawyers. Contra e.g. Wieacker, (1967) 2 The Irish Jurist
155 sqq., 161 sqq., who in turn, however, appears to play down the importance of this
decision too much. For a rejection of Stroux's view cf. also Feliciano Serrao, Ctassi, Partiti e
Legge neila Repubblica Romana (1974), pp. 142 sqq.; Burge, op. cit., note 11, pp. 46 sqq.
53
For the interpretation of wills cf. e.g. Wicling, Testamentsauslegung, op. cit., note 36,
pp. 59 sqq., 107 sqq. and passim.; cf. also Felix Wubbe, "Der Wille des Erblassers bei lav.
D. 32, 100, 1", in: luris Professio, Festgabe fur Max Kaser (1986), pp. 371 sqq.
54
Cf. the references to Cicero and Quintilian in Schulz, RLS, p. 79, Gandolfi, op. cit.,
note 19, pp. 291 sqq. and Wieacker, (1967) 2 The Irish Jurist 157 sqq.
55
Cf. generall y St roux, op. cit., not e 40, passi m (wit h t oo ext re me and far-reaching
concl usions); contra (equally extre me) e. g. Gerhard von Besel cr, "Recuperati ones i uri s
antiqui", (1938) 45 BIDR 169 sqq.; cf. also Schulz, RLS, pp. 76 sqq.; Behrends, Fraus legis,
pp. 73 sqq.; for a more balanced evaluation, see Wunner, Contractus, pp. 182 sqq.; Kaser, RPr
I, jp. 236; Honsell, Festschrift Coing, vol. I, pp. 143 sq.; and, in particular, Franz Wieacker,
"Ober das Verhaltnis der romischen Fachjurisprudenz zur griechisch-hellenistischen
Theori c", (1969) 20 l ura 469 (on t he whol e, possi bl y sti ll underrati ng t he i nfl uence of
rhetoric); Frier, Roman Jurists, pp. 95 sqq., 127 sqq. ("The Ciceronian court, with its
shameless tattoo of loci communes, formed . . . an indispensable laboratory where Rome's
fledgling legal scientists could create and test their abstract rules in relation both to specific
cases and communit y val ues. . . . It see ms reasonabl e t o di scove r, wit hi n t he i nt ensel y
competitive arena of forensic discussion, many of the i mpulses towards breadth and equity
which gave Roman private law its vitality as a living system and its vast influence as a dead
one" (pp. 137 sq.); cf. also p. 267: "Thi s indirect and sel ective fl ow of l egal ideas from
judicial oratory into law is perhaps . . . the real basis Roman law's growth into maturity").
Cf. now also the magisteri al summary of the discussion by Wi eacker, RR, pp. 662 sqq.
56
For details cf. Uwe Wesel, Rhetoristhe Statuslehre und Gesetzesauslegung der romischen
Juristen (1967), pp. 22 sqq.; Franz Horak, "Rhetorische Statuslehre und der moderne Aufbau
des Verbrechensbeg riffs", in: Festgabe fur Arnold Herdlitczka (1972), pp. 121 sqq.; Richard A.
Bauman, "The 'leges iudicorum publicorum' and their interpretation in the Republic,
Prindpate and later Empire", ANRW, vol. II, 13 (1980), pp. 112 sqq.; Wieacker, RR,
pp. 669 sqq.
57
Schulz, RLS, pp. 76 sq.; cf. also Gandolfi, op. cit., note 19, pp. 257 sqq.; Wieacker,
(1969) 20 lura 475; Burge, op. cit., note 11, pp. 58 sqq.
58
On the "relativistic framework of rhetorical argument" see Frier, Roman Jurists, pp. 127
sqq. ("All that rhetoric offered was a loose framework of alternatives for interpretation");
Frier provides a brilliant and fascinating analysis of Cicero's speech pro Caecina which,
according to him, reflects the crucial transformation that the Roman judicial system
underwent during the time of the late Republic (cf. e.g. pp. 252 sqq.; summary on p. 267).
On "words vs. i nt ent " wit hin t he cont ext of pro Caeci na, cf. pp. 128 sq.
59
On the distinction (and antagonism!) betweenjurists and orators, cf. e.g. Schulz, RLS,
pp. 53 sqq., 69 sqq., 108 sq.; Frier, Roman jurists, pp. 130 sqq.. 155 sqq.; Wieacker, RR,
pp. 668 sqq. Contra: Tellegen, (1983) 30 R1DA 293 sqq.
W1
RLS, p. 76.
fl 1
Cicero, DP oratore, 1, LVII—244; Schulz, RLS, p. 54; Wieacker, RR, p. 668. Cf. also
the remarks by Tellegen, (1983) 30 RIDA 2У4 sq.
62
For parallel developments with regard to the problem of interpretation of statutes, see
Honsell, Festschrift Coing, vol. I, pp. 143 sq. Contra: Behrends, Fraus legis, pp. 33 sqq. and
passi m. Cf. also Wi eacker, RR, pp. 670 sqq.
63
So, too. Ma ycr-Maly, (1969) 37 TR 591.
M
Bern, Istituziotii, vol. I, pp. 139 sqq. has tried to replace the clumsy and simplistic
verba/ vol unt as doct ri ne by i nt roduci ng a more refi ned di st i ncti on bet ween t ypi cal
(typifying) and individual (individualizing) interpretation (the former classical, the latter
Justinianic). But it is not possible to draw a clear distinction between the two approaches; for
terminological clarification, see Wieacker, (1966) 83 ZSS 438 sq.; Horak, Rationes decidendi,
pp. 194 sqq.; c(. also Gandolfi, op. c i t . , note 19, pp. 83 sqq.
65
For details cf. Voci, Wieling, Kaser. as quoted supra in n. 36.
66
Lab. I). 18, 1, 80, 2.
bl
Paul. D. 18, 1, 40, 1.
6M
Lab. D. 18, 1, 78 pr.
69
Ul p. D. 45, 1, 41.
70
Of fundamental i mportance is Fritz Pringshei m, "Id quod actum est'", (1961) 78 ZSS
1 sqq.; cf. further Wunner, Contractus, pp. 179 sqq.; Gandolfi, op. cit., note 19, pp. 116 sqq.,
308 sqq.
71
Cf. e. g. Ulp. D. 45, 1, 41.
72
Hans Eri ch Troje, "Ambi guitas contra sti pul at orem", (1961) 27 SDHI 95.
73
Ulp. D. 34, 5, "12; cf. also Ulp. D. 50, 17, 67.
74
_ Paul. D. 50, 17, 114.
3
Cf. infra, pp. 639 sqq.
76
Pringshei m, (1933) 49 LQR 47.
77
Pringshei m, (1933) 49 LQR 48.
78
For a n o verv ie w of th e v ario us a cts for whi ch ani mus b ec a me —at s o me ti me or
other—an essential requirement, see Pringsheim, (1933) 49 LQR 49 sqq.. 379 sqq.; Kaser,
RPr II, pp. 87 sqq.
7
'' D. 46, 2, 1 pr. Cf. also Gai. HI, 176: "novatione . . . nova nascitur obligatio ct prima
tollitur, translata in posteriorem."
80
Cf., most recently, Max Kaser, "Zu Novation und Delegation", in: Saturn Roberto
Feenstra oblata (1985), pp. 141 sqq.
81
Cf. e.g. Ulp. D. 45, 1, 75, 6.
82
Cf. e.g. Gai. Ill, 177; Ulp. D. 46, 2, 8, 5; Pomp. D. 45, 1, 18; David Daube, "Novation
of Obligations Giving a Bonae Fidei Iudicium", (1948) 66 ZSS 91 sqq.; Robert Feenstra,
"L'effet extinctif de la novation", (1961) 29 TR 400 sqq.; Franco Bonifacio, La novazione net
diritto
кэ
rotnano (2nd ed., 1959), pp. 123 sqq.; Sturm, Stiputatio Aauitiana, pp. 200 sqq.
M4
Cf. supra, pp. 118 sq.
For details, see Apathy, Animus novandi, passim, e.g. pp. 261 sqq.
85
Apathy, Animus novandi, pp. 253 sqq. against earlier interpolatkmist views (e.g. Fritz
Pringsheim, "Zur Geschichte des "animus novandi'", in: Studi in ouore di Vincenzo
Агащю-Ruiz, vol. 1 (1952), pp. 509 sqq.).
86
Ul p. D. 46, 2, 1 pr.
87
Justinian ulti mately required the parties expressly to declare their intention to novate;
cf. C. 8, 41, 8 and lust. HI, 29, 3 sq. On the significance of animus novandi injustinianic law,
see Kaser, RPr II, pp. 450 sq.; Apathy, Ani mus novandi, pp. 266 sqq.
8K
Cf. also Coing, p. 411. On the nature of the ius commune in the 16th, 17th and 18th
centuries, not as professorial law characterized by i mpractical abstractions, deductive
reasoning and concept jurisprudence, but asjudicial law, jurisprudentia forensis, developing
through lawyers' interpretation andjudicial opinions, cf. e.g. Gino Gorla, Luigi Moccia, "A
'Revisiting' of the Comparison between 'Continental Law' and 'English Law' (16th—19t h
century)", (1981) 2 journal of Legal History 143 sqq. Protagonists of the law in action were
judges and legal counsel, lawyers such as Molinaeus and Domat, Grotius and Bynkershoek,
Huber and Sande, Carpzov and Mevius; the method of their decisions was largely casuistic;
and a particularly i mportant part of legal literature written or compiled during this ti me was
forensic in character.
89
Cf. supra, p. 625.
90
D. 50, 16, 219.
91
Cf. e.g. Pothier, Trails des obligations, n. 91.
92
Donellus, "Ad. Tit. Dig. de Rebus dubii", Ad L. Ubicst 21., in: Opera Omnia, vol. XI
(Lucae, 1767), col. 99.
93
Cf. e. g. Fl ume, AT, pp. 51 sqq. , 307 sqq.; Ludent z. op. cit ., not e 2, pp. 278 sqq.;
Wieacker, Privatrechtsgeschichte, p. 517.
94
Bona fides and its Germanic counterpart "Treu und Glauben" have been instrumental in the
shaping, first of the one, then of the other point of view; for details, see Okko Behrends, "Treu
und Glauben. Zu den christlichen Grundlagen der Willenstheorie im heutigen
Vertragsrecht", in: L.L. Vallauri, G. Dilcher (eds.), Christentum, Sakuiarisation und modernes
Recht, vol. II (1981), pp. 957 sqq., 1001 sqq. 95 Cf. supra, pp. 567 sqq. 9(1 De Officiis, 1, ХШ-
40.
97
H u go G r o t i u s . D e j u r e be l l i a c p a d s. Li b . I I , C a p . X V I , 1 ; o n G r o t i u s ' t h e o r y o f
inte r pre t ati on , se e D ie s se lh or st. H u g o G roti us, pp . 5 5 s qq .; cf . a lso Be h re n ds, l o c. cit. ,
pp. 96 0 s qq. C f. f u rt he r Pu fe n do r f, D e ju re n a t u ra e e i g e n t iu m . Li b. V , C ap. X I I , §§ 1 s qq.;
W ol f f , J u s n a t u ra e . P a r s V I , C a p . I l l , § § 4 5 9 s q q .
48
C f . e . g. t h e a c c o u n t i n W c s s e l s , Co n t ra c t , v o l . I , p p . 5 4 6 s q q . , 5 5 2 s q q .
49
Cf . e . g. Po t hi e r , Tra i t e d e s o bl i g a t i o n s, n . 9 6; a rt . 1 16 1 co de ci vi l ; a l so s t i l l Fl u me , A T,
p . 3 0 9; A . G . G ue st , A n so n ' s La w o f Co n t ra c t ( 2 5t h e d. , 1 97 9) , p. 1 5 0 .
100
P ot hi e r, T ra i t e d e s o bl i g a t io n s, n. 92; a rt . 11 57 c ode ci vi l ; c f. al so Fl ume , A T, p. 31 7;
Anson, op. cit., note 99. pp. 149 sqq. ("Ut res magis valeat quam pereat").
"" Pothier, Traite des obligations, n. 93; art. 1158 code civil; Flume, AT, p. 317.
102
Pothier, Traite des obligations, n. 94; art. 1159 code civil. 1()l3 Pothier, Traite des
obligations, n. 95; art. 1160 code civil.
1(14
Cf. the note appended by Mommsen to his edition of this text: n. 10 in
Mommscn/Kriiger,
1(b
D. 2. 15, 9, 3.
Pothier, Traite des obligations, n. 98; art. 1163 code civil.
106
Cf. Ha ns Eric h Troje," "Am biguitas contra stipulatore m", (1961) 27 SDM I 105.
107
Fo r a de t ai l e d s yn o p s i s, se e P a u l v a n W a r m e l o , "D i e u i t l e g v a n k o nt r a k c e ", ( 1 9 6 0) 77
SAL) 69 sqq.
" l 8 Cf. Troje, (1961) 27 SD HI 99.
109
Though not the codes inspired by natural law; cf. §§65 sqq. I 4 PrALR; artt. 1157 sqq. code
civil and §§ 914 sqq. ABGB. 1ИЧ 157 BGB.
111
Cf "Morivc", in: Mttgdan. vol. I. pp. 436 sqq. and the evaluation of the rules contained
in the code civil by Zweigert/Kotz, pp. 98 sqq. (trite, empty of content, rules of thumb,
misleading).
112
113
Cels. D. 34, 5, 26; cf also Ulp. D. 45, 1, 38, 18.
Cf. Cel. D. 45, 1, 99 pr.: ". . . ac fere sccundum promissorem interprctamur, quia
stipulatori liberum fuit verba late concipere"; cf. also Paul. D. 18, 1. 21 in fine; Pap. O. 2,
14, 39 in fine.
4
Justus Helming Boehmer, Dissertatio de interpretation? faciendf contra eum qui clarius loqui
debuisset
1I S
(Halae 1700); Christoph Krampe, Die Utiklarheitenre^el (1983). pp. 14 sq.
Paul. D. 50, 17, 172; cf. further Paul. D. 18, 1, 21; Pap. D. 2, 14, 39 (referring to the
"vcteres").
1111
117
Pap. D. 2, 14, 39.
118
Wolf, Error, p. 41.
119
Mayer-Maly. Locatio conductio, pp. 106 sqq.
For an analysis of the Roman sources, see Troje, (1961) 27 SDHI 115 sqq.; Gandolfi,
op. cit,, note 19, pp. 390 sqq.; Christoph Krampe, "Die ambiguitas-Regel: Interpretatio
contra stipulatorem, venditorem, locatorem", (1983) 100 ZSS 185 sqq.; Heinrich Honsell,
"Ambiguitas contra stipulatorem", in: Iuris Professio, Festgabe fur Max Kaser (1986), pp. 75
sqcL
™ On this text, see Troje, (1961) 27 SDHI 170 sqq.; Krampc, (1983) 100 ZSS 212 sqq.;
Honsell, Festgabe Kaser, p. 81.
*"' Why do we find so many abstract formulations of the rule and so little case law in our
sources? The most probable explanation is the one proposed by Honsell, Festgabe Kaser,
pp. 76 sqq. Ambiguitas contra stipulatorcm (attnbuted by Papinian to the "vcteres": D. 2,
14, 39) goes far back in Roman legal history. Its origin appears to lie in sacral law. Every
ambiguity had to be avoided ("in precibus nihil ambiguum esse debet") if one did not want
to run the risk of being held bound, by the gods, to the (for them) more favourabl e
interpretation of a promise. The same principle (which is intimately connected with the old
word formalism) was applied to promises in private law, until (s.v. id quod actum esi) the
will of the parties concerned had become an essential element in the process of interpretation.
122
Honsell, Festgabe Kaser, pp. 75 sqq.; cf. also Troje, (1961) 27 SDHI 115 sqq.
Differently Gandolfi, op. cit., note 19, pp. 393 sqq.
123
For what follows, see Troje, (1961) 27 SDHI 96 sqq.
124
Bartolus, Commentaria, D. 2, 14, 39, § Veteribus, 2.
125
Bartol us, Comment aria, D. 2, 14, 39 and D. 18, 1, 34 pr., § Si i n emptione; Troje,
(1961) 27 SDH/100.
126
"In dubio fit interpretatio contra creditorem": Bartolus, Commentaria, D. 45, 1, 38, 18.
Cf. also Pothier, Traite des obligations, n. 97; art. 1162 code civil ("Dans le doute, la convention
s'interprete centre celui qui a stipule et en faveur de celui qui a comrade Vobligation") and the
criticism by Zwcigert/Kotz/Weir, p. 73 (". . . is clearly based on the popular fallacy that the
creditor is ric h a nd the de btor is poor").
127
Cf. e.g. Frank J i n Siegetman v. Cunard White Star Ltd (1955) 221 F 2d 189 at 205-6 (as
quoted by Sandrock, (1978) 26 American Journal of Comparative Law 552): "An ordi nary
contract has been called a sort of private statute, mutually made by the parties and governing
their relations. But in a lake-it-or-leave-it contract, abse nt actual freedom of contract, the
parties do not 'legislate' by m utual agreement; the domina nt party 'legislates' for both." For
a general overview of the problems involved cf. Eike von Hippci, Verbraucherschutz (3rd ed.,
1986), pp. 118 sqq.; Hein Kotz, "Welche gesetzgeberischen Massnahme n em pfehlen sich
zum Schutze der Endverbraucher gegenuber Allgememen Geschaftsbedingungen und
Formularvertragen", in: Verhandlungen des 50. Deutschen Juristentages (1974), Gutachten A;
Th. Bourgoignie (ed.), Unfair Terms in Consumer Contracts (1983); Hein Kotz, "Controlling
Unfair Contra ct Terms: Options for Legislative Reform", (1986) 103 SALJ 405 sqq.
I2H
Cf. in particular the by now classic work of Ludwig Raiser, Das Recht der allgemeinen
Geschaftsbedingungen (1935).
129
On the control of unfair standard contract terms by means of §§ 138, 242 and/or 315
BGB, cf. e.g. RGZ 62, 264 (266); RGZ 103, 82 (83 s q. ); BGHZ 22, 90 (97 sqq.); BGHZ 38,
183 (186); BGHZ 41, 151 (155); BGHZ 54, 106 (109) and Wilhelm Weber, Die Allgemeinen
Geschaftsbedingungen, Eine rechtliche Gesamtdarstellunq (1967). pp. 364 sqq.
130
Cf. e.g.'RGZ 116, 274 (276); BGHZ 5, 111 (И5); BGHZ 47, 207 (216); Raiser, op. cit.,
note 128, pp. 264 sqq.
131
"[Judges] still had before the m the idol 'freedom of contract'. The y still knelt down
and worshippe d it, but the y c oncealed under their cloa ks a secret wea pon. The y use d it to
stab the idol in the bac k. This wea pon was called the 'true c onstruc tion of the contract' ":
Lord Denning, in George Mitchell (Chesterhall) Ltd. v. Finney Locky Seeds Ltd. [1983] 1 All ER
108 (CA) at 113J.
uz
Cf. e .g. Ro be rt Fisc her, (19 6 3) 12 5 Z HR 2 05 sqq. a nd, m ore ge nerally, Ka rl
Llewellyn, (1938-39) 52 Harvard LR 703 (also referred to by Kotz, ((1986) 103 SALJ 407):
"First, since they all rest on the admission that the clauses in question are permissible in
purpose and content, they invite the draftsman to recur to the attack. Give him time, and he
will make the grade. Second, since they do not face the issue, they fail to accum ulate either
experience or authority in the needed direction: that of making out for any given type of
transaction what the minimum decencies arc which a court will insist upon as essential to an
enforceable bargain of a given type, or as being inherent in a bargain of that type. Third,
since the y purport to c onstrue, a nd do not really c onstrue, nor are inte nde d to, but are
instead tools of intentional and creative misc onstruction, they seriously e m barrass later
efforts at true construction, later efforts to get at the true meaning of those wholly legitimate
contracts and clauses which call for their meaning to be got at instead of avoided. The net
effect is unnecessary confusion and unpredictability. . . . Covert tools are never reliable
tools."
133
G e se t z ги г R eg el ung de s Re ch t s d e r A ll ge m e ine n G e scha f t sbed in gun gen ( ABGB) . On t hi s
Act cf. e.g. Otto Sandroc k, "The Standard Terms Act 1976 of West'Germa ny", (1978) 26
American Journal ofComparative Law 551 sqq.;N. Reich/K.-W. Micklitz, Consumer Legislation
in the Federal Republic of Germany (1981), pp. 269 sqq.; H.R. Hahlo, "Unfair Contract Terms
in Civil La w Systems'', (1981) 98 SALJ 70 sqq.
134
§§ 9 sqq. ABGB.
135
Others can be found in §§ 266 sq. 1 5 PrALR; art. 1162 code civil (cf. also art. 1602 II,
relating particularly to the contract of sale); § 915 ABGB. For details, see Troje, (1961) 27
SDHI 107 sqq.; Kra m pe, op. cit., note 114, pp. 15 sqq. The fa the rs of the BGB did not
adopt the c ontra profere nte m rule: "M otive ", in: M ugdan, vol. I, pp. 437 sq. The c ontra
pr o fe rc nte m r ule h a s a ls o m a de it s wa y i n t o t he E n g lis h c o m m o n la w; it is a lre a d y
doc umented in 15th-century case reports. By and large today, the rule still plays a greater
role in England than on the Continent; it is used here as a formalized and schematic way of
reliance protection. For details, see Liideritz, op. cit., note 2, pp. 247 sqq.
13(1
Сf. e.g. Ulmer/Brandner/Hense n, ABG-Gesetz (5th ed., 1987), § 5, nn. 1, 31.
Admonitions of this kind run like a red thread through the history of the ambiguity rule.
Many authors have stressed that it can be reverted to only as an ultima ratio and that it must
not be allowe d to subvert or replace a thorough e xa mination of "id quod actum est". Cf.
e.g. Antonius Fa ber (". . . non statim facienda m esse interpretatione m contra venditorc m
aut locatorem, sed ita de mum, si nihil sit quod melius dici possit . . .") and Donellus (". . .
si ita quaeritur, ut nullis coniecturis possit constare, quidnam id sit, turn am biguitas, quae
tune vere relinquitur, contra stipulatorem intcrpretanda est"), both in Troje, (1961) 27 SDHI
104 sq. Cf. also Raiser, op. cit., note 128, pp. 265, 270 and Krampe, op. cit., note 114, pp. 24
sqq.
~ 7 Already by the 15th century the contra proferentem rule had found its way into the
English com mon law. It has come to be employed in situations where the content of the
transaction is determined, on account: of an imbalance of power, by one of the contracting
parties. Standard contract terms provide a prominent example. For details, see Liideritz, op.
cit., note 2, pp. 247 sqq.; cf. also the com parative remarks by Kra m pe, op. cit., note 114,
pp. 22 sq. M odern textbooks usually deal with the contra proferentem rule in connection
with exemption clauses (cf. Treitel, Contract, pp. 171 sqq.). The subsidiary nature of the rule
is frequently emphasized ("the last straw moving the scale": cf. the references in Luderitz,
op. cit., note 2, p. 265). South African courts, too, do occasi onally apply the contra
proferentem rule (with regard to standard terms and other contractual clauses), but only as
a last resort, when all attempts at ascertaining the common intention of the parties have
failed. Cf. Cairns (Pty.) Ltd. v. Playdon & Co. Ltd. 1948 (3) SA 99 (A) at 123; Wessels,
Contract, § 1956 ("[The rule] cuts the Gordian knot and arbitrarily determines against the
stipulator"); Kerr, Contract, pp. 254 sq.; Joubert, Contract, pp. 63 sq. But cf. also the recent
decision of Lawrence v. Kondotel Inns (Pty) Ltd. 1989 (1) SA 44 (D) 53 sq. There the contra
proferentem rule was applied, without much ado, to an exemption clause which read: "All
riders ride at their own risk: If any accident should occur, Kondotel . . . will not be held
responsible." In the opinion of the court, this clause did not cover accidents arising from
misconduct on the part of the ani mal (not convincing).
138
However, the declaration of intention is void if made to a person who is aware of the
mental reservation (§ 116, 2 BGB). This provision has been criticized as an unwarrant ed
concession to the will theory of contract: Ernst Kramer, in: Munchener Kommentar, vol. I (2nd
ed., 1984), § 116, n. 8; but cf. Flume, A T, % 20, 1.
139
For details, see Karl Michaelis, "Scheingeschaft, verdecktes Geschaft und verkleidetes
Geschaft i m Gesetz und in der Rechtspraxis", in: Festschrift fur Franz Wieacker (1978),
pp. 444 sqq.
140
Thi s fol l ows fro m t he rul e l ai d down i n § 133 BGB ac cordi ng t o whi ch t he t rue
intention of the parties must be sought. The validity of the disguised transaction depends on
whether the normal rules existing for such transactions have been complied with; thus, for
instance, a transaction must be neither illegal nor immoral, and any formal requirements that
may exist must have been met.
3. Reservatio mentalis
(a) Roman law
The problem of a reservatio mentalis appears to have been of equally
little practical importance in Roman law. To any practically minded
lawyer it must be obvious that the secret (mental) reservation by one
party to a contract not to be bound by his declared intention cannot
affect the validity of the transaction. 144 Certainty of law and security of
transactions would otherwise be undermined intolerably. Digesta 2, 15,
12 is about the only text in which a proposition of this kind has even
been considered, 145 A person had made a composition that referred,
quite generally, to everything that had been left to him by a specific
testator. According to Celsus, he cannot afterwards claim that his
intention had been directed towards the content of the first part of the
will only.
(b) Pandectists and canon lawyers
One has to attribute extraordinary significance to the intention of the
parties in order to find this result anomalous or questionable. Such a
shift of perspective can be based on a desire to "ethicize" legal relations,
but it can also be the consequence of doctrinal rigidity. Nineteenth-
141
"Protokolle", in: Mugdan, vol. I, p. 712 and the remarks by Kramer, op. cit., note 138,
§ 118, n. 1.
142
Cf- supra, pp. 613 sq.
143
Paul. D. 44, 7, 3, 2. Cf. further Varro, De Lingua Latina, Lib. VI, 72 and Josef Partsch,
"Die Lehre vom Schcingeschaft i m romischen Rechte", (1921) 42 ZSS 248 sq. (dealing with
a promise given by an actor "in tragoedia" on the stage).
144
Most modern codifi cations therefore do not even deal with the problem.
145
Cf. Albanese, Atti negoziali, pp. 162 sq.; Honsell/ Mayer-Maly/Selb, p. 121.
146
Cf. e.g. Savigny, System, vol. Ill, p. 258.
147
Alfred Manigk, Das rechtswirksame Verhalten (1939), p. 142.
148
On t h e rol e of t h e r es erv at i o ment al i s i n t he st r uggl e b et we en wi l l t heor y a nd
declaration theory cf. e.g. Otto Bahr, "Uber Irrungen im Contrahiren", (1875) \4JhJb 393
sqq.;Josef Kohler, "Studien uber Mentalreservation und Si mulation", (1878) \6JhJb9\ sqq.;
idem, (1878) \6JhJb 325 sqq.; Bernhard Windscheid, "Wille und Willenserklarung", (1881)
63 Archiu fur die civilistische Praxis 72 sqq.; Windscheid/Kipp, § 75; Rudolf Henle,
Vorstellungs- und Willenstheorie in der Lehre von der juristischen Willenserklarung (1910),
pp 1 sqq.
For what follows cf. Heinz Holzhaucr, "Dogmatik und Rechtsgeschichte der
Mentalreservation", in: Festschrift fur Rudolf Gtniir (1983), pp. 124 sqq.; idem, "Reservatio
ment alis", in: HRG, vol. IV, col. 926 sqq.
150
Decretales Gregorii IX, Lib. IV, Tit. I, Cap. XXVI.
151
"Quid absurdius dici fingique potuisset, non video", comments the Protestant Justus
Henning Boehmer, Jus ecdesiasticum protestantium. Lib. IV, Tit. I, § 142.
152
Can. 1101 I Codex Juris Canonici (1983).
153
C f. C an . 1 67 8 -8 0 C od ex Ju ris Ca no m d .
154
Cf. e.g. Hans Thieme, "Die Ehescheidung Heinrichs VIII als europaischer Rechtsfall",
in: Syntagma Friburgense, Historische Studien jiir Hermann Aubin (1956), pp. 257 sqq.
15э
For details, see e.g. Joseph Schnitzer, Katholisches Eherecht (1898), pp. 646 sqq.
Napoleon and Josephine had contracted a civil marriage in 1796, but the Catholic marriage
ceremony had taken place only on 1. 12. 1804, the eve of Napoleon's coronation as Emperor:
Pope Pius VII had refused to crown a "concubine". Before the ecclesiastical court a variety
of witnesses (inter alia Talleyrand) testified that Napoleon had not intended to enter into a
marriage according to the rules of canon law. The civil marriage had already been dissolved
beforeha nd, in acc ordance with art. 233 c ode civil. As is well known, Na pole on ha d take n
a strong interest in the codification of Frenc h law, and left many marks upon the substance
of the Code. The emphasis in the code civil on divorce "par consentement mutuel" is one
exam ple of this. Na poleon probably pressed for it, because he knew that his marriage to
Jose phine would re main c hildless (cf. Zweigert/Kotz, vol. I, p. 98). Dissolution of the
marriage iure canonico had become necessary, because the (Habsburg) Em peror Franz I,
whose daughter Marie Louise Napoleon now wished to marry for dynastic reasons, ha d
insisted on it.
156
For details, see Holzhauer, Festschrift Gmiir, pp. 128 sqq. There are situations in which
a person may feel (morally) oblige d or ma y even be forced to conceal the truth and thus to
com mit what appears to be perjury. If, under these circumsta nces, he form ulates his oath
sufficiently ambiguously, he will not be liable (at least in foro conscientiae) for perjury, even
though he intentionally deceives the (human) addressees of the oath. For to God "all hearts
are open, all desires known, and from him no secrets are hid", and one will therefore be able
to rely on the fact that he will re alize the real (but hidde n) inte ntion be hind the words.
157
« 313 BGB.
165
Mod. D. 44, 7, 54.
166
For an overview cf. M.D. Blecher, "Simulated Transactions in the Later Civil Law",
(1974)
167
91 SALJ 359 sqq.
С 4, 22, 2.
168
169
С. 4, 22, 3.
170
Cf. supra, pp. 483 sq.
171
Blecher, (1974) 91 SALJ 365.
Ulp. D. 1, 3, 30.
172
Cf, in particular, Savigny, System, vol. I, pp. 324 sqq.;Jan Schroder, Gesetzesauslegung
utid Gesetzesumgehung (1985), pp. 15 sqq.
173
For det ails, see Hel mut Coing. "Si mulatio und Fraus in der Lehre dcs Bartolus und
Baldus", in: Festschrift fur Paul Koschaker, vol. Ill (1939), pp. 402 sqq.
174
Coing, Festschrift Koschaker, vol. Ill, p. 412; cf. also Blecher, (1974) 91 SAL/368; Otto
Bahr, Urteile des Reichsgerichts mit Besprechitngen (1883), pp. 59 sqq.
175
Fora similar view today cf. Kramer, op. ci t . , note 138, § 117, n. 10; Flume, AT, § 20,
2; but cf. Schroder, op. cit., note 172, pp. 42 sq.; Klaus Schurig, "Die Gesetzesumgehung
im Privatrecht", in: Festschrift fur Murad Ferid (1988), pp. 404 sqq.
176
Lauterbach, Collegium theoretko-practicum, Lib. XVIII, Tit. I, CXVI.
177
Ve ry ela borate treatme nts of sim ulatio ca n be tound in Bartholom aeus Cipolla, De
simulationibus and Johannes Bertachinus, Repertorium Juris; cf. Partsch, (1921) 42 ZSS 234
and, particularly, Gunter Wesener, "Das Scheingeschaft in der spatmittelalteriichen
Jurisprudenz, im Usus modernus und im Naturrecht", in: Festschrift fur Heinz Hubner(\9S4),
pp. 340 sqq.
17H
Blecher (1974) 91 SALJ 377 sqq.
179
Decretum Gratiani, Secunda Pars, Causa XXII, Quacst. II, с 21 (with further examples
of simulation from the Old Testament). Blecher (p. 378) draws attention to the fact that we
are dealing here with unilateral simulation, whereas the simulatio of the civil law is usually
bilateral.
1H0
"Hollandsche Consultation en Advijsen", in: D.P. de Bruyn (ed.). The Opinions of
Grotius (1894), pp. 553 sqq. For details of the development, see Wesener, Festschrift Hiibner,
PP
i«?38 Sqq'
In practice, this is nearly always the case; cf. e.g. Michaelis, Festschrift Wicacker, pp. 445
sqq,
Cf. e.g. Lauterbach, Collegium theoretko-practicum. Lib. XVIII, Tit. I, CXVII. But see,
for instance, the provision dealing with simulated transactions in the Code x Thcresianus
(Wesener, Festschrift Hiibner, p. 353).
183
Cf. the references in Windsc heid/Kipp, § 75, n. 3.
184
"Motive", in: Mugdan, vol. I, p. 459; "Protokolle", in: Mugdan, vol. I, pp. 711 sq. For
m odern atte m pts in Ge rma n la w to provide protection to third parties cf. e.g. Flume , AT,
§ 20, 2 с (the simulated transaction is, with regard to third parties, to be treated as reservatio
mentalis!); but see Kra mer, op. cit., note 138, § 117, nn. 17 sq.
185
Cf. ge nerally Kla us Luig, "Franz v. Zeiller und die Irrtumsregelung des ABGB", in:
Forsdtungsband Franz von Zeiller (1751-1828) (1980), pp. 153 sqq. and, more specifically,
Wesener, Festschrift Hubner, p. 355.
186
South African courts refuse to enforce simulated transactions. They give effect to the
true intention of the parties rather than to what the y purport to have done. In Zandberg v.
Va n Z yl 19 1 0 A D 3 02 a t 30 9, Inne s CJ sa id: "Not infre que ntly, . . . the pa rtie s to a
transaction endeavour to conceal its real character. They call it by a name, or give it a shape,
intended not to express but to disguise its true nature. And whe n a court is asked to decide
any right under such a greeme nt, it can only do so by giving effect to what the transaction
really is; not what in form it purports to be." If the parties ha ve decide d to rec ord their
contract in writing, this principle even prevails over the parol evidence rule (which, if strictly
applie d, c ould lea d to se vere ine quities in cases of sim ula te d tra nsactions); cf. Christie,
Contract, pp. 162 sqq.
1
For details, see A.W. Lintott, Violence in Republican Rome (1968), pp. 175 sqq., 208 sqq.
On2the annulment of laws passed by violence cf. pp. 132 sqq.
Cf, for example, the episode involving the praetor Asellio who was assassinated by
moneylenders: supra, pp. 167 sq.
3
4
Cf., for example, the episode recounted in Plutarch, Vitae, Cato minor, 28, 1,
On him cf. e.g. Hans Georg Gundel, in: Kleiner Pauly, vol. 1, col. 1227 sq.
5
6
Lintott, op. cit., note 1, pp. 74 sqq.
Details in Lintott, op. cit., note 1, pp. 149 sqq, Cf. further the observations by Frier,
Roman Jurists, pp. 52, 270 sq.
7
Lintott, op. cit., note 1, pp. 175, 204 sq. For a more detailed discussion of the morality
of political violence, more particularly on Cicero's views ("misconceived and short
sighted"), cf. pp. 52 sqq.; but see also Frier, Roman Jurists, pp. 118 sqq. On Roman reliance
on self-help cf. also Gunter Wesener, "Offensive Selbsthilfe im klassischen romischen
Recht", in: Festschrift Artur Steinwenter (1958), pp. 100 sqq.; Theo Mayer-Maly, RE, vol. IX
A 1, 1961, col. 315 sqq.; Alfons Burge, "Vertrag und personale Abhangigkeiten im Rom der
651
spaten Republik und dcr friihen Kaiserzeit", (1980) 97 ZSS 107 sqq.; cf. also the case
underlying Cicero's speech pro Caecma (on which sec the detailed analysis by Frier, Roman
Jurists, passim, e.g. pp. 24 sq.).
K
Mommsen, Romisches Strafrechl (1899), pp. 705 sqq.; Bergc-r, p. 675; D.V. Simon, in:
Kleiner Pauly, vol 4, col. 1379 sq. The term "repetundae" indicates things or money given
to an
9
official under extortion as a bribe which could therefore be claimed back (repetere).
This is what happened in the case of Verres, whose machinations Cicero exposed in a
series of famous speeches. Verres withdrew to Massilia (Marseilles) where he lived most
comfortably for the next 26 years off his proceeds and surrounded by the art treasures heaped
up during the three years of his governorship in Sicily. He was killed in A.D. 43 after
Antonius and Octavianus had seized power in Rome. Cf. e.g. M. Deissmann-Merten, in:
Kleiner Pauly, col. 1207 sqq.
' It was entirely inadequate. On the control of violence by the executive, see Lintott, op.
cit., note 1, pp. 89 sqq.; on legislation against violence, see Lintott, pp. 125 sqq.
"12 Ulp. D. 50, 17, 116 pr.
"Si metu coactus adii hereditatem, puto me hcredem effici, quia quamvis si liberum
esset noluissem, tamen coactus volui": Paul. D. 4, 2, 21. 5; cf. also Cels. D. 23, 2, 22. On
these texts, their possible philosophical background and their implications, see A.S.
Hartkamp, Der Zwang im Privatrecht (1971), pp. 84 sqq., 124 sqq.
13
lust. IV, 13, 1.
Hartkamp, op. cit., note 12, pp. 245 sqq.; Berthold Kupisch, In integrum restitutio und
vindkatio utilis hex Eigentumsiibertragungen im klassischen romischen Redit (1974), pp. 158 sqq.
15
Ulp. D. 4, 2, 1. Ulpian adds: "[O]Hm ita ediccbatur 'quod vi metusve causa': vis cnim
fiebat mentio propter neccssitatem impositam contrariam voluntati: metus instantss vel
futuri penculi causa mentis trepidatio. sed postea detracta est vis mentio ideo, quia
quodcumquc vi atroci fit, id metu quoque fieri videtur." On the relationship between vis and
metus and the development sketched by Ulpian, cf. Udo Ebcrt, "Vi metusve causa", (1969)
86 ZSS 403 sqq.; Hartkamp, op. cit., note 12, pp. 1 sqq.; Kupisch, op. cit., note 14, pp. 192
D. 4, 2, 6. Cf. also Ulp. D. 4, 2, 7 pr.: ". . . si quis meticulosus rem nullam frustra
timuerit, per hoc edictum non restituitur, quoniam neque vi ncque metus causa factum est."
17
Schulz, Principles, p. 224.
18
19
Cf. Ulp. D. 4, 2, 5.
He represents a Byzantine generalization of classic casuistry. For all details, see
Hartkamp, op. cit., note 12, pp. 27 sqq.
20
C f. e .g . U lp . D . 4 , 2 , 3 , 1 .
21
C f. e .g . U lp . D . 4 , 2 , 7 , 1 .
22
Paul. D . 4, 2, 8, 1.
5. The remedies
(a) The actio quod metus causa
This brings us to the remedies provided by the praetor in order to give
teeth to his verdict of "ratum non habebo". The actio quod metus
causa, without doubt, was the most potent and attractive weapon in the
23
Paul. D. 4, 2, 8, 2.
24
С 2, 19. 10 (Di ocl. et Max. ).
25
Ulp. D. 4, 2, 7 pr.
2f
' Le gal transactions and factual acts; for exam ples of the latter cf. Pom p./Ulp. D. 4, 2,
9, 2; Pa ul. D. 4, 2, 21, 2; Kupisc h, op. cit., note 14, pp. 129 sqq.
27
Cf. e.g. Fritz Sc hulz, "Die Le hre vom erz wunge nc n Rec htsgesc ha 'ft im antike n
romischen Recht", (1922) 43 ZSS 220 and passim; Kaser, RPr I, p. 244; Hartkamp, op. cit.,
note 12, pp. 52 sqq.
2H
G.H. Maier, Pratorische Bereichemngsktagen (1932), pp. 96 sqq.
29
Kupi sch, op. cit ., not e 14, pp. 145 sqq.; Max Kaser, "Zur i n i nt egru m restit uti o,
bcsonders wegen met us und dol us", (1977) 94 ZSS 123 sq.
30
Ulp. D. 4, 2, 9, 8.
31
Cf. infra, p. 655.
32
Cf. Ul p. D. 4, 2, 9, 8.
33
Le nd, EP, p. 112.
34
After the lapse of one year, liability was confined to si mplum: Ulp. D. 4, 2, 14, 1.
Justi nian broke down the amount of quadrupl um int o a (restituti onary) condemnation in
si mplum and a poena tripli. Cf. Ulp. D. 4, 2, 14, 10 sq. (itp.); Hartkamp, op. cit., note 12,
pp. 285 sq. and, generally. Kaser, RPr II, p. 429.
Cf. Ulp. D. 4, 2, 9, 8: "Cum autem haec actio in rem sit scripta ncc personam vi m
facientis coerceat, sed adversus omncs restitui vclit quod metus causa factum est . . ."; Ulp.
D. 4, 2, 9, 1: "Animadvertendum autem, quod praetor in hoc edicto generalker el in rem
loquitur nee adicit a quo gestum." Very clear is Bartolus, Commentaria, ad D. 4, 2, 9, 8:
"Haec actio est in rem scripta, ideo datur contra omnes, ad quos commodum pervenit ex
mct u. "
36
Kupisch, op. cit., not e 14, pp. 176 sqq.; Kaser, (1977) 94 ZSS 126 sqq.
37
That the actio quod metus causa could be brought against (bona fide) third parties who
had acquired the extorted thing has been disputed in the past; cf. e.g. Schulz, (1922) 43 ZSS
240 sqq.; Ulrich von Lubtow, Der Ediktsiitel "Quod metus causa gestum erit" (1932), pp. 168
sqq. But d. Ulp. D. 4, 2, 14, 5; Ul p. 4, 2, 9, 8 (both not interpolated) and Hartkamp, op.
cit., note 12, pp. 201 sqq.; Kaser, (1977) 94 ZSS 127 sqq. and particularly Kupisch, op. cit.,
note 14, pp. 199 sqq., who gives a detailed analysis of the historical development.
38
Ul p. D. 4, 2, 14, 5 in fine.
39
Cf. Ulp. D. 4. 2, 14, 4; Inst. IV, 6, 27; Lcnel, EP, p. 112. On actiones arbitrari ae in
general, see Kaser, RZ, pp. 256 sqq.
40
Cf. e. g. Hartkamp, op. cit., not e 12, pp. 245, 274.
41
Inst. IV, 6, 21.
42
For specul ations about the (pol iti cal ) background of the acti o me tus causa and i ts
relationship with the leges de rebus repetundis, cf. in particular Hartkamp, op. cit., note 12,
pp. 250 sqq.; Kupisch, op. cit., not e 14, pp. 228 sqq.; Kaser, (1977) 94 ZSS 120 sqq.
43
Cf. e.g. Lenel, EP, pp. 110 sqq.; Schulz, (1922) 43 ZSS 216 sqq.; idem, CRL, pp. 600
sqq.; von Lubtow, op. cit., not e 37, pp. 81 sqq.; Ernst Levy, "Zur nachkl assischen in
int egrum restit uti o" (1951) 68 ZSS 361 sqq.; Hartka mp, op. cit., not e 12, pp. 189 sqq.;
Buckl and/ St ei n, p. 593; Kascr, RPr I, p. 244; cf. also, most recently, Alvaro D' Ors, "El
comentario de Ulpiano a los edictos del ' metus' ", (1981) 51 AHDE2B7 sqq.; Hans Ankum,
"Ei ne neue Interpret ation von Ulpian Dig. 4, 2, 9, 5-6 iiber die Abhilfe gegen metus", in:
Festschrift fur Heinz Hiibtter (1984), pp. 3 sqq.
44
Cf. e.g. Schulz, (1922) 43 ZSS 229 sqq.; von Lubtow, op. cit., note 37, pp. 218 sqq.;
Levy, (1951) 68 ZSS 422 sq.; Hartkamp, op. c i t . , not e 12, pp. 59 sqq., 285.
45
Sc hulz, p. 604. Kaser, (197 7) 94 ZSS 109 c om m e nts as follows: "Nur a uf we nige n
Ge biete n des Juriste nrec hts erwec kt . . . die ne uzeitlic he Interpolatione n-Kritik durc h
Streichungen und Zusatze, zuweilen auch durch Umstellungen, so stark wie hier den
Eindruc k des Kra m pfhafte n, die die a nge wa ndte Methode z u diskreditie re n droht" (only
rarely in m ode rn c ontributions to the la w of the R om a n jurists doe s one find e qua lly
de spe ra te a nd fra ntic e fforts to sp ot inte rpola tio ns a n d to a m e n d the te xts b y wa y of
deletions, additions and occasionally even by way of a rearrangement; efforts which threaten
to discre dit the method a pplied).
46
Othe rs, w hic h c o ul d be use d a lterna tive ly for the sa m e p urp os e (na m e ly tha t of
restitutio in inte grum ) were the so-calle d rcscissory (from "rescindere ". "to pull down")
actions modelled by the praetor according to the circumstances of each case and designed to
set aside the effects of quod metus causa gestum erat. They were based on a fiction, for the
judge was instructe d to treat the matter as if the transaction ha d not taken place. Thus, for
instance, where ownership had been transferred under duress, the plaintiff was granted an
actio in rem on the model of the rei vindicatio. Cf. Ulp. D. 4, 2, 9. 4 and 6 and 7; for details,
see Kupisc h, op. cit., note 14, pp. 134 sqq.; Kaser, (1977) 94 ZSS 138 sqq. The plaintiff
appare ntly ha d the c hoice betwee n this rescissory action (whic h did not involve a poe na
qua drupli) a nd the actio quod metus ca usa.
47
This is the main thesis of Kupisch's book on in integrum restitutio, op. cit., note 14, pp.
123 sqq. It was hailed as "revolutionary" by Kaser, (1977) 94 ZSS 110, 116.
48
Kupisch, op. cit., note 14, pp. 145 sq., 228 sqq.; Kaser, (1977) 94 ZSS 115 sqq.; contra:
Ankum. h'estschrift Hiibner, pp. 17 sq. This view appears to have prevailed among the authors
of the ius commune too. Very clear on this point e.g. Voet, Commentarius ad Pandectas, Lib.
IV, Tit. II, VII: ". . . Sed nee refert, an ipse metum faciens, an tertius bonae fidei possessor,
justo etiam munitus titulo, conveniatur, quantum ad hanc quadrupli persecutionem: neque
enim existimandum est, ilium praestando quadruplum ex alieno admisso, seu illato per alium
met u, poena m subi ro: nam cu m haec actio arbit rari a sit, et inili o inspecto non nisi rei
persecutionem comprchendat, . . . sic ut quadruplum non tamen metus lllati quam
contumaciae commissae coercitio dicenda sit."
4y
Ulp. D. 4, 2, 14, 3 in fine.
50
Ul p. D. 44, 4, 4, 33.
51
Ibid.
52
Exam ple: A forces В to promise (by way of stipulation) to С. В is able to raise the
exceptio metus against C's condictio. On the exce ptio metus, see Hartka m p, op. cit., note
12, pp. 270 sqq.; Kupisc h, op. cit., note 14, pp. 170 sqq.
э3
"Sed et si quis per vim stipulatus cum acceptum non faceret, fuerit in quadruplum
condemnatus, ex stipulatu cum agentem adversus exceptionem replicatione adiuvari Iulianus
putat, cum in quadruplo et sim plum sit reus consecutus. Labeo autem etiam post qua drupli
actione m nihilo m inus e xce ptione sum m ove ndum e um, qui vim intulit, dice bat."
54
Cf. also Sc hulz , CRL, p. 604.
55
Kaser, RPr 1, p. 245; Honsell/Mayer-Maly/Sclb, p. 127. Cf. further the detailed analysis
by Ha rtka m p, op. c it., note 12, pp. 84 sqq., 148 sqq.
56
Cf. e.g. De Wet en Yeats, pp. 43 sqq.; Joubert, Contract, pp. 104 sqq.; Wessels, Contract,
vol. I, nn. 1165 sqq.
57
Ulp. D. 4, 2, 5.
5H
Cf. Lauterbach, Collegium theoretico-practicum, Lib. IV, Tit. II, XI. 59 Voct, Commentarius
ad Pandectas, Lib. IV, Tit. II, XII. Cf. also still art. 1114 code civil. 6(1 This was based,
mainly, on Ulp. D. 44, 5, 1, 5 and 6 concerning the relationship between freedman and
patron.
61
For a detailed discussion c{. j.E. Scholtens, "Undue Influence", 1960 Ada Juridica 276
sqq^
62
Co m m e n t a riu s a d Pa nd e c t a s, Li b. I V , T i t . I I , X L
63
Co ll egiu m th eo re ti co-p ra ct icu m , Li b. I V , Ti t . II , VI .
64
V oe t , Co mm en t a ri u s ad Pan de c ta s, Li b. I V , T i t . II , X . For Sout h Af ri c an l a w cf. J oube rt ,
Con t rac t, p. 107.
Pot hi e r, Trai te d e s o bl igat ion s, n. 26.
6fi
Nicholas, FLC, pp. 101 sq.
67
6H
§ 123 BGB.
John P. Dawson, "Economic Duress and the Fair Exchange in French and German
Law", (1936-37) 11 Tulane LR 345 sqq.; cf. also, more recently, idem, "Unconscionable
Coercion: The German Version", (1976) 89 Harvard LR 1041 sqq.
09
Commentarius ad Pandectas, Lib. IV, Tit. II, XI.
7(1
Art. 1112 code civil; c(. also Pothicr, Traite des obligations, n. 25, who had specifically
rejected the sta nda rd of the "mo st consta nt" ma n.
71
Cf. e.g. Voet, Commentarius ad Pandectas, Lib. IV, Tit. I I , XI; Pothier, Traite des
obligations, n. 25; art. 1112 code civil (on the "unfortunate conflation of the objective Roman
rule and the su bjective approa ch preferred by Domat and Pothier", cf Nichola s, FLC, p.
101). Contra e.g. Grotius, De jure belli ac pads. Lib. II, Cap. XI, VII.
7i
But see the discu ssion in Glu ck, vol. 5, pp. 472 sqq.
73
Voet, Commentarius ad Pandectas, Lib. IV, Tit. II, I; cf. further Joubert, Contract, p. 105;
Wessels, Contract, vol. I, n. 1197. Often, however, certain exceptions were recognized, e.g.
in case of a promise of dowry or of a datio libertatis (Voet, Commentarius ad Pandectas, Lib.
IV, Tit. II, XV).
74
The distinction between vis absoluta and vis compulsiva stems from the Middle Ages
and has been developed by glossators and canonists; cf. Hartka mp, op. cit., note 12, pp. 3
sqq. T he Roma ns did not deal with ca ses of vis a bsoluta.
Voet, Commentarius ad Pandectas, Lib. IV, Tit. II, I; today cf. De Wet en Yeats, pp. 43 sq.
Cf. also, from a philosophical point of view, Thomas Hobbes in his Leviathan, as
quoted by Atiyah, Rise and Fall, p. 43: "Feare and Liberty are consistent; as when man
throweth his goods into the Sea for feare that the ship should sink, he doth it neverthelesse
very willingly, and may refuse to doc it if he will: It is therefore the action, of one that was
free; so a man sometimes pays his debt, only for jeare of Imprisonment, which because no
body hindered him from detaining was the action of a man at liberty." "Hobbes realizes, of
course", Atiyah carries on, "that there must be certain exceptional cases where the civil law
in a political society will . . . be disinclined to enforce a [promise extracted by duress]. But
even in such case he appears to have some notion, peculiar though it may seem to us, that
the promise is somehow prima facie binding, and it is only by the grace of the positive laws
of the State that the promisor is freed from his promise."
78
System, vol. Ill, pp. 102 sqq.
§ 123 BGB. ™§ 142
Hl
BGB.
" Traite des obligations, n. 26. Cf.
Nicholas! FLC, pp. 74 sqq.
But see § 875 ABGB; for a comparative analysis cf. Zweigert/Kotz, pp. 128 sq.
83
C f . "M o t i v e " , i n : M t t q d a n , v o l . I , p p . 4 6 5 s q .
84
Cf . e . g. V oe t , Co m m e n t a ri n s a d Pa n d e c t a s, Li b. I V , T i t . I I , I V ; Wi nd s che i d/ K i pp , § 8 0,
n. 5; We s se l s , Co n t ra c t , v ol . I , n. 1 20 2 .
85
D c W e t e n Y e a t s , p p . 4 5 s q . ; J o u b c r t , C o n t ra c t , p . , . 1 . 1 0 . C 7 o J i t f a ; - H ^ - - H a h l o / E l l i s o n
Kahn, The Union of South Africa (1960), pp. 472 sq. Cfr^so^vig^y,, System^ Щ-.-Ш^р. 117,
who described metus as the worse and more dangerous fonra oT "disHrtfti'hc fiUv and1 order.
,'J *CC-1CQ'V &■ ■ ■ ' ■ . T , 1 -"
1
( ^ ^
II. DOLUS
1. The remedies for dolus and metus compared
The three dots in our quotation of § 123 I BGB94 stand for the words
86
Groenewegen, Cod. Lib. II, Tit. XX, 1. 4.
87
Cf. e.g. Windsc heid/Kipp, § 462.
8H
Cf. e.g. Treitel, Contract, p. 312. As under the ius commune, it is not clear whether a
contract procured by duress is void or voidable. According to Atiyah, Rise and Fall, pp. 434
sqq., duress (and mistake) "were whittled awa y in the nineteenth century as defences to
actions on executory contracts till virtually nothing was left of them". He sees the "severe
limitations now imposed on the concept of duress [as] a natural corollary of the will theory".
Cf. particularly his analysis of Skeate v. Beaie (1841) 11 Ad & El 983.
8
" But see Lloyds Bank Ltd. v. Buttdy [1975] QB 326 (CA) and Zweigert/Kotz, pp. 127 sq.,
as well as, m ore rece ntly, Pao On p. Lan Yin Long [1980] AC 614 a nd Treitel, Contract,
pp. 312 sqq.; Atiyah, Pragmatism and Theory in English Law (1987), pp. 15 sq. As to the
exclusion of ec onomic duress, Atiya h, Rise and Fall, p. 436, com me nts: ". . . the
nineteenth-century rules were made in the context of a market-based law of contract. In the
market economic pressures are comm onplace, and a market-based law of contract cannot
treat the m as a vitiating ground."
9(1
Treitel, Contract, pp. 314 sqq.
91
Cf. e.g. Mauerberger v. Mauerberger 1948 (4) SA 902 (C) at 909-13; Preller v.Jordaan 1956 (1)
SA 483 (A) at 492H-493B; Wessels' Contract, vol. I, nn. 1208 sqq.; Lee, Introduction, p. 231.
92
Van den Heever JA in Preller v.Jordaan 1956 (1) SA 483 (A) at 499H sqq.; De Wet en
Yeats, pp. 47 sqq.
93
Generally on undue influence in South African law, see L.F. van Huysteen, Onbehoorlike
Bei'nvheding en Misbruik van Owstandighede in die Suid-Afrikaanse Verbintenisreg (1980), pp. 108
sqq.; Joubert, Contract, pp. I l l sqq.; Ellison Kahn, "Undue Influence in the Formation of
Contract ", (1974) 91 SALj 307 sqq.
94
Cf. supra, p. 661.
95
"If a third party was guilty of the fraud, a declaration which was required to be made
to another person may be rescinded only if the latter knew or should have known of the
fraud. Insofar as a person other than the one to whom the declaration was required to be
made has acquired a right directly through the declaration, the declaration may be rescinded
as against him if he knew or should have known of the fraud."
For the rationale and justification of this rule, cf. "Motive", in: Mugdan, vol. I, pp. 466
sq. On the problem of who may be regarded as third party in terms of this rule, cf. Flume,
AT, § 29, 3; Ernst Kramer, in: Mtinchener Kommentar, vol. I (2nd ed., 1984), § 123, nn. 18
sq. French law permits rescission on account of dolus only if the other party to the contract
has committed the fraud: "Le dol ne pent entrainer la nuttite que s'il emane du cocontractant": cf.
Zweigert/Kotz, p. 126.
97
Cf. e.g. Iul. D. 30, 84, 5: ". . . quia hoc iudicium fidei bonae est et continet in se doli
mali exceptionem." On the classicity of this text (and others), cf. Rolf Knutel, "Die Inharenz
dermexceptio pacti im fidei bonae iudicium", (1967) 84 ZSS 133 sqq.
' Cf., for example, the cause celebre involving the banker Pythius from Syracuse who
sold a seaside villa to the Roman knight Canius. In order to create the impression that this
was the great fishing-ground in the area, he had hired a fishing fleet to cruise around in front
of the villa. The story is told by Cicero, De officiis, 3, XIV—60; cf. further Theo
Mayer-Maly, "Privatautonomie und Vertragsethik im Digestenrecht" (1955) 6 lura 133 sqq.;
von Liibtow, Eranion Maridakis (infra, note 99), pp. 184 sqq.; Max Kaser, "Unlautere
Warenanpreisungen beim romischen Kauf", in: Festschrift fur Heinrich Detnetius (1973), pp. 133
sqq.; Ralf Michael Thilo, Der Codex accepti et expettsi im Romischen Recht (1980), pp. 300 sqq;
Geoffrey MacCormack, "Aliud simulatum, aliud actum", (1978) 104 ZSS 640 sq. The
parties were, however, able to protect themselves by way of a specific undertaking in the
form of a stipulation ("dolum malum abesse afuturumque esse", "ut a te dolus malus
absit", etc.). For details on the clausula doli, see Helmut Coing, "Die clausula doli im
klassischen Recht", in: Festschrift fur Fritz Schulz, vol. I (1951), pp. 97 sqq.; Geoffrey
MacCormack, "juristic Use of the Term Dolus: Contract", (1983) 100 ZSS 522 sqq.; idem,
"'Dolus' in Republican Law", (1985) 88 BIDR 17 sq.
In this instance, it was Gaius Aquilius Gallus who either introduced or at least inspired
the introduction of the relief (in about 66 B.C.). For details, see Ulrich von Lubtow, "Die
Ursprungsgeschichtc der exceptio doll und der actio de dolo malo", in: Eranion Maridakis,
vol. I (1963), pp. 183 sqq.; Massimo Brutti, La problematica del dolo pracessuale nelV esperienza
romana (1973), pp. 128 sqq. On C. Aquilius Gallus cf. Frier, Roman Jurists, pp. 140 sqq.;
Wieacker, #ft, pp. 600 sq.
1Ш
Cf. in particular Ernst Levy, "Zur nachklassischen in integrum restitutio", (1951) 68
ZSS 410 sqq.; Andreas Wacke, "Kannte das Edikt einc in integrum restitutio propter
dolum?", (1971) 88 ZSS 105 sqq.
101
Kupisch, op. cit., note 14, pp. 241 sqq.; cf. further Kaser, (1977) 94 ZSS 143 sqq.;
Brutti, op. cit., note 99, pp. 352 sqq.; Arthur Hartkamp, "Die Drittwirkung der in integrum
restitutio", in: Daube Noster (1974), pp. 133 sqq.
1(12
Cf. Lcnel, EP, p. 115.
1(13
The same applied to the exceptio doli; cf. Ulp. D. 44, 4, 4, 33 (". . . exceptio doli
personam complectitur eius, qui dolo fecit").
1(14
Cf. Ulp. D. 4, 3, 17 pr.; Paul. D. 4, 3, 18 pr.
105
Cf. e.g. Ulp. D. 4, 3, 1, 4; Ulp. D. 4, 3, 11, 1. Hence, for instance, ". . . quibusdam
personis non dabitur, ut puta liberis vel libertis adversus parentes patronosve".
106
Ulp. D. 4, 3. 1, 1. On the clause "si dc his rebus alia actio non sit" cf. D. 4, 3, 1, 4 sqq.;
Bernardo Albanese, "La sussidianeta dell' actio de dolo", (1961) 28 Annali Palermo 173 sqq.;
cf. also Alan Watson, "Actio de dolo and actiones in factum", (1961) 78 ZSS 392 sqq.; Klaus
Slapnicar, "Ubcr die Aktivlegiti mation zur actio legis Aquiliae und actio dc dolo im
Drcipersonenverhaltnis", in: De iustitia et iure, Festgabe fiir Ulrich von Liibtow (1980), pp. 233
sqq.
1117
Kaser, (1977) 94 ZSS 146.
1(18
Ulp, D. 4, 3. 1, 2 in fine. For a decailed analysis of the definitions contained in D. 4, 3,
1. 2 and 3, c f. Antoni o Carcate rra, Dohi s bonus/dolus ma ins- E seye si di D. 4 , 3 , 1, 2-3 (1970) .
1(W
Cicero, De officiis, 3, XIV—60. For details cf. MacCormack, (1987) 104 ZSS 639 sqq.;
on11dolus
0
in Republican law generally, see MacCormack, (1985) 88 BIDR 1 sqq.
"Labeo libro trigensimo scptimo posteriorum scribit, si oleum tuum quasi suum
defendat Titius, ct tu hoc oleum deposueris apud Seium, ut is hoc venderet et pretium
servaret, donee inter vos deiudicetur cuius oleum essct, neque Titius vclit iudictum accipere:
quoniam ncque mandati neque sequestrana Seium convenirc potes nondum impleta
condicione depositionis, de dolo adversus Titium agendum, sed Pomponius libro vicensimo
scptimo posse cum sequestre praescriptis verbis actione agi, vel si is solvendo non sit, cum
Titio de dolo." Cf., on this and further examples, most recently Geoffrey MacCormack,
"Dolus in the Law of the Early Classical Period (Labeo-Celsus)",' (1986) 52 SDMI 237 sqq.
111
However, the actio de dolo against A is granted only if С has fallen insolvent (i.e. as
a last resort). In the first place, В is given an actio praescriptis verbis against C; any other
solution would lead to the highly irregular result that С would be able to keep the oil.
112
Cf. e.g. Andreas Wacke, "Zum dolus-Begriff dcr actio dc dolo", (1980) 27 RIDA 350
sqq.3 against Carcaterra, op. cit., note 108, pp. 40 sqq.
"114 Lab./Ulp. D. 4, 3, 7, 3. Cf. MacCormack, (1986) 52 SDHI 239 sq.
Afr. D. 30, 110.
115
Paul. D. 19, 5, 5, 2.
!l6
Trebatius/Paul. D. 4, 3, 18, 3. Nota bene that the actio de dolo was granted in this
instance even though the defendant had no intention of benefiting from the transaction.
117
lav. D. 50, 17, 202. Generally, on the role of definitions in Roman jurisprudence, see,
most recently, Wieacker, RR, pp. 630 sqq.
118
Cf. particularly Wacke, (1980) 27 RIDA 360 sqq.; MacCormack, (1986) 52 SDHI 242
sqq. and Gliick, vol. 4, pp. 108 sqq.; Ludwig Mitteis, Romisches Privatrecht bis auf die Zeit
Diokletians, vol. I, p. 320; also Kaser, RPr I, p. 628; Honsell/Mayer-Maly/Selb, pp. 371 sq.
For a different view (extension of dolus concept only in post-classical times), cf. e.g. Fritz
Litten, "Zum dolus-Begriff in der actio de dolo", Festgabv fiir Karl Giiterbock (1910),
pp.119257 sqq.
Pap. D. 46, 3, 95, 1 (". . . Quod si promissoris fuerit electio, defuncto altero qui
superest aeque peti poterit. enimvero si facto debitons alter sit mortuus, cum debitoris esset
electio . . ., si et alter servus postea sine culpa debitoris moriatur, nullo modo ex stipulatu
agi poterit, cum illo in tempore, quo moriebatur, non commiscrit stipulationem. sane
quoniam impunita non debent essc admissa, doli actio non immerito desidcrabitur . . .").
120
Impp. Diocl. et Max.
121
Cf. supra, pp. 534 sq.
122
Generally e.g. Hartkamp, op. cit., note 12, pp. 137 sqq.
123
D. 19, 5, 5, 3; cf. further Ulp. D. 11, 6, 5 pr. and Wackc, (1980) 27 RIDA 373 sqq.
™ Kaser, RPr I, pp. 488 sq.; Honsell/Mayer-Maly/Selb, p. 372.
123
Gai. IV, 119; on its origin, see von Lubtow, Eranion Maridakis, pp. 192 sqq.
126
The so-calle d e xce ptio doli prae teriti or spe cialis. On dolus in c o ntra he ndo cf. the
monograph by Karl Heldrich, Verschulden bei Vertragsabschluss (1924), and Peter Stein, Fault
in the Formation of Contract (1958).
127
Paul. D. 44, 4, 8 pr.; also Paul. D. 50, 17, 173, 3.
128
(1986) 52 SDMI 263 sq.
129
Cass./UIp. D. 44, 4, 4, 33; Brutti, op. cit., note 99, pp. 625 sqq. On the relationship
between exceptio doli and exceptio pacti, sec Brutti, op. at., note 99, pp. 648 sqq.; Andreas
Wa cke, "Zur Lehre vom pact um t acit urn und zur Aushil fsfunkti on der excepti o doli ",
(1973) 90 ZSS 227 sqq.
130
Paul. D. 44, 4, 1, 1.
131
Cf. e.g. Paul. D. 17, 2, 3, 3 (referring to societas).
132
As revealed, for instance, in lav. D. 19, 2, 21: "[B]ona fides exigit, ut id quod convenit
fiat."
133
Ulp. D. 44, 4, 2 pr.; cf also Ulp. D. 4, 3, 7, 8 and Wacke, (1980) 27 RIDA 371 sqq.
134
Kaser, RPr II, p. 349: Wacke, (1980) 27 RIDA 384 sqq.; but cf. MacCormack, (1986)
56 SDHI 284 sq.
135
Generally Schulz, Principles, pp. 223 sqq.
13 0 1
Ulp. D. 4, 3, 1, 3: "Non fuit autem contentus praetor dolum dicere, sed adiecit
mal um, quoni am vet eres dol um eti a m bonum di cebant et pro soll erti a hoc nome n
accipiebant. . . ." On dolus bonus cf. especially Carcaterra, op. cil., note 108, pp. 115 sqq.;
Andreas Wacke, "Circumscribere, gerechter Preis und die Arten dcr List", (1977) 94 ZS S
221 sqq
- Ulp. D. 4, 3, 1, 3 (". . . maxi me si adversus hostem latronemve quis machinetur").
l3H
Lab./ Ulp. D. 4, 3, 1, 2; Wacke, (1977) 94 ZSS 227 sq.
139
Cf. Wieslaw Litcwski, "Dolus et misericordia dans le droit romain classique", (1972)
5 Archh'um Iuridicum Cracoviense 91 sqq.
140
Cf. supra, pp. 256 sqq.
141
Ulp. D. 4, 3, 1, 3.
142
M o m m se n/Kruge r/ W atson, Ulp. D. 4, 3, 1. 3.
143
Ulp. D. 4, 4, 16, l;Paul. D. 19, 2, 22, 3; for details, sec Mayer-Maly, (1955) 6/ига 128
sqq.; Wacke, (1977) 94 ZSS 185 sqq.
144
Cf. Carca terra, op. cit., note 108, p. 164.
145
For details of the development cf. Brutri, op. cit., note 99, pp. 11 sqq., 35 sqq.; cf. also
Paul Wezel, Dolus causam dans und dolus incidens (unpublished Dr. iur. thesis, Tubingen,
1928), pp. 2 sqq.
14
' Azo, Summa Codicis, De dolo malo Rubrica.
147
Where both parties have acted fraudulently, a kind of compensatio doli takes place; an
application of the more general principle that an action cannot be brought by a person who
ha s him self bee n guilty of be ha viour tinge d with turpitudo (ne m o a uditur turpitudine m
sua m allc ga ns). Cf. Marc. D. 4, 3, 36 "Si duo dolo malo fecerint, invice m de dolo non
agent"; further Ulp. D. 44, 4, 4, 13; Iul. D. 2, 10, 3. 3; Paul. D. 18, 1, 57, 3; Cluc k, vol. 4,
pp. 120 sqq. Cf. also infra, pp. 865 sq.
4
Ulp. D. 4, 3, 7 pr. For modern analyses of this text (which has often been regarded as
being at least partly interpolate d; cf. already Gerard Noodt, "De forma eme nda ndi doli
mali", in: Opera omnia (Lugduni Batavorum, 1724), Cap. XIV (pp. 377 sqq.), and many
others, quoted by Gluck, vol. 4, p. 115), cf. J.C. van Oven, "D. 4, 3, 7 pr. Contribution a
I'histoire du dol dans les conventions", in: Studi in onore di Emilio Albertario, vol. 1 (1953), pp.
273 sqq.; Stein, Fault, pp. 88 sqq.; Albanese, (1961) 28 Annali Palermo 187 sqq.; Hartkamp,
op. cit., note 12, pp. 140 sqq.; Brutti, op. cit., note 99, pp. 18 sqq.; Wacke, (1977) 94 ZSS
236 sqq.
H
" Which, according to Wacke, (1977) 94 ZSS 236 sqq. (Honscll/Mayer-Maly/Selb,
p. 1511
128 concurring), indeed finds its root in classical Roman law.
Voct, Commentarius ad Pandectas, Lib. IV, Tit. Ill, IV.
151
Voet, Commentarius ad Pandectas, Lib. IV, Tit. Ill, III sqq.; Huber, Heedendaagse
Recktsgeleertheyt, IV. Boek, XXXIX. Кар. For other Roman-Dutch authors, see Wouicr de
Vos, "Skadevcrgoeding en terugtredc weens bedrog by kontraksluiting", 1964 Ada Juridica
281Ssqq.
* Lauterbach, Collegium theoretico-practicum. Lib. IV, Tit. Ill, VI sqq.; Stryk, Usus
modernus pandectamm, Lib. IV, Tit. Ill, § 5; Struve, Syntagma, Exerc. ИХ, Lib. IV, Tit. Ill,
XXVII sqq.
153
Cornelis Willem Decker, n. I ad Simon van Leeuwen, Het Roomsch Hotlandsche Recht
{Amsteldam, 1783), IV. Bock, II. Deel, 1; cf. further e.g. Vinnius, Institutiones, Lib. IV, Tit.
VI, 28; A.S. De Blccourt, H.F. W.D. Fischer, Kort heqrip van het oud-vaderlands burgerlijk recht
(7th
b4
ed., 1959), p. 275; Gluck, vol. 4, p. 127.
For a different view, see Noodt, op. cit., note 148, Cap. Ill sqq., who argued that all
contracts bonae fidei affected by whatever kind of fraud were void. On Noodt's views cf.
Brutti, op. cit., note 99, pp. 82 sqq.; G.C.JJ. van den Bergh, The Life and Work of Gerard
Noodt (1647-1725), 1988, pp. 245 sqq.
155
Cf. e.g. Pothier, Traite des obligations, n. 29.
15<1
Savigny, System, vol. HI, pp. 112 sqq.; Windscheid/Kipp § 78.
157
". . . ne cui dolus suus per occasionem iuris civilis contra naturalem aequitatem
prosit": Ulp. D. 44, 4, 1, 1. For further arguments cf. Vangerow, Pandekten, vol. Ill, pp. 274
sqq.3
Cf. e.g. Vangcrow, Pandekten, vol. Ill, p. 275; Regelsberger, Pandekten, p. 537;
Windscheid/Kipp. § 78.
■ There is, however, some doubt as to its significance. More particularly, the question
has not been authoritatively settled whether the remedy of rescission is available to the
defrauded party even in cases of incidental fraud. For details, see Gous v. De Kock, Combrinck v.
De Kock (1887) 5 SC 405; Vlotman v. Landsberg (1890) 7 SC 301; Karroo and Eastern Board of
Executors and Trust Co. v. Farr 1921 AD 413; Lee, Introduction, pp. 226 sqq.; Wessels. Contract,
vol. I, nn. 1097 sqq., 1126 sqq.; De Vos, 1964 Actajuridica 33 sqq.; Van Rcnsburg, Lotz, van
Rhijn, "Contract", in: Joubert (ed.), The Law of South Africa, vol. 5(1978), n. 134.
160
Traite des obligations, n. 31.
lfl1
Cf. also §§ 871 s q . , 875 sq. ABGB.
162
Art. 1117.
the party for whose protection the law has declared the transaction
invalid. However, this applies only "lorsque les manoeuvres piratiquees163
par I'une des parties sont telles, qu'il est evident que, sans ces manoeuvres,
Vautre partie n'aurait pas contracts"\164 Invalidity is thus confined to cases
of dol principal (or substan(iel), whereas in case of a mere dol incident
(or accidentel) the defrauded party may claim damages only, usually in
the form of a reduction of the price. 165 According to § 123 BGB, a
contract may be rescinded no matter whether it has been affected by
dolus causam dans or dolus incidens; it is only required that the
declaration of intention has been "induced" by the fraudulent
behaviour. 166 The fathers of the BGB did not, however,
163
The French code thus specifies the act by means of which the deceit must have been
effected ("manoeuvres"). This is clearly reminiscent of the "machinationes" of the
definitions provided by both Servius and Labeo and has also been adopted in the Italian
("raggiri": art. 1439) and the Dutch {"kunstgrepen"; art. 1364) Code. Can this requirement be
satisfied by mere silence (dol par reticence)? The French courts have displayed great flexibility
and recognize today that dol can consist of the silence of one party concealing from the other
a fact which, if he had known it, would have prevented him from contracting (Nicholas,
FLC, pp. 98 sqq.). This has brought French law into line with modern German law, which
does not require the deceit to have been effected by "manoeuvres"; failure to state a fact
constitutes deceit if there was a duty to declare it, which in turn depends on the
circumstances of the individual case. For details of this practically very important form of
deceit according to German law, cf. Kramer, op. cit., note 98, § 123, nn. 13 sqq. English law
follows a more conservative line (as did classical Roman law) and appears to be readier to
hold a party drawing erroneous conclusions from the other party's silence to the contract.
For a comparative analysis, sec Zweigert/K6tz, pp. 124 sq.; for the two interesting and very
similar cases ofLaidlaw v. Organ and of the grain merchants sailing to the famine-stricken isle
of Rhodes, cf. supra, p. 257. The English approach is summarized in Smith v. Hughes (as
quoted above, p. 257, note 140 and p. 307, note 88.), the Roman in the sentence "aliud est
celare, aliud tacere" (Cicero, De ojficiis, 3, XII—52).
lfi4
Art. 1116; cf. also artt. 1439~sq. codice civile.
lf>5
This distinction is criticized by Zweigert/Kotz, pp. 123 sq., but defended by Wacke,
(1977) 94 ZSS 243 sqq.
166
Strictly speaking, § 123 BGB requires "arglistige Tauschung" (fraudulent misrepresen-
tation). This is usually understood to mean intentional deceit (absichtliche Tauschung, as in art.
28 OR). In other words, a simple (unlawful) lie (Zweigert/Kotz, p. 123) is sufficient to
render the contract voidable. For details cf. Ulrich von Liibtow, "Zur Anfechtung von
Willenserklarungen wegen arglistiger Tauschung", in: Festschrift fur Horst Bartholomeyczik
(1973), pp. 249 sqq.; Kramer, op. cit., note 98, § 123, n. 6. In modern South African law,
the remedy of rescission of the contract is available to the victim of a fraudulent
misrepresentation—a fraudulent misrepresentation being an intentional misstatcment of an
existing, material fact which was intended to induce, and did in tact induce, the innocent
party to enter into the contract: see, for example, Kerr, Contract, p. 267. This remedy, based
squarely on dolus, is of Roman and Roman-Dutch provenance . However, the innocent
parry has also long been able to rescind the contract if the misrepresentation was "non-
fraudulent", i.e. either negligent or innocent; see, for example, Dickson & Co. v. Levy 1894
(11) SC 33; Parke v. Hamman, 1907 TH 47; Sampson v, Union & Rhodesia Wholesale (in
liquidation) 1929 AD 468 (480); Harper v. Webster 1956 (2) SA 495 (FC) at 501. This extension
occurred under the influence of English law and, apparently, with no consideration of the
issues involved. In this regard, see Joubert, Contract, pp. 92 sqq., 97 sq. It does not find a
basis in Roman-Dutch law. For an extension of the exceptio doli to cases of dolus praesens
(to cases, that is, where it was considered fraudulent to persist with a claim even though the
claim itself may not have bad its origin in any fraudulent behaviour), cf. Johannes van der
Linden, Supplenientum commentarii ad pandectas (J. Voet) (Utrecht, 1793), Lib. IV, Tit. Ill, I
(referring to Ulp. D. 44, 4, 2, 5); Karroo and Eastern Board of Executors and Trust Co. v. Farr 1921
AD 413 at 415; cf. also Joubert, Contract, p. 97.
167
"Motive", in: Mn% dan, vol. I, p, 467; cf. also Wezel, op. cit. note 145, pp. 21 sqq.
lflH
§§ 123, 142, 139 BGB; cf. further Wacke, (1977) 94 ZSS 244 sq.; Wezel, op. cit.. note
145. pp. 28 sqq.
9
"■ In France § 1382 code civil is applicable; in Germany § 826 BGB and § 823 II BGB in
connection with § 263 StGB (Kramer, op. cit., note 98, § 123, n. 30). In South Atrica it has
always been recognized that a delictual remedy (viz. the actio doli: cf., for instance, De Wet
en Yeats, p. 38) is available to claim damages flowing from fraudulent misrepresentations;
certain difficulties have been experienced with regard to the calculation of damages in cases of
dolus incidens; cf. Bill Harvey's Investment (Pty) Ltd. v. Oranjezicht Citrus Estates 1958 (1) SA
479 (A); Scheepers v. Handley 1960 (3) SA 54 (A); Dejager v. Grunder 1964 (1) SA 446 (A);
Ranger v. Wykerd 1977 (2) SA 976 (A); De Vos, Ada Juridica 26 sqq. But the magna quaestio
in South African law today is whether damages may also be claimed in cases of negligent
misrepresentation. The traditional view is that they cannot: see, in particular, Hamman v.
Moohnan 1968 (4) SA 340 (A); for criticism of this view as being illogical, indefensible in
principle and alien to South African law, c{. the comprehensive references in Bobcrg, Delict,
pp. 62 sq. However, in 1979 the Appellate Division took the momentous step of recognizing
an action in delict for pure economic loss caused by a negligent misstatement (Administrates,
Natal v. Trust Bank van Afrika, Bpk. 1979 (3) SA 824 (A)—see infra, p. 1042). In the wake
of this decision (which was confined to negligent statements outside the field of contract)
the re wa s re ne we d ho pe that the delic tua l re m e dy would also be e xte nde d into the
contractual field. This hope was indeed fulfilled, only two years after the Trust Bank case, by
the Cape Provincial Division of the Supreme Court in Kern Trust (Edms.) Bpk. v. Hurter 1981
(3) SA 607 (C). Here Friedman J held (at 616F-G) that ". . . [there is] no sound reason based
either in principle or logic, why an action [for damages] for negligent misstatement inducing
a contract, should [be denied]. . . . Such an action fits squarely in the confines of the lex
Aquilia." The Kern Trust decision was enthusiastically welcomed by Dale Hutchison, (1981)
98 SALJ 486 sqq. In the meantime, the matter has been thrown into confusion, once again,
by the recent decision of the Appellate Division of the Supreme Court in Lilticrap, H'assenaar
and Partners v. Pilkington Brothers (SA) (Pty.) Ltd. 1985 (1) SA 475 (A) (see infra, p. 906), where a
very restrictive attitude was adopted towards recognizing Aquilian liability "in a c ontractual
setting" (at p. 500G).
17(1
Cf. supra, pp. 546 sqq.
171
Cf, for e xa m ple, pp. 54 6 sq.
172
Cf, for exa m ple, Regelsberger, Pandekten, p. 686; Windscheid/Kipp, § 47, n. 7.
173
Cf., for example, the discussion as to whether, even after the enactment of the BGB,
the exceptio doli continued to exist, by Windscheid/ Kipp, vol. I, pp. 214 sqq.
174
"Protokolle", in: Mugdan, vol. I, pp. 796 sq.; for further exampl es of a si mil arly
cautious attitude (fi rm and stabl e legal rules must not be repl aced by equitabl e judici al
discretion), cf. Fritz Rittner, "Ermessensfreiheit und Billigkeitsspielraum des Zivilrichiers
im deutschen Recht", in: Ermessensfreiheit und BiUigkeitsspieiraum des Zivitrichters, vol. 24 of
Arbeiten zur Rechtsvergleichung (1964), pp. 32 sq.
175
On which, see "Protokolle", in: Mugdan, vol. II, pp. 521 sqq. and Rudolf Henle, Treu
und Glauben irn Rechtsverkehr (1912), pp. 30 sq.
176
"Prdtorische Zauberfortne!"'; Bruno Heusingcr, Rechtsfindung und Rechtsfortbildung im
Spiegel richteriicher Erfahrung (1975), pp. 109 sq.
17?
Wilhclm Weber, in: Staudinger (11th cd., 1961), § 242.
178
For very strong, and early, criticism in this regard, cf. Henle, op, cit., note 175, pp.
3 sqq. ("Diese Bestimmung mil ihrem redlichen Biedermannsgesicht ist zum Triiger einer unheilvollen
Seuchegeworden, die am Mark unseres Rechtslebens vergifiend zehrt." This provision has become,
behind its mask of honesty, uprightness and trustworthiness, the source of a baneful
pestilence, gnawing in a most sinister manner at the inner core of our legal culture). Cf. also
the warnings by Justus Wilhelm Hedemann, Die Flutht in die Generalklauseln, Eine Gefahrjur
Recht und Staat (1933) (still a classic).
179
Cf., in particular, the influential study by Franz Wieacker, Zur rechtstheoretischen
Prazisierung des § 242 BGB (1956); today, for example, Gunther H. Roth, in: Munchener
Kommentar, vol. II (2nd ed., 1985), § 242, nn. 12 sqq., 52 sqq., 106 sqq. Generally on the
problem of judge-made law in a codifi ed system, from a constitutional point of vi ew, cf.
BVerfGE 34, 269 (286).
180
Roth, op. at., note 179, § 242, nn. 224 sqq.
181
Dernburg, Pandekten, vol. I, § 138, 4 in fine.
182 "EstOppel (,y Representation" in die Suid-AJrikaanse reg (1939), pp. 83 sqq.
183
Kerr, Contract, p. 137. For further comment, see, for example, P.J. Aronstam,
"Unconscionable contracts: The South African solution?", (1979) 42 THRHR 21 sqq.; A.D.
Botha, "Die exceptio doli generahs, rektifikasie en estoppel", (1980) 43 THRHR 255 sqq.;
C.F.C. van der Walt, "Die huidige posisie in die Suid-Afrikaanse reg met betrekking tot
onbillike kontraksbedinge", (1986) 103 SALJ 646 sqq.
184
Cf e.g. Aris Enterprises (Finance) (Pty.) Ltd. v. Waterberg Koetkamers (Pty.) Ltd. 1977 (2)
SA 436 (T) at 437G-438C; Novick v. Comair Holdings Ltd. 1979 (2) SA 116 (W) at
156B-157B.
185
Paddock Motors (Pty.) Ltd. v. Igesund 1976 (3) SA 16 (A) at 27H-28F; Zuurbekom Ltd. v.
Union Corporation Ltd. 1947 (1) SA 514 (A) at 535-7.
186
1983 (2) SA 521 (C) at 530H.
187
1988 (3) SA 580 (A).
188
To which (Judge) Alvin B. Rubin's remark, aimed at the American judiciary, would
appear to apply; "Let me mention one other time-consuming task of judges that appears to
me to be an obsessive preoccupation. It is our concern, particularly at the appellate level,
with trying to write the kind of opinion that we think law school teachers will consider
scholarly" ("Bureaucratization of the Federal Courts, The Tension Between Justice and
Efficiency", (1979-80) 55 Notre Dame Lawyer 655). In the Bank of Lisbon case, Joubert JA
took the opportunity to join the academic battlefield and to pass judgment, not only on the
question of the existence of the exceptio doli in South African law, but also on the merit of
the contributions of other academic writers. J.C. de Wet's doctoral thesis found favour in
Joubert JA's eyes (". . . as De Wet correctly pointed out" (p. 598A}), but the unpublished
(!) thesis of a relatively junior academic from Bloemfontein became the object of severe
criticism ("These views of Botha are untenable and must be rejected . . . " (p. 604E); "They
would seem to be pure speculation on his part" (p. 605C); "He also overlooked the fact that
. . ." (p. 605C); all in all, more than 100 lines of the reported judgment are devoted to a
1
Van der Westhuizen к. Engelbrecht and Spouse and Engelbrecht v. Engelbrecht 1942 OPD 191
at 195 sqq.
2
Commentarius ad Pandectas, Lib. I, Tit. II, XVI.
3
"Unde et quia nonnum qua m ipso inter juris interpretes controversum est, an ipso jure
quid nullum sit, an vero per judicem rescindendum, usu hodierno passim fere in tribunalibus
obtinuit, ut et adversus ea, quae vere nulla sunt, majoris securitatis ergo, restitutio
im petretur, ea que me dia nte rescindatur quod ac tum gestum c ontra ctum ve fuit."
4
Van der Westhuizen v. Engelbrecht and Spouse & Engelbrecht v. Engelbrecht 1942 OPD 191
at 196.
s
At 199.
678
6
Cf. supra, pp. 583 sqq., 651 sqq., 662 sqq.
7
The same difficulty still persists today. Thus, for instance, the term "relative invalidity"
(used by A.S. Hartkamp, Der Zwang im Privatrecht (1971), pp. 174 sqq.) has a different
meaning in French law and in German law. In the former it refers to situations where only
one of the parties may invoke the invalidity (cf. supra, pp. 661, 672), in the latter to cases
where the transaction is to be treated as invalid only with regard to certain persons (cf. e.g.
§ 135 BGB and Hubert Beer, Die relative Unwirksamkeit (1975)).
8
9
Cf. e.g. Coing, p. 414 (referring to Molina, Pothicr and Perezius).
Tractatus de nullitatibus, as quoted by Coing, p. 414.
Santi di Paola, Contributi ad una leoria della invalidita e della inefficacia in diritlo romano
(1966), pp. 13 sqq, 72 sqq., 83 sqq., 93 sqq. and passim; Kaser, RPr I, p. 247.
1
Kaser, RPr I, p. 246.
12
13
Ulp. D. 18, 1, 22.
Mod. D. 18, 1, 62, 1. For details cf. supra, p. 243,
!4
Usually, however, the term "i mpcrfectum" appears to have been used in this context.
1S
On this distinction, see, most recently, C.F. C. van der Walt, (1986) 103 SALJ 650.
l fl
Kaser, RPr I, p. 247.
17
Cf. generally Kaser, RPr I, pp. 709 sqq.; idem, RPr II, pp. 601 sq.
1K
Honsell/ Mayer-Maly/Selb. p. 115.
19
Cf. generall y Max Kaser, "'Ius honorarium' und 'i us civil e"', (1984) 101 ZSS 1 sqq.
20
Kaser, RPr I, p. 248.
21
Cf. supra, pp. 655 sqq., 662 sqq.
22
Cf. Max Kaser, "Zur in integrum restitutio, besonders wegen metus und dolus", (1977)
94 ZSS 107 sq.
23
Kaser, RPr II, pp. 65 sqq., 92 sq.
24
Kaser, RPr II, p. 93.
25
Cf. e.g. Windschcid/Kipp, § 82; cf. further Heinz Hiibner, "Zum Abbau von
Nichtigkeitsvorschriften", in: Festschrift jiir Franz Wieacker (1978), pp. 399 sqq. (also on the
attempts by the natural lawyers to systematize the law in this regard on a rational basis). For
the development of the pri ncipl es of nullity in English l aw cf. Robert a Routl edge. "The
interaction of social and theoretical considerations in the development of the principle of
nullity of contract in English law", in: La formazione storica, vol. I l l , pp. 1249 sqq.
26
On rescission cf. supra, p. 615. note 192.
27
§ 142 I; but cf. still § 112 of the E I.
2И
Thus, for instance, it was deemed conceptually impossible to allow rescission of a
transaction which was already null and void. This can, however, occasionally be desirable;
for details cf. Theodor Kipp, "Ober Doppelwirkungen i m Recht. insbesondere ubcr die
Konkurrenz von Nichtigkeit und Anfechtbarkeit". in: Festschrift fur Ferdinand von Martitz
(1911), pp. 211 sqq. In this article Kipp develops his famous theory of what he calls
"double-effects" in the law. But cf. also Bernd Ocllers, "Doppclwirkungen im Recht",
(1969) 169 Archil' fur die civilistische Praxis 67 sqq.
24
Сf. generally Hubner, Festschrift Wieacker, pp. 399 sqq.; cf. also his comparative
observations on p. 402.
3(1
Ulrich Hubner, "Personale Relativierung der Unwirksamkeit von Rechtsgeschaften
nach dem Schutzzweck der Norm", in: Festschrift fur Heinz Hubner (1984), pp. 487 sqq.
31
Cf. e.g. Thco Мзуег-Maly, in: Miinchener Komtnentar, vol. 1 (2nd ed., 1984), § 138,
nn. 134 sqq.
32
For details, see Zimmermann, Moderationsrecht, passim; contra: Johannes Hager,
Gesetzes- und sittenkonforme Aufrechterhaltung von Rechtsgeschaften (1983); Alfons Biirge,
Rechtsdogmatik und Wirtschaft (1987); Manfred Lieb, in: Miinchener Komtnentar, vol. II, 3
(2nd ed., 1986), § 817, n. 17.
33
Paul. D. 50, 17, 29: "Quod initio vitiosum est, non potest tractu temporis
convalescere."
34
§ 313, 2 BGB.
35
§ 185 II BGB. For details, see Filippo Ranieri, Alienatio convalescit (1974), pp. 36 sqq.,
51 sqq.
3fi
Cf. supra, p. 484.
3. Conversion
(a) Traductio unius negotii in alterum (ius commune)
The other device is usually referred to as "conversion" (re-interpreta-
tion). The modern term goes back to a dissertatio iuridica inauguralis
"de eo, quod iustum est, circa conversionem actuum negotiorumque
iuridicorum iamiam peractorum" by the German scholar Christian
Ferdinand Harpprecht, written in 1747. 45 In this inaugural dissertation
he defined conversio as "traductio vel commutatio unius negotii in
alterum pro obtinendo et salvando fine necessaria, actui et intentioni
agentis conformis":46 a transformation of one legal act into another,
which is necessary in order to achieve and to save the aim of the
transaction and which is in accordance with both the action and the
intention of the acting party. This concept of "conversio" is based,
interestingly, on the transsubstantiation doctrine of the Catholic
Church, as laid down in the 4th Chapter of the Decretum de Eucharistia
by the Council of Trent (1545-61):
". . . per consecrationem panis et vim conversionem fieri totius substantiae panis in
substantiam corporis Christi Domini nostri, ct totius substantiae vini in substantiam
sanguinis eius. Quae conversio convenicnter et proprie a sancta catholica Ecclesia
transsubstantiatio est appcllata."47
37 3
Supra, p. 488. * Cf. supra, p. 180.
39
Cf. Ulp. D. 45, 1, 1, 5. *° Supra, pp. 75 sqq.
41
Art. 20 II OR.
42
§ 878 ABGB.
4Ъ
§ 139 BGB.
44
Cf supra, p. 77.
45
Cf. Christoph Krampe, Die Kanversion des Rechtsqeschafts (1980), pp. 28 sqq.
46
At p. 8.
47
For details, see Krampe, op. cic, note 45, pp. 36 sqq.
Krampe, op. cit., note 45, pp. 83 sqq.; Giuseppe Gandolfi, "La nozione pandcttistica di
'conversione' a] vaglio della giurisprudenza tedesca dell' ottoccnto", in: Sodalitas, Scritli in
otwre
4
di Antonio Guarino, vol. VIII (1984), pp. 4053 sqq.
'' Krampe, op. cit., note 45, pp. 123 sqq.; Giuseppe Gandolfi, "II concetto moderno di
'conversione' e la sua genesi legislativa", in: Studi in otiore di Amaldo Biscardi, vol. II (1982),
PP. 551 sqq.
For details cf, e.g., Mayer-Maly, op. cit., note 31, § 140, nn. 1 sqq.; Hager. op. cit.,
note 32, pp. 115 sqq., 154 sqq.; Giuseppe Gandolfi, "Introduzione allo studio del concetto
legislativo di 'conversione'", in: Studi in on ore di Cesare Sanfilippo, vol. VI (1985), pp. 319 sqg.;
idem. La conversione deli' atto invulido, II model to gennanico (1984), pp. 101 sqq., 145 sqq.
э1
52
Krampe, op. cit., note 45, pp. 286 sqq.
Cf. e.g. Seiler, (1984) 184 Archil' fiir die civilistischt Praxis 186 sq. In this respect the
problem of what is usually referred to as "ergdnzende Vertragsauslegiing" is of particular
relevance. May the courts fill gaps in the contractual arrangements on the basis of the
hypothetical will of the parties (and thus do for the individuals "what they would have done
for themselves, if their imagination had anticipated the march of nature": Jeremy Bentham,
"A General View of a Complete Code of Laws", in: John Bowring (ed.) Works (1843), vol.
Ill, p. 191) or do they have to stick to their real intention? Cf. generally Alexander Liideritz,
Austeyuno von Rechtsqeschqften (1966), pp. 386 sqq., 392 sqq.; Flume, AT, pp. 321 sqq.
" Windscheid/Kipp, §82, 5.
34
CC. generally Vincenzo Giuffre". L'utitizzazione degli atti gittridid tnediante 'conversione' in
diritto romano (1965), pp. 107 sqq.
55
Giuffre, op. cit., note 54, pp. 175 sqq.; Krampe, op. cit., not e 45, pp. 64 sqq.
56
Cf. Giuffre", op. cit., note 54, pp. 207 sqq.
57
On this text cf. in particular Christoph Krampe, "An inutilis acceptilacio utile habeat
pact um, quaerit ur —D. 46, 4, 8 pr. (Ul p. 48 Sab.)", (1985) 53 TR 3 sqq.
58
Kascr, RPr I, p. 641; Honsell/ Mayer-Mal y/Selb, p. 265; Alan Watson, "The Form and
Nature of'acceptilatio' in Classi cal Roman Law", (1961) 8 RIDA 391 sqq.: cf. also infra,
pp. 755, 756.
59
Knutel, Contrarius consensus, p. 9; idem, "Zum Pnnzip der formalen Korrespondenz im
romischen Recht", (1971) 88 ZSS 87 sqq.; Detlef Liebs, "Contrarius actus, Zur Entstehung
des romischen Erlassvertrags", in: Sympotica Franz Wieacker (1970), pp. 131 sqq.
60
Gai. Ill, 169.
61
Cf. supra, pp. 510 sq., 565, 627 sq.
62
Krampe, (1985) 53 TR 16 sqq.
63
For details, see Andreas Wacke, "Zur Lehre vom pactum taciturn und zur
Aushilfsfunktion der exceptio doli". (1973) 90 ZSS 220 sqq., 254 sqq.
64
On this text, see Kniitel, Stipulatio poenae, pp. 76 sq.
65
Ter. Cl. D. 40, 9, 32, 1; Iul. D. 38, 1, 25; Pierre Jauberl, "La Lex Aelia Sentia et la
locatio conductio des operae liberti", (1965) 43 RH 5 sqq.
66
Cf. Paul. D. 37, 14, 6, 1; Ter. Cl. D. 40, 9, 32, 2.
67
Paul. D. 38, 1, 39 pr.
68
Cf. e. g. Franz Wi eacker, "Amoenit ates Iuventi anae", (1962) 13 lura 1 sqq.; Mari o
Bretone, "Note mini me su Celsus fil ms", (1963) 9 Labeo 331 sqq. m D. 50, 17, 185.
70
Cf. e.g. Peters, Flamman & Co. v. Kokstad Municipality 1919 AD 427 at 434: "By the
Civil Law a contract is void if at the time of its inception its performance is impossible:
impossibilium nulla obligatio (D. 50, 17, 185)"; De Wet en Yeats, pp. 76 sqq.; Joubert,
Contract, p. 124. The rule is used in an entirely different context in Montsisi v. Minister of
Police 1984 (1) SA 619 (A) at 635A-638G (per Rabie CJ); c(. the discussion by Derek van der
Merwe, "Regulae iuris and the axiomatization of the law in the sixteenth and seventeenth
centuries", 1987 TSAR 300 sqq.
71
Joachim Hruschka, "Zwei Axiome des Rechtsdenkens", in: Aus dem Hamburger
Rechtsteben, Festschrift fur Walter Reimers (1979), pp. 459 sqq.
72
Dejure naturae et gentium. Lib. Ill, Cap. VII, § 2; cf. Hruschka, Festschrift Reimers, p. 461.
73
The same still applies to § 306 BGB; cf. § 275 II BGB e contrario. For South Africa cf.
De Wet en Yeat s, pp. 76 sq.; Joubert, Cont ract, pp. 124 sqq. As t o the t ermi nol ogy
("subjective" and "objective" impossibility), c(. F. Mommsen, Unntoglichkeit, p. 5;
Windscheid/Kipp, § 264, 1. Others (as, for instance, Savigny) had referred to absolute and
relative impossibility.
74
Vcn. D. 45, 1, 137, 5; Dieter Mc dicus, "Zur Funktion der Leistungsunm oglichkeit im
romische n Rec ht", (1969) 86 ZSS 83 sqq.
75
Gai. III. 97 a; Лиг. Ill, 19, 1.
76
Gai. Ill, 97; Inst. HI, 19, 1.
77
Paul. D. 18, 1, 57 (wit h a det ail ed discussi on about what happens when part of the
house remai ns standing); Frank Peters, "Zur dogmatisehen Einordnung der anfanglichen,
objektiven Unmoglichkeit bcim Kauf", in: Festschrift fur Max Kaser (1976), pp. 289 sqq.;
Arp, Ап[апфске Umnoglichkeit, pp. 107 sqq.
^Pap. D. 18, 1, 58*
7 }
' Pomp., Paul., Cels./ Pomp. O. 18, 1, 4-6 pr.; Mod. D. 18, 1, 62, 1; Inst. Ill, 23, 5.
8(1
Cels./Pomp. D. 18, 1, 6 pr.
81
Gai. D. 44. 7, 1, 10; Gai. Ill, 99; Ulp. D. 45, 1, 82 pr.; Inst. Ill, 19, 2 and 22.
82
Gai. D. 44, 7, 1, 9; Gai. III. 97; Paul. D. 45, 1, 83, 5; Mod. D. 45, 1, 103; Inst. Ill, 19, 2.
N3
Cf. supra, pp. 293 sqq., 296 sqq.
84
Ven. D. 45. I, 137, 4.
85
Cf . Ven. D. 45. 1, 137. 4.
'' Pomp. D. 19, 1, 55. In place of "in natura" one probably has to read "quam eum non esse in
rerum natura" (Mommsen). On the problem of slaves in hostium postestate and
im possibility cf. further Pa ul. D. 46, 3, 98, 8 a nd M e dic us. (1969) 86 ZSS 87 sqq.
M7
Gai. П. 45, 1, 141, 4; Inst. HI, 15, 5. Cf, also Ulp. D. 13. 4, 2, 6; Medicus, (1969) 86
ZSS 86 sq.; Arp, AnfatigHche Unmaglichkeit, pp. 77 sq., 86.
8H
C. 8, 37, 15: "Si quis spopondcrat insulam, cum moriebatur, acdificare stipulatori,
impossibilis videbatur huiusmodi stipulatio."
Gai. Ill, 97; sec further Wollschlager, Unmoglichkeitslehre. pp. 8 sqq.; Arp, Anfangliche
Unmoglichkeit, pp. 66 sqq. (according to whom nullity is the natural and logical consequence
("sachtogisch richtige Rechtsfolge". p. 88) of impossibility of performance of a unilateral
promise such as a stipulation; but see also e.g. pp. 100 sq . )
90
Cf e.g. Franz Wieacker, "Leistungshandlung und Leistungserfolg im burgerlichen
Schuldrecht", in: Festschrift fiir Hans Carl Nipperdey, vol. I (1965), pp. 801 sq.; Wollschlager,
Unmoglichkeitslehre, pp. 10 sq.; but see Arp, Anfangliche Unmoglichkeit, pp. 97 sqq.
91
For this line of argument, see Medicus, (1969) 86 ZSS 69 sqq. Contra: Arp, Anfangliche
Unmoglichkeit, p. 100; he maintains that the stipulation was inutilis because of (and in so far
as there was) a divergence between the content of the promise and the reality, on account of
which the promise appeared to make no sense, to be absurd, and in this sense: to be
impossible (pp. 86 sqq.; on the meaning of the term "impossibilis" cf. pp. 78 sqq.)
* Cf supra, p. 277.
93
Cf., in particular, Wollschlager, Unmoglichkeitslehre, pp. 11 sqq.; Peters, Festschrift
Kaser,
94
pp. 285 sqq.; Arp, Anfangliche Unmoglichkeit, pp. 101 sqq.
95
D. 18, 1, 15 pr.
We also find the condictio (indebiti) in Paul. D. 18, 4, 7.
96
97
Paul. D. 18, 1, 57.
98
D. 18, 1, 62, 1.
99
Paul. D. 19, 1, 21 pr.
Lie. Ruf D. 18, 1, 70. For further details cf. supra, p. 242.
100 por an a ttempt to rationalize and justify this differentiation, cf. Arp, Anfangliche
Unmoglichkeit, pp. 106 sqq.: the sale of an object that did no longer exist was invalid because,
due to the deviation between reality and the intentions of the parties, the transaction lacked
any sense or purpose. Meaningful, however (despite impossibility of performance!), and
therefore not invalid, the sale of a liber hom o as a slave. This is hardly convincing.
101
Cf. also Hausmaninger/Selb, pp. 286 sq. The argument of Peters, Festschrift Kaser,
pp. 303 sqq., appears to be too ra dical.
102
Cf. supra, pp. 241 sqq.
103
1919 AD 427 at 434.
104
For details, see Wollschla'ger, Unmoglickkeitslehre, pp. 18 sqq., 23 sqq., 31 sqq.
105
Cf. supra, pp. 546 sqq.
106
Obligationenrecht, vol. II, p. 290; on Savigny's view cf., most recently, Arp, Anfangliche
Unmoglichkeit, pp. 136 sqq.
The views of Donellus, as concained in his Commentarii de Jure Civili, are analysed by
Wollschlager, Unmoglichkeitslehre, pp. 28 sqq.
1Ш
For what follows cf. Christian Wollschlager, "Die willemtheoretische Unm5g-
lichkcitslehre im aristotelisch-thomistischen Naturrecht", in: Syrtipatica Franz Wieacker
(1970), pp. 154 sqq.
109
lnkiding. III, I, 19.
110
For details, sec Wollschlager, Sympotica Wieacker, pp. 156 sqq.
111
Summa Theohgiae, Prima Secundae, q. 13, art. 5, ad 1.
"~ Summa Theologiae, Secundae Secundae, q. 89, art. 7 (sub: rcspondco).
113
Cf. e.g. Summa Theologiae, Secundae Secundae, q. 88, art. 1.
114
In quatuor libros Sententiarum , Dist. 34, q. 1, art. 2, in: S. Thomae Aquinatis Opera
Omnia, vol. I, Frommann, Holzboog, 1980 (ed. Robertas Busa), p. 604. Cf. also the regula
iuris ("nemo potest ad impossibile obligari") in Pope Boniface's Liber Sextus Decretalium,
Lib. V, Tit. XII, De regulis iuris, VI.
115
On Pufendorf's views, see Wollschlager, Sympotica Wieacker, pp. 174 sqq.
116
III, I, 19.
117
Die Untnoglichkeit der Leistung in ihrem Einfluss auj obligatorische Verhiihnisse (1853),
pp 102 sqq.
F. Mommsen, Unmoglichkeit, pp. 117 sqq.
119
F. Mommsen, Unmoglichkeit, pp. 5 sq.; cf. further Dernburg, Pandekten, vol. II, § 16;
Windscheid/Kipp, §§ 264, 315.
120
But see Alois Brinz, (1857) 5 Kritische Uberschau der deutschen Gesetzgebung und
Rechtswissenschqft 281 sqq.
121
§§ 264, 315.
122
Cf. supra, p. 681.
123
On the concepts of positive and negative interest cf. supra, pp. 243 sq., 298 sq.
124
Cf. infra, pp. 1032, 1033 sq.
125
126
Dejure naturae et gentium. Lib. Ill, Cap. VII, § 2; cf. also § 1295 ABGB.
Cf. infra, pp. 1036 sqq.
127
12K
Cf. Savigny, System, vol. HI, pp. 293 sqq.; F. Mommsen, Unmoglichkeit, pp. 107 sqq.
Cf. supra, pp. 244 sq.
129
130
Cf. supra, p. 245.
131
Cf. also De Wet en Yeats, p. 78; Joubcrt, Contract, p. 128 for South African law.
Cf. Windscheid/Kipp, § 315, n. 7; but cf. "Motive", in: Mugdan, vol. II, p. 98;
"Protokolle",
132
in: Mugdan, vol. II, pp. 615 sqq.
133
§ 122 BGB; cf. supra, p. 602.
Unmoglichkeit der Leistung (1907) and Uber Unmoglichkeit der Leistung und heutige Praxis
(1911),
134
both today in Ernst Rabel, Gesammelte Aufsatze, vol. I (1965), pp. 1 sqq., 56 sqq.
Cf. e.g. Zweigert/Kotz, pp. 204 sqq.; Alfred Sollner, in: Munchener Kommentar (2nd
ed., 1985), § 306, n. 3; Ulrich Huber, Leistungsstorungen, in: Gutachten und Vorschlage гиг
Uberarbeitung des Schnldrechts, vol. I (1981), pp. 813 sqq.; for a vigorous countercritirism, see
Arp, Anfangtiche Unmb'gtichkeit, pp. 35 sqq. and passim.
5
Such reasonable reliance is lacking in cases where the content of the contract is patently
absurd, as, for instance, where the inevitable hippocentaurus is sold. In these cases (which
tend to crop up in te xtbooks rather tha n in c ourt decisions) invalidity is the a ppropriate
answer of a legal system (Rabel, Gesammelte Aufsatze, p. 47, who refers to an "'
Obligationshindemis der hoheren Dumttiheit"). Along these lines, for instance, the Indian Contract
Act declared an agreement to discover treasure by magic to be void (cf. Pollock, Principles of
Contract (7th ed., 1902), p. 402). Also § 878, "l ABGB ("What is downright impossible
fgeradezu unmoglich], cannot be the object of a valid contract") is usually interpreted as
covering only these types of cases; this interpretation goes back to Ernst Rabel ("Zur Lehre
von der Unmoglichkdt der Leistung nach Osterreichischem Recht (1911)", in: Gesammelte
Aufsatze, vol. I, pp. 79 sqq.), but is in conflict with what the legislator intended to e xpress
with this rule (W ollsc hla ger, Unmoglichkeitslehre, pp. 100 sq.). "Normal" objective
initial impossibility (i.e., for instance, the object to be sold perished before conclusion of
the contract) does not affect the validity of the transaction (arg. § 923 ABGB); thus, the
positive interest may be claimed.
136
Cf. e.g. Rabel. Gesammelte Aufsatze, vol. I. p. 68; Arp, Anfiingliche Unmoglichkeit,
pp. 43 sqq., 167 sqq.
137
(1910) 65 Seujferts Archiv, n. 160.
138
In the case of generic obligations there is always merely subjective impossibility if the
debtor does not possess any goods of the kind to be supplied (as long as goods of this kind
still exist); cf. e.g. § 279 BGB ("If a debt described by class is owed, and so long as delivery
of this class of object is possible, the debtor is responsible for his inability to deliver, even
though no fa ult ma y be im puted to him "). In the present case, however, the de bt was not
describe d by class (1 000 boxes of ne w potatoes from the Ca na ry Islands), but the 1 000
boxes aboard the Thekla Bohien were owed.
III. ILLEGALITY 1.
The possible effects of illegality
(a) Subdivision of statutes according to their sanctio
Illegality is the second of the general grounds of invalidity referred to
above. Broadly speaking, it can be described as a situation where either
the conclusion or the content of a contract infringes a statutory
prohibition. Illegality and (initial) impossibility have often been put on
a par. Grotius' statement that by natural law man cannot bind himself
to things which are impossible or unpermitted143 may serve as an
example. Like impossibility, illegality in Roman law did, however, not
always and necessarily render contractual transactions void. Whether or
not an illegal transaction was effective depended, in the first place, on
the sanctio of the statutory prohibition (a formal clause appended to the
lex, in which, amongst other matters, the consequences of any
infringement were determined);144 otherwise the question was resolved
by way of interpretation. Throe different types of statutes were
distinguished in this context: leges imperfectae, leges minus quam
139
Trans. Weir, in Zweigert/K6tz/Wt?ir, p. 161.
Utl
But cf. Arp, Atifangliche Utimoglichkeit, pp. 155 sqq. (who, however, also advocates a
restriction of § 306 BGB).
141
Cf. Zweigert/Kotz, p. 228 and Couturier v. Hastie (1856) 5 HLC 673, the leading case
in this field of the law, which turned upon the construction of the contract. On this case, see
F.S. Atiy ah," Couturier v. Hastie and the Sale of Non-Existent Goods", (1957) 73 LQR 340
sqq. (hut see now Atiyah, Essays, p. 250). For South African law cf. Christie, Contract, p. 82.
142
e.g. Trcitel, Contract, p. 214.
143
Cf. supra, p. 693 (note 116).
144
Carlo Gioffredi, "La 'sanctio' della leggc e la 'perfectio' della norma giuridica", (1946)
2 Archivio penale 166 sqq., 174 sqq.;Jochen Bleicken, Lex publica (1975), pp. 217 sqq.
145
Cf. UE 1, 1 sq. (with additions by Cuiacius); also Macrobius, In somnium Scipionis,
Lib. II, 17, 3 and Chorus, Handelen, pp. 24 sqq.
146
Generally on the question of how effective Republican legislation was, cf. Bleicken,
op. cit, note 144, pp. 217 sqq.
147
It was the lex Voconia; cf. Kaser, Verbotsgesetze, pp. 20, 50 sqq.; Hans Ankum.
"Verbotsgesetze und Ius Publicum", (1980) 97 ZSS 291; for a different view (lex Poetelia
Papiria, 326 B.C.), see Fritz Sturm, (1982) 99 ZSS 432.
48
Giovanni Rotondi, Leges pubticae populi Rotnani (1912), pp. 155 sqq.; Kaser,
Verbotsgesetze, pp. 16 sqq.; cf. also Wieacker, RR, pp. 286 sq.
149
Certain close relatives were excepted.
150
UE 1, 2. On the content and function of the l ex Furi a cf. Gai. II, 225; Uwc Wesel,
"Uber den Zusammcnhang der lex Furia, Voconi a und Falddia", (1964) 81 ZSS 310 sqq.;
Alan Watson, The Law of Succession in the Later Roman Republic (1971), pp. 163 sqq.; Kaser,
Verbotsgesetze, pp. 33 sqq.
151
Cf. su pra, pp. 166 sqq.
152
Kaser, Verbotsgesetze, pp. 39 sqq.; idem, RPr I, pp. 276 sq.; Hans-Georg Knothe, Die
Geschaftsfahiqkeit der Minderjahriqen in geschichtlicher Etitwicklunq (1983), pp. 53 sqq. (57)
153
Cf. supra, p. 483.
154
Kaser, Verbotsgesetze, p. 26.
155
For details cf. supra, pp. 483 sq.
156
Kaser, Verbotsgesetze, pp. 27 sq.; Behrends, Fraus legis, pp. 23 sq.
157
The same applies, of course, to leges minus qua m pcrfectae.
158
Cf. generally Kaser, (1984) 101 ZSS 1 sqq.; more specifically with regard to illegal
transactions, sec Behrends, Fraus legis, pp. 21 sqq.; Walter Selb, "Gedanken zur romischen
164
"S e c u n d u m p r a c d i c t a m i t a q u e re g u l a m , q u a m u b i q u e se r v a r i f a c t u m I c ge p r o h i b e n t e
cc nsuim us, ce rtu m e st nee stipulatione m e iusm odi te ne re . . . п е с sac ra me ntu m a dmitti."
T hi s p r ovi si o n c a u se d t he me di e v al l a w ye r s m u ch he a d a c he , p a rt i c ul a rl y i n vi e w of t he f a c t
that bre a ch o f a p ro missor y oath e ntaile d the sin of pe riuriu m. Fo r de tails, se e Chorus,
H a n d e l e n , pp. 2 1 3 s q q.
165
C. 1, 14, 5.
166
For det ail s, see Chorus, Handelen , pp. 177 sqq.; Ende mann, op. cit ., note 163,
pp. 29 sqq., 41 sqq.; Coin g, pp. 41 4 sq.
167
A c c o r d i n g t o Z w e i gc r t / K o t z , p. 7 3 , i n a l l s ys t e m s o f t he w o r l d i l l e g a l i t y i s s e e n a s a
fa ct w hi c h i n v al i d at e s c ont ra ct s. F or a c o mp ar at i ve a nal ysi s o f w hat m ake s a c ont r a ct i l l e gal ,
se e Z we i ge r t/ Ko tz , p p. 7 4 s q q. ; f o r S o ut h Af r i c a c f. Le o n E . T r a k m a n , "T he E f fe c t o f
I l l e ga l i t y i n S o ut h A f ri c a n L a w ", ( 1 9 7 7) 9 4 S A LJ 3 2 7 s q q., 4 6 8 sq q . a n d Jo u b e r t . Co n t ra c t ,
pp. 129 sqq.
ь
O n t he hi st o r y a n d a p p l i c a t i o n o f § 1 3 4 B G B c f . H a n s H e r m a n n S e i l e r , "U b e r
ve rb ot s wi d ri ge Re c ht s ge s ch a ft c ( § 1 34 B GB) ", i n: G e d a c h tn i ssc h ri ft f u r Wo l fg an g Ma rt e n s
(1987) , pp. 719 sqq. Arti cle. 1131 code ci vil ( rel at i ng t o "I'obligation . . . surune cause itiic ite";
cf. al so art . 1133 de fi ni n g wh at " it ti c it e" me ans) ; § 879 AB GB and ar t. 201 OR do not cont ai n
t hi s ki n d of c l au se .
lf i y
C f, e . g. T he o М а уе г - M al у. i n: Mi i n c h e n e r Ko m m e n t a r, v ol . I ( 2 n d cd ., 1 9 84) , § 1 3 4, n.
1; c ontra: Flu m e. AT, § 17, 1.
170
G e s e t z u be r de n L a d e n s c hl u s s, 2 8. 1 1. 1 9 5 6.
171
D i et e r M e di cus, A llg et t te ine r Tei l de s B GB ( 2nd e d., 1985), nn. 648 sqq. Se il e r,
G eda chtn i ssch rif i Marten s, pp. 719 sqq. de monst rat e s t hat t he court s have arrogat e d t o
themselves a far-ranging discretion to decide about the invalidity or otherwise of
transactions violating statutory prohibitions. Their decisions are hardly predicta ble, and
legal certainty is m ost detrimentally affected; cf. also already Ende mann, op. cit-, note 163,
p. 125. More and more statutory prohibitions are issued by the modern legislator without
any indication in their "sanctio" as to the fate of transactions infringing the prohibition.
According to Seiler, invalidity should be restricted to cases where the illegality is grave and
obvious, particularly where the core areas of criminal law are affected; § 134 BGB should not
be (ab)used to transform ephemeral considerations of economic expediency into private law
(p. 731). This would, in fact, entail a renaissance of the category of leges minus qua m
perfect ac. For the development of English l aw in t his regard, see Routl edge, in: La
formazione storica, vol. Ill, pp. 1254 sqq.
172
Mayer-Maly, op. cit., note 31, § 134, n. 88; contra: Zimmermann, Moderationsrecht,
pp. 113 sqq.
173
С 1 , 1 4 , 5 p r.
174
On the importance of the subjective element (the intention to act against the spirit of
the law—Umgehungsabsicht), see Giovanni Rotondi, Gli atti in frodde alia legge nella dottrina
romana e nella sua evoluzione posteriore (1911), pp. 145 sqq.; Heinrich Honsell, "In fraudem
legis agere", in: Festschrift JUr Max Kaser (1976), pp. 112, 124 sqq.; Behrends, Fraus legis,
pp. 15 sq. On the mea ning of the term "fraus" in "fraus legi facta", cf. also Ivo Pfaff, Zur
Lehre vom sogenannten in fraudem legis ayere (1892), pp. 62 sqq.; Rotondi, pp. 11 sqq.; Hugo
Kru ger/Ma x Ka ser, Frau s, (1943)'бЗ ZSS 140 sqq.
17j
D. 1, 3, 29.
176
D. 1, 3, 30: "Fraus enim legi fit, ubi qu od fieri noluit, fieri autem non vetuit, id fit."
177
On frau s legi fa cta in the history of the iu s commu ne, see Pfa ff, op. cit., note 174,
pp. 20 sqq.; Rotondi, op. cit., note 174, pp. 160 sqq.; Helmut Coing, "Simulatio und fraus
in der Lehre des Bartolus und Baldus", in: Festschrift fur Paul Koschaker, vol. Ill (1939), pp.
402 sqq. For South Africa cf. Dadoo Ltd. v. Krugersdorp Municipal Council 1920 AD 530 at 543;
Aquiliu s, "Immorality a nd Illegality in Contract", (1942) 59 S ALJ 333 sqq.
17H
Cf., e.g., supra, pp. 622 sq.
179
For details, sec Jhering, Geist, vol. II, 2, pp. 441 sqq.; Wieacker, Vom romischen Recht,
pp. 45 sqq.; and, most recently, Heinrich Honsell, "Das Gesetzesverstandnis in der romischen
Antike", in: Europaisches Rechtsdenken in Geschichte und Gegenwart, Festschrift fur Helmut Coing,
vol. I (1982), pp. 129 sqq.
m
> Cf. infra, pp. 953, 983 sqq.
181
Cf. Honsell, Festschrift Coing, p. 140.
182
De orators 1, LV—236; cf. further e.g. Pro L. Murena oratio, X—23 sqq. (the lawyer's
arguments are "res parvae", "prope in singulis litteris atque imerpunctionibus verborum
occupatae"); De ojficiis, 1, X—33 ("minis callida sed malitiosa iures interpretatio"); and see
the literature quoted supra, p. 623, note 11.
l83
Jhering, Geist, vol. II, 2, pp. 467 sqq.; Pfaff, op, cit., note 174, pp. 7 sqq.; Honsell,
Festschrift Kaser, pp. 115 sqq.
1H4
Annales, Lib. VI. 16, 2; cf. further Pfaff, op. cit., note 174, pp. 149 sqq. In the Middle
Ages, too, it was particularly the prohibition of usury which was circumvented time and
again,
1H=>
and by way of a great variety of more or less subtle subterfuges; cf, supra, pp. 171 sq.
All three of them imposing limits on the amounts of legacies. On fraus legis and the
lexш>Voconia, see Pfaff, op. cit., note 174, pp. 114 sqq.
IK7
On fraus legis and the lex Cincia, see Behrends, Fraus legis, pp. 19 sqq.
Bleicken, op. cit., note 144, pp. 169 sqq.
188
For details, sec Pfaff, op. cit., note 174, pp. 104 sqq., 136 sqq.; Rotondi, op. cit., note
174, pp. 38 sqq.
184
Plutarch, Vitae, Cato maior, 21, 5 sq.
'*' Bergcr, ED, p. 549.
191
Cf. e.g. Gai. I, 46. This is, incidentally, still the attitude in England. A doctrine of
evasion of the law has never been developed, not because English statutes are never evaded
but because the common law is much less concerned with the law's authority than
Continental legal systems. Statutes traditionally tend to be regarded as rather irritating
encroachments on the common law, and they are strictly (literally) applied (and, therefore,
have to be drafted with clumsy punctiliousness; cf. supra, p. 623). If there are any loopholes,
it is up to the legislator and not to the courts to fill them. Cf. Ronald H. Graveson, "The
Doctrine of Evasion of the Law of England and America", (1937) 19 Journal of Comparative
Legislation 21 sqq. and the analysis by Klaus Schurig, "Die Gesetzesumgehung im
Privatrecht", in: Festschrift fiir Murad Ferid (1988), pp. 392 sqq.
142
Ulp. D. 2, 14, 7, 7. On fraus legis. and the edictum de pactis cf, most recently,
Behrends,
193
Fraus legis, pp. 29 sqq.
Cf supra, pp. 625 sqq. For a totally different view of the development, see Behrends,
Fraus legis, pp. 33 sqq., 39 sqq., 61 sqq. He argues that a more liberal, intention-oriented
method of interpretation (advocated by the veteres of the 2nd century B.C.) was superseded,
towards the end of the Republic, by a strictly literal, word-oriented approach (introduced by
G. Aquilius Gallus and his pupil, Servius Sulpicius). Because of this narrower attitude
towards statute interpretation, it became necessary to develop the doctrine of fraus legi facta
to cover situations where not the wording but the intention of the statute had been violated.
Behrends' thesis is based mainly on the somewhat shaky evidence of Cicero, Pro A. Gaecina
oratio, XVIII — 78 sqq. and Cicero, De oratore. Contra Behrends, see Heinrich Honsell,
(1985) 102 ZSS 573 sqq.; on the pro Caccina cf. Frier, Roman Jurists, passim, who provides
quite a different interpretation from the one advanced by Behrends (cf. e.g. p. 151: "In sum,
the argument at Caec. 79-85 is not serious").
194 Qf p o m p j) ^ ^ 3. "i u ra c onstitui op ortet. ut dixit The o phra stus, in his, qua e ini
то лЛеТа тор accidunt, non quae ^к napakoyav"; Paul. D. 1, 3, 6.
195
Iul. D. 1, 3, 12: "Non possunt omnes articuli singillatim aut legibus am senatus
consulti comprehendi. . . ."
196
Iul. D. 1, 3, 12.
197
D. 1 , 3 , 17.
198
Tra ns. D.N. M a c Cor m ic k, in: M o m m se n/Knige r/W a tson.
199
Cf. supra, p. 148, note 214.
200
Ulp. D. 1 4, 6, 7, 3.
2f
" Ulp. D. 14, 6, 1 pr., for further details cf. supra, pp. 177, 181.
202
Cf. Pom p. D. 16, 1, 32, 3; Ulp. D. 16. 1, 8. 4; Ulp. D. 16, 1, 8, 6; further Dieter
Medicus, Zur Geschichte des Senatus Consultum Velleianum (1957), pp. 123 sqq. Acting through
a persona interposita was a popular device, used in order to circumvent a statute; cf. e.g.
Honsell, Festschrift Kaser, p. 124 and Proculus' categorical statement (D. 50, 8, 2, 1): "Quo d
quis suo nomine cxerccre prohibetur, id nee per subiecatam persona m agere debet."
~" 3 Cf. supra, pp. 700 sq.
204
Cf. e.g. Regelsberger, Pandekten, pp. 146 sq., 153; Vangerow, Pandekten, vol. I, § 24
(sub. 3 c); "Protokolle", in: Mugdan, vol. 1, p. 725 (providing the m otivation for the fact that
the BGB (§ 134) does not contain a special rule dealing with the problem of fraus legi facta);
Flume, AT, § 17, 5; Ernst Kramer, in: Miinchtner Kommentar, vol. I (2nd cd., 1984), § 117,
n. 15; Behrends, Fraus legis, pp. 9 sqq., Schurig, Festschrift Ferid, pp. 375 sqq., 398 sqq.; and
especially Arndt Teichmann, Die Gesetzesumgehung (1962), passim. Contra (a special
doctrine of fraus iegi facta outside the usual canons of interpretation is necessary)
Mayer-Maly, op. cit., note 31, § 134, nn. 11 sqq.; cf. also, as far as Roman law is concerned,
Honsell, Festschrift Kaser, pp. 122 sqq.; Behrends, Fraus legis, pp. 15 sq. and passim.
The more modern history has recently been analysed by Jan Schroder, Gesetzesaitslegung
and Gesetzesumgehung (1985), pp. 15 sqq. He demonstrates how closely, historically, the
problem of fraus Iegi facta and the approach to the interpretation of statutes are interrelated.
Until about the middle of the 19th century, a very restrictive view prevailed as to the
question of statute interpretation; thejudge was taken to be bound strictly to the words of
the law (he was, in the words of Montesquieu, "!a bouchc de la hi"). As a result, recognition
of a specific doctrine of fraus legis became necessary (unless one was still prepared to deal
with the problem s.v. simulatio, cf. supra, pp. 648 sqq.). The change occurred in the course
of the second half of the 19th century (Schroder, pp. 32 sqq.): recognition of the so-called
"objective" theory of statutory interpretation made the doctrine of fraus legis redundant.
The background for this change of approach is analysed in detail by Schroder, pp. 48 sqq.
For a modern comparative analysis, see Schurig, Festschrift Ferid, pp. 379 sqq. (Germany,
Austria, Switzerland), pp. 387 sqq. (France) and pp. 392 sqq. (England—where,
interestingly, the doctrine "is completely rejected, and life, none the less, goes on").
2(15
For a comparative overview, see Zweigcrt/Kotz, pp. 72 sqq.; for South African law
Joubert, Contract, pp. 132 sqq.
зов jn^s -s ^ prevaiijng definition of the boni mores since the days of RGZ 48, 114 (124); 55,
367 (373); 79, 415 (418) (cf. also "Motive", in: Mugdan, vol. II, p. 406) in German law. For
details see Helmut Haberstumpf, Die Formel votn Anstandsgefuhl aller billig und gerecht
Denkenden in der Rechtsprechung des Bundesgerichtshofs (1976); cf. also Mayer-Maly, op. cit.,
note 31, § 138. nn. 12 sq.
2117
Cf. John P. Dawson, "Unconscionable Coercion; The German Version", (1976) 89
Harvard LR 1063.
2m
Cf. e.g. Alfred Lord Denning, The Changing Law (1953), pp. 99 sqq.
204
Schulz, Principles, pp. 19 sqq., who deals with this characteristic trait of Roman law
under the heading "isolation"; cf. also, more recently, Joseph Plescia, "The Development o(
the Doct ri ne of Boni Mores i n Roman Law", (1987) 34 RIDA 275 sqq. .
210
On his functions cf. e.g. Mommsen, Staatsrecht, vol. II, 1, pp. 331 sqq.;
H. Hausmaninger, in: Kleiner Pauty, vol. I, col. 1107 sq.; Max Kaser, "Rcchtswidrigkeit und
Sittenwidrigkeit im klassischen romischen Rccht", (1940) 60 ZSS 97 sqq.
211
They are analysed by Theo Mayer-Maly, "Contra bonos mores", in: Iuris Professio,
Festgabejiir Max Kaser (1986), pp. 151 sqq.; cf. also by the same author. "The boni mores in
historical perspective", (1987) 50 THRHR 60 sqq.; cf. also Plescia, (1987) 34 RIDA 275 sqq.,
286 sqq.
Gai. Ill, 157; cf. further Vincenzio Arangio-Rui2, // mandate in diritto romano (1949),
pp. 105 sqq.; Watson, Mandate, p. 88.
213
Cf. infra, pp. 933, 1062.
214
The latter three (illicit intercourse with unmarried women of honourable social
condi ti on —st upru m—or wi t h marri ed wo me n —adnl t eri u m—a nd panderi ng —l en oci n
ium) were cri minalized by the lex Iulia de adulteriis (18 в.с); for details, see Mommsen,
Strajrecht, pp. 688 sqq., 699 sqq.; cf. also Plescia, (1987) 34 RIDA 301 sqq.
215
For a detailed discussion, see Kaser, Verbotsgesetze, pp. 69 sqq.
216
Cf. also Imt. Ill, 19, 24.
217
D. 45, 1, 61.
218
Ulp. D. 34, 4, 4 in fine.
219
220
Cf. also С 8, 38, 4 (Diocl.).
Supra, pp. 75 sqq.
221
Gai. Ill, 98; cf. Jens Peter Meincke, "Die Scheidungsklausel im Testament", in:
Festschrift fur Max Kaser (1976), pp. 451 sqq.; Kaser, Verbotsgesetze, pp. 103 sqq.
222
Cf. infra, pp. 720 sq.
223
Paul. D. 28, 7, 9.
224
On reverenti a and boni mores d. al so Ul p. D. 44, 4, 4, 16.
225
Paul. Sent. Ill, IV b, 2; on the latter example cf. Mayer-Maly, Festgabe Kaser, p. 165.
On condiciones contra bonos mores contained in stipulations, see Kaser, Verbotsgesetze,
pp. 88 sqq.
Attention has been drawn to this point by Mayer-Maly, Festgabe Kaser, pp. 154, 160
sqq,; cf. also Mayer- Mal y, (1987) 50 THRHR 71 sqq.
Cf. Helmut Schmidt, Die Lehre von der Sittenwidrigkeit der Rechtsgeschafte in hisCorischer Sicht
(1973), pp. 19, 21, 43, 60, 73, 104 sq. Cf. also still Wessels, Contract, §§ 459 sqq., who
discusses illegal contracts under the heading "Contracts impossible by law"; Lee,
Introduction,
22H
p. 232 ("Unlawful contracts are regarded by Roman law as civilly impossible").
The most likely reason for this is that agreements contra bonos mores could probably
frequently not be classified as one of the recognized types of contract: cf. Honsell,
Ruckabwicklung, pp. 77 sqq.
229
С 2 , 3 , 6 (An t.).
230
Consultatio veteris cuiusdam iurisconsuhi, IV, 8.
231
For a more ext ensive list, sec Mayer-Maly, (1987) 50 THRHR 68.
232
Mayer- Mal y, (1987) 50 THRHR 70 sq.
233
Pap. D. 22, 1, 5. On mandatum cf. supra, p. 421; as far as societas is concerned cf. e.g.
Ulp. D. 17, 2, 53 and Vincenzo Arangio-Ruiz, La societa in diritto rotnano (I960), pp. 116 sqq.;
Antonio Guarino, Societas consensu contracta (1972), pp. 65 sqq.
234
Inst. Ill, 19, 24; Kaser, Verbotsgesetze, pp. 76 sqq.
235
For the difference between causally and abstractly drafted stipulations in general cf.
supra, pp. 91 sq.
36
Valerius Maximus, Facta et dicta memorabilia, Lib. XVIII, Cap. II, § 2. On this case, see Ulri ch
von Lubtow, "Die Ursprungsgeschichte der exceptio doli und der accio de dolo malo", in:
Eranion Maridakis, vol. I (1963), pp. 196 sqq.; Watson, Obligations, pp. 32 sqq.; Massimo Brutti,
La probhmatica del doloprocessuale nell'esperienza romana (1973), pp. 219 sqq.; Kaser,
Verbotsgesetze, pp. 80 sqq.; Geoffrey MacCormack, "'Dolus' in Republican Law", (1985) 88
BIDR 19 sqq. 2 3 7 ". . . cum qua commerdum libidinis habuerat. . . . "
238
Valerius Maxi mus, loc. cit.
239
Cicero, De qfficiis, 3, XIV-60; cf. also supra, pp. 663 sq. (note 99). Whether Aquilius
was the father not only of the actio de dolo but also of the exceptio doli is not certain.
240
Cf. also the similar case, decided on the basis of an exceptio doli in Iul./Lab./Ulp. D.
44, 4, 4, 1; on which see, most recently, Geoffrey MacCormack, "Dolus in the Law of the
Early Classical Period (Labeo-Celsus)", (1986) 52 SDH! 247 sq.
24
Von Lubtow, Eranion Maridakis, p. 201.
242
Cf. Kaser, Verbotss>esetze, pp. 85 sq.
243
Pap. D. 28, 7, 15.'
244
Cf. e.g. Kaser, (1940) 60 ZSS 103; Mayer-Maly, Festgabe Kaser, р. 156; Plescia, (1987)
34 RIDA 275 sqq. The earliest references to the boni mores contained in authoritative texts
can be found in three edicts on iniuria (Lenel, EP, pp. 400 sq.); they serve to delineate the
still acceptable from the unacceptable behaviour. Already at this stage (i.e. before the time
of Labeo) fairly precise ideas must have existed as to what the boni mores comprised. For
details, see Mayer-Maly, Festgabe Kaser, pp. 157 sqq.; idem, (1987) 590 THRHR 64 sqq.
245
Cf., in particul ar, Kaser, (1940) 60 ZSS 120 sqq.; cf. also Plescia, (1987) 34 RIDA
286 sqq.
Kaser, (1940) 60 ZSS 121 sqq. On testamentary divorce clauses, see Meincke,
Festschrift Kaser, pp. 437 sqq.
247
C. 8, 38, 4 (Diocl. et Max.); cf. also Iul. D. 45, 1, 61.
248
Pactum de hereditate tertii: cf. Pap. D. 39, 5, 29, 2; C. 2, 3, 30 (lust.).
24
" Ulp. D. 16, 3, 1, 7; Tafaro, Regula, pp. 23 sqq., 44 sqq.
250
On redimere litem, see Pap. D. 17, 1, 7; C. 2, 12, 15 (Diocl.); Kascr, RZ, p. 162.
251
For details, see Schmidt, op. cit., note 227, passim.
252
Mevius, Decisiones, Pars III, Dec. CCLXX (5). For a detailed historical investigation
cf. C.P. Joubcrt, "Pactum successorium", (1961) 24 THRHR 18 sqq., 106 sqq., 177 sqq.;
(1962) 25 THRHR 46 sqq., 93 sqq.
253
Leyser, Meditationes ad Pandectas, Spec. XL1II, II .
254
These the words of C. 2 , 3, 30, 2 . On the re cognition of such p acta by Schilt er,
Boehmer and others, cf. Schmidt, op. cit., note 227, pp. 54 sqq. But cf. also still
Brunnemann, Cotnnientarius in Codicem, Lib. II, Tit. Ill, L. de quaest. ult., 2 (". . . incivile
fest], viventis hominis bona in sortem et divisionem vocare, ct ita quasi ejus mortem voto
ac spe praecipere") and Stryk, Usus tnodernus pandectarum. Lib. II, Tit. XIV, § 15, adding the
somewhat scep tical co mment: "Ego quantu m praxin atti nct, ca m hodie a jure Roma no
diversam esse, asserere non ausim."
255
Lauterbach, Collegium theoretico-practiatm. Lib. XXVIII, Tit. VII, XI; cf. further
Schmi dt, op. cit., note 227, pp. 58 sqq.
256
Commmtarii de jure civili. Lib. XII, Cap. XXI, XVI.
257
I I I, I, 42. The views of the natural lawyers are set out in detail by Schmidt, op. cit.,
note 227, pp. 65 sqq.; cf. also Wesenberg/ Wesener, pp. 146 sq. For the natural lawyers,
(natural) law and morals were most inti mately related to each other.
258
Cf am. 1108, 1133. According to the code civil, a contract is invalid if its "cause" is
illicit. The cause is illicit when it is prohibited by the law, when it is "contraire aux bonnes
moeurs" or contrary to the "ordre public". On these provisions, see Schmidt, op. cit., note
227, pp. 83 sqq.; Nicholas, FLC, pp. 122 sqq. "Public policy" features even more
prominently in the English common law as a ground of invalidity; it is often taken to include
the boni mores, cf. e.g. Treitel, Contract, pp. 334 sqq. But see, e.g., Sir Frederick Pollock,
Principles of Contract (7th ed., 1902), pp. 273 sqq., who distinguishes immoral contracts from
those against public policy. Cf. further Zweigert/ Kotz, pp. 76 sqq.; for Germany, see
Konstantin Simitis, Cute Sitten und ordre public (I960); Schmidt, op. cit., note 227, pp. 145
sqq.; for South Africa, see Aquilius, (1941) 58 SAL} 344 sqq.; Joubert, Contract, pp. 132 sq.
*9 Cf. e.g. Regelsberger, Pandekten, § 147 II; Windscheid/Kipp, §§ 81, 314; for all details,
see Schmi dt, op. cit., note 227, pp. 93 sqq.
260
§ 138 I BGB.
261
Cf in ge neral Thc o Ma yer-Maly, "Die gute n Sitte n als Massstab de s Rechts",
Juristische Schuluny 596 sqq.
2 fi2
Cf. e.g. BGHZ 34, 64 (70); BGHZ 51, 290 (293).
263
Cf. e.g. Joubert, Contract, pp. 137 sq.
264
For a comparative evaluation, see Zweigert/Kotz, pp. 78 sqq.
RGZ 115, 141 (142 sq.); RGZ 142, 70 (73 sqq.).
266
For an ov ervi e w cf . Мау ег- Mal y, op. cit . , not e 31, § 138, nn. 48 sqq.; Joube rt ,
Contract, pp. 134 sqq.
267
Cf. Reinhard Zimmermann, "Die heterologe kunstliche Insemination und das
geltende Zivilrecht", 1981 Zeitschrift fur das gesamte Familienrecht 932 sqq.; Dieter Giesen,
"Recht und medizinischer Fortschritt", 1984 Juristische Rundschau 225, 227 (both on AID
arrangements); Dagmar Cocster-Waltjen, "Die kunstliche Befrucht ung bei m Menschen—
Zulassigkeit und zivilrechtliche Folgen", in: Verhandlungen des 56. Deutschen Juristentages
(1986), vol . I, pp. В 79 sqq. (on surrogat e mot her hood agr ee ment s). For a t horough
discussion of the validity of contracts concerning abortions, cf. Rol f Sturmer, "Das nicht
abgetriebene Wunschkind", 1985 Zeitschrift fur das gesamte Familienrecht 753 sqq.
*" Evanturel v. Evanturel (1874-75) LR 6 PC 1 at 29; cf. also Hurwitz v. Taylor 1926 TPD
61 at 91 sq,; Мауег-Maly, op. cit., note 31, § 138, n, 17.
269
In South Africa pacta successoria are still invalid. For a modern discussion of this rule,
see Dale Hutchison, "Isolating the pactum successorium", (1983) 100 SALJ 221 sqq.
270
[ 1 9 7 3 ] Q d R 9 3 a t 1 0 4 ; q u o t e d b y Z w e i ge r t / K o t z , p. 7 3 .
271
AG E mde n, 1975 Neu e Ju ri sti sche Woch e rt sch ri ft 1363 sq.
Mayer-Maly, op. cit., note 31, § 138, n. 55.
273
Zimmermann, Moderationsrecht, pp. 154 sqq. On agreements in restraint of trade in
Roman law, see Andreas Wacke, "Wettbewerbsfreiheit und Konkurrenzverbotsklauseln im
an ti ke n u nd mod er ne n Re ch t" , (1 98 2) 9 9 Z SS 18 8 s qq . For Ro ma n- Du tc h a nd S out h
African law, see j.T. Schoombee, "Agreements in restraint of trade: The appellate division
confirms new principles", (1985) 48 THRHR 127 sqq.; the leading modern case is Ma^na
Alloys and Research (SA) (Pty.) Ltd. v. Ellis 1984 (4) SA 874 (A). On the approach of English
courts (which has for a long time influenced South African decisions), cf. e.g. Treitel,
Contract, pp. 345 sqq.
274
Cf. supra, pp. 175 sqq., 268 sq.
275
Cf. supra, p. 269.
276
Cf. e.g. Ludwig Raiser, Das Recht der Allgemeinen Geschaftsbedingungen (1935),
pp. 302 sqq.
277
§ §9 , 10 a nd 1 1 AGBG
278
Thus, for instance, a greements u nder which the owner of a restaurant is obliged to
obtain his beer supply from a specific brewery for more than 20 years are usually regarded
as being contra bonos mores by German courts. For details, see Zimmermann,
Moderationsrecht, pp. 24 sqq. For an overview of further cases where § 138 BGB has been
invoked in order to protect the freedom of trade and in order to curb the abuse of a superior
bargaining position cf. Mayer-Ma ly, op. cit., note 31, § 138, nn. 6 4 sqq., 78 sqq.
1
F.H. Lawson, A Common Lawyer Looks at the Civil Law (1953), p. 101 (under the title:
Roman
2
Law a Law of Movement).
J.C. Smith, "The Unique Nature of the Concepts of Western Law", in: J.C. Smith,
David N. Weisstub, The Western Idea of Law (1983), p. 18; cf. also Lawson, op. cit., note 1,
p. 100; Maine, Ancient Law, pp. 179 sqq.
3
Cf. supra, p. 576.
4
Cf. infra, p. 801.
716
11
Cf. infra, p. 733.
12
13
Inst. Ill, 15, 4.
Most of the examples discussed in the Digest (as well as on the following pages) concern
either conditional dispositions contained in a will or conditional stipulations. Suspensive
conditions could, however, be attached to all kinds of transactions (including, of course,
consensual contracts), except those that were dubbed "actus legitimi" by Papinian. In
D. 50, 17, 77 he says: "Actus legitimi, qui non recipiunt . . . condicionem, veluti
emancipatio, acceptilatio, hereditatis aditio, servi optio, datio tutoris, in totum vitiantur per
. . . condicionis adiectionem." In the place of "emancipatio" one possibly has to read
"mancipatio". For further details, see Kaser, RPr I, p. 255.
14
15
Cf. Inst. Ill, 15, 6.
Pap. D. 12, 1, 37.
16
". . . si condicio vera sit, stipul atio tenet": Pap. P. 12, 1, 37.
17
Inst. Ill, 15, 6.
|й
For the condicio in praesens vel praeteritum collata in modern law, c{. Flume, Л Т, § 38, 1
b; as far as English law is concerned, see Samuel J. Stoljar, "The Contractual Concept of
Condition", (1953) 69 LQR 500 sqq.
19
Inst. Ill, 15, 2.
20
Po mp. D. 36, 2, 22, 1.
21
lul. P. 35, 1, 21; Paul. D. 21, 1, 43, 10; cf. also Flume, AT, § 38, 1 с On the closel y
related question of condiciones tacitae (inherent in the transaction itself), cf. Pap. D. 36, 2,
35, 1; Pap. D. 23, 3, 68; Pap D. 50, 17, 77; Max Kaser, "Condicio iuris und condicio tacita",
in: Sytnbolae Raphaeli Taubenschlag dedicatee, vol. I (1956), pp. 427 sqq.; HJ. Legier, "Tacita
condicio", (1966) 44 Rhi 5 sqq.; Wolf, Causa stipulationis, pp. 126 sq.
22
Inst. Ill, 19, 11; cf. also Gai. Ill, 98.
23
Inst. Ill, 19, 11.
24
Conversely, if the stipulation had been to the effect "Si ditio caelum non attigero, dare
spondes?", it was valid and i mmediately enforceable (". . . pure facta obligatio intellegitur
ideoque statim petere potest").
25
Gai. Ill, 98.
2fl
On which see supra, pp. 75 sqq.
27
Cf. Alf. D. 28, 5, 46.
28
Cf. supra, p. 628, note 45.
29
The question was, at first, the subject of a school dispute ("sed legatum sub impossibili
condictione relictum nostri praeceptorcs proinde deberi putant ac si sine condicione relictum
esse t; diversae sc holae a uctore s nihilo m inus le ga tum inutile e xistim a nt qua m stipula -
tione m"). The opinion of the Sa binia ns pre vailed: cf. Alf. D. 28, 5, 46; Ulp. D. 35, 1, 3;
Pomp. D. 35, 1, 6, Ulnst. II, 14, 10. For details, see Voci, DER, vol. II, pp. 609 sqq.; Hans
Josef Wieling, "Falsa de m onstratio, c ondicio pro non scripta, condicio pro im pleta im
romischen Recht", (1970) 87 ZSS 212 sqq.; Geoffrey MacCormack, "Impossible Conditions
in W ills", (19 74) 21 R1D A 263 sqq.; Gia n Gualberto Arc hi, "C ondizione ne l ne gozio
giuridico (diritto romano)", in: Scritti di diritto romano, vol. I (1981), pp. 253 sqq.
311
Marci. D. 28, 7, 14; cf. further Pom p. D. 28, 7, 7; Pom p. D. 30, 54 pr.; Paul. D. 28, 7,
9; Voci, DER, vol. II, pp. 796 sqq.
31
C. 6, 25, 5 (Val. at Gall.); on which see the analysis by Jens Peter Meincke, "Die
Schcidungsklausel im Testament", in: Festschrift fur Max Kaser (1976), pp. 437 sqq., 456 sqq.
(containing a most instructive comparison with a decision by the German Federal Supreme
Court of 1956).
12
M odest. D. 28, 7, 27 pr. (". . . la uda ndus est ma gis qua m a ccusa ndus here s, qui
reliquias testatons non in mare secundum ipsius voluntatem abiecit, sed memoria humanae
condicionis scpulturae tradidit").
33
Ulp. D. 28, 5, 9, 14.
34
Cf. further, as far as the conditional institution of an heir is concerned, Lab. D. 28, 7,
20, 1; Iut./Ulp. D. 28, 7, 4, 1; Lab. D. 28, 7, 20 pr. For a detailed analysis, see Ralph Backhaus,
Casus perpiexus: die Lasting in sich widerspriichlkher Rechtsfalte durch die klassische romische
Jurisprudenz (1981), pp. 32 sqq.
Зэ
The same probl em is raised in Marc. D. 28, 5, 52.
36
Ulp. D. 28, 5, 9, 14.
37
Franz Wieackcr, "Die juristische Sc kunde. Zur Le gitimation der Konstruktionsjuris-
prudenz", in: Existenz undOrdnung, Festschrift fur Erik Wolf'(1962), p. 431; Backhaus, op. cit.,
note 34, pp. 41 sqq. (43).
3R
Marc. D. 28, 7, 16; cf. further Backha us, op. cit., note 34, pp. 50 sqq.
45
C f. U lp . D . 3 5 , 1 . 7 p r.
46
Cf. Iul./Maec. D. 36, 1. 67, 1; Pap. D. 35, 1, 73.
47
Cf. Ulp. D. 35, 1, 7 pr.; Gai. D. 35, 1. 18 (dealing with the institution of heirs). The
question whether these are classical or post-classical generalizations is disputed; cf. Antonio
Masi, "In tema di 'cautio Muciana'", (1962) 13 lura 175 sqq.; Voci, DER, vol. II, pp. 606
sq.; Kaser, RPr I, p. 254; idem, RPr II, p. 97, n. 19.
48
As, for example, in the case of "si Stichum поп manumiscrit" (lav. D. 35, 1, 67). The
condition could be satisfied if Stickus died before having been manumitted.
49
Cf, for exa mple , Paul. D. 18, 6, 8 pr.
50
Cf., for example, Tryph. D. 28, 2, 28 pr.
51
Cf., for exa mple, lav. D. 12, 1. 36; Paul. D. 18, 6, 8pr.;Iul. D. 28, 5, 38, 4 ("pende nte
condicione"); for a detailed analysis, see Carlo Gioffrcdi, "'Pendcnz a' e 'sospensione' dalle
fonti rom a ne alia dom m atica odierna", (1956) 22 SDHI ИЗ sqq.
52
D. 50, 17, 169, 1.
53
Ulp. D. 50, 16, 54; M arci. D. 20, 1, 13, 5.
54
Po m p. D. 12, 6, 16 pr.
55
Ul p. D. 12, 6, 18.
56
Cf. Daube, Roman Law, pp. 122 sq.; Alan Rodger, "Emptio perfecta Revisited: A Study
of Digest 18, 6, 8, 1", (1982) 50 TR 344; cf. also already Cluck, vol. 13, p. 78.
57
Paul. D. 44, 4, 8 pr.; Paul. D. 50, 17, 173, 3. Cf. also Liber Scxtus. Lib. V, Tit. XII,
De regulis iuris, L1X.
5H
Cf. supra, p. 284.
59
Paul. D. 41, 4, 2, 2; Paul. D. 18, 6, 8 pr.
60
U E 2, 2; Ulp. D. 2 4, 1, 1 1 pr.
61
Cf. Gai. D. 30, 69, 1; M arci. D. 20, 1, 13, 1.
62
Inst. Ill, 15, 4; cf. also Ulp. D. 50, 16, 54.
63
Inst. Ill, 15, 4; Paul. vat. 55; Iul. D. 36, 2, 19, 3; Paul. D. 18, 6, 8 pr.; but cf. also Ulp.
D. 35, 1, 59 ("Intercidit legatum si ea persona decesserit, cui legatum est sub condicione");
Werner Flume, "Zur Vererblichkeit der suspensiv bedingten Obligation nach kl assischem
romischem Recht", (1936) 14 TR 19 sqq.; Masi, Condizione, pp. 19 sqq., 195 sqq.; Gottfried
Schiemann, Pendenz und Riickwirkung der Bedingung (1973), pp. 8 sqq.; Kaser, RPr I, p. 256;
Thomas, TRL, p. 236; contra (in classical Roman law the transaction lapsed when one of the
parties died): F. Vassalli, '"Dies vel condi cio'. Lineamenti della dottrina romana della
condizione", in: Studi giuridici, vol. I (1960), pp. 268 sqq.; Salvatore Riccobono,
"Formazione del domma della transmissibilita all' erede dei rapporti sotto condizione [fr. 23
D. XXIII, 4Afr. VII qu. eV. F. 55]", in: Studi in onore di Silvio Perozzi (1923), pp. 351 sqq.;
Buckl and/ St ei n, pp. 424 sq.; cf. also Voci, DER, vol. I, pp. 291 sqq. (t he questi on was
controversial among classical jurists).
64
Ulp. D. 46, 2, 14, 1; Pomp. 13. 46, 3, 16; Pomp. D. 46, 4, 12; Pap. D. 50, 17, 77. These
acts, of course, became effective only once the condition had been satisfied.
fi S
Gai. D. 20, 4, 11, 1. The pledge, under these circumstances, was also sub condicione;
cf. al so Marci. D. 20, 1, 5 pr.; Afr. D. 20, 4, 9 pr. —2.
66
lav. D. 33, 5, 14; Gai. D. 40, 9, 29, 1.
67
Pomp. D. 35, 1, 105; Paul. D. 11, 7, 34.
68
Iul. D. 39, 5, 2, 5 ("Si pecuniam mihi Titius dederit absque ulla stipulatione, ea tamen
condicione, ut tune domum mea fieret, cum Seius consul factus esset: sive furente eo sive
mortuo Seius consulatum adeptus fuerit, mea fiet"). The question was, however,
controversial; cf. Ulp. D. 23, 3, 9, 1; Masi, Condizione, pp. 142 sqq.; Schiemann, op. cit.,
note 63, pp. 10 sqq.; Kaser, RPr i, p. 255.
69
Schi emann, op. cit., note 63, p. 12.
70
Cf, for example, the argument advanced by Vassalli, op. cit., note 63, pp. 268 sqq.: the
positions of conditional debtor/creditor in classical law were intransmissible on death
because retroactivity was unknown; c(. also Buckland/Stein, p. 424. Gai. D. 20, 4, 11, 1 also
shows how closely the two issues were related.
71
Th o mas, T RL, p. 235 .
72
Pomp. D. 45, 1, 31; Masi, Condizione, pp. 98 sqq.
73
D. 45, 1, 78 pr. (the decision to which this phrase was attached as an argument reads
as follows: "Si films familias sub condicione1 stipulatus emancipatus fuerit, deinde exstiterit
condicio, patri actio competit").
74
Paul. D. 50, 17, 144, 1.
75
D. 18, 6, 8 pr. (the prime candidate, in the present context, of post-classical corruption
of
7fi
the classical law).
"Videamus, an idem dicendum sit, si sub condicione stipulatione facta hypotheca data sit,
qua pendente alius credidit pure et accepit eandem hypothecam, tune deinde prioris
stipulationis exsistat condicio, ut potior sit qui postea credidisset. sed vereor, num hie aliud
sit dicendum: cum enim semel condicio exstitit, perinde habetur, ac si illo tempore, quo
stipulatio interposita est, sine condicione facta esset. quod et melius est." Cf. supra, note
65.
78
The general retroactivity doctrine has been developed by Bartolus, as Schiemann, op.
cit. , n ote 63 , p p. 29 sq q. has poi nte d o ut. For a d et ail ed an alysi s of its ado pti on and
application during the various periods of the ius commune, see Schiemann, pp. 36 sqq.
Among 19th-century pandectists it became one of the most widely discussed and
controversial topics in the whole field of private law; cf., for example Fr. Eisele, "Das
Dogma von der riickwirkenden Kraft der erfullten Suspensiv-Bedingung", (1867) 50 Archiv
jur die civilistische Praxis 253 sqq.; Windscheid/Kipp, § 91. For a long time, the general
retroactivity doctrine dominated the scene (cf., for example, Vangerow, Patidekten, § 95;
Puchta, Pandekten, § 61). It was ultimately shattered by Windscheid.
79
Cf., in particular, Vassalli, op. cit., note 63, pp. 273 sqq. (maintaining his view on the
basis of rather sweeping interpolation allegations); cf. also Gian Gualberto Archi, "II negozio
sotto condizione sospensiva nella compilazione di Giustiniano", in: Scritti di diritto romano,
vol. Ill (1981), pp. 2079 sqq.
8. Interpretation of conditions
(a) General considerations
We have been looking at the consequences of the satisfaction of
conditions. But when were conditions satisfied? This depended entirely
on how they were drafted and what they were intended to achieve; it
was, in other words, a matter of interpretation. In many cases the issue
was straightforward. Under a stipulation of the type "Si Capitolium
ascenderis, quinque aureos dare spondes?" the five gold coins became
exactable if the stipulator had walked up Capitol hill; where the
stipulation said "Si intra biennium Capitolium non ascenderis, quinque
aureos dare spondes?", 85 the same sum could be claimed if within the
next two years the stipulator did not in fact embark on that ascent. But
we have already come across examples where the matter was much
more difficult to determine—as in the case of a negative potestative
condition that did not set a time within which the stipulator had to act
if he did not want to pay the money ("Si in Capitolium non ascenderis
. . ."). 86 Generally speaking, the classical Roman jurists adopted a
flexible rather than a formalistic approach towards the interpretation of
conditions. 87 Ambiguities in stipulations, as usual, tended to be
resolved contra stipulatorem; 88 with regard to testamentary disposi-
tions, the general favor testamenti prevailed89 and in the case of
conditional releases from slavery (whether by last will or on account of
m
Cf., in genera], Volker Kurz, Vox- und Riickwirkungen im klassischen romischen Recht
(unpublished
8
Dr. iur. thesis, Freiburg i. Br., 1971), pp. 5 sqq. and passim.
Masi, Condizione, pp. 158 sqq.; Kaser, RPr II, p. 96.
K2
83
Thomas, TRL, p. 237.
Cf. Masi, Condizione, pp. 109 sqq.; Alfredo Calonge, "En torno al problema de la
retroactividad de la condicion en el derecho clasico", in: Studi in ortore di Edoardo Volterra, vol.
Ill (1971), pp. 147 sqq., 158 sqq.; Kurz, op. cit., note 80, pp. 117 sqq.
a4
85
Kaser, RPr 1. pp. 256 sq.
Cf. the example discussed in Cels. D. 45, 1, 99, 1.
™ Pap. D. 45, 1. 115, 1; for details, cf. supra, p. 723.
87
As they did with regard to both dispositions mortis causa and inter viros in general; cf.
supra, pp. 625 sqq,
8
89
Cf. supra, pp. 639 sqq. and also, for example, p. 104.
Cf, for example, Wieling, (1970) 87 ZSS 230 sqq.
40
For details, see Masi, Condizione, pp. 227 sqq.
"' For details, see Guido Donatuti, Lo statulibero (1940); Kascr, RPr I, p. 114.
1)2
Cf Ulp. D. 40, 7, 3, 2.
43
Cf. also Watson, Obligations, pp. 1 sq. ("implied term"); Knutel, Stipulatio poenae,
pp. 211 sq. Both authors deal with Ulp. D. 22, 2, 8, where Ulpian, once again, refers lo
Servius, this time for the proposition that a penalty cannot be claimed if the event upon
which its forfeiture has been made dependent was brought about by the stipulator ("Servius
ait pecuniae traiecticiae poenam peti non posse, si per creditorem stetisset, quo minus earn
intra certum tempus praestitutum accipiat"). This is the historical origin of the rule
embodied in § 162 II BGB: "If the fulfilment of a condition is brought about in bad faith by
the party to whose advantage it would operate, the condition is deemed not to have been
fulfilled." For South Africa, cf. Joubert, Contract, p. 177; "By parity of reasoning the same
principle can be applied where the party who would be a creditor upon fulfilment actually
ensures fulfilment of the condition contrary to the intention of the parties." As far as classical
Roman law is concerned, cf. also Modest. D. 46, 1, 41 pr. (dealing with fideiussio
indemnitalis; on which see supra, pp. 137. 140, 142), as interpreted by Rolf Knutel, "Zur
Frage der sog. Diligenzpflichten des Glaubigers gegeniiber dem Biirgen", in; Festschrift fur
Werner
94
Flume, vol. I (1978), p. 568 sqq., 570.
Cf. also UE 2, 5; "Si per heredem factum sit, quo minus statu НЬет condicioni pareat,
proinde fit liber, atque si condicio expleta fuisset"; see further UE 2, 4, another decision in
favorem libertatis, attributed by Ulpian to the XII Tables already. On the favor libertatis as
motivation for the decisions concerning the statuliber, cf. also Kalchthaler, op. cit., note 9,
pp. 53 sqq.
95
D. 35, 1, 24. By the time of Ulpian, the matter was no longer controversial: Ulp. D.
50, 17, 161 ("quibus exemplis stipulationes quoque committuntur . . ."). Cf. further David
Daube, "Condition Prevented from Materializing", (1960) 28 TR 274 sqq.; Kalchthaler, op.
dt.,ж note 9, pp. 25 sqq.
Ulp. D. 18, 1, 50. Cf. also Pomp. D. 18, 1, 8 pr. and Daube, (1960) 28 TR 281 sqq.;
Kalchthaler, op. dt., note 9, pp. 59 sqq.
97
Cf., for example, Ulp. D. 18, 1, 50; cf. also Serv./Ulp D. 22, 2, 8 (as far as stipulations
were concerned). Other texts use the phrase "si per heredem (promisorem) factum sit": UE
2, 9S5; cf. also Iul. D. 35, 1, 24; Ulp. D. 50, 17, 161.
Cf. supra, pp. 105 sq. and also Rolf Knutcl, "Zur sogenannten Erfullungs- und
Nichterfiillungsfiktion bei der Bedingung", 1976 Juristische Blatter 616; idem, Stipulatio
poenae, p. 197.
1)9
Cf. also Karl Hackl, "Sulla finzione nel diritto privato", in: Studi in onore di Atnaldo
Biscardi, vol. I (1982), p. 257. Whether or not, in an individual case, prevention could be
equated with satisfaction, continued, however, to depend on the interpretation of the
contract; hence, for example, the solution arrived at in Iul. D. 18, 1, 41 pr., where to treat
condicio pro impleta (and consequently the contract of sale) as operative would obviously
not have made sense: Daube, (1960) 28 TR 271 sqq.
100
Ulp. D. 50, 17, 161; cf. also Iul. D. 35, 1, 24; on which see Kakhthaler, op. cit., note
9, pp. 25 sqq.; Masi, Condizione, pp. 220 sqq. Another fiction, incidentally, that came to be
recognized in post-classical, but possibly even in classical law, remained confined to the law
of testamentary dispositions: a condition is held to be satisfied if the potential beneficiary was
prevented from actual satisfaction due to circumstances which were outside his control (si
per eum non stat, quominus im pleatur); cf. UE 2, 6; Herm og. D. 35, 1, 94; Pa ul. D. 40, 7,
20, 3;Masi, Condizione, pp. 227 sqq.; Kaser, RPrl, p. 257; idem, RPr II, p. 97; for a modern
com parative disc ussion, see A.B. Sc hwarz, "Be dingung", in: Fra nz Sc hle gelberger (e d.),
Rechtsverqleichetides Handworterbuch fur das Zivil- und Handelsrecht des In- und Auslandes, vol. II
(1929), pp. 415 sqq.
101
However, the German legislator attempted to specify the manner in which fulfilment
of the condition had to have been prevented and therefore adde d the words "in violation of
the precepts of good faith" ("wider Treu und Glauben"), He thus appears to have restricted
the application of the "prevention equals satisfaction" rule. Yet this was not his intention; on
the contrary, he devised this clause in order to emphasize the width of its range of operation;
for a detailed analysis, see Knutel, 1976 Juristische Blatter 613 sqq., 616 sqq.
102
§ 158 II.
103
For South African law, cf. Joubert, Contract, pp. 172 sq.; generally, see Schwarz, op.
cit., note 100, pp. 395 sqq.
104
Ulp. D. 18, 3, 1.
1(15
Ulp. D. 18, 1, 3.
113
The reason is, presumably, that recognition of resolutive conditions in stipulations
would have been in conflict with the non-recognition of suspensive conditions in formal
releases (acceptilationes). Acceptilationes belonged to the actus legitimi of Pap. D. 50, 17, 77;
cf. supra, note 13.
114
115
Paul. D. 44, 7, 44, 2.
Paul. D. 44, 7, 44, 2; Honsell/Mayer-Maly/Selb, p. 92.
116
Cf. vat. 283 ("cum ad tcmpus [?; cf. infra, note 125] proprietas transferri nequiverit");
Paul. D. 40, 4, 33 ("Libertas ad tempus dari non potest"); Lab./Paul. D. 1, 7, 34 (". . . nee
enim moribus nostris convenit ftlium temporalem habere"). As far as institutio heredis was
concerned,
117
the rule was semel hcres, semper hcres; cf. Gai. II, 184; Gai. D. 28, 5, 89.
Honsell/Mayer-Maly/Selb, p. 92. A resolutive condition contained in a will—in
violation of semel hcres semper hercs — was, however, regarded as pro non scripto (Kaser,
RPrl,
11H
p. 688).
Pap. D. 50, 17, 77.
m
Cf. Ulp. D. 18, 2, 2 pr. On the technical term "purus" (unconditional, in the sense of
not subject to a suspensive condition), see Inst. Ill, 15, 2 ("Omnis stipulatio aut pure aut in
diem aut sub condicione fit. . . .") and, today still art. 1584 code civil ("La vente pent etrejaite
purement et simptement, ou sous tine condition soil suspensive, soil resolutoire"). In England, the term
"absolute" is often used in contradistinction to "conditional".
120
Iul./Ulp. D. 18, 2, 2, 1; for all details, see Peters, Rucktrittsvorbehalte, pp. 152 sqq.
121
The relevant sources are analysed by Peters, Riicktrittsvorbehalte, pp. 262 sqq.
122
The object of the sale was usually regarded as "inemptus": cf., for instance, Pomp. D.
18, 3, 2 and Owe Wesel, "Zur dinglichen Wirkung der Ruckttrittsvorbehalte des romischen
Kaufs", (1968) 85 ZSS 163 sqq.
123
Vat. 14 ("Lege venditionis inempto praedio facto fructus interea perccptos iudicio
venditi restitui placuit, quoniam eo iure contractum in exordio videtur . . ."). Cf. further the
somewhat strai ned expl anation offered by Pomp. D. 18, 1, 6, 1.
124
Ulp. D. 1 8, 3, 4 pr.
125
Which is, nevertheless, rejected by a large body of opinion; cf. Wieacker, op. cit., note
107, pp. 45 sqq.; Ernst Levy, "Zu den Rucktrittsvorbehalten des romischen Kaufs", in:
Gesammelte Schriften, vol. II (1963), pp. 117 sqq.; De Zulueta, Sale, p. 56; Arangio-Ruiz,
Compravendita, pp. 420 sqq.; Flume, Festschrift Kaser, pp. 310 sqq., 320 sqq. The strongest
argument in favour of these authors is vat. 283, which appears to declare, quite
unequivocally, that ownership may not be transferred merely for some time (". . . cum ad
tempus proprietas transferri nequiverit"). Attention has, however, been drawn to the fact
that the manuscript of the Fragmenta Vaiicana has "ad te" rather than "ad tempus". The text
may therefore have referred to the individual case in question which involved a donation "ut
post mortem eius qui accepit ad te rediret". Transfer of ownership on account of a donation
may thus have been treated differently in this respect than a transfer based on sale. For a
detailed analysis, see Peters, RiicktrittsvorbehaUe, pp. 173 sqq.
In favour of an effect "in rem" of dissolution of a contract of sale are, apart from Peters,
Rucktrittsvorbehalte, pp. 164 sqq., Wesel, (1968) 85 ZSS 94 sqq. and Kaser, RPr I, p. 562; cf.
also Savigny, System, vol. Ill, p. 154; Vangerow, Pandekten, § 96; Windscheid/Kipp, § 90,
n. 1. As far as the discussion among the authors of the ius commune is concerned, cf. Gluck,
vol. 16, pp. 263 sqq., 295 sqq.; Wesel, (1968) 85 ZSS 96 sqq.
12fl
Ulp. D. 6, 1, 41 pr.
127
Cf. Ulp. D. 18, 2, 4, 3; cf. also Marc./Ulp. D. 20, 6, 3.
1. In diem addictio
(a) Functions
"In diem addictio ita fit: 'ille fundus centum esto tibi emptus, nisi si quis
intra kalendas Ianuarias proximas meliorem condicionem fecerit, quo
res a domino abeat'."130 This was the standard way131 of phrasing an in
diem addictio: let the land be sold to you, unless someone makes a
better offer before the first of January next, on account of which the
land departs from its owner. The clause was normally added to the
contract at the instigation of the vendor;132 it provided him with an
opportunity to explore all the possibilities of how best to sell his piece
of property, while at the same time protecting him against the
consequences of unfavourable developments on the market—he was
assured of at least the price he had agreed upon with the present
purchaser. A sale sub in diem addictione could, furthermore, serve as a
convenient means of raising credit. The vendor received the money that
he needed, without suffering the disadvantages normally connected
with somewhat hasty emergency sales: he still retained the chance of
finally obtaining better value for his land. Occasionally, however,
inclusion of the clause could also lie in the interest of a purchaser, who
still entertained some doubts as to whether it was really so wise for him
to buy the land; the in diem addictio gave him a suitable opportunity to
get out of the transaction.
138
On the advantages of the actio venditi (which allowed the vendor to claim
compensation for damages, and profits), cf. Peters, Riickrrittsvorbehalte, pp. 202 sq., 263, 295.
On which see, in general, supra, pp. 509 sqq.
13(1
Paul. D. 18, 2, 1. On the phrase proposed in this fragment, see Wcsel, (1968) 85 ZSS
138;J.A.C. Thomas, "Provisions for Calling Off a Sale", (1967) 35 TR 561 sqq.; Peters,
RUcktrittsvarbehalte, pp. 8 sqq.
131
According to Carlo Congo, "Sulla 'in diem addictio' e sulla 'lex commissoria1 nella
vendita", (1921) 31 BIDR 40 sqq., and others, the only one. Contra, however, the writers
referred to in the previous note.
132
For w h at fol l o ws, se e Pe t e rs, R i i c k i ri t t sv o rbe h a l t e , p. 1 0.
133
Cf- Rudolf Hcnlc, "Die rechtliche Natur der in diem addictio beim Kaufvertrage", in:
Festschrift far Paul Koschaker, vol. II (1939), pp. 169 sqq.; Thomas, (1967) 35 TR 565 sqq.;
Peters, Riicktrittsvorbehalte, pp. 98 sq., 100 sqq.
134
Iul./Ulp. D. 18, 2, 2, 1; Iul./Pa ul. D. 41, 4, 2, 4.
135
D. 18, 2, 4 pr.
136
D. 18, 2, 2 pr. This te xt has ofte n bee n re garde d as interpolate d; cL, for e xa m ple,
Longo, (1921) 31 BIDR 44 sq.; Arangio-Ruiz, Compravendita, pp. 408 sqq. Contra the
authors referred to in note 133.
137
For details, sec Bechmann, Kauf, vol. I I , pp. 502 sqq.; Gliick, vol. 16, pp. 239 sqq.;
Thomas, (1967) 35 TR 565 sqq.; Peters, Riicktrittsvorbehalte, pp. 26 sqq.; on the origin of the
in diem addictio, see Thielmann, Privatauktion, pp. 17 sqq., 34 sqq.; Peters, Rticktrittsvorbe-
halte, pp. 21 sqq.
138
On interpretatio c ontra stipulatore m, see supra, pp. 639 sqq.
Iul. D. 18, 2, 17 (". . . quod si incertum sit, ad utrius pretium addidcrit, a priore
emptione non videtur esse discessum").
Sab./Ulp. D. 18, 2, 11 pr., as interpreted by Peters, Rikktrittsvorbehalte, pp. 41 sqq.;
contra: Arangio-Ruiz, Compravendita, p. 402; Henle, Festschrift Koschaker, vol. II, p. 170. The
parties were, however, able to provide differently (". . . sed Iulianus . . . scripsit interesse
multum, quid inter conlrahentcs actum sit, nee impedire quicquam vel hoc agi, ut saepius
fundus collocetur. dum vel prima vel secunda vel tertia adiectione res a venditore discedat").
Sa b./Ulp. П. 18, 2, 9. Again, there c ould be a special a gree me nt to the c ontrary. 142
Paul. D. 18, 2, 8.
■ Paul. D. 18, 2, 7. There was thus an obvious functional similarity to an auction sale;
the technical details of how the two institutions related to each other are disputed. Cf. Mario
Talamanca, "Contributo allo studio delle vendite all'asta ncl mondo classico", in: (1955) 6
Atti della accademia nazionale dei lincei 106 sq.; J.A.C. Thomas, "The Auction Sale in Roman
Law", 1957 Juridical Review 42 sqq.; Thielmann, Privatauktion, pp. 17 sqq.; Peters,
Riicktrittsvorbehalte, pp. 11 sqq.
144
Ulp. D. 18, 2. 4, 6.
145
P o m p ./U lp D . 1 8 , 2 , 4 , 6 .
146
D. 18, 2, 5.
147
From c om mittere — to forfeit (cf. He uma nn/Sec kel, pp. 80 sq.); ownership of the
object of the sale, as far as it had already been transferred, fell back (was forfeited) to the
vendor.
148
Pom p. D. 18, 3, 2. But other formulations were possible; cf., for example, Pomp. D.
18, 1, 6, 1 a nd Thomas, (1967) 35 TR 563 sqq.
Not unnaturally a lex commissoria was often agreed upon if the purchase price had to
be paid in instalments; cf., for example, Pomp. D. 18, 1, 6, 1; Paul. D. 4, 4. 38 pr. (on the
interpretation of the latter fragment, see Peters, Riicktrittsvorbehaite, pp. 77 sqq.; Detlef Liebs,
"Der Sieg der schonen Ruriliana. Lex commissoria displicebat", in: Festschrift fur Max Kaser
(1976), pp. 373 sqq.; Berthold Kupisch, "Rutiliana pupilla—schon oder energisch? (Paul. D.
4, 4, 38 pr.)", (1977) 94 ZSS 247 sqq.). Not infrequently an arrha was given at the
conclusion of the sale. It was forfeited to the vendor if the contract was called off; otherwise
it was credited against the purchase price (cf. Peters, Riicktrittsvorbehatte, p. 61). On the
relationship between the Roman sale sub lege commissoria and the arrha transaction of
Greek provenance, see Wicacker, op. cit., note 107, pp. 79 sqq.; Levy, Cesammelte Schriften,
vol. II, pp. 281 sqq.; Wescl, (1968) 85 ZSS 133 sqq.; Peters, Riicktrittsvorbehaite, pp. 60"sqq.
150
Cf. supra, pp. 578 sq. and infra, p. 801.
Ulp. D. 18, 3, 1: "Si fundus commissoria lege venierit, magis est, ut sub condicione
resolvi emptio quam sub condicione contrahi videatur." Cf. further Sab./Paul. D. 41, 4, 2,
3; Pomp. D. 18, 3. 2; on which, see Wieacker, op. cit., note 107, pp. 19 sqq., 31 sqq., but
also
152
Peters, Riicktrittsvorbehaite, pp. 112 sqq., 115 sqq.
Ulp. D. 18, 3, 3; cf. also Pomp. D. 18, 3, 2.
1яЛ
Cf. also § 360 BGB, which still determines, for the same reason, that a forfeiture clause
(i.e. a provision in the contract that the debtor shall forfeit his rights arising from the contract
if he docs not perform his obligation) grants the creditor a right to rescind the contract
(Mugdan, vol. II, p. 158). § 360, obviously, looks at the notion of a "lex commissoria" from
a more genera! point of view; the rule is not confined to contracts of sale. At the same time
it has lost much of its practical significance as a result of the fact that the BGB recognizes a
statutory
154
right of rescission in case of mora debitoris; cf. infra, pp. 800, 802.
155
Pap./Ulp. D. 18, 3, 4, 2.
Was fault on the part of the purchaser required? And did the vendor have to make a
special demand (interpellatio) before calling off the sale? Cf. Ulp. D. 18, 3, 4, 4; Lab. D. 19,
3. Pactum displicentiae
(a) Function
The subjection of a contract of sale to a pactum displicentiae, in turn,
was solely in the interest of the purchaser. The clause was often phrased
along the following lines: "ut si displicuisset [res] inempta [sit]", 156 and a
provision of this kind clearly left the determination of whether or not
the contract was to stand completely in the purchaser's discretion: if he
did not like the object he had bought, he was able, without further ado,
to terminate the sale. 157 As a rule, the parties specified a time within
which the purchaser had to make up his mind;158 what happened if they
didn't cannot be said with any degree of certainty. 159 Occasionally, the
right to invoke the pactum displicentiae was lost even before the period
for approval had elapsed. Thus we read of the sale of three horses,
which the purchaser was allowed to return within three days if he found
them unsatisfactory. After having used the horses in a contest, and
despite having won the first prize, he decided to return them. Under
these circumstances, Ulpian allowed the vendor to claim the purchase
price: "nam inter nos hoc actum", he argued, 160 "ut experimentum
1, 51, 1; Scaev. D. 18, 3, 6 pr. and the discussion by Heinrich Siber, "Interpellatio und
Mora", (1908) 29 ZSS 101 sqq.; Wieacker, op. cit., note 107, pp. 35 sq.; Peters,
Rucktrittsvorbehalte, pp. 71 sqq.
156
Cf. Uip. D. 18, 1, 3; Ulp. D. 43, 24, 11, 13; Pa ul. D. 41, 4, 2, 5; C. 4, 58, 4 (Diocl.
et Max.). The formulation was less standardized than in the case of an in diem addictio and
a lex commissoria. Significantly, the compilers did not devote a special title of the Digest to
this type of pactum.
157
No objective reasons for the decision (as, for instance, that the object was defective)
had to be provided; cf. Peters, Rikktrittsvorbehalte, pp. 87, 93; Karlheinz Misera, Der Kauf auf
Probe, ANRW, vol. II, 14 (1982), p. 561; Kncliwolf, op. cit., note 107, pp. 16 sqq., 38 sqq.
and passi m. The pactum displicentiae thus constituted a potestative condition. In diem
addictio and lex commissoria, on the other hand, were condiciones mixtae (i.e. potestative
and casualis at one and the same ti me). Alternatively, it was, of course, quite possible that
the vendor handed the object over to the purchaser "ad inspiciendum" (cf. Ulp. D. 19, 5, 17,
2) or "pretii explorandi gratia" (Pap. D. 19, 5, 1, 2), i.e. before a contract of sale had been
concluded. The main problem, in these cases, was under which circumstances the inspector
was liable if he lost the object. The answer was made to depend on utility considerations (cf.
supra, pp. 198 sq.): for details, see Misera, pp. 526 sqq.
158
Sab./Paul. D. 18, 5, 6; Paul. D. 41, 4, 2, 5; Mei a/Ulp. D. 19, 5, 20, 1; Lab./ Ulp. D.
19, 5, 20 pr. (triduum); Insl. Ill, 23, 4.
Cf. the speculations by Peters, RUcktrittsvorbehalte, pp. 90 sq. If a slave was sold "ut, nisi
placuerit, rcdhibeatur", the period of two months provided in the aedilitian edict for the actio
redhibitoria "adversus eum [qui] de his quae edicto aedilium continentur non caveat" (Gai.
D. 21, 1, 28; cf. further supra, pp. 2%, 316) appears to have been applied per analogiam:
". . . si autem de tempore nihil convenerit, in factum actio intra sexaginta dies utiles
accommodatur emptori ad redhibendum . . ." (Ulp. D. 21, 1, 31, 22). This pactum redhibendi
relating to the sale of slaves served the same function, but was (probably) not identical to
the pactum displicentiae relating to all other objects of sale. The former was closely related
to the system of the aedilitian remedies and gave rise to an actio in factum ad redhibendum,
not to the actiones empli or venditi; cf., apart from Ulp. D. 21, 1, 31, 22 sqq. also Pap. vat.
14 and the analysis by Misera, op. cit., note 157, pp. 531 sqq., 566 sqq. Contra (the two
institutions were identical): Wieacker, op. cit., note 107, pp. 73 sq.; Levy, Gesammelte
Schriften, vol. II, p. 277; Peters, Riicktrittsvorbehalte, pp. 84 sqq. 160 D. 19, 5, 20 pr.
161
Wieacker. op. cit., note 107. p. 74; Peters, Riicktrittsvorbehalte, pp. 88 sqq.; Flume,
Festschrift Kaser, p. 325; Kascr, RPr I, p. 581; contra: Misera, op. cit., note 157, pp. 549 sqq.
(sale under a resolutive condition); Thomas, (1967) 35 TR 570 sq.; Kncllwolf, op. cit., note
107, pp. 92 sqq. (sale under a suspensive condition).
162
D . 1 8 , 1, 3 .
163
Cf. Mela/Ulp. D. 19, 5, 20, 1; Inst. Ill, 23, 4.
IM
Inst. Ill, 23, 4.
165
Ulp. D. 18, 2, 2pr.
ь
In the majority of cases, a pactum displicentiae was construed as a resolutive condition;
fora detailed analysis of all our sources, see Misera, op. cit., note 157, pp. 539 sqq., 549 sqq.,
556 sqq., 564 sq.; cf. also Knellwolf, op. cit., note 107, pp. 16 sqq. (suspensive condition),
pp. 97 sqq. (resolutive condition). But see Peters, Ritcktriftsvorbehalte, pp. 101 sqq.. who
argues that the classical Roman lawyers always regarded a paccum displicentiae as a
resolutive condition.
167
Ulp. D. 19, 5, 20, 1: "Item apud Melam quaeritur, si mulas tibi dedero ut experiaris
et, si placuissent, emeres, si displicuissent, ut in dies singulos aliquid praestarcs, deindc
mulae a grassatoribus fuerint ablatae intra dies experimenti, quid essct praestandum, utrum
pretium ct merces an merces tantum. et ait Mela intcresse, utrum emptio iam erat contracts
an futura, ut, si facta, pretium pctatur, si futura, merces petatur; sed non expnmit de
actionibus. puto autem, si quidem perfecta fuit emptio, competere ex vendito actionem, si
vero nondum perfecta esset, actionem talem qualem adversus desuitorem dari." (The latter
remark refers to Lab./Ulp. D. 19, 5, 20 pr. in fine: actio praescriptis verbis.) On this text,
see Peters, RUcktrittsvorbehalte, pp. 107 sqq.; Flume, Festschrift Kaser, p. 325; and, in
particular, Misera, op. cit., note 157, pp. 543 sqq.
V. DIES
1. Dies certus and dies incertus quando
A conditional obligation is subject to the occurrence, or non-
occurrence, of an event both future and uncertain. If it is certain that the
event will happen, we are not dealing with a condition but with a time
clause (dies). 168 When it will happen may either be certain ("on the
kalends of October") or uncertain ("on the death of Stichus"): as long
as the futurity is certain to arise, we are still dealing with a dies. A clause
of the type "on the kalends of October" is usually referred to as a dies
certus; its opposite is the dies incertus quando. The latter could pose an
interesting problem for the Roman lawyers. If it was not the death of
Stichus, or of some other third party, but rather the demise of either of
the contracting parties themselves that had been chosen as determina-
tive dies, the obligation could become enforceable only by or against
the heir of one of them—a result which would have been in conflict
with the rule against contracts in favour, or to the detriment, of third
parties. A stipulation of the type "post mortem meam dari spondes?"
or "post mortem tuam dari spondes?" was therefore void. 169 "Pridie
quam moriar [or: morieris] dan spondes?" was also frowned upon, 170
for the day before someone dies can be identified only once the death
has actually occurred; in substance, therefore, the situation was again as
if the stipulation had been in favour, or to the detriment, of the heir.
Yet a promise of performance "cum moriar [or: morieris]" was valid,
for it was construed to begin at the last moment of the stipulator's, or
the promisor's, life. 171
2. Dies ad quem
Not very much need be said about time clauses for, by and large, they
followed the same rules as conditions. Thus, they also subdivided into
two major categories: "[c]irca diem duplex inspectio est: nam vel ex die
incipit obligatio aut confertur in diem."172 The former of the two,
known generally as dies a quo, corresponded to the suspensive
lf H
' Cf., in general, Ludwig Mitteis, Romisches Privatrecht bis aufdie Zeit Diokletians, vol. I
(1908), pp. 190 sqq.; Kaser, RPr I, p. 258; Thomas, TRL, pp. 233 sq.
16
Gai. Ill, 100; for further discussion, see the references by Kascr, RPr I, p. 492, n. 34 and p.
543, n. 50.
170
Gai. Ill, 100.
171
Gai. Ill, 100; cf. also Thomas, TRL, p. 234, who draws attention to a similar reasoning
in English law over tortious claims for loss of expectation of life: cf. Morgan v, Scouldin<>
[1938] 1 KB 786.
172
Paul. D. 44, 7, 44, 1.
173
Cf. Ulp. D. 19, 2, 13, 11 (locatio conductio).
174
Iul. D. 45, 1, 56, 4; Paul. D. 44, 7, 44, 1.
175
Cf. supra, note 116.
[7b
Pap. D. 50, 17, 77.
177
Cf. supra, pp. 723 sqq.
178
Cf., for exa m ple, Paul. D. 44, 7, 44, 1; Paul. D. 45, 1, 46 pr. (" 'Centesimis kalendis
dari' utiliter stipula m ur, quia pracsens obligatio est, in die m a ute m dilata solutio").
179
Paul. D. 12, 6, 10; Cels./Ulp. D. 12, 6, 17; cf. also the somewhat mysterious fragment
Pom p. D. 12, 6, 16, 1: "Quod aute m sub incerta die de betur, die existcntc non repetitur."
Birks, in: Mommsen, Kruger, Watson, vol. I (1985), translates (or rather: interprets):
"Where a debt falls due on an unfixed day, recovery is impossible since the day must come."
But certainly the more natural translation would be ". . . recovery is impossible once the day
has come". One would then have to conclude that before the day has come recovery was in
fact possible: contrary to Paul. D. 12, 6, 10 and Cels./Ulp. D. 12, 6, 17. In order to resolve
this diffic ulty, Cuiacius propose d the following e m e ndation: ". . . die non e xiste nte non
reperitur" (cf. the discussion in Gliick, vol. 13, pp. 77 sq.). For a different explanation (the
condictio was gra nte d, originally, to a person pre m aturely pa ying a de bt subject to dies
incertus; Celsus was the first jurist to refuse it), cf. David Daube, "Zur Palingenesie einiger
Kla ssikerfra gm e nte ", (1959) 76 ZSS \Ы sqq.
180
Cf. supra, p. 724.
181
Cf. the arguments advanced by Alan Rodger, "Emptio perfecta Revisited: A Study of
Digest 18, 6, 8, 1", (1982) 4 TR 337 sqq.
Andreas von Tuhr, Der Ailgemeine Teil des Deutschen Biirgerlichen Rechts, vol. II, 2
(1957), p. 271.
183
Cf., for example, art. 1168 code civil: "L'obligation est conditionelle lorsqu'on la fait
dependre d'un evenementfutur et incertain . . ." (based on Pothier, Traite des obligations, n. 199).
For a comprehensive comparative analysis of the law relating to conditions, see Schwarz, op.
cit., note 100, pp. 391 sqq.; for South Africa, cf. D.P. de Villiers, "Die betekenis van die
opskortende voorwaarde by 'n ooreenkoms", (1943) 7 THRHR 13 sqq., 154 sqq.; Joubert,
Contract, pp. 169 sqq. On impossible, illegal and immoral conditions, see Schwarz, op. cit.,
note 100, pp. 406 sqq.; cf. also Denis A. Cooper, "Impossible Conditions in Roman and
Modern Law: A Summary Review", (1941-42) 16 Tulane LR 433 sqq.; Flume, AT,
§ 38,
184
4 d.
The term "condition" in English law is "a chameleon-like word which takes on its
meaning, from its surroundings" (Skips A/S Nordheim v. Syrian Petroleum Co. Ltd. [1984]
QB 599 at 618). Samuel j. Stoljar, "The Contractual Concept of Condition" (1953) 69 LQR
485 sqq. lists no fewer than twelve different legal meanings. The equivalent, roughly, of the
Roman "condicio" is what is usually referred to as "contingent condition": specification of
an event upon the occurrence, or non-occurrence, of which the obligations of both parties
are contingent; cf, for example, Treitel, Contract, pp. 48 sqq. On "condition" in the sense
of a contractual term, the breach of which gives the injured party the right to rescind the
contract (as opposed to mere "warranties"), cf. Treitel, Contract, pp. 601 sqq. and infra,
pp. 803 sq.; on "condition" in the sense of an implied term automatically discharging the
parties in the case of frustration of contract cf. infra, p. 817. "The condition", in the words
of Stoljar (p. 485), "is important because it vitally affects the law of performance and breach
of contracts; and also because the whole development of this part of our contract law is
inseparable from the history of conditions." For a general overview, from a comparative
point of view, cf. also Schwarz, op. cit., note 100, pp. 392 sqq., 400 sqq. He points out that
the notion of condition in England was first employed in the law of immovable property,
from where it was taken over into the law of testamentary dispositions before it filtered
through into the law of contract. But conditional bonds already played an important role in
the1RS
medieval law of contract; cf. Simpson, History, pp. 90 sqq.
Cf, for example, § 163 BGB; §§ 704 sqq. ABGB; artt. 1185 sqq. code civil.; Joubert,
Contract, pp. 168 sq.
1M
" § 158 BGB; § 696 ABGB; artt. 1168, 1181 ("L'obligathtt contractee sous une condition
suspensive . , ."), 1183 ("La condition resohitoire . . .") code civil; R v. Katz 1959 (3) SA 408 (C);
Joubert, Contract, p. 172; cf. also M.A.K. Lambiris, "The Incidence of Risk in
Conditional Sales", (1984) 101 SALJ 656 sqq.
Similarly, contingent conditions in English law may be either precedent (i.e. the contract
is not to be binding until the specified event occurs) or subsequent (i.e. a previously binding
contract is to terminate on the occurrence of the specified event): Treitel, Contract, p. 48;
Schwarz, op. cit., note 100, p. 396; but cf. also Stoljar, (1953) 69 LQR 506 sqq. Cf. also
Blackstone, Commentaries, Book П, Ch. 10, II (dealing with Estates upon Condition): "These
conditions are therefore either precedent, or subsequent. Precedent are such as must happen
or be performed before the estate can vest or be enlarged; subsequent are such, by the failure
or 187
nonperformance of which an estate already vested may be defeated."
Flume, AT, § 38, 2 c; Joubert, Contract, p. 172.
m
* Artt. 1169-1171 code civil.
The definition of potestative condition has undergone a slight change in so far as it is
no longer confined to cases where the occurrence, or non-occurrence, of the event is in the
control of the stipulator (i.e. the conditional creditor); "(l]a condition potestative est ceile qui fait
dependre {'execution de la convention d'un euenement qu'il est аи pouvoir de I'une он de I'autre des
parties contractantes de faire arriver ou d'empecher" (art. 1170 code civil). This change results from
the abandonment of the unilateral Roman stipulation; under a bilateral contract both parties
arc in the role of debtor as well as creditor. Conditions turning upon an event wholly in the
control of the promisor were, as we have seen, invalid in Roman law. More particularly,
the Roman lawyers were averse to a promise of the type "Si volueris, . . . dare spondes?" (cf.
Paul. D. 45, 1, 46, 3). The same aversion is reflected, in modern law, in the distinction
between a potestative condition (valid) and condicio si voluero ("Wollcnsbeding-н«?")
(rendering the obligation ineffective); cf. Flume, AT, § 38, 2 d; H.P. Westermann, in:
Mimchener Kommentar, vol. 1 (2nd ed.. 1984), § 158, n. 21. Substantially the same distinction
is drawn in French law (conditions potestatives ordinaires as opposed to conditions purement
potestatives); cf. also art. 1174 code civil, which is, however, unhappily drafted and
appears to contradict art. 1170 code civil. In general cf. Schwarz, op. cit., note 100,
pp. 398, 411 sq.
190
§ 495 I 2 BGB; cf. al so § 1080 ABGB, art . 1588 code ci vil ; Flo rida R oad Shopp ing Cen t re
( Pt y.) Ltd . v . Ca in e 1968 ( 4) SA 587 ( N) at 592 sq.; d. al so Mac keu rian's Sal e of Good s in Sou th
Africa (5th ed., 1984), pp. 39 sqq. It is widely recognized that the sale on approval constitutes
an exception to the rule (cf. supra, note 189) that a contract cannot be concluded under a
condition of the type "si voluero". For a detailed analysis of 19th-century doctrinal disputes
on the construction of the pactum displicentiae (usually without practical relevance), cf.
Kncllwolf, op. cit., note 107, passim.
191
§§ 1083 sq. ABGB; cf. also Mackeurtan. op. cit., note 190, p. 44 ("It has no modern
importance . . ."); "Protokollc", in: Mugdan, vol. II, p. 780.
But sec Mackeurtan, op. cit., note 190, pp. 230 sqq. on the lex commissoria in South
African law, and § 360 BGB (supra, note 153) on its modern generalized German version.
The history of the lex commissoria in Germany thus links up with the rules relating to the
right of rescission or contract in two different ways: the lex commissoria is taken to grant a
right to rescind the contract (with the result that restitution follows the rules of §§ 346 sqq.
BGB); at the same time, the lex commissoria was the conceptual model for the recognition
of a unilateral right of withdrawal from the contract in the second half of the 19th century
(cf.195infra, pp. 800 sqq.).
On which see Gottfried Schiemann, "Uber die Funktion des pactum reservati dominii
wahrend der Rezeptionen des romischen Rcchts in Italien und Mitteleuropa", (1976) 93 ZSS
161 sqq., 184 sqq. (on its relationship with the lex commissoria), 191 sqq.: on another root
of the modern "reservation of title" arrangements, see Anton Meinhart, "Dogmengeschicht-
liches und Dogmatisches гит Eigentumsvorbehalt", 1988 (105) ZSS 729 sqq.
194
§ 455 BGB; on which sec, for example, Flume, AT, § 42; Gerhard Walter, Kaufrecht
(1987), pp. 442 sqq.; for South Africa cf. the discussion byJ.M. Otto. "Eiendomsvoorbe-
houd en opskortende voorwaardes by die koopkontrak", (1981) 44 THRHR 255 sqq., 396
sqq.; M.A. Diemont, P.J. Aronstam, The Law of Credit-Agreements and Hire-Purchase in South
Africa (5th ed., 1982), pp. 12 sqq. It is obvious that the position of the vendor is secured in
a more satisfactory manner by way of a retention of title than by way of a lex commissoria.
A lex commissoria, after all, was to be construed rather ("magis") as a resolutive than a
suspensive condition (Ulp. D. 18. 3, 1), with the result that the vendor was bound to transfer
ownership. This would not have mattered that much had it been established that ownership
would automatically have relapsed to him on the purchaser's failure to pay in time. It
was, however, exactly the uncertainty regarding this point that bedevilled the application of
the lex commissoria over the centuries; it resulted, essentially, from the antinomy between
Ulp. D. 6, 1, 41 pr. and C. 4, 54, 3. Rather fine-spun, but practically unsatisfactory
distinctions were already developed by the glossators in this respect (cf. Schiemann, (1976)
93 ZSS 184 sqq.). The Prussian General Land Law came down in favour of the
purchaser (and his creditors): according to § 262 I 11, ownership does not fall back
automatically but has to be rctransferred. The lex commissoria was thus largely
emasculated as a viable means of securing the vendor against the purchaser's insolvency. For
an analysis of the developme nt in the 18th and 19th centuries, cf. Sc hiemann, op. cit., note
63, pp. 73 sqq., 82 sqq. '* § 13 II Ehe G.
196
§ 1600 b I BGB.
197
§ 1947 BGB.
198
For details, see Flume, AT, § 38, 5; H.P. Westermann, op. cit., note 189, § 158, nn.
27 sqq.; cf. also the comparative analysis by Schwarz, op. cit., note 100, pp. 404 sqq.
For details, see Flume, AT, § 39 (Germany); Joubert, Contract, pp. 173 sqq. (South
Africa); Schwarz, op. cit., note 100, pp. 416 sqq. (comparative); Schiemann, op. cit., note
63, pp. 55 sqq. and passi m.
Cf, for example, Lauterbach, Collegium theoretko-practkum, Lib. II, Tit. XIV, LXXIX:
"Ex quibus omnibus satis apparet, etiam pendente conditione aliquid subesse, quod
conventionem quodammodo vcrificat et sustentat . . . ac obligationem nondum quide m
nat am, concept am tamen esse, illamque tanquam in utero mat erno latere. "
201
§ 162 BGB; Flume, A T, §40, 1 (German law); Kniitel, 1976 Juristische Blatter 613 sqq.
(predominantly Austrian law); joubert, Contract, pp. 175 sqq. (South African law); Schwarz,
op. cit., note 100, pp. 414 sq. (comparative). Modern legal systems require in the case of
both fictions that the party preventing or bringing about the satisfaction of the condition
must either have acted against the precepts of good faith (§ 162 BGB) or must have been at
fault ("designedly": Joubert, Contract, p. 176). For a critical evaluation, see Kniitel, 1976
Juristische Blatter 615 sqq. Kniitel maintains that the whole question whether or not a
condition has to be treated as satisfied (or as not satisfied) remains a matter of interpretation
(as it had, in fact, been in Roman law, supra, pp. 730 sq.); cf., further, especially, Flume,
AT, § 40, 1. The same view appears to be taken, occasionally, in English law; cf. Mackay v.
DiVfe~(1881) 6 AC 251 (HL) and Schwarz. op. cit., note 100, pp. 414 sqq.; but cf. Treitel,
Contract, pp. 49 sqq.
202
For a detailed analysis, cf. Schiemann, op. cit., note 63, passim (esp. pp. 29 sqq., 36
Щ%- 82 S4q-)
3
Art. 1179 code civil; based on Pothier, Traite des obligations, n. 220. 2(14
Cf. already Windscheid/Kipp, § 91.
205
Op. at., note 100, pp. 419 sqq. As Schiemann, op. cit., note 63, passim, has shown, it
corresponds to this observation that the approach adopted by the authors of the ius
commune towards explaining the "preliminary" effects of the legal transaction pendente
condicione continually oscillated between the two poles of postulating an expectancy and
espousing the retroactivity doctrine.
Termination of Obligations
We have thus far been discussing the content and creation of contractual
obligations. We shall now have to turn our attention to questions
relating to their performance. Just as man is destined to die, so a
contract is intended to be terminated. It does not exist tor its own sake.
Every contractual promise gives rise to the expectation, on the part of
the promisee, that it will be honoured. If the promisor does what he has
promised, he is free, and the obligation falls away. If, on the other
hand, he either does not perform properly or does not perform at all,
the question arises what form of relief the legal system is prepared to
offer to the disappointed promisee: may he enforce (specific) perform-
ance of the contract, is he able to claim damages or can he possibly even
rescind the contract? We shall first deal with the situation where the
life of a contractual obligation ends according to plan: by way of
performance. We shall then have to consider other ways of terminating
an existing obligation. Finally, the pathological cases have to be dealt
with: the various forms of breach of contract and the remedies available
to the aggrieved party.
I. SOLUTIO
1. Praestatio eius quod debetur
" '[SJolvere' dicimus eum, qui fecit quod facere promisit":1 we say that
someone who does what he has promised "performs". Or, in the
words of Voet: "Solutio . . . est naturalis praestatio ejus quod
debetur."2 Every obligation imposes on the debtor a duty to give, to do
or to perform (dare facere praestare oportere). 3 When such performance
is effected, the raison d'etre of the obligation has materialized. At the
same time, the obligatory relation between the parties has come to its
natural end. "Tollitur autem obligatio praecipue solutione eius quod
debeatur" says Gaius;4 "an obligation is extinguished if the perform-
ance owed is made to the creditor", reads the German BGB. 5 The
debtor is released immediately and ipso iure; he does not have to avail
himself of an exceptio when sued after having rendered performance. 6
Details as to where, how and when performance had to be rendered
1
UJp. D. 50, 16, 176; cf. also Pomp. D. 46, 3, 54.
2
Commentarius ad Pandectas, Lib. XLVI, Tit. Ill, I.
3
Cf. supra, pp. 6 sq.
4
III, 168.
5
§ 362 I.
'■ Kascr, RPr I, p. 636; Honscll/Maycr-Maly/Selb, p. 263.
748
7
For details, see Siro Solazzi, L'estinzione dell' obbli^azione nel diritto romano (2nd ed.,
1935), pp. 81 sqq.
8
Cf., for example, mfra, pp. 783 sqq.
9
Cf. Pomp. D. 46, 3, 20.
!u
Cf., for example, supra, pp. 89 sq.
11
Afr. D. 46, 3, 38, 3: "Qui hominem promisit si statuliberum solvat, magis puto non
esse expectandam condicionem: sed et creditorcm agere posse et illi condictionem
competere. quod si interim condicio defecerit, liberatur."
12
Cf. supra, p. 278.
13
On the liability for eviction, see supra, pp. 293 sqq.
14
Cf. supra, pp. 119, 131 sq.
i5
Cf. e.g. Iul. D. 12, 1, 21;Ulp. D. 19, 1, 13, 8; Windscheid/Kipp, §342, 2; § 266 BGB;
Joubert, Contract, pp. 278 sq.
16
Ulp. D. 46, 3, 1: "Quotiens quis debitor ex pluribus causis unum debicum solvit, est in
arbitrio solventis dicere, quod potius debitum voluerit solutum, et quod dixerit, id erit
solutum"; Paul. D. 46, 3, 101, 1; Windscheid/Kipp, § 343; § 366 I BGB; Joubert, Contract,
p. 1283.
7
Ulp. D. 46, 3, 1.
18
19
Ulp. D. 46, 3, 1.
Ulp. D. 46, 3, 5 pr.; for further details, see Pap. D. 46, 3, 97.
20
Ul p. D. 46, 3, 5 pr.
21
Paul. D. 46, 3, 8. For a discussion cf. Fritz Schulz, Einfuhmtig in das Studium der Digesten
(1916), pp. 109 sqq.; Heinrich Siber, "Beitragezur Interpolationenforschung", (1925)45 ZSS
174 sqq.
22
"Motive", in: Mugdan, vol. II, p. 48.
23
Hel mut Heinrichs, in: Mtittchetier Kommentar, vol. II (2nd. ed., 1985), § 366, n. 12.
Contrary to Roman law, however, according to § 366 II BGB, among several debts due the
one which affords the creditor the least security is first discharged; among several equally
secure debts the one most burdenso me t o the debtor, etc. The Roman rul es of allocati on
were thus slightly more favourabl e to the debt or.
24
For Roman-Dutch law cf. Joubert, Contract, pp. 283 sqq.
5
Paul. D. 45, 1, 73 pr. (". . . tacite tcmpus complecti videtur, quo perveniri
Cartha gine m potcst"); cf. also Pom p. D. 45, 1, 14 (relating to do m um ae dific ari).
26
Pomp. D. 50, 17, 14: "In omnibus obligationibus, in quibus dies non ponitur, praesenti
die de bitur." Cf. also § 271 I BGB.
27
Cels. D. 46, 3, 70; Ulp. D. 45, 1, 38, 16; Ulp. D. 45, 1, 41, 1; Ulp D. 50, 17, 17. The
decision depends on the determination of the question in whose interest the time clause has
been inserted into the contract; cf. e.g. Windscheid/Kipp, § 273; Joubert, Contract,
pp. 282 sq.
f29§ 271 II BGB.
lav. D. 38, 1, 21, who adds, however, that the freedman came to the patronus' place at
the expe nse of the latter ("sum ptu scilicet et vectura patroni").
0
Lie. Ruf. D. 5, 1, 38 (". . . quod pondere a ut numero a ut me nsura continetur, ibi dari
de be t ubi petitur"); Ulp. D. 30, 47, 1.
31
Kaser, RZ, p. 183. The general rule is actor sequitur forum rei; cf. С 3, 19, 3; С. З, 13,
2; vat. 325, 326. A similar situation obtained in the old Germanic law: cf. G.W. Wetzell,
System des ordentYxchen Civitprozesses (1878), p. 485. "Actor sequitur forum rei" became the
rule in the German Code of Civil Procedure (§§ 12 sq. Civil'pro zessordnung of 1877), but since
the parties were free to determine the question of jurisdiction by way of agree me nt (§ 38
Civilprozessordnung), it lost much of its significance (c(. e.g. Richard Schmidt, Lehrbuch des
deutschen Zivilprozessrechts (1906), pp. 252, 274). This trend has, however, in the meantime
been decisively reversed by the legislator (cf. the new §§ 38 sqq. ZPO, introduced in 1974,
drastically curtailing the possibility of jurisdiction agreements). The rule of "actor sequitur
forum rei" is generally seen toda y to be based on considerations of justice rather than mere
convenience (BGHZ 41, 151 (154) and, for instance, Max Vollkommer, 1973 Neuejuristische
Wochenschrift 1592). Generally on "actor sequitur forum rei", see Andreas Wacke, 1980
Juristische Arbeitsblatter 654 sqq.
32
Li e. Ruf. D. 5, 1, 38 (". . . i bi dari debet ubi est "); Ul p. D. 30, 47, 1.
33
On the terminology cf. e.g. Joachim Gernhuber, Die Erfullung nnd ihre Surrogate (1983),
pp. 15 sqq. For all details on the place of performance in Roman law cf. Solazzi, op. cir.,
note 7, pp. 106 sqq.; Francesco Amarelli, Locus solutionis (1984); on the lat er history,
Roman-Dutch and South African law, see D.j. Joubert, "Die Locus Solutionis", 1971 Ada
Juridica 105 sqq.; for a comprehensive comparative analysis of modern law cf. Haim o
Schack, Der Erfiiliunysort im deutschen, ausia'ndischen und itttemationalen Privat- und Zivilpro-
zessrecht (1985)!
34
Gai. D. 3, 5, 38; cf. also Gai. D. 46, 3, 53.
35
For English law cf. Trcitel, Contract, pp. 572 sqq.
36
Ulp. D. 46, 3, 31. Cf. further Solazzi, op. cic, note 7, pp. ЗУ sqq.; Windsc heid/Kipp,
§ 342, 4; § 267 BGB; Joubert, Contract, p. 275.
37
Ulp. D. 46, 3, 12 pr.; Mara. D. 46, 3, 48. Cf. also Soiazzi, op. cit., note 7, pp. 54 sqq.;
Windscheid/Kipp, § 342, 5; § 362 II, read together with § 185 BGB; Joubert, Contract, p. 276.
38
Cf. supra, pp. 53, 417.
34
Ul p. D. 46, 3, 12, 4 ("rati eni m habitio mandaco comparatur").
40
D. 46, 3, 34, 3; cf. also Gai. Ill, 160.
41
«S 167, 170 BGB.
42
Сf. generall y Sol azzi, op. cit., not e 7, pp. 64 sqq.; D.J. Joubert, "Solut ioni s causa
adjcct us", (1979) 42 THRHR 1 sqq; cf. supra, pp. 38 sq.
43
Cf. e. g. Paul. D. 46, 3, 10; Ulp. D. 46, 3, 12, 3.
44
Cf. supra, pp. 34 sqq., 39.
45
Ulp. D. 46, 3, 12, 3; Gai. D. 46, 3, 106; but see Pothier, Traitt des obligations, n. 525;
Cassim v. Latha 1930 TPD 659 sqq.; Mahomed v. Lockhat Bros. Co. Ltd- 1944 AD 230 at 237
sq.;
4fl
cf. Joubert, (1979) 42 THRHR 6 sqq.
There was a school dispute as to whether the debtor was released ipso iure or could only
bar the creditor's claim under the original action by means of an exceptio doli: the Sabinians
took the former view, the Proculians the latter; cf. Gai. Ill, 168. The Sabinian view
eventually gained the upper hand: Kaser, RPr II, p. 442. Cf. also today § 364 I BGB.
47
4R
D. 46, 3, 46 pr.; the same opinion is expressed by Paulus in D. 46, 3, 98 pr.
С 8, 44, 4 (Ant.). Cf. also Ulp. D. 13, 7, 24 pr.
II. RELEASE
1. Solutio per aes et libram and acceptilatio as actus contrarii
The Latin word for performance/fulfilment of an obligation was
"solutio", acceptance in lieu of fulfilment (or substituted performance)
was referred to as datio in solutum. This may appear to be a strange
terminology, because literally speaking, the verb "solvere" means to
unbind, to untie (somebody). This word and all its derivations possess
a distinctly archaic flavour. They take us back to the days when an
obligatio was not merely a vinculum iuris but a physical bond, through
which a pledge-like power of seizure was established over the body of
the person liable for a wrong.55 In the case of what came to be called
"contract", one person subjected himself to this power of seizure by
means of a formal transaction. Naturally, however, there had to be
some way of bringing to an end this uncomfortable sojourn in the
"creditor's" dungeons. Neither of the two parties concerned normally
had any interest in bringing matters to a head: to a sale of the "debtor"
49
Cf., apart from Ulp. D. 13, 7, 24 pr., Paul. D. 41, 3, 4, 17; Ulp. D. 42, 4, 15; and Ulp.
D. 544, 4, 4, 31.
0
Cf., most recently, Manfred Harder, Die Leistung an Erju'Uungs statt (1976), pp. 93 sqq.;
for a different opinion, see e.g. Generoso Melillo, In solutum dare (1970), pp. 91 sqq., Ill
sqq.; cf. also Kaser, RPr I, p. 638; RPr II, pp. 442 sq.; Honsell/Mayer-Maly/Selb, p. 264
(controversy amongst the classical jurists; but cf. Harder, pp. 97 sq.). For a discussion of the
attempts, from the time of the glossators down to the pandectists, to harmonize the
divergent sources cf. Harder, pp. 69 sqq. On Roman-Dutch and South African law, see D.J.
Joubert,
51
"Datio in Solutum", (1977) 10 Dejure 29 sqq.
For his reasons cf. Ernst Rabel, "Nachgeformte Rechtsgeschafte", (1907) 28 ZSS 312
sqq.; Harder, op. cit., note 50, pp. 103 sq.
Frequently the creditor was given a choice whether to use the original action or the actio
empti;
54
cf. e.g. Gluck, vol. 21, p. 197; Windscheid/Kipp, p. 420. 55 § 365 II.
For further detailed criticism of § 365 II BGB cf. Harder, op. cit., note 50, pp. 106 sqq.;
cf.55also Gemhuber, op. cit., note 33, pp. 180 sqq.
Cf. supra, pp. 2 sq.
56
Cf. supra, pp. 3 sq. (note 13).
57
Cf. supra, pp. 4 sq.
5t i
Characteristically, solutio per aes et libram even in classical law still retained the
formula "me a te solvo liberoque": Gai. Ill, 174. Cf. further Kaser, Altromisches ius, pp. 240
sqq.; Detlef Licbs, "Contrarius actus", in: Sympotica Franz Wieacker (1970), pp. 128 sqq.;
Rolf Knutel, "Zum Prinzip der formalen Korrespondcnz im romischen Recht", (1971} 88
ZSS 73 sqq.
59
See Liebs, Sympotica Wieacker, pp. 116 sqq. for details.
60
On the principle of formal correspondence in Roman law, see generally Schmidlin,
Rechtsregeln, pp. 74 sqq.; Liebs, Sympotica Wieacker, pp. I l l sqq.; Knutel, (1971) 88 ZSS 67
sqq.
61
Kaser, RPr I, p. 634.
62
Cf. Kaser, RPr I, p. 634.
63
For another example, see infra , p. 841, note 51.
M
Cf. supra, p. 752.
fi S
Kaser, RPr I, p. 172.
66
Gai. Ill, 173 sqq.
67
Gai. Ill, 170. On acceptilatio cf. supra, pp. 685, 755.
68
Gai. Ill, 170 ("sed id quod ex alia causa debcatur potest in stipulationem deduci et per
acceptilationcm dissolvi").
69
Cf. Inst. Ill, 29, 2; Flor. D. 46, 4, 18, 1. For all details, see Sturm, Stipulatio Aquiliana, pp.
51 sqq.; cf. also Max Ka ser, "Stipula tio Aquilia na", (1973) 90 ZS S 346 sqq. 7(1 D. 2, 15, 4.
71
Ulp. D. 2, 14, 7, 7.
72
Supra, pp. 508 sq.
73
Gai. IV, 119 ("si inter Am Am et Nm Nm non convenit, ne ea pecunia peteretur"); cf.
also Gai. IV, 122 ("si inter A"1 Am et Nm Nm non convenit, ne ea pecunia intra
quinquennium peteretur": the granting of indulgence, as opposed to a total release).
74
75
Cf- supra, pp. 509 sq.
Iul. D. 18, 5, 5, 1; Pap. D. 18, 1, 72 pr.; Ulp. D. 2, 14, 7, 6; Inst. Ill, 29, 4; Kniitel,
Contrarius consensus, pp. 23 sqq. {dealing with the requirement of res integra), 102 sqq.,
120 sqq., 137 sqq.
76
D. 18, 5, 3. On the application of this principle to other consensual transactions, see
Kniitel, Contrarius consensus, pp. 120 sqq.
77
Ulp. D. 50, 17, 35.
7H
79
Pomp. D. 46, 3, 80; on this text, see Kniitel, Contrarius consensus, pp. 10 sqq.
Coing, p. 431.
811
"Novatio est prioris debiti in aliam obligaiionem . . . transfusio atque translatio": Ulp.
D. 46, 2, 1 pr.; cf. also Gai. Ill, 176 and supra, pp. 60, 634 sq.
"[E]t hoc est quod apud veteres scriptum est: ante litem contestatam dare debitorem
oportere, post litem contestatam condemnari oportere, post iudicatum facere oportere": Gai.
Ill, 180 (following immediately on the discussion of novatio}. On condemnari oportere, see
Gunther Jahr, Litis contestatio (1960), pp. 70 sqq., 146 sqq.; Kaser, RZ, pp. 227 sq.
82
Pomp. D. 46, 3, 107; Mod. D. 46, 3, 75; Frezza, Garanzie, vol. I, pp. 144 sqq.; Solazzi,
op. cit., note 7, pp. 277 sqq.
83
On confusi o i n t he i us co mmun e: Wi ndschei d/ Ki pp, § 352; i n Sout h Afri can l a w:
Joubert. Contract, pp. 285 sq.; in modern German law: Gernhuber, op. cit., note 33, pp. 384
4
Fritz Schulz, "Die Lehre vom Concursus Causarum im klassischen undjustinianischen
Recht ", (1917) 38 ZSS 114 sqq.; Kaser, RPr I, pp. 643 sq.
85
Pomp. D. 18, 1, 16; cf. supra, p. 241. An exception was made, however, where one of
the concurri ng titl es of acquisiti on was a causa l ucrati va; cf. e. g. Iul. D. 30, 84, 5 and
Honsell, Quod interest, pp. 38 sqq. On concursus causarum lucrativarum, see Inst. II, 20, 6;
Iul. D. 30, 82 pr. and 1 and Mi chel, Gratuiti, pp. 404 sqq.
86
Cf., for exampl e, supra, pp. 687 sqq.
87
Cf. e. g. Di et er Medi cus, "Zur Funkti on der Lei st ungsunmogli chkeit i m rdmi schen
Recht ", (1969) 86 ZSS 67 sqq.; Windscheid/ Kipp, § 264.
IV. COMPENSATIO
1. Set-ofFin modern law
Much less straightforward, both in modern and in Roman law, are the
rules relating to compensatio or set-off—from a purely dogmatic point
of view probably the most interesting manner of terminating an
obligation. Strictly speaking, set-off even affects two obligations at the
same time, though one of them in many cases only partly. If A owes
200 sesterces to В and В owes 100 to A, both parties face each other in
the role of debtor as well as that of creditor. If the legal system were to
look at each of these claims in isolation, an unnecessarily circuitous and
uneconomical procedure would ensue: A would have to give 200 to В
merely to receive part of the amount back in full satisfaction of his own
claim. If neither A nor В is willing to render performance, both of them
would ultimately have to sue each other: two separate court cases
between the same parties would be the result. It is not difficult to realize
that matters can be considerably streamlined by looking at the
obligational relationships between A and В as a whole. It is only by a
balance of 100 sesterces that their mutual claims against each other
differ, and it is only this balance that has to be transferred between
them. As a result of a set-off, only В retains part of his original claim
and only he can therefore institute an action against A. The other part
of his claim as well as A's counterclaim can be taken to be satisfied: for
where two parties have to pay 100 to each other, the legal system can
just as well allow them to maintain the status quo.
Indisputably, therefore, set-off is a convenient way of satisfying
mutual debts. The magna quaestio, however, is how it becomes
effective. Modern legal systems deriving from Roman law essentially
fall into two groups in this regard. § 388 BGB represents a good
example of the one, when it states that "[t]he set-off is made by
declaration to the other party". 88 This rule is based on a tradition dating
back to the glossator Azo. 89 Both French90 and Austrian law, 91 on the
other hand, do not require any such declaration. As soon (and as far) as
two debts capable of being set off against each other confront each
88
Cf. also art. 124 OR. 89
"[S]ed ego puto ea[m] ipso iure tune demum fieri cum a partibus est opposita . . .":
Summa Codicis, Lib. IV, De compensationibus rubrica (p. 140, left column); for details, see
Heinrich Dernburg, Geschichte und Theoiie der Kompensation (2nd ed., 1868), pp. 284 sq.
90
Art. 1290 code civil.
91
§ 1438 ABGB.
92
On the term "ipso iure" in this context cf. Pothier, Traite des obligations, § 635: "Cette
interpretation est conform e a i'explication que tons les lexicographes donnent a ces termes, ipso iure.
Ipso iure fieri dicitur, dit Brisson, quod ipsa legis potestate et aiutoritate, absque magistrates auxilio
et sine exception!; ope Jit . . . Verba ipso iure, dit Spigelius, intelkgitur sine facto hominis. Ipso jure
consistere dicitiir, dit Pratejus, quod ex sola legum potestate et auctoritate, sine magistrates opera
consistit."
93
Cf. Dernburg, op. cit., not e 89, pp. 283 sq., who refers in particular to the glossator
Martinus.
Cf. e.g. Dernburg, op. cit., note 89, pp. 281 sqq.; Fridolin Eiscle, Die Compensation nach
romischem undgemeinem Recht (1876), pp. 211 sqq.
95
46
Joubcrt, Contract, pp. 288 sqq.
Cf. e.g. Toucher v. Stinnes (SA) Ltd. 1934 CPD 184; Clark v. Van Rensburg 1964 (4) SA
153 (O); Great North Farms (Edms.) Bpk. v. Ras 1972 (4) SA 7 (T). Cf. also B.v.D. van
Niekerk, "Some Thoughts on the Problem of Set-off", (1968) 85 SALj 31 sqq.
97
Hardy & Mostert v. Harsant 1913 TPD 433; Harris v. Tancred 1960 (1) SA 839 (C) at 843F-G;
De Wet en Yeats, pp. 253 sq. The declaration has retroactive effect; cf. also § 389 BGB:
"The set-off has the effect that the claims, insofar as they cover each other, are deemed to
have expired at the moment at which, being suitable for set-off, they have first confronted
each other."
48
Cf. e.g. Voet, Commentarius ad Patidectas, Lib. XVI, Tit. II, II and Grorius, Inleiding, III, XL,
7 on the one hand, Van Leeuwen, Rooms-Hoilands-Regt, IV. Bouk, XL. Deel, 2 on the other.
Cf. further J.H. Loots, P. van Warmclo, "Compensatio", (1956) 19 THRHRV9 sqq. On the
great and mysterious "riddle" set by the Roman sources for modern private law, cf.
Lippmann. "Zur Lehre von der Kompensation nach dem Entwurfe des burgerlichen
Gezetsbuches", (1893) 32 Jhjb 157 sqq.; cf. also Wladyslaw Rozwadowski, "Studi sulla
compensazione nel diritto romano", (1978) 81 BIDR 76 sq. (". . . uno dci piu grande misteri nella
storia delio st'iluppo delle obbligazioni romane").
Both Gaius and Justinian deal with compensatio as part of their discussion of the law
of actions: Gai. IV, 61 sqq.; lust. IV, 6, 30.
"In bonae fidei autem iudiciis libera potestas pennitti videtur iudici ex bono et aequo
aestimandi quantum actori restitui debeat. in quo et illud continetur ut, habita ratione eius
quod invicem actorem ex eadem causa praestare oporteret, in reliquum eum cum quo actum
est condemnarc": Gai. IV, 61.
102
Windscheid/Kipp, § 350, 4; § 387 BGB; Joubert, Contract, p. 290.
103
Gai. IV, 61.
104
Kaser, RPr I, p. 645.
105
Kaser, RPr I, p. 646.
106
Gai. D. 16, 2, 8.
11)7
Inst. IV, 6, 30.
108
Kaser, RPr I, p. 646. Contra: Thicl mann, Privatauktion, pp. 151 sq.
109
Cf. e. g. Wacl aw Osuchowski, "Quelques remarques sur la ' deductio bonorum
emptoris' et l'interpretation de D. 16.2.2", in: Studi in onore di Edoardo Volterra, vol. II (1971),
p. 476; Rozwadowski, (1978) 81 BIDR 11 sqq., 98'sqq., 115 sqq.; Honsell/ Mayer-Mal y/
Selb, p. 275.
110
Gai. IV, 119.
111
Kaser, RPr I, p. 646; for different suggestions and further discussion, see Paul van
Warmelo, "Le rescrit de Marc-Aurele a propos dc la compensation", in: Melanges Henri
Leiiy-Bruhl (1959), pp. 335 sqq.; Siro Solazzi, La compensazione nel diritto romano (2nd ed., 1950),
pp. 97 sqq.; Rozwadowski (1978) 81 BJDR 11 sqq.
" Cf. supra, pp. 667 sq.
113
Gai. IV, 64; Lend, EP, p. 256; cf. further e. g. Solazzi, op. at., note 111, pp. 31 sqq.;
Thielmann, Privatauktion, pp. 159 sqq.
114
Set-off thus operated "ipso iurc" in this instance; cf. Honsell/Mayer-Maly/Selb,
p. 273.
115
116
Gai. IV, 66.
117
De Zulueta's translation of nummus unus in Gai. IV, 68.
118
Gai. IV, 68.
On pluris petitio cf. Gai. IV, 53 sqq.; Guiscppe Provera, La pluris petitio nel processo
romctno, vol. I (1958); Kaser, RZ, pp. 246 sqq.; Guiscppina Sacconi, La "pluris petitio" nel
processo formutare (1977); for the later history c(. Wolfgang Wiegand, Pius petitio (1974).
119
Gai. IV, 65; cf. further e.g. Solazzi, op. cit., note 111, pp. 65 sqq.; Thielmann,
Privatauktion, pp. 168 sqq.; Osuchowski, Studi Votterra, vol. II, pp. 461 sqq.; for details of
the procedure, see Kaser, RZ, pp. 310 sqq.
12h
121
Gai. IV, 66.
Discretion of the judge! (Cf. supra, p. 762.)
122
Using "compensatio" as a terminus tcchnicus; for all details, see Solazzi, op. cit., note
111, pp. 191 sqq.
123
Cf. e.g. Levy, Obiigationenrecht, pp. 145 sqq.; Solazzi, op. cit., note 111, pp. I l l sqq.,
142 sqq.
124
Cf. e.g. Kaser, RPr II, pp. 333 sqq.
125
The plaintiff, as a consequence of the pluris petitio, merely incurred the penalty of a
threefold rei mbursement of his opponent's expenses ("in triplum restituat damnum, quod
ipsius culpa adversario contigit"): C. 3, 10, 2 (lust.); cf. also Inst. IV, 6, 24 and Francesco
Sitzia, "Su una costituzione di Giustiniano in tema sportulae", (1972) 75 BIDR 221 sqq.
126
Inst. IV, 6, 30.
V. EXTINCTIVE PRESCRIPTION
Some modern legal systems recognize a further, practically very
dangerous, threat to the life of obligations: the lapse of time. South
African law provides a good example. According to § 10 I of the
Prescription Act 68/1969, debts are extinguished (as a rule) three
127
Kaser, RPrl, pp. 646 sq.
128
Cf. e.g. Loots/Va n W arm elo, (1956) 19 THR HR 181.
129
For det ails, see Kaser, RZ, pp. 498 sq.
13( 1
Modern German law requires that the performances arc of the same kind and nature and
that the claim of the person declaring the set-off is due; claim and counterclaim need not have
arisen ex eadem causa. Cf. § 387 BGB; also Windscheid/Kipp, § 350, 3 and 4, and (for South
Africa) Joubert, Contract, pp. 290 sq. On the requirement of liquidity of the
counterclaim cf. Windscheid/Kipp, § 350, 5; "Motive", in: Mugdan, vol. H, p. 58. According
to § 393 BGB, set-off is not permissible against a claim arising from a wilful delict. This is
a generalization
131
of a rule contained in C. 4. 31, 14, 2; c(, "Motive", in: Mugdan, vol. II, p. 62.
IV, 6, 30.
132
C. 4, 31, 14; cf. also С 4, 31, 4 (Al ex. ); Paul. D. 16, 2, 4; Paul. D. 16, 2, 21 (al l
interpolated).
C. 4 , 31 , 14 , 1; cf. fu rther Sola z zi, op. cit., n ote l i t , pp. 1 6 6 sqq.; Loot s/ Va n
Warmelo, (1956) 19 THRHR 178.
1 34
Cf. Rozwadowski, (1978) 81 BIDR 11 sqq., 98 sqq.
135
Exceptions: 30 years for debts secured by m ortgage bond, judgment debts and some
others, 15 years for certain debts owing to the State and six years for debts arising from a bill
of excha nge or other ne gotiable instrument. For details, see § 11 of the Prescription Act.
136
In Scotland, too, prescription has the effect of extinguishing the obligation. The
(regular) prescription period is, howe ver, 5 years (§ 6 of the Presc ription and Limitation
(Scotland) Act 1973). For details, see David M. Walker, The Law of Prescription and Limitation
of Actions in Scotland (3rd ed., 1981).
137
The effect of an interruption of prescription is essentially chat the prescription begins
to run afresh on the termination of the interruption; the time that has elapsed before the
interruption is not taken into consideration. Cf. also § 217 BGB. Exam ple: acknowledge
ment of liability by the de btor.
nH
In other words, prescription is suspended for some time. The period of prescription is
lengthened by the period during which the prescription is suspended. Cf. also § 205 BGB.
Example: the creditor is a minor, or the debt is subject to a dispute submitted to arbitration.
15y
§ 105: "Die Zeit ist eine Machl, der sich kein menschliches Cemiit entziehen kann; . , . [siej
heiligt nicht bloss, sie verdunkelt anch." According to Savigny, System, vol. V, p. 272, prescription
is one of the most important and beneficial ("woltlthdtigsten") legal institutions.
14(1
On the purposes and functions of prescription, sec Karl Spiro, Die Begrenzung privater
Rechte durch Verjdhmngs-, Verwirkungs- und Fatalfristen, vol. I (1975), §§ 3 sqq.
141
We are, of course, dealing here only with what is often also referred to as "extinctive"
(or negative) prescription (as oppose d to "acquisitive" (or positive) prescription, e.g.
usucaption). Following the tradition of the (older) ius commune (for the 19th century, cf.
Savigny. System, vol. IV, pp. 309 scjq.), the South African Prescription Act 68/1969 still
deals with both kinds of prescription. So does the Scottish Prescription and Limitation Act
1973. Ct. generally Karl August Dominik Unterholzner, Theodor Schirmer, Ausfiihrliche
Etitwickelung der gesammten Verjahmrujslehre aus den gerneinen in Deutschland gehetiden Rechten
(2nd ed., 1858); Windscheid/Kipp, § 105; J.C. de Wet (the "father" of the South African Act)
"Verjaring", in: Opuscula Miscellanea (1980), pp. 77 sqq.; Walker, op. at., note 136. Modern
legal systems generally do not require good faith on the part of the debtor; extinctive
prescription, in other words, is based merely on the lapse of time, not on whether or not the
debtor knew that he was obliged to pay. The opposite view had been adopted by the canon
lawyers; cf. also still § 569 I 9 PrALR and Windscheid/Kipp, § 111. ТЫ canon lawyers, in
so far, had merely extended to extinctive prescription what had always been recognized with
regard to acquisitive prescription (usucapio).
4A2
R.B. Policies at Lloyd's v. Butler [1950] 1 KB 76 at 82, quoting Best CJ in A 'Court v. Cross (a)
(1825) 3 Bing 329 at 332. German courts often tend to relax the rules of prescription in
order to alleviate the hardship undoubtedly connected with the fact that the creditor may lose
a well-founded claim (and is therefore, in a sense, expropriated). Much less attention lends
to be focused on the many cases in which strict application of the prescription rules prevents
unjustified claims from being (successfully) pursued. For a comparative overview of modern
legislation dealing with extinctive prescription cf. Peters/Zimmermann, Verjahrungsfristen,
pp. 267 sqq.; cf. also the stimulating analysis by M.M. Loubser, "Towards a Theory of
Extinctive Prescription", (1988) 105 SALJ 34 sqq.
' A model for what is usually referred to as the "weak" torm of prescription. Cf. also
art.144142 OR.
§ 17 I Prescription Act; cf. also art. 2938 codicc civile, read together with art- 2934 I.
14
" § 10 HI Prescription Act; in the same sense § 222 II BGB and art. 2940 codice civile.
l4
'' Exceptions: certain claims (exactly specified in 17 numbers) arising—broadly
speaking—from transactions of daily life (2 years; § 196 BGB), claims to arrears of interest,
of rents, annuities, salaries, etc. (4 years; § 197 BGB); the actiones quanti minoris and
redhibitoria in their modern version (6 months and 1 year; § 477 BGB); warranty claims in
the case of the sale of livestock (6 weeks; § 490 BGB); certain claims for compensation arising
from a contract of lease (6 months; § 558 BGB); warranty claims arising from a contract for
work (6 months, 1 year, 5 years; § 638 BGB); claims arising from delict (3 years; § 852 BGB);
and many more both in other parts of the BGB and (particularly) outside the BGB: for all
the details, see Peters/Zimmermann. Vcrjdhrungsfristen, pp. 106 sqq., 148 sqq. So numerous
are the exceptions that one may well doubt whether the 30 years of § 195 BGB can still be
said to be the "regular" period of prescription. But despite a certain tendency of the courts
to restrict the field of application of § 195 even further, this rule still covers a variety of
practically very important claims; cf. Peters/Zimmermann, Verjahrungsfristeti, pp. 189 sqq.
More progressive than the German is the Swiss codification, according to which the regular
prescription period is 10 years: art. 127 OR and cf. Spiro, op. cit., note 140, §§ 331 sq.: the
same applies in Italy (art. 2946 codice civile).
147
C. 7, 39, 3, 1. Classical Roman law did not know a general law of prescription; most
actions could be brought at any time. Exceptions existed with regard to praetorian penal
actions (cf. Gai. IV, 110; Paul. D. 44, 7, 35 pr.; Kaser, RPr I, p. 613) and the actiones
rcdhibitoria and quanti minoris (cf. supra, pp. 317 sq.). The lack of prescription accentuated
the importance of institutions such as the stipulatio Aquiliana. On the development of longi
temporis praescriptio in Roman (provincial) law (first of all as a form of acquisitive
prescription), see Dieter Norr, Die fcntstehung der longi temporis praescriptio (1969); on its post-
classical (Theodosius II) extension to all actiones perpetuae (in the form of extinctive
prescription), see Mario Amelotti, La prescrizione delle azioni in diritto romano (1958), pp. 211
sqq. For an overview cf. also Kascr, RPr I, pp. 424 sq.; RPr II, pp. 71 sq.; Peters/
Zimmermann, Verjahmngsfristen, pp. 112 sq.
14M
Of the other extreme (prescription period so short that creditor is unreasonably
prejudiced in the pursuit of his claim) § 638 BGB provides a good example: the claim of the
customer for removal of a defect in the work and his claims for cancellation, reduction, or
compensation on account of the defect are barred by prescription in six months, unless the
contractor has fraudulently concealed the defect. Since prescription begins to run from the
acceptance of the work, the claims may be prescribed before the defect has become apparent.
For details, see Petcrs/Zimmermann, Verjahmngsfristen, pp. 187 sqq., 206 sqq., 226 sqq. The
same
149
problem arises with regard to § 477 (covering the law of sale).
1э(1
Cf. e.g. Petcrs/Zimmermann, Verjahrungsfristen, pp. 196 sqq.
For a set of concrete proposals, see Peters/Zimmermann, Verjahrungsjristen, pp. 285
sqq., 315 sqq.; for a discussion, see Helmut Heinrichs, "Reform des Verjahrungsrechts?",
1982 Neuejuristische WocUemchrift 2021 sqq.; cf. also the comments by the Minister ofjustice,
Hans A. Engelhard, "Zu den Aufgaben ciner Kommission fur die Uberarbeitung des
Schuldrechts", 1984 Neuejuristische Wochenschrift 1201 sqq., 1205 sq.; Loubser, (1988) 105 5-
4L/34 sqq., 52 sq.
For the historical development cf. Kaser, RZ, pp. 19 sqq.; idem, RPr I, p. 222. There
were, however, some exceptional cases where self-help remained admissible, as is evident,
especially, from the interdicta uti possidctis, utrubi and unde vi. For details, see Kaser,
loc. cit.
152
Cf. Gai. I V , 43.
153
M o r e p r e c i s e l y, o f c o u r s e , h e l o s t h i s ( o r i gi n a l ) c l a i m a l r e a d y a t t h e t i m e o f l i t i s
contestatio: the dare or facere oportere was turne d into a conde m na ri oportcre.
154
Cf- supra, p. 36.
155
Cf. supra, p. 36.
156
A s i n t h e a c t i o n e s i n r e i n; c f . e . g. G a i . I V , 5 1 .
157
A s i n t he c a se o f t he a c t i o f u r ri ; c f . i n f r a , p. 9 3 2.
I5R
A s i n t he c ase of t he a c t i o i ni u ri a ru m: c f. i nf r a , p. 1 0 62 .
159
Gai. IV, 48: "Omnium autem formularum quae condemnationem habent ad
pecuniariam aestimationcm condemnatio concepts esc"; Gai. IV, 51: "Iudex, si condemnet,
cert ain pecuni am condcmnare debet."
160
For details, see Kaser, RZ, pp. 286 sqq.; Kelly, Roman Litigation, pp. 69 sqq.; Angela
Romano, "Condanna 'in ipsam rem' e condanna pecuniaria nella storia del processo
romano", (1982) 28 Labeo 131 sqq.
161
Cf. e.g. supra, pp. 35 sq.
162
Ka ser, RZ, pp. 339 sqq.
163
For all details, see Kaser, RZ, pp. 410 sqq.
164
Kaser, RZ, pp. 383 sq., 475 sq.
165
Kaser, RZ, pp. 392, 498 sq.; Karoly Visky, "Quelques rcmarques sur la these ipsam
rem conde mnare et ses rapports economit|iies", (1972) 19 RIDA 474 sqq.
1(16
Kaser, RPr II, p. 343; Visky, (1972) 19 RIDA 489 sqq. 167
For details, see Kaser, RZ, pp. 511 sqq.
1f 8
' Although, of course, the separation of the (classical) rules of substantive law from their
proce dural frame work was bound to lead to a wkward inc ongruities.
l 69
Kaser, RPr II, pp. 343 sq.
170
Cf. also С 7, 4, 17 (Just.).
171
Cf. Herma nn Dilcher, "Geldkonde m nation und Sac hkoiide m narion in der mittel-
alterlichen Rec htsthe orie", (1961) 78 ZSS 278 sqq.; but cf. recently also J.J. du Plessis,
"Spesifieke na koming: 'n Re gshistoriesc herwaardcring", (1988) 51 THRHR 349 sqq.,
Ulp. D. 19, 1, 1 pr. This is, ho we ve r, in c onflic t with Insi. II, 7, 2 (de a ling with
donation, but referring also to the contract of sale). 173 But there were exceptions; cf. D. 3,
3, 35, 3 and D. 4, 8, 3.
174
Deri ved from Gai . IV, 2.
175
In the place of praestare, one soon started to refer, more specifically, to tradere.
176
For a detailed discussion, see H. Dilcher, (1961) 78 ZSS 283 sqq.
177
But not those arising from innominate real contracts; cf. e.g. Bartolus, Commentaria,
D. 19, 5, 5, 1, § Etsi qui dem, 4.
17H
The dispute arose among the quattuor doctores. Martinus argued in favour of specific
performance; his view was adopted by Pillius, Roffredus, Accursius, Ravanis, Bellapertica,
Cinus, Bartolus, Baldus, Paulus dc Castro and Jason de Mayno. Contra (". . . non tenctur
emptor precise ad rem tradendam") Bulgarus and, following him, Rogerius, Placentinus,
Johannes Bassianus and Azo. Cf. H. Dilcher, (1961) 78 ZSS 287 sqq.; H.F.W.D. Fischer, De
geschiedenis van de reek executie bij hoop (1934), pp. 123 sqq.
179
Ш|
Cf. e.g. Accursius, gl. In aliis autcm casibus ad С 7, 47.
181
For all this cf. H. Dilcher, (1961) 78 ZSS 293 sqq., 298 sq., 301 sq.
Coing, pp. 432 sqq.
I H2
Molina, De iustitia et hire. Tract. II. Disp. 562.
183
Traite des obligations, n. 157.
184 '"phg underlying idea is that, man being a free and responsible being, he should not be
coerced by the state into behaving in a particular way. This is a most praiseworthy idea but
it is far too vague, and its formulation in art. 1142 Code civil . . . is much too sweeping":
Zweigert/Kotz/Weir, p. 145.
э
For a comprehensive discussion of the historical development of specific performance
with regard to the contract of sale, cf. Fischer, op. cit., note 178, passim, e.g. pp. 181 sqq.
ш>
Cf. e.g. Gai. IV, 4.
8
Reported by Cornelius Neostadius, "Dccisioncs supremi senatus Hollandiae,
Zelandiae et Frisiae", in: idem, Decisiottes (Hagae Comitis, 1667), Oecis. L. Cf. also Pothier,
Traite du cotilrat de vente, n. 68 and art. 16HI code civil. This ties in with the general principle
laid down in art. 1184 II code civil, according to which a creditor who has not received what
he was promised may require his debtor to perform the agreement in so far as that is still
possible. For further details of the application of this rule in French practice (and particularly
on the specific coercive technique ot "astreinte"), see Zweigert/Kotz, pp. 186 sqq.
xm
Cf. Wessels, History, pp. 612 sqq.; Philip Gross, "Specific Performance of Contracts in
South Africa", (1934) 51 SAL] 348 sqq.; Du Plcssis, (1(»88) 51 THRHR 357 sqej.
Im
Inleidin^, Ill, III , 41.
iyo
Commentartus ad Pandectas, Lib. XLV, Tit. I, VIII.
m
Me lding, I I I , XV, 6.
192
Cf. Fischer, op. cit., note 178, pp. 184 sq.
■ Co m m e n t a ri u s a d Pa nd v c t a s, Li b. X I X , T i t . I , X I V ; c f. i n t hi s c ont e xt Be n B ci n a rt ,
"R om a n L a w i n S out h A fri c a n P r a cti ce ". ( 1 95 2) 6 9 S A L] 15 8.
194
D e l e g i bu s a bro g a t i s. D i ge st . Li b. X LI I , T i t . I , 1. 1 3. Si qui s ab al i o.
195
Cf. Ne osta dius. loc. cit.
196
C f. A m d t s. Pa n d e k t e n , § 21 9 ; W a c h t e r , Pa n d e k t e n , § 16 7 .
For further discussion, see John P. Da wson, "Specific Performa nce in France and
Germany", (1959) 57 Michigan LR 495 sqq.; Zweigert/Kotz, pp. 181 sqq.
198
C f . ge n e r a l l y R h e i n s t e i n , S t ru k t u r , p p . 1 2 2 s q q .
199
Cf. the e x am ple s dis c usse d b y H ol me s, Th e Co m m o n La w, pp. 2 98 sq q.
200
Holmes, The Common Law, p. 301.
201
For what follows, see A.W. B. Simpson, History, pp. 199 sqq.
In a very similar fashion, of course, contract had grown out of delict in Roman law:
cf. supra, pp. 4 sqq. And if its delictual origin is the historical reason why a contractual
remedy for specific performance is (normally) not available according to the English
common law, the same is true of the Roman rule of omnis condemnatio pecuniaria. A
person who was "liable" because he had committed a wrong, was originally exposed to the
injured party's power of seizure. But he could redeem himself by payment of a (monetary)
composition. The State, of course, favoured this kind of release from liability which avoided
crude forms of corporeal execution. Thus it had to make sure that the person liable (and his
friends and relations) knew exactly how much money had to be paid in order to prevent
manus iniectio from being granted. Thus, in every case where somebody was liable, a
specific sum of money had to be determined in order to facilitate release from liability. This
stage of the development was petrified in the rule of omnis condemnatio pecuniaria. Cf. e.g.
Kaser, RZ, p. 287.
2113
For details, see S.F.C. Milsom, "Tresspass from Henry 111 to Edward III". (1958)
74 LQR 195 sqq., 407 sqq., 561 sqq.
204
Cf. A.K.R. Kiralfy, The Action on the Case (1951), pp. 224 sq.
21 ь
The case of the Humber Ferryman (Buckton v, Townsend 1348); for the text, see Simpson,
History, pp. 623 sq.; for a discussion, see A.K.R. Kiralfy, "The Humber Ferryman and the
Action on the Case", (1951-53) 11 Cambridge LJ 421 sqq.; Simpson, History, pp. 210 sqq.
206
Cf. Kiralfy, op. cit., note 204. p. 142.
2(17
On the exact meaning of the term "assumpsit". cf. Simpson, History, pp. 215 sqq.
20H
On which, see Simpson, History, pp. 222 sqq.
2W
With Orwell v. Mortaft (1505); cf. A.K.R. Kiralfy, Л Source Book of English Law (1957), pp.
150210
sqq.; for a comprehensive discussion, see Simpson, History, pp. 248 sqq.
On covenant, see Simpson, History, pp. 9 sqq. He draws attention to the fact that
originally specific relief could be granted under covenant.
W.T. Barbour, "The History of Contract in Early English Equity", in: Oxford Studies
in212
Social and Legal History, vol. IV (1914), pp. 66 sqq.; Simpson, History, pp. 275 sqq.
Slade's case (1602) 4 Co Rep 91 a; for a discussion, see Kiralfy, op. cit., note 204,
pp. 164 sqq.; A.W.B. Simpson, "The Place of Slade's Case in the History of Contract",
(1958) 74 LQR 381 sqq. (but cf. idem. History, p. 305); H.K. Lucke, "Slade's Case and the
Origin of the Common Counts", (1965)81 LQR 422 sqq., 539 sqq.; (1966) 82 LQR 81 sqq.;
J.H. Baker, "New Light on Slade's Case", (1971) 29 Cambridge LJ 51 sqq., 213 sqq.
21M
H. Dilcher, (1961) 78 ZSS 302 sqq.
219
Cf. supra, p. 542, note 224.
2211
Cf. also Simpson, History, pp. 595 sq.
221
Farnsworth, (1970) 70 Columbia LR 1152 sq.
222
Farnsworth, (1970) 70 Columbia LR 1154 sqq.
223
For details cf. Treitcl, Contract, pp. 785 sqq.; cf. also Zweigert/Kotz. pp. 192 sqq. 24
For the underlying reasons, see Zweigcrt/Kotz, p. 196.
22:1
Ryan v. Mutual Tontine Westminster Chambers Association [1893] 1 Ch 116.
~26 Reason: the execution of a judgment for specific performance would involve great
inconvenience. Hence also the exclusion of specific performance with regard Co contracts
that are "vague".
227
On the other hand, specific performance is normally granted with regard to contracts
involving the sale of land (also in favour of the vendor, even though his claim is only for
money); where a satisfactory substitute cannot be obtained (sale of "unique" goods); where
it would be difficult to assess or recover damages; where the damages would be purely
nominal.
22H
Stickney v. Keeble [1915] AC 386 at 419.
229
Treitel, Contract , pp. 788 sqq.
230
Trcitel, Contract, p. 785; cf. also Dawson. (1959) 57 Michigan LR 532; Alan Schwartz,
"The Case for Specific Performance", (1979) 89 Yale LJ 271 sqq.; but see William Bishop,
"The Choice of Remedy for Breach of Contract", (1985) 14 Journal of Legal Studies 299 sqq.
~- 31 For a comparative evaluation, see Zweigert/Kotz, pp. 197 sqq.
232
Cohen v. Shires, McHattie and Кщ (1882) 1 SAR 41 at 45.
231
Sir John Wcssels, "The Future of Roman Dutch Law in South Africa", (1920) 37 SAL]
272.
214
Wessels, Contract, %% 3113 sqq.; Gross, (1934) 51 SAL] 364 sqq.
z
" 1951 (2) SA371 (A).
21(1
At 378H-379A.
237
Cf. e.g. hep Structural Engineering and Plating (Ply.) Ltd. v. Inland Exploration Co. (Pty.) Ltd.
1981 (4) SA 1 (A); cf. also Dc Wet en Yeats, pp. 190 sq.
23M
1986 (1) SA 776 (A).
2y>
At 782J.
24
" At 782J-783F.
241
For a more detailed discussion of the approach of the South African courts, ct. Jouberl,
Contract, pp. 224 sqq.; Andrew Beck, "The coming of age of specific performance". 1987
Cilsa 195 sqq., 204 sqq. As a consequence, for instance, the mere fact that a contract involves
personal services does not automatically bar a decree of specific performance; cf. e.g.
National Union of Textile Workers v. Stag Packings (Pty.) Ltd. 1982 (4) SA 151 (T) at 158A-C.
Breach of Contract
I. BREACH OF CONTRACT IN GENERAL
1. Introduction
Every contractual promise engenders expectations in the person of the
promisee. These expectations can be disappointed in various ways: the
promisor may fail entirely to perform, he may offer performance
belatedly or at the wrong place, or his performance may turn out to be
unsatisfactory. In all these cases the promisor has not complied with the
duties imposed upon him by the contract. In the terminology of the
English common law, a breach of contract has occurred. The French
code civil refers to non-performance ("inexecution")^ The German
BGB, however, does not appear to know such a unitary concept. It
deals with only two specific forms of breach of contract (or: reasons for
non-performance)—supervening impossibility and delay of perform-
ance— and provides separate sets of rules for both of them. 2 These rules
are of a general nature in so far as they apply to all contracts. The same
is true of the doctrine of "positive malperformance", which is not
embodied in the code, but had to be developed, extra legem, by courts
and legal writers. 3 Special rules dealing with liability for defective
performance are set out in some of the titles of the BGB dealing with
specific contracts. 4 This fragmented and unnecessarily intricate way of
dealing with the problem of breach of contract has been severely
criticized and is ■widely regarded today as one of the more unfortunate
features of the German Code. 5 It is based on pandectist doctrine, and,
through it, ultimately on the sources contained in the Corpus Juris
Civilis. This leads us back to the approach adopted by the Roman
lawyers which, in turn, depended on the type of action applicable in an
individual case.
1
Cf. art. 1147 code civil, also art. 1184; Zwdgert/Kotz, pp. 213 sqq. 2%
280
3
sqq., 325 sq. BGB.
4
Cf. infra, pp. 812 sq.
§§ 459 sqq. (sale), §§ 537 sqq. (lease), §§ 633 sqq, (contract for work).
5
Cf. e.g. Ulrich Hubcr, "Lcistungistorungen", in: Gutachten itnd Vorschlage гиг
Oberarbeititng des Schuldrechts, vol. I (1981), pp. 756 sqq.; Zweigert/Kotz, pp. 232 sqq.
783
this situation; for another example cf. supra, p. 135. As far as the development of the English
com m on law is concerne d, cf. e.g. Sim pson, History, pp. 301 sq.
14
Paul. Sent. V, VII, 4; cf. also Ulp. D. 45, 1, 82, 1 (". . . perinde ac si hom o viveret").
15
Cf. particularly Paul. D. 45, 1, 91, 3-6. On this treatise (" Sdiuttraktat") Theo
Мауег-Maly, "Perpetuatio obligationis: D. 45, 1, 91", (1956) 7 lura 6 sqq. On perpetuatio
obligationis, cf. further Horst Heinrich Jakobs, UnmogUchkeit und Nichterfiillung (1969),
pp. 173 sqq. and Maria Bianchi Fossati Vanzetti, Perpetuatio obligationis (1979), passim, who
argue howe ver that it was an institution applicable to all types of contractual obligations
( I'unica e generate sohtzione romana del problema [dell' inadempimento]"); contra: Kascr, (1980)
46 SDH! 130 sqq.
16
This refers to Pa ul. D. 45, 1, 91, 3, where the de vice of perpetuatio obligationis is
ascribed to a constitutio veterum. On the history of perpetuatio obligationis, sec Kaser,
(1980) 46 SDHI 129 sq.
17
Pa ul. V. 45, 1, 91, 6.
1S
Cf. supra, pp. 293, 687 sq.
19
Ka ser, RPrl, p. 514.
20
Cf. e .g. Pom p. D. 45, 1, 23.
21
D. 45, 1, 91, 3.
32
Cf. particularly Cannata, Colpa, pp. 90 sqq.; Geoffrey MacCormack, "Culpa", (1972)
38 SDHI 123 sqq; Kascr, (1980) 46 SDHI 93 sqq.
23
Cannat a, Col pa, pp. 90 sqq.; Geoffrey Mac Cormack, "Factu m debitori s and cul pa
debitoris", (1973) 41 TR 59 sqq.
24
Paul D. 45, I, 91 pr.
25
Cf. MacCormack, (1973) 41 TR 68, who lists the following possibilities: "The
pro misor, aware of t he promi se, may deli berat el y kil l t he sl ave i n order t o prevent his
acquisition by the promisee; or temporarily unmindful of the promi see he might kill hi m in
a fit of anger. Or he might bring about the death of the slave through some careless act. In
all these cases it can be held that the promisor has been at fault. The essence of fault lies in
the fact that the promisor ought to be aware of the promise and therefore not behave in a
way t hat will make it i mpossibl e for hi m t o convey t he sl ave t o t he pro mi see."
2t >
Paul П. 45, 1, 91 pr.
27
MacCormack, (1973) 41 TR 64; Kaser, (1980) 46 SDHl 95.
28
Cf. infra, pp. 791 sqq.
14
Inl. D. 46, 3, 33, 1; cf". further e.g. Iul. D. 30, 84, 4 and Erich Genzmcr, "Dcr subjektive
Tatbestand des Schuldnerverzugs im klassischen romischen Recht", (1924) 44 ZSS 103 sqq.;
Manlio Sargenti, "Proble mi della responsa bilita contrattuale" (1954) 20 SDHl 194 sqq.;
Kaser, (1980) 46 SDHl 103 sq. For the time before Julian, cf. Lab./Ulp. D. 4, 3, 7, 3. Labeo
operates with the actio de dolo.
10
Ulp. D. 46, 3, 27; cf. also Scae v. D. 45, 1, 131, 1.
31
Kaser, (1980) 46 SDHl 138.
32
As far as obligations to deliver fungible things are concerned, cf. Cannata, Colpa,
pp 58 sqq.
33
Gai. IV, 47.
34
Cf. also Medicus, (1969) 86 ZSS 98 sq.
Ulp. D. 13, 6, 3, 1; cf. also Ulp. D. 16, 3, 1, 16.
36
Gai. IV, 136.
37
Gai. IV, 47.
3H
Cf. supra, pp. 208 sqq.
39
Cf. supra, p. 287. 4(1
Ulp. D. 17, 1, 42.
41
Cf. Ulp. D. 17, 2, 52. 11.
42
Ul p. D. 19, 2, 13, 4; cf. also Ulp. D. 9. 2, 5. 3.
43
Cf. e.g. Friedhelm Harting, Die "positiven Vertragsverietzungen" in der neueren deutschen
Privatrechtsgeschichte (unpublished Dr. iur. thesis, Hamburg, 1967), pp. 22 sqq.
44
Cf. supra, pp. 365 sqq.
45
Cf. further, for example, Ulp. D. 19, 1, 13 pr.; Ulp. D. 19, 1, 13, 1 and 2.; Lab. D. 19,
2, 60, 7; Ulp. D. 9, 2, 27, 34; Paul. D. 19, 1, 21, 3; for details see Medicus, Id quod interest,
passim.
46
For details, see Kaser, (1980) 46 SDHI 139 sqq; Schulz, EinJUhrung , pp. 106 sqq.
47
Ulp. D. 30, 47, 6: "Item si fundus chasmate perierit, Labeo ait utique aesti mationem
non deberi: quod it a verum est, si non post mora m fact a m i d evenerit: pot uit eni m cum
acceptum legatarius vendere."
48
But t he rati onali zation of thi s result (t he creditor could/ mi ght have sold t he estat e
before its destruction; cf. the sentence commencing with "potuit") is probably spurious; cf.
Schulz, Emjtihrung, p. 108, but see also Kaser, (1980) 46 SDHI 143 sq.; Andreas Wacke,
"Gefahrerhohung als Besitzerverschulden", in: Festschrift fur Heinz Htibner (1984), pp. 681
sqq. Gai . D. 16, 3, 14 i s oft en quot ed i n support of t he propositi on t hat wit h regard t o
incert u m cl ai ms t he posi ti on was di fferent: debt or rel eased i f o bj ect woul d have been
destroyed in any event, i.e. also in cases of ti meous performance; cf., for example, Kaser,
RPr I, p. 516; Honsell/ Mayer-Maly/Selb, pp. 246 sq. This text does, however, not deal with
mora debit oris; cf. Bi anchi Fossat i Van zet ti, op. cit ., not e 15, pp. 49 sq.; Max Kaser,
"Grenzfragen der Aktivlegitimation zur actio furti", in: De iustitia et hire, Festgabe fur Ulrich
von Liibtow (1980), pp. 301 sq.
49
Pap. vac. 15; Paul. D. 22, 1, 38, 8; Ulp. D. 17, 1, 10, 2 and 3 and 8 and 9; Ulp. D. 3,
5, 7, 1; Paul. D. 17, 2, 38, 1; Paul. Sent. I I , XII, 7; I I I , VIII, 4.
50
Mard. D. 22, 1, 32, 2; Afr. D. 46, 6, 10; Paul. D. 19, 2, 54 pr.
51
Honsell/Maycr-Maly/Selb, p. 247; Honsell, Quod interest, pp. 16 sqq., 167 sqq.
52
Scaev. D. 45, 1, 127.
53
Paul. D. 45, 1, 49, 3: "Si promissor horninis ante diem, in qucm promiserat,
interpellate sit et servus decesserit, non videtur per eum stetisse. "
54
This appears from the way in whi ch § 285 BGB has been drafted: "The debtor is not
in default so long as the performance does not take place because of a circumstance for which
he is not responsible."
55
§ 284 II BGB.
56
Hcinrich Siber, Interpellatio und Mora, (1908) 29 ZSS 47 sqq.; cf also Kaser, RPr I,
p. 515.
57
Agostino Elefante, " 'Interpellatio' e 'mora' ", (1960) 6 Labeo 30 sqq.; Horst Heinrich
Jakobs, "Culpa und interpellatio bei der mora debitoris nach klassischem Recht", (1974) 42
TR 23 sqq.; Honsell/Mayer-Maly/Selb, p. 245.
5Я
Cf., in particular, Genzmer, (1924) 44 ZSS H6 sqq.
59
Paul. D. 45, 1, 91, 3.
60
D. 22, 1, 32 pr.
61
Cf.. for exampl e, Kaser. (1980) 46 SDHI 111 sq.
62
Cf., for example, Ulp. D. 22, 1, 23 pr. ("si rei publicae causa abesse subito coactus sit",
"si . . . in vinculis hostiumve potestate esse coepent"); Ulp. D. 22, 3, 19, 1; Ulp. D. 38, 1,
15 pr.; for further details, see Kaser, (1980) 46 SDHI 116 sqq.
й
Cf. e. g. Iul . D. 50. 17, 63.
64
Cf. e. g. Marci D. 22, 1, 32 pr.; Kaser, (1980) 46 SDHI 106.
fo
Hence the fact that culpa is often not mentioned in our sources as a special requirement
for mora.
flft
Cf. e.g. Pomp. D. 12, 1, э: "[S]cd cum quaeratur, an per te factum sit, animadverti
debebit . . . si aliqua iusta causa sit. propter quam intellegcre deberes te dare oportere." The
term "iusta causa" must be taken to refer to an interpellatio; cf,, particularly, Kaser, (1980)
46 SDHI 106 sqq.
"7 Marci. П. 22, 1, 32 pr. in fine.
flS
Ulp. D. 13, 1. 8, 1; cf. further Pap. I). 13, 1, 17; Tryph. D. 13, 1, 20; Kaser, (1980) 46
SDHI 115 sq. The rule of "fur semper in mora" became part of the ius commune; cf. e.g.
Voet, Commentarius ad Pandectas, Lib. XXII, Tit. I, XXVII; Windscheid/Kipp, § 278, 2. The
BGB did not specifically adopt the rule (cf. "Motive", in Miigdan, vol. II, p. 33), without,
however, wanting to reject it. § 848 BGB does not deal with the question of whether an
interpellatio is dispensable or not, but merely states that a person who is bound to return a
thing of which he has deprived another by delict, is responsible for accidental impossibility
of returning it. On the background and significance of this rule in modern law, cf. Jens Peter
Meincke, "Kann § 848 BGB gestrichen werden?", 1980 Juristenzeitung 677 sq.; Wacke,
Festschrift
m
Hiibner, pp. 683 sqq.
7(1
Voet, Comamentarius ad Pandectas, Lib. XXII, Tit. I. XXIV.
Syntagma, Exerc. XXVII, Lib. XXII, Tit. I, LXV.
Doctrina Pmidectamm, % 355.
72
Cf. e.g. West Rand Estates Ltd. v. New Zealand Insurance Co. Ltd. 1926 AD 173; Ernst
Hcymann, Das Verschulden beim Erfiillungsverzug (1913), pp. 88 sqq., 108 sqq. and passim; I.
van Zijl Steyn, Mora Debitoris volgens die Hedendaagse Romeins-Hollandse Reg (1929), pp. 43
sqck; Wouter de Vos, "Mora Debi'tons and Rescission", (1970) 87 SALJ 307.
Ь
Voet, Contmentarius ad Pattdectas, Lib. XXII, Tit. I, XXIX.
74
For details cf. e.g. Dilcher, Leistungsstorungen, pp. 40 sqq.; Van Zijl Steyn, op. cit., note
72 pp. 43 sqq.
Wollschlager, Urtmoglichkeitslehre, pp. 46 sqq.; Van Zijl Steyn, op. cit., note 72, pp. 45
sqq.; c{. still Wessels, Contract, § 2862 ("Impossibility of performance is, of course, also an
'' Ulp. D. 50, 17, 23 in fine; cf. further Dilcher, Leistungsstijmngen, pp. 90 sqq.; Gliick,
vol. IV, pp. 368 sqq.; Wollschlager, Untnoqlichkeitslehre, pp. 45 sq.
77
Cf. e.g. su pra, pp. 75 9. 784 .
78
But cf. e.g. Za siu s ("ma gna difficulta s impossibilitati a equiparatur"), a s qu oted by
Wollschlager, Vnmogtichkeitstehre, p. 48.
1С,
79
Cf. e.g. Endemann, Studien, vol. I I, pp. 258 sq.; Heymann, op. cit., note 71, pp. 102 ff.;
E.M. Meijers, "Essai historique sur la force majeure", in: Etudes d'Histoire du Droit, vol. IV
(1966), p. 48 sqq. According to canonist doctrine, it was the creditor who had to prove that
the delay of performa nce on the part of the debtor wa s inexcu sabilis.
m
For details, see Dilcher, Leistungsstorungen, pp. 43 sq.; cf. also Robert Feenstra,
"Impossibilitas and Clausula rebus sic stantibus", in: Daube Noster (1974), p. SO; Going,
p. 436.
41
Heymann, op. cit., note 72, pp. 105 sqq.; Feenstra, Daube Noster, p. 80; Coing, p. 436.
M2
Cf. still Windscheid/Kipp, § 277, 4 in fine.
83
Joubert, Contract, p. 206; Alfred Walchshofer, in: Miinchener Kommentar, vol. II (2nd
ed., 1985), § 285, n. 4; Volkcr Emmerich in: Miinchener Kommentar, op. cit., § 275, n. 53.
84
§ 285 BGB; for South Africa cf. Joubert, Contract, p. 205.
8;>
§ 284 I BGB; for South Africa cf. Van Zijl Steyn, op. cit., note72, pp. 52 sqq.; Joubert,
Contract, pp. 202 sqq.
Я6
Heymann, op. cit., note 72, pp. 88 sqq.; Dilcher, Leistungsstorungen, pp. 44 sqq., 51.
87
Commentarius ad Pandectas, Lib. XXII, Tit. I, XXV.
88
Cf., for example, Voet, Commentarius ad Pandectas, Lib. XXII, Tit. I, XXV; Van Zijl
Steyn, op. cit., note 72, p. 54.
ъ>
Exercitationes, Disp. XLII, Lib. XXII, 15.
щ>
Praelectiones in Codicem, Lib. IV, Tit. XXXII, 27.
91
Cf. Van Zijl Steyn, op. cit., note 72, p. 57.
92
Pra e l e c l i o n e s i n Co d ic e m , Li b. I V , T i t . X X X I I , 27.
93
Cf. t he q u al i f yi n g re m a rk b y V oe t , Co m m e n t a ri u s ad Pa t t d e c t a s, Li b. X X I I , T i t . I , X X V :
". . . si modo ei interpellans inhacserit." Pcrezius, loc. cit., writes: "Itaque instantia post
interpellationem perseverare debet; sed non est repetenda interpeilatio, seu admonitio coram
testibus nuncupata."
y
* Pothier, Traite des obligations, n. 144.
95
Art. 1139 code civil, but the code adds: "on [un] autre acte equivalent"; on this clause, see,
for example, Nicholas, FLC, p. 232. In contrast to modem German law, incidentally, mise
en demeure is an essential prerequisite for every claim for damages in case of breach of
contract, no matter whether for delay or non-performance: art. 1146 code civil; cf. further
Zweigert/Kotz, pp. 213 sqq., 217.
%
Perezius, Praelecliones in Codkem, Lib. IV, Tit. XXXII, 28; based on lul. D. 12, 1, 22
(".97. . per iudicem petitum est").
Pcrezius, loc. cit.
9Я
99
Perezius, loc. cit.
Cf. supra, pp. 547 sqq.
10
" Cf. fu rther Va n Zijl Steyn, op. cit., note 72, p. 55.
101
Victoria Falls & Transvaal Power Co. Ltd. v. Consolidated Langlaaqte Mines Lid. 1915 AD
1 at 31.
102
1 9 2 6 A D 1 73 a t 1 8 3 .
" l 3 J o u b e r t , C o n t ra c t , p . 2 0 3 ; D e We t e n Y e a t s , p . 1 4 5 .
104 J
Voet, Commentarius ad Pandectas, Lib. XXII, Tit. I, XXVI.
105
C. 8, 37, 12 (Just.).
106
Arriva l of the due da y ta kes the plac e of the cre ditor in de ma ndi ng perform a nce :
Nic holas, FLC, p. 234.
107
C. 8, 37, 12. The m otive that prom pte d Justinia n to ac t was to re m ove "m a gna m
legum ve terum obsc uritate m , quac protra he ndarum litium m a xim am occasionc m usque
adhuc praebe bat".
108
Cf. Rogerius ("dies habetur pro interpellatione"); Accursius (". . . quia in mora est die
interpellante pro homine"): Dilcher, Leistungsstorungen, p. 48.
n vf
W. Ogris, HRG, vol. I, c ol. 740 sq.; Va n Ziji Stc yn. op. cit.. note 72, pp. 64 sqq.
110
For details, sec Windscheid/Kipp, § 278, 1.
111
Cf. e.g. "M otive ", in: M uydan, vol. II, pp. 31 sq.
112
Cf. Joubert, Contract, p. 202; De Wet en Yeats, p. 143.
113
Cf. supra, p. 796.
114
Cf. e.g. Nic holas, FLC, pp. 233 sq. (who c om me nts: "This rule is widely de plored,
but well-settled"); but see also Zwcigert/Kotz, p. 217.
115
Art. 1146 code civil. llfi
Supra, pp. 170 sqq.
117
Cf. the references in Dilchcr, Leistimgsstorungen, pp. 151, 156, 155. Cinus alludes to the
famous precept of "mutuum date nihil inde sperantes" of St. Luke, 6, 35. Cf. also Heymann,
op. at., note 72, pp. 7 5 sqq.
118
Dilcher, Leistunpstonw^en, pp. 152, 155.
119
Cf. still Windsc heid/Kipp, § 280. 1.
120
Collegium theoretico-practicum. Lib. XXII, Tit. I, XVIII; cf. also e.g. Voet, Commentarius
ad Pandectas. Lib. XXII, Tit. I, XL
121
§ 288 BGB.
122
§ 286 BGB. The BGB dra ws a distinction betwee n da mages arising from the default
(§ 286 I) a nd da m a ges for non-performa nce (§ 286 II). This is a c onse que nce of the fact
that—unlike in Roman law —condemnation is in the first place in forma specifica. Thus, the
creditor normally has the right to demand specific performance and—in case of
mora—damages arising from the default. Damages for non-performance (including
damages arising from the default) can according to § 286 II BGB, be claimed if, owing to the
de btor's defa ult, specific performa nce is no longer of any interest to the creditor. Cf. also
§ 326 BGB for synallagmatic obligations.
123
§ 292 BOB'.
124
§ 287,2 BGB; Wacke, Festschrift Hubner, pp. 681 sqq.
"3 Cf. Dilchcr, Leistungsstomngen, pp. 108 sqq.; Fachmacus, Controversiae iuris. Lib. VIII,
Can. С and CI; Van Zijl Steyn, op. cit., note 72, pp. 90 sqq.; Windscheid/Kipp, § 280, 2.
'~л § 287 BGB in fine. The solution of the BGB is, however, less favourable to the debtor
than, for instance, the one adopted in § 965 ABGB. The difference revolves around the
question raised in Ulp. D. 30, 47, 6 in fine: if the creditor had received the object of the
performance in time, would he have sold it and thus avoided its destruction? According to
the ABGB, the creditor has to prove that he would indeed have sold it, according to the BGB,
it is the debtor on whom it is incumbent to prove that the creditor would have kept it.
127
Van Zijl Steyn, op. cit., note 72, pp. 90 sqq.; De Wet en Yeats, p. 148; Joubert, Contract,
p. 206.
12M
Cf e.g. Struvc, Syntagma, Exerc. XXVII, Lib. XXII, Tit. I, LXX; Voet, Commentarius
ad Pandectas, Lib. XXII, Tit. I, XXVIII.
129
Kaser, RPr II, pp. 333 sq., 357.
1311
Cf. also <j 286 II BGB.
131
Schulz, CRL, p. 532.
132
Supra, p. 578.
133
However, if one of the parties to a reciprocal contract did not perform, the other party
could refuse to counterperform ("functional synallagma": cf. Benohr, Synallagma, p. 1).
Such mutual interdependence of the two obligations had to be brought about, originally, by
way of a special clause appended to the contract (cf. e.g. Lab. D. 18, 1, 78, 2 (". . . ea lege
emerat, ut soluta pecunia traderetur ei possessio"); cf. further Benohr, Synallagma, pp. 20
sqq.); in classical law, however, the judge was taken to be empowered, by virtue of the "ex
bona fide" clause contained in the formulae of the actiones empti, vendiditi, locati and
conducti, to take account of the fact whether the plaintiff had himself performed his
obligation. If he had not done so up to the time when judgment was given, the defendant
had to be absolved. In other words: the exceptio non adimpleti contractus {as this right of
the defendant to retain his own performance came to be called from about the 15th century
onwards) was inherent in the Roman bonae fidei iudicia. Cf. Ulp. D. 19, 1, 13, 8; Scaev.
D. 18, 4, 22; Marcell./Ulp. D. 21, 1, 31, 8; Benohr, Synallagma, pp. 27 sq.; Alfons Burge,
Retentio im romischen Sachen- und Obligationenrecht (1979), pp. 186 sqq. The same applied in
cases of contractus bilaterales inaequales, if the plaintiff brought the actio directa without
having discharged his obligations arising under the actio contraria; cf. Pomp. D. 13, 7, 8 pr.
and 1; Paul. D. 47, 2, 15, 2; Iul. D. 47, 2, 60 and, for a detailed analysis, Burge,
Retentionsrechl, pp. 163 sqq. The idea underlying the Roman sources was generalized by the
commentators ("Ex contracto ultro citroque obligatorio non potest effectualiter agi nisi ab eo
qui totum contractum ex parte sua impleverit": Bartolus, Commentaria, ad D. 19, 1, 13, 8;
apart from the individual instances of Roman law, this rule was often based on the general
principle of fidem frangenti fides frangitur of the medieval canon law; on which see, in the
present context, Friedrich Merzbacher, "Die Regel 'Fidem frangenti fides frangitur' und ihre
Anwendung", (1982) 68 ZSS (KA) 347 sqq.) and the "exceptio non adimpleti contractus"
remained part and parcel of the ius commune down to the days of the pandectists (cf. e.g.
Gluck, vol. 17, pp. 225 sqq.; Windscheid/Kipp, § 321, 1; for a historical analysis, see
Schemer, Riicktrittsrecht, pp. 53 sqq.; cf. also Jansen JA in BK Tooling (Edms.) Bpk. v. Scope
Precision Engineering (Edms.) Bpk. 1979 (1) SA 391 (A) 416 sqq.) and was incorporated into
the BGB ("Whoever is bound by a mutual contract may refuse to perform his part until the
other party has performed his part, unless the former party is bound to perform his part
first" (§ 320 11 BGB; cf. also § 271 I 5 PrALR)). No provision corresponding to § 320 BGB
exists in the French code civil, but courts and legal writers have applied the law as if it did
(for details, see Nicholas, FLC, pp. 207 sqq.; cf. also Jansen JA in the BK Tooling case at
p. 417A-D). The application of the exceptio non adimpleti contractus in modern South
African law has led to considerable difficulties and confusion in cases where the plaintiff has
been guilty of malperformance. May the defendant refuse to render counterperformance
even though he is in possession of, and possibly even uses, the plaintiff's defective
performance? In a famous trilogy of cases {Hauman v. Nortje 1914 AD 293; Breslin v. Hichens
1914 AD 312; Van Rensburg v. Straughan 1914 AD 317) it was established that the absolute
nature of the exceptio non adimpleti contractus indeed precluded any contractual claim by
the malperforming plaintiff; yet, in order to avoid inequitable results, an enrichment action
for "quantum meruit" was granted (calculated by deducting the cost of remedying the
defective performance from the contract price). This approach (based, probably, on a
misunderstanding—De Vos, Verrykingsaanspreeklikheid, pp. 275 sqq.; De Wet en Yeats, pp.
181 —of Voet, Commentarius ad Pandectas, Lib. XIX, Tit. II, XL) has been subjected to severe
criticism (cf. De Vos and De Wet en Yeats, loc. cit.; J.C. de Wet, "Die sogenaamde
'exceptio non adimpleti contractus' in die praktyk van vandag", (1945) 9 THRHR 239 sqq.);
in the BK Tooling case (1979 (1) SA 391 (A)) the Appellate Division ultimately took the
opportunity to re-examine the matter. Use of the plaintiff's defective performance, it was
now argued by Jansen JA, creates a discretion for the court to determine whether the
defendant may raise the exceptio (and thus bar the plaintiff's claim for remuneration). In
cases where the exceptio may not be raised, the plaintiff may bring his contractual action,
albeit only for a reduced remuneration. For details, see Christie, Contract, pp. 419 sqq.;
Joubert, Contract, pp. 232 sqq.; Zimmermann, RHR, pp. 116 sq.; cf. now also Thomas
Construction (Ply.) Ltd. v. Grafton Furniture Manufacturers (Pty.) Ltd. 1986 (4) SA 510 (N); for
the solution in German law of cases of this nature, cf. Emmerich, op. cit., note 83, § 320,
nn.13411, 37 sqq.
Cf. supra, p. 579.
135
Cf. e.g. Windscheid/Kipp, § 321, 2.
136
Leser, Rucktritt vom Vertrag, p. 4.
137
Cf. Windscheid/Kipp, § 280, n. 1; on the developments in 19th- century commercial
law, see Karl Schemer, Rucktrittsrecht, pp. 157 sqq.
138
139
For a detailed discussion, see Lcser, Rucktritt vom Vertrag, pp. 26 sqq.
Leser, Rucktritt vom Vertrag, pp. 16 sqq,
140
141
Windscheid/Kipp, § 280, n. 1.
§§ 346 sqq. For a concise overview of the remedy of rescission in German law (under
which circumstances is it available?; what are its characteristic features?), see Brice Dickson,
"The Law of Restitution in the Federal Republic of Germany: A Comparison with English
Law",
142
(1987) 36 International and Comparative Law Quarterly 762 sqq.
§ 327.
143
"Motive", in: Mugdan, vol. II, p. 116. The position is different in, for instance, French
(art. 1184 II code civil), English and South African law. The alternativity of remedies in the
BGB has often been criticized; cf. e.g. Leser, Rucktritt vom Vertrag, pp. 138 sqq.; Huber, op.
cit., note 5, pp. 713 sqq., 763.
144
Grotius, De jure belli ac pads. Lib. Ill, Cap. XIX, 14; cf. further Schemer,
Rucktrittsrecht, pp. 92 sqq.
145
Georges Boyer, Recherches hisloriques sur la resolution des contrats (1924), pp. 381 sqq.
146
For det ails, see Boyer, op. cit., not e 145, pp. 32У sqq., 343 sqq., 350 sqq. Cf. also
Coing, pp. 443 sq.
147
Pothier, Traite dti contrat de vente, n. 476.
148
Sa m uel J. Stoljar, "The Contractual Conce pt of Condition", (1953) 69 LQR 485.
149
Cf. supra, pp. 776 sqq.
On the development and specific meaning of the notion of a condition in this context,
see Rhcinstein, Stmhtur, pp. 192 sqq. As on the Continent, rescission was a relatively late
addition to the reme dial processes available to the aggrieve d party. It became establishe d
only in the late 18th century. Of cardinal importance were two decisions of Lord Mansfield
in Kingston v. Preston, reported sub Jones v. Barkley (1781) 2 Dougl 684 at 690 sq., and Boone
v. Eyre (1779) 1 H Bl 273.
151
Bettini v. Gye (1876) 1 QB 183 at 188.
152
Cf. e.g. Hongkong Fir Shipping Co. Ltd. v. Kawasaki Kisen Kaisha Ltd. [1962] 2 QB 26
("There are . . . ma ny contractual undertakings of a m ore com plex character which cannot
be cate gorize d a s being 'c onditions' or 'warra nties' ": p. 70, per Diploc k LJ); Treitel,
Contract, pp. 585 sqq.; Zwcigert/Kotz, pp. 223 sqq.
153
For details cf. e.g. Treitel, Contract, pp. 631 sqq.
154
Since s. 27(7) of the Judicature Act (1873), which caused [he rules developed by Equity
to pre vail over those applicable "at la w".
5
^ According to United Scientific Holdings Ltd. v. Burnley Borough Council [1977] 2 WLR 806
(HL) at 826F, time, in m odern English law, is prima facie not of the essence of the contract.
156
Heinrich Mitteis, Rechtsfolgen des Leistungsverzugs beim Kaufvertrag nach niederidndischen
Quellen des Mittelalters (19)3), pp. 176 sqq.
157
Commentarius ad Pandectas, Lib. XIX, Cap. I, XXI; cf. further Van Zijl Steyn, op. cit.,
note 72, pp. 95 sqq.; De Wet en Yeats, p. 148.
158
On t he Sout h Afri can b el l um i uri di eu m — conc erni ng t he prope r sources of t he
common law—bet ween pollutionists, purists, antiquarians and pragmatists, see Reinhard
Zi mmer mann, "Synt hesis i n Sout h Afri can Pri vat e Law: Ci vil Law, Co mmon Law and
Usus Hodi ernus Pandect arum", (1986) 103 SAL] 259 sqq.
159
Cf., in the present context, Mitchell v. Howard Farrar & Co. (1886) 5 EDC 131 at 140
(per Barry JP). Generally cf. Reinhard Zi mmermann, "Di e Rechtsprechung des Supreme
Court of the Cape of Good Hope am Endc der sechzi ger Jahre des 19. Jahrhunderts", i n:
Huldigingsbundel Paul von Warmelo (1984), pp. 286 sqq. In other cases relating to the right of
rescission on account of mora Pofhier has been referred to; cf. Radue v. Kitsch 1920 OPD 181
at 186; Lewis & Co. v. Malkin 1926 TPD 665 at 670.
1611
Cf, for example, Wehr v. Botha 1965 (3) SA 46 (A) at 59 sqq.; Stapleford Estates (Ply.)
Ltd. v. Wright 1968 (1) SA 1 (E) at 3F ("Where time is not of the essence, a party may clearly
make it so by pl acing the ot her party i n mora").
161
1904 TS 483; cf further Benoni Produce & Coal Co. Ltd. v. Gundelfinger 1918 TPD 453;
Graf& Co. v. Bassa (1925) 46 NLR 2, and other decisions; cf. also Broderick Properties Ltd. v.
KowM962(4) SA 447 (T) (on which, see De Vos. (1970) 87 SAL] 314 sqq.; A.J. Kerr. (1978)
95 SAL] 143 sqq.).
162
Van ZijI Steyn, op. cit., note 72, p. 1.
163
j.R. Harker, "The Nature and Scope of Rescission as a Remedy for Breach of Contract
in American and South African Law", 1980 Ada Juridica 75.
164
De Vos, (1970) 87 SALJ 312 sq.
lf i 5
As to what follows, see W. dc Vos. (1970) 87 SALJ 304 sqq. ; idem, "Aspekte van
mora debitoris", (1978) 41 THRHR 252 sqq.; De Wet en Yeats, pp. 148 sqq.; Marker. 1980
Ada Juridica 72 sqq.; also Van Zijl Stcyn, op. cit., note 72, pp. 103 sqq. As far asjudicial
pronouncements are concerned, the decisions in Nel v. Cloete 1972 (2) SA 150 (A) at 159 sqq.
and Greenfield Manufacturers (Temba) (Pty.) Ltd. v. Roylon Electrical Engineering (Pty.) Ltd. 1976
(2) SA 565 (A) at 568 sqq. are of particular interest.
166
The term "notice of rescission" is somewhat misleading, since its effect is not (yet) the
rescission of the c ontract; it merely creates the right for the cre ditor to resc ind once the
period set for performance has elapsed; cf. De Vos, (1970) 87 SALJ 310; Harker. 1980 Ada
Juridica 77.
167
These are the cases where, in English law, time is presumed to be "of the essence" even
though no notice of rescission has been given.
168
Cf. Nel v. Cloete 1972 (2) SA 150 (A) at 162D-164D; Ponisammy v. Versailles Estates
(Pt y. ) Lt d. 1973 (1) SA 372 (A) at 387H-389D; W. de Vos, (1978) 41 THRHR 258 sq.
169
For details of the nature of rescission (resolution, Rikktritt) as a remedy for breach of
contract in modern law (how does it work? what are its effects?), c(. Treitel, "Remedies for
Breach of Contract", in: International Encyclopedia of Comparative Law, vol. VII, 16, nn. 143 sqq.;
Hans G. Leser, Der Riicktritt vom Vertrag (1975); idem, "Losung vom Vertrag", in: Recht und
Rechtserkenntnis, Festschrift fur Ernst Wolf (1985), pp. 373 sqq.; Harker, 1980 Ada Juridica 61 sqq.
1
'" In the result, therefore, the vendor became tree. Could he still demand payment of the
purchase price or was the purchaser released from his obligation too? Or. in other words:
who had to carry the risk of accidental destruction of the mc-rx? The answer is provided by
the rule "peric ulum est e m ptoris": ct. supra, pp. 28) sqq.
171
Cf. supra , p. 548. note 10.
172
Cf. e.g. Kaser, RPr II, p. 357.
1
Cf. the sources discussed supra, pp. 784 sq., 792.
174
Take, for example, the situation in South African law. According to W.A. Ramsden,
Supervening Impossibility of Performance in the South African Law of Contract (!985), pp. 55 sqq.,
perpetuatio obligationis obtains in case of impossibility (due to the fault of the debtor) and
mora debitoris. De Wet en Yeats refer to perpetuatio obiigationis only with regard to mora
(p. 148); cf. also Van Zijl Steyn, op. cit., note 72, pp. 90 sqq. Others do not refer to
perpetuatio obligationis at all.
Dilcher, Leistwtgsstorungen, pp. 120 sqq.; cf. further Hermann Lange, Schadensersatz
und Privatstraje, pp. 13 sqq., 100 sqq.
17(1
During the time of the usus modernus, liability for damages arising as a consequence
of deficient performance ("positive Vertragsverktzung"; cf. infra, pp. 812 sq.) tended to be
based on the lex Aquilia rather than on contractual principles: cf. Harting, op. cit.. note 43,
pp. 65 sqq.; Kaufmann, Lex Aquilia, pp. 46 sqq., 110 sqq.; Going, p. 442 and infra, p. 1024.
177
Dilcher, Leistungsstontngen, pp. 17 sqq.; Hoffmann, Fahrlassigkeit . pp. 35 sqq.
I7K
IV 1 § 20. Praestatio casus refers to the case of a casus quern culpa praecessit, i.e.
liability for casus where there has been either culpa praecedens or mora praecedens. Cf.
generally Dilcher, Leistungsstorungen, pp. 109 sqq.; Stephan Kuttner, Kanonistisdte Schutdtehre
von Gratian bis auj die Dekrctalcn Cregors IX (1935), pp. 185 sqq. The culpa praecedens doctrine
is clearly related to the concept of versan in re illicita.
179
Art. 1184 code civil. Art. 1147, however, also mentions "retard" (mora debitoris) as a
special form of breach of contract. Cf. further e.g. Zwcigert/Kotz, pp. 213 sqq.; Nicholas,
FLC, pp. 193 sqq.
1H()
lKI
Am. 1147 sq.
Cf. supra, pp. 687 sqq.
1Я2
1H3
Cf. supra, pp. 772 sqq.
Wollschlager, Umnoglichkeitslehre, pp. 41 sq. As he points out, the crucial question for
the authors of the ius commune was a different one: may a vendor (such as the debtor under
an obligatio faciendi—nemo potest praecise cogi ad factum!; cf. supra, pp. 774 sq.) discharge
his obligation by paying the interest, i.e. is he able to force the creditor to accept a monetary
compensation in the place of specific performance, even where the latter is still possible?
18
Dilcher, Leistungsstorungen, pp. 185 sqq., Wollschlager, Utnndqlidikeitslehre, pp. 42 sq.
1H5
Cf. supra, note 7.
1Hfi
Die Unmoglichkeit der Lei stung in ihrem Eittfliiss aufohligatorische Verhaltttisse (1853).
IM7
On the roots of his ideas in the tradition of both the ius commune and (particularly) the
law of the Age of Reason, see Wollschlager, Unmoglidikeitstehre, pp. 75 sqq., 118 sqq. On the
Prussian General Land Law, which for the first time attributed central importance to the
conce pt of im possibility within the la w relating to breac h of c ontract, see W ollsc hla ger,
pp. 106 sqq.
isa por t]^ s alternative cf. Lauterbach, as discussed by Wollschlager, Untnoglichkeitslehre,
pp. 72 sq.
1H9
Cf. the categories listed and discussed by Wollschlager, Unmoglichkeitslehre, pp. 125
sqq.
™ Windscheid/Kipp, §§ 264, 315, 360.
191
Wollschlager, Unmoglichkeitslehre, pp. 167 sqq.
192
§ 275 BGB.
193
Cf. supra, p. 809.
144
And art. 1302 code civil.
1Уэ
And under the code civil: art. 1142. Cf. further Harting, op. cit., note 43, p. 92.
19(1
§ 279 BGB.
19
Gliick, vol. IV, pp. 386 sqq.; Dilcher, Leistitngsstomngen, pp. 277 sqq.; Wollschlager,
Umnoylichkeitstehre, p. 43.
198
§ 323 BGB.
144
Benohr, Synatlagtna, p. 1.
2Ш
On the exceptm non adimplcti contractus (§ 320 BGB) (another expression of the
mutual interdep endence of obligat ions arising under a re ciproc al contrac t) cf. supra,
pp. 801 sq.
2111
The historical development is traced by Wollschlager, UnmogHchkeitslehre, pp. 64 sqq.,
106 sqq., 142 sq. and Joachim Ruckert, "Vom casus zur Unmoglichkeit und von der Sphare
zum Synallagma", (1984) 6 ZNR 40 sqq. Ruckert emphasizes that both under the Prussian
Land Law and under the BGB the crisp and plucky general rule is subject to many exceptions
for specific contracts.
2<)
~ Dilcher, Leistiwgsstormigen, pp. 191 sqq.; Wollschlagcr, Unmoglickkeitstehre, pp. 50 sq.;
Schemer, Riicktrittsrecht, pp. 37 sqq.; Ruckert, (1984) 6 ZNR 40 sqq.
2(13
Cf. supra, pp. 281 sqq., 370 sq., 403.
204
§§ 280, 325 BGB.
205
§ 325 BGB.
206
Cf. supra, p. 802; for a comparative overview cf. Jurgen Basedow, Die Reform des
deutschen Kaufrechts (1988), pp. 36 sqq.
207
§§ 286, 326 BGB.
208
RGZ 66, 289 sqq.
209
BGH, 1968 Neue Jurisitsche Wochenschrift 2238.
210
Cf. e.g. BGHZ 47, 312 (315 sq.).
211
"Die positiven Vertragsverletzungen und ihre Rechtsfolgen", in: Festschrift for den 26.
Deutschen Juristentag (1902), pp. 29 sqq.
212
At pp. 161 sqq.
213
BGHZ 11, 80 (83 sqq.) and, for all details, Emmerich, op. cit., note 83, Vor § 275,
nn. 95 sqq.
214
Emmerich, op. cit., note 83, Vor § 275, nn. 135 sqq.
215
On "legal discoveries" in this context, see Hans Dolle, "Juristische Entdeckungen", in:
Verhandlungen des 42. Deutschen Juristentags, vol. II (1959), pp. В 1 sqq., В 15 sq.
216
Mommsen, Unmoglichkeit, pp. 193 sqq.; cf. also Jury Himmelschein, "Erfullungs-
zwang und Lehre von den positiven Vertragsverletzungen", (193?) 135 Archiv for die
civilistische Praxis 255 sqq., 297 sqq.; Wollschlager, Unmogtichkeitsiehre, pp. 132 sqq. On
positive malperformance under the ius commune, see Harcing, op. cit., note 43, pp. 55 sqq.,
65 sqq., 75 sqq. (natural law); cf. also infra, p. 1024 (liability under the lex Aquilia rather
than the contract).
217
§§ 459, 462, 634 BGB. Under certain circumstances (if a promised quality in the thing
sold is absent at the time of the purchase, if the vendor has fraudulently concealed a defect
or if the defect in the work is caused by circumstances for which the contractor is
responsible) the purchaser/customer may demand compensation for non-fulfilment in the
place of cancellation or reduction: §§ 463, 635 BGB.
21H
Cf., for example, Ernst Rabel, "Unmoglichkeit der Leistung", in: Aus tomischem und
biirgerlichem Recht, Festschrift jiir Ernst I. Bekker, (1907), pp. 171 sqq.; Heinrich Stoll, Die
Lehre von den Leistungsstonmgen (1936), pp. 1 sqq.; Wieacker, Privatrechtsgeschichte, p. 519;
Zweigert/Kotz, pp. 232 sqq.; Huber, op. cit., note 5, pp. 756 sqq.; Basedow, op. cit., note
206, pp. 35 sqq.; but see also Horst Heinrich Jakobs, Gesetzgebung im Leistimgsstdrungsrecht
(1985), who embarks on a defence of the system underlying the rules of the BGB and docs
not regard any reform legislation as necessary. For a criticism of Jakobs' point of view, see,
however, Dieter Medicus, "Gesetzgebung und Jurisprudenz im Recht der Leistungsstorun-
gen", (1986) 186 Archit* fur die civilistische Praxis 268 sqq.
219
Hans A. Engelhard (Minister of Justice), "Zu den Aufgaben einer Kommission fur die
Uberarbeitung des Schuldrechts", 1984 Neue Juristische Wochenschrift 1201 sqq.
2211
Huber, op. cit., note 5, pp. 671 sqq., 699 sqq.
221
Rabel, Festschrift Bekker, pp. 185, 201 sq.; Harting, op. cit., note 43, pp. 128 sqq.,
13922sqq.; cf. also Wollschlager, Unmoglichkeitslehre, pp. 146 sq.
~ Particularly in the discussion leading up to the Uniform Law for International Sales of
Goods as adopted in 1964 by the Hague Conference for the Unification of the Law of Sales,
and to the United Nations Convention on Contracts for the International Sale of Goods
adopted in 1980 at a conference in Vienna; on these two important milestones towards legal
unification cf. e.g. Hans Dollc (ed.), Kommentar гит Einheitlichen Kaufrecht (1976); John O.
Honnold, Uniform Law of International Sales tinder the 1980 United Nations Convention (1982); on
the trauaux preparatoires to the Uniform Law for International Sales of Goods, cf, for
example, the articles by Ernst Rabel as collected in: Gesamtnelte Aufsatze, vol. Ill (1967),
pp. 381 sqq.; for a comparative evaluation of the United Nations Convention, see
j. Barrigan Marcantonio. "Unifying the Law of Impossibility", (1984} 8 Hastings International
and Comparative LR 41 sqq.
223
For an overview cf. Zweigert/Kotz, pp. 221 sqq.; cf. also their evaluation, pp. 232 sqq.
224
But cf. Basedow, op. c i t . , note 206, pp. 38 sqq., who points out that in actual practice
the differences between English law and continental law have to a large extent been levelled
out. Essential for the debtor's liability even on the Continent is (judicial) determination of his
range of duties under the contract (i.e. an objective criterion). Breach of such contractual
duty, as a rule, implies fault. Thus it is up to the debtor to establish (and prove) that he was
not at fault; cf. e.g. § 282 BGB.
225
Cf. supra, pp. 776, 803.
226
Paradine v. jane (1647) Alcyn 26 (dealing with a landlord's action to recover rent; the
tenant was not excused from payment, even though he had been evict ed from the l and by
a royalist army under the command of Prince Rupert). On this leading case and its reception,
cf. e.g. Grant Gil more, The Death of Contract (1974), pp. 44 sqq.
227
(1863) 3 В & S 826; on the development cf., apart from the standard English literature.
L. W. Murcott, "Oormag in die Engelsc en in die Suid-Afrikaanse Reg", (1942) 6 THRHR
169sqq.
228 -pj i e ] cssor Wou]d be released from his obligation according to § 275 I BGB, the lessee
according to § 323 1 BGB. This is one of many examples which demonstrate that despite the
widely divergent theoretical starting points, the actual problems are often solved m very
much the same way; cf. e.g. Zweigert/Kritz, pp. 22У sqq.. and also Marcantonio, (1984) 8
Hastings International and Comparative Lit 41 sqq. Better than by anything else,
Zweigert/Kotz's contention is confirmed, incidentally, by the development of modern
South African law. The systematic exposition of breach of contract in modern textbooks is
so diverse that one can hardly believe that these books arc dealing with one and the same
legal system. Christie, The Law of Contract in South Africa (1981), deals with mora and
breach, Kerr, The Principles of the Law of Contract (3rd cd., 1982), subdivides his chapter on
breach of contract into repudiation, anticipatory breach, ordinary breach and major and
minor breach. Van Rensburg/Lotz/Van Rhijn, in: Joubert (ed.), The Law of South Africa, vol.
5 (1978), nn. 199 have negative malpcrformanee (mora crcditoris and debitoris), positive
malperformance and anticipatory breach (repudiation and prevention of performance). l) e
Wet en Yeats, as in many other cases, adopt more modern German (pandeetist) thinking
patterns and distinguish between mora debitoris, impossibility (onmoontlikmaking van die
prestasie) and positiewc wanprestasie. However, they add repudiation (repudiering) as a
fourth category. The discussion by joubert. Contract, is along the same lines. The South
African courts have not been unduly worried about the theoretical differences. Typical of
their approach is the leading case on impossibility, Peters, Flamman and Co. v. Koksiad
Municipality 1919 AD 427. In this case Soiomon ACJ recognizes that for the old authorities
it is clear that if a person is prevented from performing his contract by vis maior or casus
fortuitus, he is discharged from liability. Joseph Averanius (Interpretationes Iuris) is quoted for
this proposition. The judge then remarks that "unfortunately" the rules of the civil law
appear to have been ignored in several South African cases and that the courts have been
guided entirely by the decisions of the English courts. More particularly, the rule of Paradinc
v. Jane has been invoked (cf. e.g. Hay v. The Divisional Council of King William's Town 1
EDC 97 at 102). It is not consistent with the principles of the civil law. Even in English law,
it has been considerably modified by later decisions. Solomon ACJ then proceeds to quote
from Horlock v. Bcal [19161 1 AC 486 (HL) at 525, and F.A. Tamplin Steamship Co. Ltd. v.
Anglo-Mexican Petroleum Products Co. Ltd. [1У16] 2 AC 397 (HL) at 422 and comes to the
conclusion: "It will be seen, therefore, that although the English law looks at the subject
from a different point of view from ours, in the result the difference is not very great. And
indeed, if this case had been tried in an English Court of Justice, I am disposed to think that
the defendants would have been held to have been discharged from their obligations under
the contract" (p. 437). Cf. further Hcrsman v. Shapiro & Co, 1926 TPD 367 at 371 sqq.;
Murcott, (1942) 6 THRHR 169 sqq., 190 sqq. (very solid) and W. A. Ramsden, Supervening
Impossibility of Performance in the South African Law of Contract (1985) (the only monograph on
the topic).
Repudiation (as a form of breach of contract in anticipando; in German: "ErfiUhtngsver-
weigemng") has been taken over from English law (leading case: Hochster v. De la Tour (1853)
2 El & Bl 678) and is today generally accepted as a special type of breach of contract (even
by Roman-Dutch "purists" such as De Wet en Yeats); c(. e.g. P.M. Nienaber, "Enkele
beskouinge oor kontrakbreuk in anticipando", (1963) 26 THRHR 19 sqq.; idem, Anticipatory
Repudiation in English and South African Law of Contract, pp. 111 sqq.: "Roman-Dutch law did not
know a form of breach of contract corresponding to the English breach by anticipatory
repudiation. In South Africa the doctrine was superimposed on the forms of breach known
to Rom a n-Dutc h la w. The c ourts ac te d on the English principle, a ppa re ntly withou t
realizing that a n e ntirely ne w doctrine, unknown to Roman-Dutch la w, thereby came to
form part and parcel of South African law . . . and if even a twinge of doubt was experienced
this was finally laid to rest in Demiill к. Atkins & Co. 1905 TS 282. . . . English authorities
were quoted in abundance and so it hardly occasions surprise that not only the principle, but
the underlying reasons for the principle as expressed in the leading English cases, were
adopted." This passage was quoted with approval by Holmes JA in Crest Enterprises (Pty.)
Ltd. v. RycklofBeieggings (Edms.) Bpk. 1972 (2) SA 863 (A) at 869D-E; for final confirmation
of the recognition of the doctrine cf. also Novick v. Benjamin 1972 (2) SA 842 (A) at 853H-
858F. For recent trends, see Tuckers Land and Development Corporation (Pty.) Ltd. v. Hovis
1980 (1) SA 645 (A) at 650G-653A and David Carey Miller, (1980) 97 SAL] 531 sqq. In
German law, the rules of positive malperformance are usually applied; cf. Emmerich, op. cit.,
note 83, Vor § 275, nn. 120 sqq.; but cf. also e.g. Klaus Friedrich, "Der Vertragsbruch", (1978)
178 Archiv fiir die civilistische Praxis 488, arguing for a separate institution. On hi stori cal
and comparative aspects of t he doctrine of anti cipatory breach, cf. Francis Dawson,
"Metaphors and Anticipatory Breach of Contract", (1981) 40 CLJ 83 sqq.; James C.
Gulottajr., "Anticipatory Breach — A Comparative Analysis", (1975-76) 50 Tulane LR 927
sqq.
229
At 833.
230
At 834.
231
"It is hard to sec how m uc h further inc onsiste nc y is possible ": A.W.B. Sim pson,
"Innovation in Ninetee nth Ce ntury Contract La w", (1975) 91 LQR 271.
232
At 834.
2J3
Cf. e.g. supra, pp. 336 sq., pp. 611 sq.
V. MORA CREDITORIS
1. Mora creditoris, mora debitoris and breach of contract
When we were discussing mora, reference was made to the definition
contained in Voet's Commentarius ad Pandectas: "Mora est solutionis
faciendae . . . frustratoria dilatio."240 It provided a convenient starting
point for our examination of mora debitoris. We must now turn our
attention to what, at that stage, we left out and merely represented by
three dots: the words "vel accipiendae". If the debtor can upset the
smooth exchange of performances, so can the creditor: the one by
delaying his performance, the other by delaying acceptance of the
performance offered by his debtor. Again, Voet's statement is typical of
the view taken by the authors of the ius commune: they saw mora
234
N. 660: "L'extinction de la chose due iteint la dette."
235
Freeman v. Taylor (1831) 8 Bing 124; Jackson v. Union Marine Insurance Co. Ltd. ("Spirit
of 2Dawn")
36
(1874) LR 10 CP 125.
Cf. e.g. Zweigert/Kotz, pp. 252 sqq.; Simpson, (1975) 91 LQR 271 sqq.
237
238
Cf. supra, pp. 579 sqq.
(1975) 91 LQR 273.
239
Cf. e.g. Krell v. Henry [1903] 2 KB 740 (CA), dealing with the situation that the
owner of a house en route of the coronation procession had let it to the defendant for the day.
The procession was cancelled. It was held that the defendant was entitled to refuse to pay the
rent under these circumstances. For a discussion of the coronation cases, see e.g. R.G.
McElroy, Glanville Williams, "The Coronation Cases", (1940-41) 4 Modem LR 241 sqq.;
(1941-42)
240
5 Modem LR 1 sqq.
Cf. supra, p. 793 (note 69).
241
C f . e . g. G l i i c k , v o l . 4 , p p . 4 0 1 s q q . ; C a r l O t t o v o n M a d a i , D i e L e h r e v o n d e r M o ra ,
Dargestellt nach Gnmdsatzeii des Rh'miscUen Rechts (1837), pp. 227 sqq.; A.B. de Villiers, Mora
creditoris as vortn van kotitrakbreuk (unpublished LLD thesis, Stellcnbosch, 1953), pp. 78 sqq.,
186 sqq.
242
Salicetus, Traaatus de mora and Hotomannus, Tractates de mora, both quoted by von
Madai, op. cit., note 241, p. 5.
24 1
This is still the position in South African law; c(. De Wet en Yeats, pp. 163 sqq.,
174 sq.; Joubert, Contract, pp. 214 sqq., 220 sq.
244
For a comparative investigation, see Uwc Huffcr, Leistungsstomngen dutch Gtdubiger-
handeht (1976), pp. 134 sqq.
245
Cf. supra, pp. 803 sq.
246
23rd cd., 1969, p. 491.
247
§ 293 BGB.
Э4М
VJ 298 sqq.
244
Die Lehre von der Mora tiebst Beitragen гиг Lehre van der culpa (1855), pp. 133 sqq.
2э0
"Annahmc und Annahmeverzug", (1879) 17 Jhjb 261 sqq.
251
"Motive", in: Mugdan, vol. II, pp. 37 sqq.; cf. also Hiiffer, op. cit., note 244, pp. 14
sqq.
252
Cf. Kaser, RPrl, pp. 517 sq.; Honsell/ Mayer-Maly/Selb. pp. 247 sq.; Hausmamnger/
Selb, p. 37(1; but sec also Buckland/St cin, p. 551; Thomas, TRL, pp. 254 sq.
253
§ 433 II BGB.
254
Pomp. D. 19, 1, 3, 4.
255
Paul. D. 18, 6, 5.
256
257
Afr. D. 17, 1, 37; Cels. D. 19, 1, 38, 1; Ulp. D. 46, 3, 9, 1.
Cf. supra, pp. 105 sq., 385, 730, 785 sqq.
25H
D. 46, 3, 72 pr.
259
Cf. supra, note 252.
260
261
Pomp. D. 18, 6, 18; Paul. D. 18, 6, 5; Pomp. D. 24, 3, 9.
262
Sab. /lav. D. 45, 1, 105; Marc. D. 46, 3, 72 pr.
Iul. D. 30, 84, 3; cf. also Marc. D. 46, 3, 72 pr.
263
Pap. D. 22, 1, 7; С 4. 32, 19 pr. (Diocl.); Kaser, RPr I, pp. 639 sq.; R. Vigneron, Offerre
aut deponere. De I'origine de la procedure des offres reelles suivies de consignation (1979), pp. 19 sqq.,
51 sqq.
2(A
Pap. D. 22, 1, 7.
2f 5
' C. 8, 42, 9: "Obsignatione totius debitae pecuniae sollemniter facta liberationem
contingere manifestum est. . . . "
2Л6
De Villiers, op. cit., note 241, pp. 353 sqq., 360 sqq.; Windscheid/Kipp, § 347; today
§§ 372 sqq. BGB; Dc Wet en Yeats, pp. 171 sq.; Odendaal v. Di, Plessis 1918 AD 470.
Obsignatio and depositio were (and still are) no longer confined to money but may also be
effected with regard to certain other movables.
2(17
Cf. nn. 144, 283, 574.
26H дгМ_ J257 sqq. code civil; for a comparative discussion cf. Huffer, op. cit., note
244, pp. 61 sqq.
269
De Wet en Yeats, pp. 163 sqq.; Joubert, Contract, pp. 214 sqq.
2711
Cf. Vigneron, op. cit., note 263. pp. 13 sqq., 199 sqq.
271
Cato, De re rustica. Cap. CXLV1II ("Locus vinis ad K. Occobres primas dabitur, Si ante
non deportaverit, dominus vino quid volet faciet ").
7
D. 18, 6, 1,3; for a different interpretation, see Otto Gradcnwitz, "Das Ausgiessen des
Weins und L. 1 § 3 de periculo et commodo", (1929) 37 BIDR 53 sqq.; contra: Wolf, Error,
pp. 130 sq.Roman-Dutch customs did not tolerate such waste; see Groenewegen, De Legibus
Abroqatis, ad Digest. Lib. XVIII, Tit. VI, 1.1 § 3 licet; Voet, Commentarius ad Pandectas, Lib.
XVIII, Tit. VI, IV.
273
Cf in particular Peter Apathy, "Mora accipiendi und Schadensersatz". (1984) 101 ZSS
190 sqq. According to the prevailing opinion, the debtor had only a ius retentionis which he
was able to assert by way of an exceptio doli; cf. Kaser, RPr I, p. 518; Alfons Biirge, Retentio
im rottiischen Saclien- und Obligationenrecht (1979), pp. 190 sq. For modern South African law,
cf. supra, note 243.
274
Cels. D. 19, 1, 38, 1.
275
Cf. e.g. Okko Bchrcnds, Fraus leys, p. 92; Apathy, (1984) 101 ZSS 195.
276
Apathy, (1984) 101 ZSS 193 sqq.'
2 77
In the latter sense e.g. Friedricb Mommscn, Mora, op. cit., note 249, pp. 134 sq.;
Kaser, RPr I, p. 551.
27Я
Paul. D. 45, 1, 91, 3; cf. further e.g. Paul. D. 45, 1, 73, 2; Magdelain, "Note sur la 'Purgatio
Morae' ", in: Droits de I'Atitiquite et Sociology Juridique, Melanges Henri Levy-Bruhl (1959),
pp. 199 sqq.; Sturm, Stipitlatio Aquiliarw, pp. 78 sqq.; Kniitel, Slipuiatio poenae, pp. 185
sqq.
2 79
Pomp. D. 18, 6, 18.
2K
" For a comprehensive comparative analysis, see Treitel, op. cit., note 169, nn. 40 sqq.
2H1
Cf. Lange, Schadensersatz, pp. 17 sqq. For England cf. e.g. Livingstone v. The Rawyards
CoalCo. (1880)5 AC 25 at 39; for South Africa: Union Government v.' Warneke 1911 AD 657
at 665.
f2 Cf. e.g. § 1323 ABGB; § 79 I 6 PrALR.
~8" The idea that, in the first place, restoration (in kind) is owed did not originate in
Roman law, but in the teachings of the Church. Of crucial importance was a passage in a
letter of St. Augustine to a bishop by the name of Macedonius (cf. Deere turn Gratiani,
Secunda Pars, Causa XIV, Quaestio VI, с 1.), according to which restoration is a necessary
part of and prerequisite for true penitence: "non remittetur peccatum, nisi rcstituatur
ablatum." St. Thomas Aquinas further developed this idea and created the dogmatical
foundations of the theological doctrine of restitution ("rcstitutio est actus commutativae
justitiae"); in Pope Boniface VIH's Liber Sextus it received final, legislative sanction
("peccatum non dimittitur, nisi rcstituatur ablatum": Regula iuris IV). Via the late Spanish
scholastic writers and their followers (most notably the Jesuit Leonardos Lessius in Leuven)
the doctrine influenced Grotius ("Culpam obligarc ad restitutionem damni": De jure belli ac
pacts. Lib. II, Cap. XVII, I) and, through him, the subsequent natural lawyers. To them, the
obligation to make restitution (where possible) appeared to be the obvious consequence of
a breach of the natural duty of alterum non lacderc: why should the aggrieved party be
obliged to accept a compensation in money, if something had been taken away from him or
damaged that he had particularly treasured (Joachim Georg Darjcs). Courts and writers
under the usus modernus and during the early 19th century remained sceptical, and the final
breakthrough came only with the acceptance of the restitution doctrine by Fricdrich
Mommsen, Zitr Lelm1 von dan Interesse (1855), pp. 12 sqq., Windscheid/Kipp, § 257 and
other pandectists; cf". further "Motive", in: Xlngdan, vol. II, p. 11, but also Heinrich von
Degcnkolb, "Der spezifische Inhalt des Schadenscrsatzes", (1890) 76 Archiv fur die aviUstische
Praxis 1 sqq. For all this, see the thorough historical study by Udo Wolter, Das Prinzip der
Naturalrestitution in § 249 BGB (1985). In Roman law, some formulae (most notably the rei
vindicatio) contained a clausula arbitraria ("neque ea res restituetur"). Whilst the defendant
was thus free to absolve himself by restoring the object of the dispute, condemnation
ultimately had to be for a sum of money (for details Kaser. RZ, pp. 256 sqq.).
Relief in money is, however, also available under the conditions laid down in §§ 249,2,
250 and 251 II BGB. In actual practice, relief in money is the rule, restoration in kind the
exception.
2Hr>
Cf. e.g. supra, pp. 35 sq,, 771 sq.
2Kf)
Cf. supra, pp. 770 sqq.
2Ю
2
Cf- supra, pp. 578 sq-, 801 sq.
** Cf. supra, pp. 95 sq., 771, 784.
2m
Cf. e.g. Ulp. D. 2, 7, 5, 1 ("quod in veritate est'1); Ulp. D. 27, 3. 1, 20 ("rci tantum
aestimationem").
~4° Already in classical law cautious attempts were made to take into account the concrete
loss of the disadvantaged party, particularly as far as actions for certain rem redderc
(cf. supra, p. 788), for resrituere (cf., for example, supra, p. 665, note 39. p. 664, note
101, p. 825, note 283 in fine) and those that required estimation of quanti ea
res erit (supra, p. 771) were concerned: Kaser, RPr I, pp. 499 sq.; Mcdicus, Id quod interest,
pp. 245 sqq.. 260 sqq., 266 sqq.; cf. further on this development Sebastiano Tafaro, La
intervretatio ui verba 'quanti ea res est' nella gitmspmdetiza roniana (1980).
29
Cf. hist. IV, 6, 30: "In bonae fidei autcm iudiciis libcra potcstas pcrmitti videtur mdici
ex bono et aequo aestimandi, quantum actori restitui debcat."
2
~' Honscll, Quod interest, pp. 30 sqq., 63 sq.; Kaser, RPr 1. p. 500; Hcmsell/Mayer-Maly/
Sclb, p. 224.
293
Honsell. Quod interest, p. 172; but see Mcdicus, /(/ quod interest, pp. 326 sq.
Medicus, Id quod interest, p. 337; on the scarcity ot sources dealing with individual
items of "damages", cf. further Honsell/Mayer-Maly/Selb, p. 227.
295
D. 46, 8, 13 pr.
296
D. 19, 1, 31, 1; Honsell, Quod interest, pp. 18 sq.
297
For further details on the recovcrability of lucrum cessans in Roman law, see С 7, 47,
2 ("Et hoc non solum in damno, sed cciam in lucro nostra amplcctitur constitutio, quia et ex
eo vetercs quod interest statuerunt"); Honsell, Quod interest, pp. 16 sqq. In later centuries,
recovery of lucrum cessans was often refused (except as far as merchants were concerned) on
the basis of Paul. D. 19, 1, 21, 3 (according to Honsell, Quod interest, pp. 7 sqq. a special case,
not capabl e of generali zation). The canoni sts in particul ar emphasi zed the distinction
between damnum emergens and lucrum cessans, since recovery of the latter tended to come
into conflict with the usury doctrine of the Church. For all details on lucrum cessans during
the history of the ius commune, c(. Endemann, Studien, vol. II, pp. 276 sqq.; Lange,
Schadensersatz und Privatstrafe, pp. 32 sqq.; Wieling, Interesse und Privatstrafe, pp. 109 sqq. In
the modern law of damages, the compensation also has to include lost profits; the distinction
bet ween damnum emergens and lucrum cessans is without practical significance: cf. e.g.
art. 1149 Code Civil, § 252 BGB.
298
Cf. Ul p. D. 19, 2, 19, 1; Pomp. D. 19, 1, 6, 4; lul./ Ul p. D. 19, 1, 13 pr. and 1, and
the discussion supra, pp. 309 sq., 365 sqq.
299
Ulp. D. 13, 4, 2, 8; Honsell, Quod interest, pp. 169 sqq.
300
Kaser, RPrl, p. 501.
301
Honsell, Quod interest, pp. 15 sq.; also Berthold Kupisch, "Id quod interest bei
Nichterfiillung und Verzug des Vcrkaufers", (1975) 43 TR 18 sq.; for an example, taken
from the law of delict, cf. Paul. D. 9, 2, 22, 1. Special rules may have applied for the sale of
fungible goods with a constantly varying market price (such as oil, wine or grain): Honsell,
Quod interest, pp. 1 sqq.; but see Medicus, Id quod interest, pp. 30 sqq.; Kupisch, (1975) 43 TR
1 sqq. An immaterial interest could not normally be recovered; cf. e.g. Kaser, RPr I, p. 491;
but see also Pap. D. 17, 1, 54 pr. and Honsell, Quod interest, pp. 153 sqq.; Fritz Raber, "Zum
'pretium affectionis'", in: Festgabe fur Arnold Herdtitczka (1972), pp. 197 sqq. For the ius
commune, see Lange, Schadensersatz und Privatstrafe, pp. 46 sqq.; Wieling, Interesse und
Privatstrafe, pp. 123 sqq.; for modern law cf. § 253 BGB; Lange, Scbadensersatz, pp. 34 sqq.;
Treitel, op. cit., note 169, nn. 110 sqq. On the qu estion "a n com modu m . . . compe nsari
cu m damno . . . debeat" we find an isolated decision by the Emperor Marc Aurel ("abstine
commodo si da mnu m pctis"): Ulp. D. 17, 2, 23, 1; further Honsell, Quod interest, pp. 163
sqq. On compensatio lucri cum damno under the ius commune, see Lange, Schadensersatz und
Privatstrafe, pp. 65 sqq.; Wieling, Interesse und Privatstrafe, pp. 215 sqq.; on its modern German
equivalent of " Vorteiisausgteichung", see Lange, Schadensersatz, pp. 298 sqq.; Treitel, op. cit.,
note 169, n. 105. ~ Cl. supra, pp. 772 sqq.
303
Medicus, Id quod interest, pp. 338 sqq.; Kaser, RPr II, pp. 344 sqq.
304
С 7, 47, 1.
3115
С. 7, 47, 1, on which, see Medicus, Id quod interest, pp. 288 sqq.; Schindler, Justinians
Haltunq zur Klassik, pp. 259 sqq.; H.J. Erasmus, " 'n Regshistoriese Bcskouing van Codex
7, 47"', (1968) 31 THRHR 213 sqq.
Jn6
Cf. Lange, Schadensersatz und Privatstrafe, pp. 56 sqq.; Wieling, Interesse und Privatstrafe, pp.
89 sqq.; Mo mmsen, Interesse, op. cit., note 283, pp. 235 sqq.
3117
Groenewegen, Tractatus de legibus abrogates, Cod. Lib. VII, Tit. XLVII; Voet,
Commentarius ad Pandectas, Lib. XLV, Tit. I, X. The rule has been abrogated by disuse in
South Africa: Erasmus, (1968) 31 THRHR 237 sqq.; De Wet en Yeats, p. 207.
308
Cf. e.g. Struve, Syntagma, Exerc. XLIV, Lib. XLII, Tit. I, V.
309
Windscheid/Kipp, § 258, 1; cf. further Wieling, Interesse und Privatstrafe, pp. 106 sqq.
310
Generally on foreseeability as a device in order to limit damages, cf. Treitel, op. cit.,
note 169, nn. 77 sqq.
311
Tractatus de eo quod interest (Venetiis, 1574). n. 60. "No treatise on damages has perhaps
had a more profound influence on the development of the law of damages than the Tractatus
dc eo quod interest of Molinaeus": H.J. Erasmus, "Aspects of the History of the South
African Law of Damages", (1975) 38 THRHR 116 sq. For a recent translation of Molinaeus'
treatise into Afrikaans ("Vcrhandeling oor skadevergoeding") cf. H.J. Erasmus (cd.) (Lex
Patria, Johannesburg, 1973).
12
Thus he argues that obviously "hanc legem aequissimam esse, et optimis rationibus
fundatam, поп otiosam, nee incongruam" (n. 58). " 3 Traite des obligations, n. 164. 314 Traite
des obligations, n. 160.
5
Traite des obligations, n. 160; "de schuldenaar wordt geacht zig allccnlijk aan deezen
onderworpen tc bebben" (Va n dcr Linden, Ve rhandelitig van Contrac ten en andere
Verhintenissen (Leyden, 1804) ).
31fi
(1854) 9 Exch 341 at 354; on the socio-historical importance of this decision, see
Richard Danzig, (1975) 4 Journal of Legal Studies 249 sqq. (also in (1977) 6 lus Commune
234 sqq.): cf. also Janet T. Lauda, "Hadley v, Baxendale and the Expansion of the Middleman
Economy", (1987) 16 Journal of Legal Studies 455 sqq.
317
Cf. e.g. Koufos v. Czamikow Ltd. fl969] 1 AC 350 (HL) at 421 sq.; McGregor on
Damages (13th cd.," 1972), nn. 180 sqq.
3!K
For details, see Erasmus, (1975) 38 THRHR 362 sqq.; Reinhard Zimmerman», "Der
Einfluss Pothiers auf das romisch-hoilandische Recht in Siidafrika" (1985) 102 ZSS (GA)
178 sqq.
319
Emslie v. African Merchants Ltd. 1908 EDC 82 at 91.
320
Victoria Falls & Transvaal Power Co. Ltd. v. Consolidated Langlaagte Mines Ltd. 1915 AD
1 at 22. But see subsequently Lavery &-Co. Ltd. v. Jungheinrich 1931 AD 156 at 162 sqq., 176,
■where the contemplation test has (possibly) been superseded by a "convention principle":
the expectations of the parties may only be taken into account, if they have become
"virtually . . . a term of the contract". Cf further Shatz Investments (Pty.) Ltd. v. Kalovyrnas
1976 (2) SA 545 (A) at 551B-554F (obiter); Kerr, Contract, pp. 454 sqq. For a very critical
evaluation of Pothier's theory, see De Wet en Yeats, p. 205 ("gekunsteld, teoreties onsuiwer
en prakties onbruikbaar"); but cf. e.g. Wieling, Interesse und Privatstrafe, p. 53.
3
~' Warenkauf vol. 1, pp. 491 sqq.
322
"Das Problem des Kausalzusammenhangs im Pnvatrecht", in: Gesammelte Schriften,
vol. I (1968), pp. 395 sqq.
323
Lehre von der Zurechnung nach dem Schutzzweck des Vertrages or, more generally, der
haftungsbegriindenden Norm: cf. e.g. Langc, Schadensersatz, pp. 76 sqq.
324
D. 19, 1, 21, 3.
325
Arangio-Ruiz, Compravendita, pp. 232 sqq.; Medicus, Id quod interest, pp. 35 sqq.,
321 sq.; Kupisch, (1975) 43 TR 16 sqq.; cf. also Honsell, Quod interest, pp. 7 sqq. (special
case,
326
not capable of generalization).
Franz Heymann, "Haftung fur unmittelbaren und mittelbaren Schaden beim Kauf",
in: Studi in onore di Pietro Bonfante, vol. II (1930), pp. 450 sqq.
327
Lange, Schadensersatz und Privatstrafe, pp. 19 sqq.; also Erasmus, (1975) 38 THRHR
115 sq.
328
Wieling, Interesse und Privatstrafe, pp. 26 sqq., 41 sqq.
329
Gl. Non scrvomm ad D. 19, 1, 21, 3.
330
Cf. e.g. Ulrich Huber, Pradectiones, Pars I I , Lib. XIII, Tit. Ill, n. 11; cf. further §§ 285
sqq. I 5 PrALR, § 1324 ABGB; Rudolf von Jhering, "Das Schuldmomcnt im romischen
Privatrecht", in: Vermischte Schriften juristischen Inhalts (1879), pp. 215 sqq., all differentiating
the extent to which damages may be recovered according to the degree of the wrongdoer's
fault. According to Gluck, vol. 4, p. 447, lucrum cessans may be claimed only in case of
dolus (or culpa lata). In modern German law, full damages are recoverable in case of (any
kind of) fault. There have, however, been tendencies to move away from this harsh
all-or-nothing view; for a comparative overview, see Hans Stoll, "Die Reduktionsklausel im
Schadensrecht aus rechtsvergleichender Sicht", (1970) 34 RabelsZ 481 sqq.
331
Traiie des obligations, n. 161. Example: If the vendor does not deliver the horse that he
has sold, the purchaser may claim the sum he needed to spend in order to buy another horse;
"fb]ut if this purcha ser wa s a canon, who for want of ha ving the horse that I ha d enga ged
to deliver to him, and not ha ving been ena bled to get another, was prevented from arriving
at the place of his benefice in time to be entitled to his revenue; I should not be liable for the
loss which he sustained thereby, although it was occasioned by the non-performance of my
obligation." (tra ns. W.D. Eva ns).
Traite des obligations, n. 166.
333
Artt. 1150 sq. Even in case of "dol", however, recovery of damages is limited to those that
are direct ("кие suite immediate et directe de Vinexecution de h convention"): art. 1151; Pothicr,
Traite des obligations, n. 167. This is not based, as Rabcl thought (WarenkauJ , p. 477), on the
circa rcm/cxtra rem distinction, but serves to exclude those damages that have no "necessary
relation" to the vendor's dol (Nicholas, FLC, p. 224); cf. the example discussed by Pothier,
n. 167; further Wieling, Interesse and Privatstrafe, pp. 52 sqq. ' 334 Struve, Syntagma, Exerc.
XLIV, Lib. XLII, Tit. I, V.
"5 Gluck, vol. 4. p. 447; Andreas Gail, cf. Erasmu s, (1975) 38 THRHR 116; Wieling,
Interesse und Privatstrafe. p. 117; cf. also Endemann, Studien, vol. II, p. 292.
336
A new line of argu ment was developed by Contius (Professor at Bourges during the
16th century) and Donellus, who stressed the need for a causal link between the da maging
act and the loss suffered. Only the loss for which the act was a conditio sine qua non is
recovera ble (and thu s constitutes the interesse circa rem): cf. Wieling, Interesse und
Privatstrafe, pp. 45 sqq.; Erasmus, (1975) 38 THRHR 116; also Gluck. vol. 4, pp. 443 sqq.
On causation (in Germany: "adequate" causation) as a device to limit liability, cf. Rabel,
Warenkauf, pp. 486 sqq.; Treitcl, op. cit., note 169, nn. 91 sqq.; Wieling, Interesse und
Privatstrafe, pp. Э28 sqq.
"7 Lavery & Co. Ltd. v.Jungheittrich 1931 AD 156 at 174 sq.; Wliitjieid v. Phillips 1957 (3)
SA 318 (A) at 329D-E; Shatz Investments (Pty.) Ltd. v. Kalovymas'\976 (2) SA 545 (A) at 550F-
551A. On "general" and "special" damages in English law. see MacGregor, op. cit., note
317, nn. 16 sqq.; in South African law Erasmus/Gauntlett, in: Joubert (cd.), The Law of
South Africa, vol. 7 (1979), n. 11.
Coing, p. 438. Scaccia exclaimed "haec matcria est profundissima et longissima. et cst
obscura sicut alia, quae sit in corporc juris, et amplectitur marc amplissimum, in quo pauci
sine periculo navigarunt et proptcr ejus subjectam materiam turbatur totus mundus" (cf.
Endemann, Studien, vol. II, p. 244); Anton Fumcus likened anybody venturing into this field
of law to Daedalus: "Qui de eo quod interest, pro iure civili seripserunt, mihi videntur
optimo iure Dedali nominandi. struxerunt enim multis ambagibus inextricablies vias, vcl
potius pcrvias" (cf. Wieling, Interesse und Privatstrafe, p. 4; cf. further the quotations on p. 2).
"4 Reproduced in Lange, Schadensersatz und Privatstrafe, p. 30. The most important of
these-—apart from the distinction of interesse circa rem and extra rem—was the threefold
subdivision into interesse commune (market value of the res (concerned), interesse
conventum (its agreed price) and interesse singulare (based on the atfectio of the particular
plaintiff); it was derived from Paul. D. 9, 2, 33 pr. and Paul. D. 35, 2, 63 pr. For details, see
Lange, Scliadensersatz und Privatstrafe. pp. 22 sqq.; cf. also Wieling, Interesse und Privatstrafe, pp.
67 sqq.; Erasmus, (1975) 38 THRHR 14 sq. It was rejected earlier by Jacobus de Ravams, later
by Molinaeus {Tractatus de eo quod interest, n. 12) and others, and it subsequently
disappeared.
™
iAl
Cf. supra, p. 824.
For a criticism of the Differenztheorie cf, e.g. Heinrich Honsell. "Herkunft und Kritik
des Interessebegriffs im Schadenscrsatzrecht", 1973 Juristische Schuhmg 69 sqq.; Wolfgang
Grunsky,
542
in: Miinchener Kommentar, vol, II (2nd ed.. 1985), Vor § 249, n. 7.
Interesse, op, cit., note 283, pp. 3 sqq.; the French humanist, Franciscus Hotomannus,
had, however, already defined the concept of interest in very similar terms some centuries
earlier; cf. Wieling, Interesse und Privatstrafe, p. 18 sq.
1
Cf. the argument advanced in Gai. Ill, 91 and Gai. D. 44, 7, 5, 3.
2
Art. 1583 code civil.
3
§ У2У BGB.
4
Cf. § 829 of the First Draft (E I) of the BGB; Andreas Wacke, in: Miinchener Komntentar,
vol. IV (2nd ed., 1986), § 873. n. 20; Gerhard Kegel, "Vcrpflichrung nnd Vcrfiigung", in:
Festschrift fur F.A. Mann (1977), pp. 57sqq.; Reinhard Zimmermann, "Sittcnwidrigkcit und
Abstraktion", 1984 Jttristische Rundschau 48 sqq.
5
Kaser, RPrl, pp. 413 sqq.
834
6
Cf., for example, "Protokolle", in: Mugdan, vol. II, pp. 1182 sqq. {where restitution is
said to rest solely on grounds of equity); BGHZ 36, 232 (235) ("Die Bereicherungsanspruche
gehoren dem Billigkeitsrecht an und stehen daher in besonderen Masse unter den Grundsdtzen von
Treu und Glauben"—The unjustified enrichment claims are based upon equity and hence they
are governed, specifically, by the principle of good faith). Otto von Gierke is reputed to have
said that in viewing the law of unjustified enrichment one stood "at the threshold of the most
holy" (cf. John P. Dawson, "Erasable Enrichment in German Law", (1981) 61 Boston
University LR 276). Contra: Walter Wilburg, Die Lehre von der ungerechtfertigten Bereicherung
nach asterreichischem und deutschem Recht (1934), pp. 18 sqq.; Zweigert/Kotz, p. 294 and many
others. Cf. also Birks, Restitution, pp. 9 sqq., 22 sqq.
7
8
For details, see Kaser, RZ, pp. 80 sqq.
Gai. IV, 18; cf. also Okko Behrends, Der Zwolftafelprozess (1974), pp. 97 sqq.
9
Gai. IV, 17 b.
10
Introduced by the lex Silia as far as certa pecunia, and by the lex Calpurnia, as far as
omnis certa res was concerned: Gai. IV, 19. On the lex Silia, cf., most recently, Carlo
Augusto Cannata, "Das faktische Vertragsverhaltnis oder die ewige Wiederkunft des
Gleichen",
11
(1987) 53 SDH I 299 sqq.
Cf. Gai. IV, 17 b.
22
Gai. Ill, 91.
23
Cf. supra, pp. 156 sqq.
24
Gai. Ill, 91.
25
On whi ch see supra, pp. 10 sqq.
2(1
Gai. D. 44, 7, 5, 3, read in conjunction with Gai. D. 44, 7, 1 pr.
27
Inst. III, 27, 6.
28
By Lord Mansfield (in Moses v. Macferlan [17601 2 Burr 1005) the systematizing
conclusion that certain rcstitutionary remedies should be described as arising quasi ex
contraetu was introduced into English law (cf. Pet er Birks, "English and Roman Learning
in Moses v. Macferlan", (1984) 37 Current Legal Problems 5 sqq.). It was the source of the
"implied contract heresy" (Birks, Restitution, pp. 29 sqq. (83)), which became firmly
engrained in the English common law via Blackstonc's Commentaries (Book HI, Chapter 9).
For an analysis of the civilian tradition from which Lord Mansfield and Blackstone
borrowed, cf. Peter Birks, Grant McLeod, "The Implied Contract Theory of Quasi-
Contract: Civili an Opi ni on Current i n the Cent ury Before Bl ackst one", (1986) 6 Oxford
Journal of Legal Studies 46 sqq. French authors tended to regard payment of an indebitum as
"promutuum"; cf. Pothier, Traite du central du pret de consumption, nn. 132 sqq. ("DM
quasi-contrat appele promutuum"); Going, p. 495.
33
Ernst Levy, "West-ostliches Vul garrccht und Justinian", (1959) 76 ZSS 11 sq.
34
". . . not onl y cauti ousl y but also not wit hout subtl et y", as Li ebs, Essays Honore,
p. 183, remarks. But cf. also Berthold Kupisch, Ungerechtfertigte Bereicherung; geschichtlkhe
Entwkklungen (1987), pp. 21 sqq. For a completely different evaluation, cf. Schulz, CRL,
p. 611 (". . . the compilers have completely ruined the classical law. . . . [The Byzantine]
law is one of the worst parts of Justinian's law; it has confused and irritated generations of
lawyers and exercised an evil36 influence on continental codifications down to our times").
^Thomas, TRL, p. 326.
Cf. infra, pp. 941 sq.
4M
D. 12, 1, 4, 2. This case is interpreted differently by Kascr, RPr I, p. 595 (n. 23) and
Liebs,
44
Essays Honore, p. 171; ci\ also Santoro. (1971) 32 Aiinali Palermo 197 sqq.
This point has also recently been emphasized by Kupisch, op. cit., note 34, pp. 4 sqq.,
9 sqq.
f1 Kaser, RPr I, pp. 416 sqq.
31
The reason for this lies in the historical origin of solutio as a specific transaction
designed to release the debtor from his personal liability (supra, pp. 754 sqq.). Cf. generally
Rabel, Gmndzii^e. p. 68; Max Kaser. "Zur 'iusta causa traditionis'", (1961) 64 BIDR 69
sqq.; cf. also Kupisch, op. cit., note 34, pp. 17 sqq.; Liebs, Essays Honore, p. 177. But sec
now Robin Evans-Jones. Geoffrey MacCormack. "Iusta causa traditionis", in New
Perspectives in the Roman Law of Property, Hssays for Barry Nicholas (1989), pp. 102 sqq.
"■" Kaser, (1961.) 64 BIDR 77 sqq., 83. This exception was probably another relict of the
old53notion of sale as a transaction that was immediately executed (cf. supra, pp. 237 sq.).
Kaser. (1961) 29 TR 218 sqq.
54
We do not know what the position was if an (invalid) sale was im m ediately executed
by way of mancipatio or in iurc cessio. Since these two forms of transfer of ownership were
abstract, ownership m ust ha ve passed, a nd a condictio (sine ca usa?: cf. Kupisch, op. cit.,
note 34, pp. 10 sq.) may have been available to the vendor. As Justinian eradicated
ma ncipatio a nd in iure cessio, no sources ha ve come down to us.
55
Kaser, (1961) 64 BIDR 83 sqq.; Kupisch, op. cit., note 34, p. 20.
56
Kaser, (1961) 64 BIDR 84.
57
For details, see Wacke, (1976) 79 BIDR 49 sqq.
5W
Cf. supra, p. 840.
59
The datio ob rem is contrasted by Paulus and Pomponius to datio ob causam: cf. Paul.
D. 12, 5, 1 pr. ("Omne quod datur aut ob rem datur am ob causam"); Pomp. D. 12, 6, 52
("Damus aut ob causam aut ob rem . , . ob rem vero datur, ut aliquid sequatur"); cf. also
Paul. D. 12, 6, 65 pr. For an analysis, see Schwarz, Condictio, pp. 117 sqq.; Honsell,
Riickabivicklung, pp. 73 sqq.; Francois Chaudet, Condictio causa data causa non secuta (unpublished
doctoral en droit thesis, Lausanne, 1973), pp.89 sqq.On datio ob transactionem (mentioned, for
instance, in Paul. D. 12, 6, 65 pr.. 1) and condictio ob transactionem, cf. Schwarz,
Condictio, pp. 159 sqq., 257 sqq.; Sturm, Studi Sanfitippo, vol. I l l , pp. 629 sqq.
60
Reason: some late classical authors used the term "causa" in place of "res"; cf., e.g.
Ulp. D. 12, 4, 1 pr.; Ulp. D. 12, 6, 23, 3; and the analysis by Liebs, Essays Honore, p. 173.
'' On whi ch cf. Schwarz, Condi ctio, pp. 132 sqq.
62
Literally: the action of debt arising where things have been given on a basis, which basis
has failed to sustain itself; more freely: debt for non-mat erialization (tr. Birks, (1983) 36
Current Legal Problems 156).
63
These are the examples mentioned by Ulpian, D. 12, 4, 1 pr. For a detailed list of cases
of application of the condictio causa data causa non secuta, cf. Chaudet, op. cit., note 59,
pp. 47 sqq.; cf. also Detlef Liebs, "Bereicherungsanspruch wegen Misserfolgs und Wegfall
dcr Geschaftsgrundlage", 1978 Juristenzeihmg 698 sq.
64
For details cf. supra, pp, 250 sqq.
" D. 12, 6, 52. For a detailed analysis of the requirements (datio, ob causam, causa non
secuta), cf. Gluck, vol. 13, pp. 10 sqq.; Chaudet, op. cit., note 59, pp. 49 sqq.; cf. also De Vos,
Verrykingsaanspreekliklieid, pp. 10 sqq.
66
Ulp. D. 12, 4, 1 pr. Does this mean that, before the moment of causa secuta, the (first)
performance could be reclaimed at any time and for any reason (in particular, because of a
mere change of mind)? No, according to the traditional opinion: cf. Schwarz, Condictio
pp. 266 sqq. Contra: Honsell, Riickabwickhmg, p. 74; Liebs, Essays Hotiore, pp. 172 sq.; cf.
also the discussion by Chaudet, op. cit., note 59, pp. 66 sqq.
67
For details, cf. supra, pp. 532 sqq.
6K
If the condictio was brought on account of the fact that the person who had first
performed had changed his mind, one often spoke of condictio ex paenitentia rather than
condictio causa data non secuta (cf, e.g. Bartolus, Commentaria, ad D. 12, 4, 5 (Si pecuniam):
"in contractibus innominatis, si ex una partc impletur, ex alia non: propter casum cessat
condictio ob causam, quasi causa non sequuta: sed habet locum ex pocnitentia"); on the
condictio ex paenitentia (which was just a subspecies of the condictio causa data causa non
secuta), cf. Ulp. D. 12, 4, 3, 2 and 3; 12, 4, 5 pr. sqq. (particularly 12, 4, 5 pr., involving
the case of "si pecuniam ideo acceperis, ut Capuam eas"); Gluck, vol. 13, pp. 20 sqq. ;
Schemer, Riicktrittsrecht, pp. 23 sqq.; Chaudet, op. cit., note 59, pp. 66 sqq.; Kaser, RPr II,
p. 423; De Vos, Verrykingsaampreeklikheid, p. 10. Dogmatically, the ius poenitendi can be
explained on account of the fact that the person who had first performed had not yet himself
received the counterperformance. He could, therefore, not be sued by means of an acli o
pracscriptis verbis (and was thus not bound to the innominate real contract), for that action
was available only against the recipient of the first performance.
69
Originally the condictio causa data causa non secuta was confined to cases where the
first performance consisted in a datio ob rem (cases, that is, that were to become innominate
real contracts of the type of either do ut des or do ut facias); cf. Schwarz, Condictio, pp. 137
sqq. By the time ofjustinian (if not already in classical law) an extension had taken place and
t he r eq ui r e me nt of da r e ob re m (as op pos e d t o f ac e re ob r e m) ha d l ost i t s t e ch ni c al
significance. Thus, the condictio causa data causa non secuta could be instituted to reclai m
any (first) performance under any form of innominate real contract. Cf. Chaudet, op. cit.,
note 59, pp. 51 sqq. On the recoverability of operac in general, see Ulp. D. 12, 6, 26, 12; von
Lii bt ow, Condi cti o, pp. 51 sqq.; Werner Fl ume, "Der Wegfall dc r Berei cherung i n der
Entwicklung vom romischen zum geltenden Recht", in: Festschrift Jiir Hans Niedermeyer
(1953), pp. 111 sqq.; DJ. Joubert, " 'n factum as Grondslag van 'n Verrykingsaksie", (1975)
8 Dejure 166 sqq.; Wolfgang Waldstein, "Zur Frage der condictio bei irrtumlicher Leistung
nichtgeschuldeter operae", in: luris Professio, Festgabe Jur Max Kaser (1986), pp. 319 sqq.
70
Cf. supra, pp. 578 sq.
71
On lul. D. 12, 5, 5, see David Daube, "Turpitude in Digest 12. 5. 5", in: Studies in
Roman law in Memory of A. Arthur Schiller (1986), pp. 33 sqq.
72
Ul p. D. 12, 5, 2, pr.
73
Ul p. D. 12, 5, 2, 1.
74
Ownership of the money obviously passed despite the causa being turpis; cf. Kaser,
(1961) 29 TR 220; idem, (1961) 64 BIDR 85; Kupisch, op. cit., note 34, pp. 13 sqq.; Liebs,
Essays
lr>
Hotwre, pp. 174 sqq.
Paul. I). 12, 5, 1,2: "Quod si turpis causa accipicntis merit, etiamsi res secuta sit, repeti
potest"; lul. D. 12, 5, 5; Paul. D. 12, 5, 9 pr. For all details, see Schwarz, Condictio, pp. 169
sqq.; Honsell, RuckabwickUmg, pp. 80 sqq.; Dc Vos, Verrykingsaanspreeklikheid, pp, 20 sqq.;
Liebs, Essays Honore, pp. 174 sqq.
76
Cf. the heading of the Digest title 12, 5. He thus included the general statement by
Ulpian about enrichment ex iniusta causa (D. 12, 5, 6; on which see supra) in this title.
Ulp. D. 12, 5, 6 is the only text relating to the condictio ob iniustam causam. No case
law has come down to us. It is probable that this condictio was tagged on to the condictio
ob turpem causam as a result of Theodosius' Lex non dubium, which had turned every
statutory prohibition into a lex pcrfecta (cf. supra, pp. 700 sq.); infringement entailed
invalidity. "Ex iniusta causa apud aliqucm esse" was thus taken to mean that the recipient
of a datio ob rcm had acted in breach of a statutory prohibition. The classical Roman
lawyers, on the other hand, characterized notable breaches of statutory provisions
(irrespective of whether they were perfect, less than perfect or imperfect) as turpis and would
thus have granted the condictio ob turpem causam. Cf. Kaser, Verbotsgesetze, pp. 69 sqq.;
Liebs, Essays Honore, pp. 174 sqq. The question of whether we arc dealing in D. 12, 5 with
one or two kinds of (enrichment) actions is discussed by Gltick, vol. 13, pp. 50 sqq.; De Vos,
Verrykingsaanspreeklikheid, pp. 20 sqq.
7H
Cf. also Honsell, Riickabwicklutig, pp. 88 sq. and the following passage from Faber's
Rationalia in Pandectas, quoted by Honsell (n. 2): "Et tamen alterutrum evenire necesse est,
ut vel is, qui turpiter accepit, retineat, aut qui turpiter dedit, condicat . . . minus tamen
iniquum est, retentionem dari ei, qui accepit turpiter, quia iniquius et difficilius est dari
actionem, quam retentionem: actio enim non datur, nisi iurc, retentio autem plerumque
occasione
79
magis, quam iure."
Paul. D. 12, 5, 8; cf. also Ulp. D. 3, 6, 5, 1; Pap. D. 12, 7, 5; С 4, 7, 2 (Ant.).
H
" Hans Hermann Seller, "§ 817 S. 2 BGB und das romische Recht", in: Festschrift fur
Wilhelm Felgentraeger (1969), pp. 381 sqq., cf. also Honsell, Riickabwicklung, p. 86.
81
Ulp. D. 12, 5, 4 pr. On the crime of stuprum generally, see Mommsen, Strajrecht,
pp. 691 sqq., 694 sqq.
H2
Ulp. D. 12, 5, 4, 3: "Scd quod meretrici datur, repcti non potest, ut Labco et Marcellus
scribunt. . . ."
M
m
Ulp. D. 12, 5, 4, 1.
Paul. D. 12, 5, 3.
*5Ulp. D. 12, 5, 2, 2.
ю
•* Ulp. D. 12, 5, 2, 2.
Seiler, Festschrift Felgentraeger, p. 386; De Vos, Verrykingsaanspreeklikheid, p. 23.
8K
Pap. D. 12, 7, 5 pr.; and the interpretation given by Seller, Festschrift Felgentraeger,
pp.ю 386 sqq.
Cf. the enumeration of the various possibilities in Paul. D. 12, 5, 1 pr. On turpitudo
solius dantis in general, see Honseli, Riickabwickluny, pp. 90 sqq.
w>
Ulp. D. 12, 5, 4, 3: cf. supra, p. 846, note 82^
". . . illam enim turpiter faccre, quod sit meretrix, non turpiter acciperc, cum sit
meretrix": a rather sophistic reasoning. Seiler {Festschrift Felgentraeger, pp. 383 sq.) draws
attention to the fact that prostitutes registered with the aediles did not fall under the
provisions of the lex Itilia de adulterhs and were liable (since the time of Caligula) to pay tax.
Thus it may have appeared to be inappropriate to label as "turpis" the acceptance of
remuneration for an activity which was not only officially tolerated, but from which the
State derived an income; cf. also Gluck, vol. 13, p. 53 and Honsell, Riickabwicklung, p. 92.
On the position of a meretrix in general, see also Max Kaser, "Rechtswidrigkeit und
Sittenwidrigkeit im klassischen romischen Recht", (1940) 60 ZSS 135; Joseph Plescia, "The
Development of the Doctrine of Boni Mores in Roman Law", (1987) 34 RIDA 304 sqq. The
authors of the ius commune appear to have entertained a lively discussion on when exactly
a person may be classified as meretrix. Thus, for example, an 18th-century compendium
gave the following definition: "Meretrix est, quae passim et palam omnibus patet, et cujus
turpitudo est publice venalis, sicut in lupanari vel in alio loco, sive cum quaestu sive sine
quaestu, pudori suo non parcens, palam se prostituat"; the author then asks how many men
a woman must have had in order to qualify as meretrix and reports the view adopted by the
glossators: "Glossa requirit, ut plures quam 23.000 admiserit"; on which, in turn, Count von
Kreittmayr, the father of the Codex Juris Bavarici Criminalis (1751), remarked that, under
those circumstances, no person in the world could be regarded as a harlot any longer. For
all92this, see (1983) 2 RJ 302.
Liebs, Essays Honore, pp. 168, 177.
93
94
Pomp. D. 12, 6, 19, 3.
95
lul. D. 12, 6, 32, 3.
Ulp. D. 12, 6, 26, 3: "Indebitum autem solutum accipimus non solum si omnino non
debeatur, sed et si per aliquam exceptionem perpetuam peti non poterat: quare hoc quoque
repeti poterit, nisi sciens se tutum exceptione solvit."
™
97
Pomp. D. 12, 6, 16 pr.
98
Afr. D. 12, 6, 38, 1; Ner. D. 12, 6, 41; Tryphon. D. 12, 6, 64.
For further casuistry on "indebitum solutum", see Gluck, vol. 13, pp. 76 sqq.;
Buckland/Stein, pp. 541 sq.; Schwarz, Condictio, pp. 21 sqq.
i(l 5
Gai. Ill, 91.
UKl
D. 12, 6, 1, 1; cf. also Ulp. D. 12, 6, 26. 3.
107
Cf., in particular, Schwarz, Condictio, pp. 96 sqq. An exception appears to have existed
in the case of fideicommissa; cf. infra, note 111.
108
Sc hulz, CRL, p. 616.
109
Paul. D. 22, 3, 25 pr. (interpolated; cf. Schwarz, Condictio, pp. 107 sqq.).
1111
Cf. supra, pp. 604 sqq.. 606.
111
Cf., for exa m ple, С 4, 5, 7 (Diocl. et Max.); С 6, 50, 9 (Gord.); Paul. D. 22, 6, 9, 5.
All these texts deal with a fideicom missum indebitum per errorem solutum; the heir had not
realized that he could subtract the quarta Pegasiana. Fideicommissa were linked particularly
intimately to good faith, trust and honour. The moral duty of the heir to com ply with the
wishes of the testator ("fidem praestare") was thus taken to prevail over his interest to assert
his error iuris. For details, sec Fritz Sc hwarz, "Die Funktion de s Irrtums bei Erfullung
ganzlich oder teilweise nicht gcschuldeter Fideikom misse", (1951) 68 ZSS 266 sqq.; cf. also
W inkel, op. cit., note 104, pp. 192 sqq.; Visser, op. cit., note 100, pp. 41 sqq.
112
113
Paul. D. 22, 6, 9 pr.; cf. supra, pp. 604 sq.
Interestingly, the English common law, since the beginning of the 19th century,
adopted a very similar approach; a plaintiff may not reclaim money that he has paid under
a mistake of law: cf. Bilbie v. Lumley (1802) 2 East 469. The reason given by Lord
Ellenborough was that "[ejvery man must be taken to be cognizant of the law; otherwise
there
114
is no saying to what extent the excuse of ignorance might not be carried" (p. 472).
Cf. further the analysis by Schwarz, Condictio, pp. 105 sqq.; Visser, op. cit., note 100,
pp11545 sqq.
Visser, op. cit., note 100, pp. 52 sqq. But see also Gaspart-Jones, Hommage Dekkers,
pp. 93 sqq., who disputes that any rule existed, at least in Justinian's time; whether or not
the condictio indebiti was to be granted was determined according to what appeared to be
equitable in the circumstances of the individual case.
116
Cf. Paul. D. 50, 17, 53 ("Cuius per errorem dati repetitio est, eius consulto dati
donatio est"); Paul. D. 46, 2, 12 {"Si quis delegaverit debitorem, qui doli mali exceptione
tueri se posse sciebat, similis videbitur ei qui donat, quoniam remittere exceptionem
videtur"):
117
Schwarz, Condictio, pp. Ill sqq.; Visser, op. cit., note 100, pp. 56 sqq.
Cf. supra, pp. 480 sq.
118
Cf. already supra, p. 846 (in pan turpitudine).
124
Paul. D. 12. 6, 65, 4: "Quod ob rcm datur, ex bono ct aequo habet repetitioncm: vcluti
si dem cibi, ut a hquid facias, ncc fecens."
123
Ulp. D. 12, 4, 3, 7 C'. . . scd ipse Celsus naturali aequitatc motus putat rcpeti posse").
l2fl
Pa ul. D. 12, 6, 15 pr. ("Inde biti soluti condictio naturalis est - . ."); Tryphon. D. 12,
6, 64 (". . . ita de biti vcl non de biti ratio in c ondictionc naturalitcr intcllc gc nda est").
127
Ccls. D. 12, 6, 47 (". . . quoniam indebitam iure gentium pec uniam solvit"); Marci.
D. 25, 2, 25 (". . . nam iure gentium condici puto posse res ab his, qui non ex iusta causa
possident").
12H
Cf., for example, Fritz Pringsheim, "Bonum et aequum", (1932) 52 ZSS 138 sqq.;
Cesare Sanfilippo, Condictio indebiti (1943), pp. 56 sqq.; Schwarz, Condictio, pp. 304 sqq.
Contra, especially, Santoro, (1971) 32 Aniiali Palermo 216 sqq.; Wollschlage-r, Symposion
Wieacker, pp. 82 sqq.; cf also Kupisc h, op. cit., note 34, pp. 25 sq.
124
"Si et me et Titium mutuam pecuniam rogaveris et ego ineum debitorem tibi
promitrcre iussenm, tu stipulatus sis, cum putarcs cum Titn debitorem esse, an mihi
obligaris? subsisto, si quide m nullum nc gotium mcc um c ontra xisti: sed propius est, ut
obligan te existimem, non quia pecuniam tibi credidi (hoc enim nisi inter conscntientes fieri
non potest): sed quia pecunia mea quac ad te pervenit. cam mihi a tc reddi bonum et aequum
est." On this text, see Schwarz. Condictio, pp. 245 sqq.; Santoro, (1971) 32 Annali Palermo
273 sqq.
11(1
A deiegatio nominis, or debiti; on which cf. Kaser, RPr I, pp. 651 sq.
131
Cf. supra, p. 592.
132
"Qui dcbitorem suum dclegat, pecuniam dare intellegitur, quanta ei debetur": lul. D.
46, 1, 18.
133
lul. D. 12, 6, 33: "Si in area tua aedificassem et tu accles possidercs, condictio locum
non habebi t , qui a null u m neg ot i um i nt er nos cont raher et ur: nam i s, qui non dcbi t a m
pecuniam solvent, hoc ipso aliquid negotii gcrit: cum autcm aedificium in area sua ab alio
positum dominus occupat, nullum negotium contrahit." On this text, cf. Schwarz,
Condictio, pp. 192 sq.
134
But cf. Kascr, RPr 1, pp. 594 sq.
135
D. 12, 6, 66: cf. supra, p. 852 (note 123).
136
There is a vast literature dealing with the concept of causa (retinendi) in terms of the
enrichment condictiones (as opposed to the causa required for the transfer by traditio),
particularly as far as the condictio indebiti is concerned. Cf., for example, Sanfilippo, op.
cit., note 128, pp. 52 sqq.; Schwarz, Condictio, pp. 191 sqq., 212 sqq.; August Simonius,
"Zur Frage cincr einheitlichen 'causa condictionis' ", in: Festschrift fur Hans Lewaid (1953),
pp. 161 sqq.; Wunner, (1970) 9 Ronwiitas 459 sqq.; Kaser, RPrl, pp. 595 sq.; Visser, op. cit.,
note 100, pp. 1 sqq.; idem (1988) 51 THRHR 492 sqq.; Kupiscb, op. cit., note 34, pp. 16 sq.
Cf. also J. E. Scholt ens, "Condi cti o i ndebiti and condi cti o si ne causa", (1957) 74 SALJ
261 sqq.
On which see David Hughes, "D. 12. 7. 2", 1976 Juridical Review 156 sqq.
138
On the historical development, cf. Liebs, Essays Hottore, pp. 178 sq.
139
lu l./U lp . D . 1 9 , 1 . 1 1 . 6 .
140
D. 19, 1, 11, 6.
14
^Cf. supra, pp. 91 sq.. 550.
142
Cf., for exa mple, lu l. P. 1 2, 7 , 3 ("Qu i sine ca u sa obliga ntur, inc erti con dictione
conseqm possu m ut Hberentur . . ."); Iut. D. 39, 5, 2, 3 a nd 4: Ulp. D. 44, 4, 7 pr. a nd 1;
Pomp./Paul. D. 19, 1. 5, 1; Wolf, Causa stipttlationis, pp. 152 sqq.; Kaser, RPr I, pp. 598 sq.:
Ku pisch, op. cit., note 34, pp. 3 s q . . 11 sq. Apart fro m suing for libera tio, the promisor
could also defend himself a gainst the stipulator's claim by mea ns of the exceptio doli.
143
Ulp. D. 12, 7, 1 pr.
144
lul. D. 12, 7, 3.
145
Ulp. D. 12, 7, 2; cf. also Ulp. D. 12, 7, 1, 2.
14
" On which sec Gluck, vol. 13, pp. 189 sq.
A third group of cases usually classified and discussed sub titulo condictio sine causa
specialis were those that fell somewhere in between the condictiones by transfer and the
condictio ex causa furtiva. Cf.. for example, lul. D. 12, 1, 19, 1, as discussed supra, p. 840.
This group of cases is included in Ulpian's comprehensive phrase "fc]onstat id demum posse
condici alicui, quod . . . non ex iusta causa ad eum pervenit" (cf. also Liebs. Essays Honore,
p, 180). Generally on the condictio sine causa specialis, sec Gliick, vol. 13, pp. 183 sqq., 187
sqq.; De Vos, Vcnykiii%saansprecklikheid, pp. 29 sqq.
I4 H
Ulp. D. 12. 7, 1 pr.
149
Ulp. П. 12. 7, 1. 1.
IS
" Cf.. for exa mple, Afr. D. 12. 7. 4.
151
On which see, in particular, Wolf, Causa stipulationis, pp. 33 sqq., 40 sqq.
164
170
Stryk, Usus modernus pandectamm, Lib. II, Tit. XIV, § 5; but cf. also idem, Lib. XII,
Tit. IV, § 3; Gliick, vol. 13. p. 48.
171
Grocnewegen, De legibus abrogates. Digest. Lib. XII, Tit. IV, 1. 5 si pecuniam; Voet,
Commentarius ad Pandectas, Lib. XII, Tit. IV, VI.
172
Usus modernus pandectarum. Lib. XII, Tit. IV, § 3.
173
Cf. Schwarz, Condictio, pp. 117 sqq.
174
The question as to which cases exactly (if any!) are still covered by the condictio causa
data causa non secuta is highly controversial: one of the many major battlefields of legal
dispute in the law of unjustified enrichment. Cf., as far as modern German law is concerned,
Alfred Sollner, "Der Bercichcrungsanspruch wegen Nichteintntt des mit der Leistung
bezweckten Erfolges (§ 812 Abs. 1 S. 2, 2. Halbsatz BGB)", (1963) 163 Archiv fur die
civilistische Praxis 20 sqq.; Honsell, Riickabwicklung, pp. 75 sqq.; Liebs, 1978 Juristenzeitung
697 sqq.; Dieter Reuter, Michael Martinck, Ungerechtfertigte Bereichemng (1983), pp. 146 sqq.;
Manfred Lieb, in: Miincliener Kotntnentar, vol. Ill, 2 (2nd. ed., 1986), § 812, nn. 158 sqq.;
Martin Weber, "Bereicherungsa nspruche wegen enttauschrer Erwartung?", \989 Juristen
zeitung 25 sqq. For Roma n-Dutch and South African la w, cf. Wessels. Contract, nn. 3721
sqq.; De Vos, Verrykingsaanspreektikheid, pp. 62 sqq., 154 sqq.; the position in Swiss law (art.
62, 2 OR) is analysed by Chaudet, op. dt., note 59, pp. 15 sqq. and passim (who comes to
the conclusion that the condictio causa data causa non secuta is a relic of the past that has no
place in modern law; for a similar verdict, cf. already Ernst von Caemmerer, "Bereicherung
und unerlaubte Handlung", in: Cesammelte Schriften, vol. I (1968), pp. 222 sq . ) .
175
The right to demand restitution is barred, however, if the attainment of the intended
result was impossible from the beginning, and the person performing knew this: § 815 BGB.
176
Cf. already C. 5, 3, 2 (Alex.); as to the recoverability of a dowry given for a marriage
which su bsequ ently does not tak e pla ce, cf. D. 1 2, 4, 6 sqq. a nd ma ny other texts (cf.
Cha u det, op. a t., note 59 , p. 4 7 , n. 1 0).
177
Cf. already C. 4, 6, 7 (Diocl. et Max.)-
178
Cf. already Ulp. D. 19, 1, 11, 6.
179
On donadones sub modo (which could, according to Roman law, be reclaimed by
means of the condictio causa data causa non secuta if the beneficiary did not fulfil the donor's
wish), cf. Kaser, RPr I, p. 259; Liebs, 1978 Juristenzeitung 699; Stryk, Usus modernus
pandectarum, Lib. XII, Tit. IV, § 8; Wessels, Contract, n. 3734; Windscheid/Kipp, § 368; as far
as modern German law is concerned, see the statutory provisions of §§ 525 sqq. BGB (§ 527:
"If the execution of the burden remains unperformed the donor may, under the conditions
specified for the right of rescission in the case of mutual contracts, demand return of the gift
under the provisions relating to the return of unjust enrichment to the extent that the gift
ought to have been applied to the execution of the burden"}.
On the meaning of "turpis" and "iniusta" in this context, and on the question whether
we are dealing with a single condictio or with two different ones, see Gliick, vol. 13, pp. 50
sqq.; De Vos, Verrykitigsaanspreeklikheid, pp. 66 sq. (Roman-Dutch law); pp. 160 sqq.
(modern South African hw); Jajbhay v. Cassim 1939 AD 537 at 547 sq. Today, in any event,
we are faced with one condictio, covering both illegality and immorality: cf. § 817, 1 (on its
legislative history, see Honsell, Ruckabwicklung, pp. 98 sqq.); Leon E. Trakman, "The Effect
of Illegality in South African Law", (1977) 94 SALJ 332.
IK|1
The courts have, however, refused to apply the in pari turpitudine rule to the rei
vindicatio: RG. 1923 Leipzi?er Zeitschrifi fur Deutsches Recht 565 (566 sq.); OGHZ 4, 57 (65);
BGHZ 39, 87 (91). Contra: Lieb, op. "cit., note 174, § 817, nn. 20, 25; Zimmermann,
Moderationsrecht, pp. 559 sqq. and many others.
188
Cf. especially Honsell, Rihkabwicklung, pp. 1 sqq.
Cf. also Stratford CJ in Jajbhay v. Cassim 1939 AD 537 at 543 sq.: "It may be said that
contracts of that nature are more discouraged by leaving the bereft plaintiff unhelpcd and the
doubly delinquent defendant in possession of his ill-gotten gains. I cannot agree with this
view, which I think would not so much discourage such transactions but would tend to
promote a more reprehensible form of trickery by scoundrels without such honour as even
thieves are sometimes supposed to possess, and public policy should properly take into
account
184
the doing of simple justice between man and man."
Cf. supra, p. 846. For a modern discussion of the ratio legis, cf. Honsell,
RUckabwickhmq, pp. 58 sqq.; Rcutcr/Martinek, op. cit., note 174, pp. 203 sqq.; cf. also
Trakman, (1977) 94 SALJ 330 sq.; Zwcigert/Kotz, pp. 309 sq.
190
C(., in particul ar. Seller, Fest schrift Felgenmieger, pp. 389 sqq.; Andreas Wacke,
"V o rz u ge u n d N a c h t e i l e de s de ut s c he n B c re i c he ru n gs re c ht s ", i n; B e i t rd g e ги т d e u t sc h e n t m d
i sra e li sch en Pri v a t re ch t ( 1977) , p. 146; Z w ci gcrt / K ot z , p. 309. T he s a me poi nt i s e mph asi z e d,
for So ut h A fri ca n l a w, b y D e V os, Ve rry k i ng sa an sp re ek l i kh ei d , p. 162; as f ar as Fre n ch l aw i s
concerned, see Zweigert/Kotz, pp. 314 sqq.
191
For an overview of the problems arising from the application of § 817, 2 BGB and of
the various suggestions that have been made to deal with them, see Honsell, Riickabwicklung,
pp. 1 sqq.. 32 sqq. (who himself (pp. 136 sqq.) proposes drastically to restrict the range of
application of the rule); contra: Zimmermann, Moderationsrecht, pp. 164 sqq.; Barbara
Dauner, "Der Kondiktionsausschluss gem. § 817 S. 2", 1980 Juristenzeittmg 495 sqq.;
Reuter/Martinek, op. cit., note 174, pp. 199 sqq.; Konig, Bereichemng, pp. 130 sqq.; Lieb,
op. cit., note 174, § 817, nn. 9 sqq.
142
Walter Wilburg, Entwicklun% eines beweqlichen Systems im biiryerlichen Recht (1950), p.
11.
1M
BGHZ 8, 348 (373).
144
For a discussion, see Trakman, (1977) 94 SAL] 468 sqq.; De Vos, Verrykingsaanspreek-
likheid, pp. 160 sqq.
145
1939 AD 537 at 544.
146
At 547 sqq. On Roman-Dutch law cf. also De Vos, Verrykingsaanspreeklikheid, p. 68.
General l y speaki ng, t he i n pari t urpit udi ne rul e docs not appear to have been of much
practical relevance in the ius commune. Most writers contented themselves with mentioning
the rul e and referring to the examples discussed by t he Roman l awyers (particularly t he
merctrix case: Ulp. D. 12, 5, 4, 3). Gluck, vol. 13, p. 59 mentions, in addition, the case of
a person who appears to have persuaded a great number of farmers (in Franconi a) to give
him money and to accept, in return, a sealed box in which they would find, after some time
and due to the machinations of an earth goblin, a multiple of the original sum. After they had
discovered the fraud, t he far mers cl ai med t hei r money back, but they l ost t hei r case on
account of the in pari turpitudine rule. Cf. also Windscheid/Kipp, § 428, n. 11, who mention
the rule only in a relatively obscure place. Occasionally it was argued that the recipi ent
should not be allowed to keep his ill-gotten gains, but that the treasury should be able to take
them from hi m; cf, for example, Stryk, Usus modermts pandectarum. Lib. XII, Tit. V, § 3;
Gl uck, vol. 13, p. 60; §§ 172 sq. I !6PrALR; cf. also Zwei gcrt/ Kotz, p. 310.
Since the days of the commentators, the in pari turpitudine rule was often regarded as one
of the most i mport ant expressions of the general princi pl e of "nemo audit ur sua m
turpitudinem allegans"; nobody will be heard (in court) if he has to plead his own turpitude;
or, in the words of Lord Mansfield (Hohnan v. Johnson (1775) 1 Cowp 341): "No Court will
lend its aid to a man who founds his cause ot action upon an immoral or an illegal act." This
maxi m, developed by the glossators (cf. Fritz Sturm, "Aperc,u sur 1'ongine du brocard
Nemo auditur propiam turpitudinem allegans". (1970—71) 30 Mhnoires de la Societe pour
I'histoirc du droit et des institutions des etneiens pays bourguignotis, cotntois et remands 289 sqq.; Robert
Feenstra, "Nemo auditur suam turpitudinem allegans", in: Brocardica in honorem G.C.j.J.
van den Bergh (1987), pp. 31 sqq.) and not by the canonists (as P. Savey-Casard, he refits
d'action pour cause d'indignitc, Etude sur in maxiine Nemo aitditur propiam turpitudinem allegans
(unpublished thesis, Lyon. 1930), passim, would have it) had nothing to do, originally,
with the law of unj us titled enrichment. It was devised in view of certain texts
4. Condictio indebiti
(a) Function and range of application
If the condictiones causa data causa non secuta and ob turpem vel
iniustam causam dwindled in importance, the condictio indebiti went
from strength to strength. One important development favouring its
prospects was the gradual recognition of the principle of ex nudo pacto
oritur actio. If every agreement gave rise to a binding contract,
performance was made, more often than not, solvendi causa: in order
to discharge an already existing obligation; and where such an
obligation subsequently turned out not to have existed after all,
dealing with acts in fraudem crcditoris and with the position ot the mala fide possessor. For
Roman antecedents of the maxim, cf. Ulp. D. 50. 17, 134, 1 ("Nemo ex suo delicto
meliorem suam condicioncm facere potest") and Ulp. D. 50, 17. 161. On "nemo auditur
turpitudinem suani allegans" in the usus modernus. see the disputatio "De allegationc
propriae turpitudinis", in: Samuel Stryk, Opera, vol. XI (Florentiac, 1840), Disputat. XVII;
for a modern comparative analysis, see Hubert Niederlander, "Nemo turpitudinem suam
allegans auditur—Ein rechtsvergleichender Versuch", in: lus et Lex, Festgabe fur Max
GnUwiUer (1959), pp. 621 sqq.
™7 Jajbhay v. Cassia, 1939 AD 537 at 550.
1<JM
Stratford CJ in Jajbhay v. Cassim 1939 AD 537 at 544 refers to "public policy" and
"simple justice between man and man". Sharply critical are De Wet en Yeats, p. 83, who
speak of" 'n grenslose moeras van onsekerheid". In favour of a great degree of flexibility
also, as far as German law is concerned, is Konig, Bereicherung, pp. 126 sqq.; de lege ferenda
idem, in: Gutachten und VorscMage гиг Ubvrarbeitung des Sdutldrechts, vol. II (1981), pp. 1531
}i)
For a comparative analysis of the application ot the in pari turpitudine rule (as laid
down, for instance, in § 1174 ABGB, art. 66 OR and art. 2035 codice civile and as recognized
in France by the courts) cf. Honsell, Riickabwickluiig. pp. 109 sqq.; cf. also Zweigert/Kotz,
pp. 308 sqq. and the remarks by Seiler, Festschrift Feigentraeger. pp. 390 sq. and Konig,
Bereidicrung. pp. 146 sqq. Nowhere does it appear to be applied as broadly and inflexibly as
in Germany. More specifically regarding English law, into which the in pari turpitudine rule
was received by Lord Mansfield (cf. Smith v. Bromley (1760) 2 Dougl 696 ("If the act is in itself
immoral, or a violation of the general laws of public policy, there the party paying shall not
have this action; for where both parties are equally criminal against such general laws, the
rule is potior est conditm defendentis": the source ot inspiration may either have been
directly the Digest or the writings of Grotius, Pufendorf or Podiier)), seeJ.K. Grodecki, "In
pari delicto potior est conditio defendentis", (1955) 7! LQR 254 sqq.; Muthard Hackbarth, hi
pari ttirpituditie meiior est conditio possidentis (unpublished Dr. iur. thesis, Hamburg, 1967); Goff
and Jones, Restitution, pp. 324 sqq. In modern Dutch law the rule has not been received at all
(cf. Honsell, Rikkabwicklung, pp. 130 sqq.; Feenstra, Brocardica Van den Bergh, p. 31).
2(MI
System, vol. Ill, pp. 312 sq.. 321; Obligationenrecht, vol. II, pp. 256 sq. For a detailed analysis,
cf. Wilhelm Felgentraeger, Friedrich Carl v. Savignys Einfluss an/die Ubereigmtngs-lehre (1927);
Hammcn, Savigny, pp. 146 sqq., 152 sqq. Traditionally, transfer of ownership had been seen
to depend on what the jurists of the German usus modernus referred to as titulus (— causa)
and modus (= the different forms of traditio). One of the main problems for them was to
reconcile the causal transfer of ownership, as it appeared from texts such as Paul. D. 41, 1, 31
pr. ("Numquam nuda traditio transfer! dominium, sed ita, si venditio aut aliqua iusta causa
praeccsserit, propter quam traditio sequeretur"), with the existence of the title D. 12, 6 on the
condictio indebiti; for the condictio indebiti obviously presupposed a transfer of ownership
in spite of the lack of causa. This dilemma was generally resolved by postulating that a causa
putativa (or erronea) was sufficient to transfer ownership. Characteristically, the gloss
remarked: "[V]era vcl putativa alioquin si dicas ex putativa non transferri dominium, totus
titulus de condictionc indebiti repugnaret: qui titulus habet locum quando transfertur
dominium alicuius rei ex putativa causa" (gl. Iusta causa ad D. 41, 1, 31 pr.; cf. also
Kupisch, op. cit., note 34, pp. 32 sq.). The causa putativa doctrine (on which, sec, for
example, Coing, p. 304) was clearly a make-shift one and meant, in effect, that only lip
service was paid to the causal system; after all, the parties failed to produce an effective
causal transaction. But whatever they might have intended the causa to be, implicit in their
arrangement was also the will to effect a transfer of ownership. This was the nucleus of the
abstract contract that eventually replaced the "titulus"; cf. already Donellus, Comtnentarii de
Jure Civili, Lib. IV, Cap. XVI, IX and Pothier, Traite de la propriete, n. 230 read together with
Traite du pret de cansomptioti, n. 178 ("Cclui, qui paie a quefqu'un, par erreur, une chase qu'il croit
lui devoir a la volonte de lui en transjerer le domaine par la tradition qu'il lui en fait; ceiui, a qui elle
est payee, a pareillement la volonte d'en acquerir le domaine: ce concours de leurs volontes suffit, avec
la tradition, pour la translation de la propriete"); cf. also the discussion by Filippo Ranieri, "Brevi
note sull'origine della nozione di negozio reale ed astratto". (1970) 38 TR 315 sqq.;
Kupisch, op. cit., note 34, pp. 33 sqq. Savigny's magisterial exposition of the doctrine
marked its breakthrough as far as German legal science was concerned; cf. Filippo Ranieri,
"Die Lehre der abstrakten Ubereignung in der deutschen Zivilrechtswissenschaft des 19.
Jahrhunderts", in: H. Coing, W. Wilhelm (eds.), Wissenschaft und Kodifikation des Privatrechts
im 19. Jahrhundert (1977), pp. 90 sqq.; Hammcn, Savigny, pp. 156 sqq.
The principle of abstraction is still of fundamental importance in the modern German law
of property (cf. the literature referred to supra, p. 834, note 4; see further Zweigert/Koiz,
Einfulming in die Rechtsvergleichung (1st ed. (!)), vol. I (1971), pp. 213 sqq.); it is also
recognized in South Africa (cf. C.G. van der Merwe, Sakereg (1979), pp. 204 sqq.).
a)f
Burgeriiches Recht, vol. II, 2 (3rd ed., 1906), pp. 677 sq.
202
For a detailed discussion, see Gluck, vol. 13, pp. 73 sqq., 76 sqq.; as far as modern law
is concerned, see §§ 813 and 814 i n fine BGB and Reut er/ Marti nek, op. cit ., not e 174,
pp. 129 sqq. On the notions of "causa" and performance "sine causa" in the context of the
condictio indebiti, see Visser, (1988) 51 THRHR 498 sqq., 502 sqq.
203
С 1, 18, 10.
204
D. 22, 6, 7: "Iuris ignorantia non prodest adquirerc volentibus, suum vero petentibus
non nocet." On this text, see Winkel, op. cit., note 104, pp. 109 sqq.; on its relevance for
the right to bring the condictio indebiti, see pp. 200 sqq.
J>5
For a detailed analysis, cf. Visser, op. cit., note 100, pp. 66 sqq.; for brief overviews, cf.
Koch, op, cit., not e 104, pp. 116 sqq.; Coing, p. 494. 206 Fachinaeus, Controversiae iuris.
Lib. VIII, Cap. CVI.
It was essentially developed by the glossators and dominated during the Middle Ages:
cf.20R
Visser, op. cit., note 100, pp. 66 sqq., 92 sqq., 113 sqq.
Fachinaeus, Controversiae iuris. Lib. VIII, Cap. CVI.
In particular, the ultramontani and the humanists. For details, see Visser, op. cit., note
100, pp. 110 sqq., 122 sqq.
210
Voet, Commentarius ad Pandectas, Lib. XII, Tit. VI, VII.
In favour of the strict distinction between error iuris and error facti were, for example,
Benedict Carpzov, Jurisprudentia forensis Romano-Saxonka, Franco/mil ad Moenum (1650), Pars
III, Const. XV, Definit. XLII; Lauterbach, Collegium theorctico-practicum. Lib. XII, Tit. VI,
XVIII; cf. further the discussion by Fachinaeus, Controversiae, Lib. VIII, Cap. CVI; Gliick.
vol. 13, pp., 135 sqq. As far as Dutch legal science was concerned, cf., in favour of the error
iuris/crror facti dichotomy, Perezius, Praelecliones. Lib. IV. Tit. V, 14; Voet, Commentarius
ad Pandectas, Lib. XII, Tit. VI. VI sq.; contra: Vinnius. Institntiones, Lib. Ill, Tit. XXVIII, 6,
n. 3; Huber, Praelectiones, Pars I. Lib. Ill, Tit. XXVIII, 7; cf. also Grotius, Inleiding, III.
XXX, 9. For further analysis, see Visser, op. cit., note 100, pp. 152 sqq.
South African courts have adopted the view that error iuris, generally speaking, excludes
the condictio indebiti; cf. Rooth v. S (1888) 2 SAR 259 (per Kotze Cj; the decision contains
an extensive investigation of the ius commune) and the analyses by De Vos, Verrykings-
aanspreeklikheid, pp. 182 sqq.; Visser, op. cit., note 100. pp. 235 sqq.
212
Meditationes ad Pandectas, Spec. CCLXXXIX, I and II.
213
"Illam [sc: ignorantiam vincibilem] vocamus, quam quis. adhibita attentione et
diligentia debita, discutere potuisset; hanc [sc; ignorantiam invicibilem], quae admota licet
omni cura, quam vitae communis ratio et personarum conditio fert, dispelli nequivisset"
(Leyser, loc. cit.).
Cf., in particular, Vangerow, Pandekten, § 625, Anm. 1; cf. also § 83, Anm. 1, V;
further: Windscheid/Kipp, § 426, 3; Dernburg, Pandekten, vol. II, § 141, 3; also already
Savigny, System, vol. Ill, pp. 447 sqq. (on Pap. D. 22, 6, 7, cf. pp. 346 sqq.); and see the
analyses by Koch, op. cit., note 104, pp. 119 sqq.; Visser, op. cit., note 100, pp. 190 sqq.
21
Likewise, the common-law rule that excludes recovery of money paid under a mistake of
law (cf, supra, note 113) has, in the course of time, been considerably watered down. Cf.
Goff and Jones, Restitution, pp. 90 sqq. (claiming that "[fjew subjects are more confused");
Birks, Restitution, pp. 164 sqq.; and, for a comparative analysis, Zweigert/ Kotz, pp. 299
Konig, Bereicherung, pp. 33, 40 sq.
217
§ 814 BGB. For an analysis of the problems arising in modern law and a comparative
evaluation of § 814 BGB, cf. Zweigert/Kotz, pp. 299 sqq.; Konig, Bereicherung, pp. 39 sqq.,
73 sqq.
For an overview, cf. Rolf Schmitt, Die Subsidiarittit der Berekherungsanspriiche (1969), pp.
67 sqq. On the medieval condictio sine causa generalis, cf. the detailed analysis by
Sollner,
219
(1960) 77 ZSS 190 sqq., 202 sqq.
Commentarius ad Pandectas, Lib. XII, Tit. VII, I.
220
On Roman-Dutch law, cf. the analysis by De Vos, Verrykingsaanspreeklikheid,
pp. 71 sqq.
221
Samuel Cocccji, Jus civile controversutn, Francojurti et Lipsiae (1740), Lib. XII, Tit. VII.
222
The condictio ob causam finitam; cf., for instance, § 1435 ABGB.
223
Cocccji, loc. cit. (based on Ulp. D. 19, 1, 11, 6 and С 4, 9, 2).
224
225
UIp. D. 12, 1, 4, 2.
Cf., for example, Vangerow, Pandekten, § 628, II and III; Dernburg, vol. II, § 143;
Windscheid/Kipp, § 422; "Motive", in: Mugdan, vol. II, pp. 475 sqq.
22(1
Bcrnhard Windscheid, "Zwei Fragcn aus dcr Lehre von der Vcrpflichtung wegcn
ungerechtfertigter Bereicherung". in: Gesannnelle Reden und Abkandlutigen" (1904), pp. 301
sqq.; contra: Rudolf von Jhering, "1st dcr ehemalige gutglaubige Besitzer einer trcmden
Sachc verpflichtct, nach deren Untcrgang dcm Eigenthiimer dcrsclben den gelosten
Kaufprcis herauszugcben?" (1878) \6JhJb 230 sqq.; cf. also Windscheid/Kipp, § 422; Konig,
Bereicherung, pp. 157 sqq.
227
Cf., for example, gl. Est et haec species ad I). 12, 7, 1: "Ipsa tamen gcneralissima est.
nam concurrit fere cum omnibus aliis. . . ."
22H
Cf", for example, Stryk, Usus nwdertius pandectarum. Lib. XII, Tit. VII; Gliick, vol. 13,
pp. 183 sqq.; Reinhard, "Zur Lehre von der condictio sine causa", (1846) 29 Archiv fur die
civilistische Praxis 233 sqq.
22<>
Collegium thcoretico-practicum. Lib. XII, Tit. VII, V.
23(1
Cf. also, as far as the condictio indebiti is concerned, Visser, (1988) 51 THRHR 498
~ ' System, vol. V, pp. 5(13 sqq. Savigny's theory is analysed by Jan Wilhelm, Rechtsverletzung
und Vertnogt'iisetitscheidung ah Grutidlagen und Grenzen des Aiisprudis aus ungerechtfertigter
Bereicherung (1973), pp. 19 sqq.; cf. also Hammen, Savigny. pp. 187 sqq.
232
System, vol. V, p. 525.
233
For an analysis, cf. Wilhelm, op. cit., note 231, pp. 38sqq.; Hammcn, Savigny, pp. 198
4
Dawson, op. cit., note 119. p. 61.
235
Cf. the metaphor by Dawson, op. cit., note 119, p. 63. 23(1
Pomp. D. 50, 17, 206.
237
Cf. Helmut Going, "Zur Lchre von der ungcrechtfertigten Bcrcichcrung bei
Accursius", (1963) 80 ZSS 396 sqq. 23K Coing, (1963) 80 ZSS 396 sqq.
" 3 9 The productive role played by the glossators in the advancement of the unjust
enrichment principle has recently been emphasized by EJ.H. Schrage, "Qui in fundo alieno
aedificavit. Die actio negotiorum gestorum utilis als Vorstufe einer allgemeinen Bereicb-
erungsklage", lecture presented at the congress of the SIHDA in Salzburg (September 1988),
~ 4 ' Ccls. D. 12, 1, 32, on which, see supra, pp. 853 sq.
"4 1 On third-party enrichment in Roman law in general, see A. M. Honorc, "Third Party
Enrichment", 1960 Actn Juridica 236 sqq.
242
Supra, pp. 853 sq.
243
Iul. D. 12, 6, 33, on which see supra, p. 854 (note 133).
244
Dawson, op. cit., not e 119, p. 67 refers to the "probl em that haunt ed t he doct ors".
24t J
Yason dc Mayno, ad D. 12, 1, 32 (Robert Feenstra, "Pe betekenis van De Groot en
Huber voor de ontwikkeling van een algemene actie uit ongerechtvaardigde verrijking", in:
Vit het rccht, Rechtsgeh'erde opstellen aangeboden aan mr. P.]. Verdam (1971), p. 141); cf. also
Dawson,
24fl
op. cit, note 119, pp. 75 sq.
47
"His solis pecunia condkitur, quibus quoquo modo soluta est, non quibus proficit."
~ Robert Feenstra, "Die ungerechtfertigte Bcreichcrung in dogmcngeschichtlicher
Sicht", in: (1972) 29 Ankara Universitesi Hukuk Fukiiltesi Dergisi 226 sq.
Зэ3
Hubert Niederlander, Die Berekhcnmgshafiung im klassischen romischen Recht (1953), pp.
141, 145 sqq.; Ka scr, RPr I, p. 600.
2Ъ
* Cf. gl. Actionem ad D. 3, 5, 5, 5.
~ ээ For details of the development, sec Van Zyl, Saakwaarnemingsaksie, op. cit., note 248,
pp. 42 sqq., 51 s q . , 57 sq., 64 sqq., 77 sqq., 85 sq . , 91 sqq.; cf. a lso Festschrift Verddtn,
pp. 138, 150.
2S)
' Cf. Hermann Kantorowicz, Studies in the Ghssators of the Raman Law (1938), pp. 86 sqq.
J 7 Inleiding, III, I, 15.
2аЯ
Cottmientarius ad Pandectas, Lib. V, Tit. Ill, XXIII.
3
For all details, see Van Zyl, Saakwaarnemingsaksie, op. cit., note 248, pp. 62 sqq.
Traitt' da contra! de mandal (appendice), n. 193.
Carol us Moli naeus, "Comment ari us in priores Tit ul os anti qui Consuetudi nis
Pansicnsis", Tit. I (De fiefs), GJoss V, n. 103 ("Patct eni m in ratione in qua se fundat ille
text, nempe in ilia sola aequitate naturali, ne quis aliena jactura locupletctur"), in: Opera
omnia (Parisns, 1681), vol. I, p. 88.
262
Cf., for example, Gluck, vol. 8, pp. 309 sq.; further Van Zyl, Saakwaarnemingsaksie,
op. c i t . , note 248, pp. 77 sqq., 85 sq.
263
By way of analogy of this extension of the actio negotiorum gestorum and. again, on
the basis of equity an utilis actio negotiorum gestorum was also, occasionally, granted to the
gestor who had managed the principal's affairs contrary to his express wishes. Again, it was
the glossator Martinus who initiated this extension. For all details, see Van Zyl,
Saakwaarnemingsaksie, op. cit., note 248, pp. 48 sqq., 55, 61 sqq., 71 sqq., 81 sq., 88, 96 sq.
(b) Afr. D. 3, 5, 48
The second text of major importance was Afr. D. 3, 5, 48. A slave is
sold and takes with him an object that he has stolen from the vendor.
The purchaser in good faith sells that object to a third party where it is
destroyed. The original owner/vendor can thus no longer make use of
his rei vindicatio. Under these circumstances Africanus is prepared to
grant the actio negotiorum gestorum to him against the purchaser, in
respect of the price received by the latter.264 This is a rather atypical case
of a negotiorum gestio, for the gestor has managed somebody else's
affairs in the mistaken belief that they are his own. 265 Hence the
generalizing statement, in the middle of the text, according to which
the actio (directa) is applicable "si negotium, quod tuum esse
existimares, cum esset meum, gessisses". But where there is a
relationship of negotiorum gestio, the gestor must also be able to avail
himself of the actio contraria against the principal. This is confirmed in
the last part of our fragment: the gestor is allowed to sue the principal
for whatever the latter has acquired through the gestio. 266 It is likely
that the negotiorum gestio in D. 3, 5, 48 was merely used as a device
to establish what essentially constituted mutual enrichment actions. 267
This is, in any event, how the text was understood by the writers of the
ius commune, and they were able, in support of their interpretation to
draw attention to Afr. D. 12, 1, 23—a text in which Julian advocated
a condictio "quasi ex re tua locupletior factus sim"; again, the defendant
(ego) had sold, in good faith, an object belonging to the plaintiff (tu),
the object was subsequently destroyed and the question arose whether
"tu" could sue "ego" for the purchase price. 268 Over the centuries, the
designation of the remedy for and against the bonae fidei gestor
vacillated somewhat uneasily between actio negotiorum gestorum utilis,
condictio certi (generalis) and condictio sine causa; but whatever the
name, it was always retained as a specific source of enrichment
liability. 269 Usually it was regarded as another emanation of the precepts
of natural equity, as spelt out, for example, in D. 50, 17, 206, and some
writers therefore even spoke of an actio in factum (or utilis) ex aequitate.
Again, there was an inclination to extend its scope. Often, for instance,
2M ..j^ re m> q U ani servus venditus subripuisset a me venditore, emptor vendiderit eaque in
rerum natura esse desierit. de pretio negotiorum gestorum actio mi hi danda sit. . . . "
265
Cf. supra, pp. 441 sq.
2Ь6
". . . sicut ex contrario in me tibi darctur (actio), si. cum hereditatem quac ad me
pertinet tuam put ares, res tuas propnas iegatas solvisses, quandoquc dc ea sol ution e
liberarer."
267
Cf., in particul ar, Theo Mayer-Maly, "Probleme der negotiorum gestio", (1969) 86
ZS S Al l .
268
"Si cum scrvum, qui tibi legatus sit. quasi mi hi legatum possedenm et vendideri m,
mortuo eo posse tc mihi pretium condicere Iulianus ait, quasi ex re tua locupletior factus
si m. "
269
For all details, see Van Zyl, Saakwaamemingsaksie, op. cit., note 248, pp. 45 sqq., 58
sqq., 68 sqq., 79 sqq., 86 sqq., 94 sqq.; cf. also, as far as medieval jurisprudence is
concerned, Dawson, op. cit., not e 119, pp. 70 sqq.
276
Dawson, op. cit., note 119, p. 85 speaks of "one of the most extraordinary accidents
of 27history".
7
С 4, 26, 7, 3 (Diocl. et Max.).
278
Kaser, RPr I, p. 607, n. 17; idem, RPr II, p. 107, n. 53; Honsell/Mayer-Maly/Selb,
p. 379.
279
Cf., in particular, the discussion by Honore, 1960 Acta Juridka 237 sqq. De Vos,
Verrykingsaanspreeklikheid, pp. 44 sqq. regards the decision as fundamentally unsound and
contrary to elementary legal principles.
280
For what follows, see the comprehensive study by Berthold Kupisch, Die Versionsklage
(1965), passim; cf. also Brandi, op. cit., note 273, pp. 24 sqq.; and, for briefer overviews, cf.
Dawson, op. cit., note 119, pp. 85 sqq.; Feenstra, (1972) 29 Ankara Universitesi Hukuk
Fakiiltesi Dergisi, pp. 298 sqq.; Coing, pp. 498 sqq.; Kupisch, op. cit., note 34, pp. 37 sqq.
More specifically on the glossators, cf. Schrage, loc. cit., note 239; on Roman-Dutch law, see
Honore,
281
1960 Acta Juridka 243 sqq. and De Vos, Verrykingsaanspreekiikheid, pp. 86 sqq.
Cf, for example, Struve, Syntagma, Exerc. XXI; Lib. XV, Tit. Ill, LXXII:
"Fundamentum hujus actionis est ille contractus, qui cum filiofam. aut servo est initus, ex
quo utilitas domino patrive obvenit, adeoque hie isto perinde obligatur et convenitur, ac si
cum ipso potius contractum esset."
2K2
Cf. Lautcrbach, Collegium theoretico-practicum. Lib. XIV, Tit. I, II (". . . proptcr
Utilitatem Praetor concedit actioncm de m Rem verso"); Stryk, Usus modemus paudectarum.
Lib. XV, Tit. III. § 2; Kupisch. Versionsklage, p. 24.
2t o
Cf. already Ulp. D. 15, 3, 1 pr. (". . . quasi cum ipsis potius contractum videatur").
But this phrase did not refer to a quasi-contractual obligation in the technical sense.
2144
". . . idem fere fundamentum habet [actio de in rem verso], quod actio negotiorum
gestorum": Stryk, Usus tnodermis patidectarum, Lib. XV, Tit. I l l , § 1.
285
Struve, Syntagma, Exerc. XX, Lib. XV, Tit. I, LXXIII.
286
Ulp. D. 15. 3 . 3 , 2 .
2H7
Or, according to D. 15, 3, 3, 2, as mandatarius; in this regard, the actio de in rem verso
had, however, become redundant in the meantime: Kupisch, Versiotisklage, pp. 33 sqq.
2KH
Cf., in this light, the analysis by Van Zyj, Negotiorutn gestio, pp. 113 sqq.; cf. further the
sources referred to by Schrage, loc. cit. (note 239), Kupisch, VersionskLige, p. 28 and
Bra ndi, op. cit.. note 273, pp. 31 sqq.
289
Stryk, Usus modemus pandectamm. Lib. XV, Tit. Ill, § 4.
2 ю
' In quartum et quintum Codicis libr. praelectiones (Lugduni, 1561), ad C. 4, 26, 7 n. 5 in
fine:91 cf. also Dawson, op. cit., note 119, pp. 86 sq., 171.
~ Praelectiones, Pars II, Lib. XV, Tit. Ill, 2. On Hubcr's enrichment theory in general, see
Feenstra, Festschrift Verdam, pp. 145 sqq. and De Vos, VerrykingsaanspreekHkheid, pp. 88 sqq.
242
Meditationes ad Pandectas, Spec. CXXX, VIII, as translated by Dawson, op. cit.. note
119. p. 172.
93
Kupisch. Versiomklage, pp. 38 sqq.; Going, pp. 500 sq.
244
Ulp. D. 26, 8. 1 pr.; Ulp. D. 26, 8, 5 pr. On these texts and the rescript of the emperor
cf. von Liibtovv, Condictio, pp. 47 sqq,; Niederlander, op. at., note 253, pp. 111 sqq.; Luigi
Labruna, Rescriptum Divi Pit (1962), passim; Van Zyl, Saakwaamemingsaksie, op. cit., note
248, pp. 12 sqq.; J.A.C. Thomas, "Naturalis obligatio pupilli", in: Sein und Werden im Recht,
Festeabe fiir Ulrich von Lt'ibtow (1970), pp 457 sqq., 470 sqq.
2
Stryk, Usus ttwdemus pandectanun. Lib. XII, Tit. I. § 17; and he adds: "hoc enim casu
cum aequitati naturali conscntaneum sit, neminem cum alterius damno fieri locupletiorem."
More specifically on the situation where the other party manages the affairs of the minor
(negotiorum gestio), cf. the analysis, stretching over all the periods of the ius commune, by-
Van Zy], Saakwaamemin^saksie, op. cit., note 248, pp. 40 sqq., 51, 56 sq., 63 sq., 76 sq., 84
sq., 90 sq.
2yfl
Io. August Hellfeld, Iurispmdentia forensis secundum pundeclaruin ordinem (3rd ed., Jenac,
n.d.), §918.
24
Cf. Stryk, Usus nwdemus pandectamm. Lib. XII, Tit. I, §§ 23 sqq.
298
Cf also Going, p. 501.
299
Meditationes ad Pandectas, Spec. CLXVII, I. Contra: Gluck, vol. 14, pp. 421 sq.
ж) Qn tjle background, the meaning and the subsequent interpretation of this section, cf.
Kupisch, Versioitsklage, pp. 57 sqq.; cf. also Brandi, op. cit., note 273, pp. 35 sqq. For all
details, see Kupisch, Versiomklaqe, pp. 92 sqq.
302
Cf. Rummcl, in: Peter Rummel {ed.),' Kommcntar zum ABGB, vol. I (1983), § 1041
(pp 1320 sqq.).
Kupisch, Versionskiage, pp. 70 sqq.
3114
For Italy cf. Giuseppe Bruno, L'actio de in rem verso (1900), who demonstrates that the
actio de in rem verso continued to be used, until the end of the 19th century, as a general
enrichment claim, even though it had not been adopted by the codicc civile of 1865.
3(15
Generally on the history of the law relating to unjust enrichment in France, cf. Lang,
op. cit., note 30, pp. 34 sqq., 40sqq.; cf. also Dawson, op. cit., note 119, pp. 92 sqq.; Coing,
p. 493.
3 ()
" Cf, for example, Cuiacius, Lib. Ill, Tit. XXVI Codicis, Ad L. VII, in: Opera, vol. IX
(Mutinae, 1781), col. 288; further, see Kupisch, Versionsklage, p. 122.
307
Appendice to the Traite du central de mattdat, nn. 167 sqq.
308
Traite du contrat du prit de consomption, nn. 140 sqq. (these sections have recently been
translated by W.J. Hosten, C. van Soelen, P. Ellis, Treatise on the quasi-contract called
promutuum and on the condictio indebiti (Pretoria, 1987)).
309
Cf artt. 1371 sqq. ("Des quasi-contrats") dealing merely with "gestion d'affaires" and
"paiement de I'indu". For details cf. Zweigert/Kotz, pp. 273 sqq.; Lang, op. cit., note 30,
pp. 55 sqq.; cf. also Barry Nicholas, "Unjustified Enrichment in the Civil Law and Louisiana
Law", (1961-62) 36 Tulane LR 619 sqq.; on "quasi-contractual" liability in French law, cf.
also Carlo Augusto Cannata, "Das faktische Vertragsverhaltnis oder die ewige Wiederkunft
des310Gleichen", (1987) 53 SDHI 310 sqq.
Karl Salomo Zacharia von Lingenthal, Handbuch des Franzosischen Civitrechts (1808),
vol. II, §§ 399 sqq.
311
Cf., for example, artt. 1241, 1312, 1926 code civil. The operative phrase is "tourner аи
profit". Cf. further Lang, op. cit., note 30, pp. 62 sqq.
C. Aubry, C. Rau, Cours de droit civil jrancais d'apris la methode de Zackariae (4th ed.)>
vol. VI (1873), pp. 246 sq.
313
314
15. 6. 1892, Recueil Dalhz 1892 (Premiere partie), p. 596.
For details, see Zweigert/Kotz, pp. 276 sqq.; Dawson, op. cit., note 119, pp. 100 sqq.,
Nicholas, (1961-62) 36 Tulane LR 622 sqq.; Detlef Konig, Der Bereicherungsanspruch gegen
den Drittempjanger einer Vertragsleistung nach jranzb'sischem Recht (1967). The actio de in rem
verso can be resorted to only if no other remedy is available to the plaintiff ("subsidiarite de
{'action
315
de in rem verso").
Cf. Kupisch, Ungerechtfertigte Bereicherung, op. cit., note 34, p. 43; cf. also, for Austrian
law, p. 41.
316
Inleiding, I II, XXX, 4 sqq.
317
Dejure belli ac pads. Lib. II, Cap. X, II (". . . ut qui pecuniam patri credidit ad alendum
filium, si pater solvendo non sit, in ipsum filium bona materna habentem actionem habeat").
318
Marginal note in Grotius' own copy of the Inleiding; cf. Feenstra, Festschrift Verdant,
p. 138.
314
Cf., for example, Inleiding, I I I , XXX, 18 and a letter to his brother, Willem, written in
March 1616 (as quoted and discussed by Feenstra, Festschrift Verdam, pp. 143 sq.).
32(1
Robert Feenstra, "L'influence de la scolastique cspagnole sur Grotius en droit prive:
quelqucs experiences dans des questions de fond et de forme, concernant notamment les
doctrines de l'erreur et de l'enrichissement sans cause", in: Fata inris Romani (1974), pp. 338
sqq.
~ " ' Dejure belli ac pads. Lib. II, Cap. X, II. On the systematic division between obligations
arising "e rebus extantibus" and "e rebus non extantibus" (both subdivisions of obligations
"ex dominio") ct. Feenstra, Festschrift Verdam, p. 140; idem, Fata juris Romani, pp. 354 sqq.
For an analysis of what constituted, in Grotius' view, the basis of the obligation to render
restitution cf. Birks/McLeod, (1986) 6 Oxford Journal of Legal Studies 59 sqq.
322
Reason: "qui a quatenus ex meo l ucratus cs, plus habes, cum ego minus habeam:
introducta autcm sunt dominia ad servandam aequalitatem in eo scilicet, ut quisque suum
haberet."
323
III, I, 9.
324
III, I, 14.
333
Weeramantry J, in Da Costa u. Bank of Ceylon (1970) 72 New Law Reports (Ceylon)
457 at 544 sq. The learned judge strongly criticized the decision in Nortje's case (pp. 539 sqq.)
and334came, as far as Ceylon is concerned, to the opposite conclusion.
Cf. the discussion by De Vos, Verrykingsaanspreeklikheid, pp. 153 sqq.
335
De Vos, Verrykingsaanspreeklikheid, pp. 86 sqq. maintains that the actio (utilis) de in
rem verso was not recognized by the Roman-Dutch authors and that it is, consequently, also
out of use in modern South African law. But see Honore, 1960 Actajuridica 243 sqq., 246
*6 As to which Nortje v. Pool 1966 (3) SA 96 (A) at 139H provides the helpful comment
that they are admissible "[onder] bepaalde omstandighede". For details cf. De Vos,
Verrykingsaanspreeklikheid, pp. 244 sqq. and passim; see also Zimmermann, RHR,
pp. 135 sqq.
337
338
Cf. supra, pp. 872 sq.
The wide term "at the plaintiff's expense" was chosen instead of the narrower "out of
the plaintiff's property", which, in turn, can be found in the Swiss Code. The enrichment
action may be brought regardless of whether the plaintiff has suffered any provable loss. Cf.
"Protokolle", in: Mugdan, vol. II, p. 1171; but see also Wilhelm, op. cit., note 231, pp. 45
sq.,339 53 sq., 55 sq.
But see Dawson, op. cit., note 119, pp. 91 sq.: "The end result was the Code of 1900,
which contains the most carefully considered solutions to be found in any modern legislative
system."
340
In the second commission; cf. "Protokolle", in: Mugdan, vol. II, pp. 1169 sqq. as
opposed to §§ 737 sqq. of the first draft (on which, see "Motive", in: Mugdan, vol. II,
pp. 463 sqq.). On the influence of Bcrnhard Windscheid (who had retained the Roman
condictiones as specific expressions of his Voraussetzungs- (presupposition) doctrine; cf.
Windscheid/Kipp, §§ 421 sqq.) on the first draft, as far as the law of unjustified enrichment
is concerned, cf. Werner Schubert, "Windscheid und das Bcreichcrimgsrecht des 1.
Entwurfs des BGB", (1975) 92 ZSS 186 sqq.
341
Especially not concerning the question of the extent of the enrichment claim (§ 818
BGB); cf. Axel Flessncr, Wegfall der Bereichenmg (1970), pp. 26 sqq. referring to Andreas von
Tuhr, Walter Wilburg and Werner Flume as the most influential critics.
342
The distinction between condictio indebiti and condictio sine causa is not reflected in
the wording of § 812 I 1 BGB. On the distinction, and the respective spheres of application,
of the condictiones indebiti and sine causa, cf. Reuter/Marrinck, op. cit., note 174, pp. 126
sqq. The issue is without any practical relevance.
- 43 Cf. supra, pp. 863 sqq.
344
For a crisp and lucid exposition of the modern German law of unjustified enrichment in
English, see Bricc Dickson, "The Law of Restitution in the Federal Republic of Germany: A
comparison with English Law", (1987) 36 International and Comparative Law Quarterly 771 sqq.;
cf. also Dawson, op. cit., note 119, pp. 119 sqq.; Zweigert/Kotz/Weir, pp. 210 sqq., 232
sqq.
145
Erich Jung, Die Bereichemiigsanspriiche und dcr Mangel des rechtlichen Gmndes (1902); Robert
Krawiclicki, Gmndlagen des Berekhenmgsampmchs (1936); Fritz Schulz, "System der Rechtc
auf den Eingnffserwerb". (1909) 105 Archivjiir die civilistische Praxis 1 sqq.
346
Die Lehre von der ungerechtfertiglen Bereicherung nach osterreichischetn und deutschem Recht
(1934).
347
Ernst von Caemmerer, "Grundprobleme des Bereicherungsrechts", in: Gesammelte
Schriften, vol. I (1968), pp. 374 sq.
349
Von Caemmerer, loc. cit.
Cf., for example, Hans-Wilhelm Kotter, "Zur Rechtsnatur der Leistungskondiktion",
(1954) 153 Archivjur die civilistische Praxis 193 sqq.; Hermann Weitnauer, "Die Leistung", in:
Festschrift fur Ernst von Caemmerer (1978), pp. 255 sqq.; Reuter/Martinek, op. cit., note 174,
pp. 80 sqq.; for criticism, see Berthold Kupisch, Gesetzespositivismus im Bereicherungsrecht
(1978); Lieb, op. cit., note 174, § 812, nn. 23 sqq.
350
The courts have, for some time, taken "at the expense" to mean that the person
instituting the enrichment claim must have suffered a loss and that, furthermore, this loss
and the enrichment of the other party must be directly related to each other (for a discussion
cf. Ernst von Caemmerer, "Bereicherungsanspriiche und Drittbeziehungen", in: GesammeUe
Schriften, vol. 1 (1968), pp. 321 sqq.). This proposition is not acceptable, however: the law
of 35unjustified enrichment is not concerned with the compensation of losses.
1
The condictio based on an encroachment by the defendant is the most important
enrichment-in-any-other-way claim within the typology proposed by von Caemmerer. The
two others derive from the fulfilment of somebody else's debt {" Ru'ckgrijfskondiktion") and
from unauthorized expenditure on someone else's property ("Verwendungskondiktion"); cf.
von Caemmerer, GesammeUe Schriften, vol. I, pp. 378 sqq.; idem, "Bereicherung und
unerlaubte Handlung", in: Gesammelte Schriften, vol. I, pp. 228 sqq. But in this regard
there is still considerable discord among German writers. Thus, for example, Lieb, op. cit.,
note 174, § 812, nn. 182 sqq. favours a greater diversification of the enrichment-in-any-
other-way claims. Reuter/Martinek, op. cit., note 174, pp. 56 sqq., 232 sqq., 371 sqq.
postulate a distinction between encroachment and "absorption" actions ("Abschopfungs-
kondiktionen ").
352
Nor, i n cid e nta lly , ca n t h e u nla wfu ln e ss o f t he e n croa ch m ent b e re ga rd ed a s t h e
decisive element: cf. Lieb, op. cit., note 174, § 812, nn. 199 sqq.; but cf Schulz, (1909) 105
Archiv fur die civilistische Praxis 1 sqq.; Horst Heinrich Jakobs, Eingrijfserwerb und
Vermogensverschiebung in der Lehre von der ungerecktfertigten Bereicherung (1964), pp. 54 sqq. If
a businessman overtakes somebody else in contravention of the traffic la ws in order not to
miss a bu siness appointment, he makes a profit by unla wful mea ns, but is nevertheless not
enriched at the expense of the person whom he overtook .
353
As, for instance, where the owner ha s allowed the other party to use or consu me his
object.
354
Cf, for e xa m pl e, R eu t er/Ma rti n ek , o p. ci t., no te 1 7 4 , pp. 3 2 sq q. D etl e f Koni g,
commissioned by the German Minister of Justice, has recently recommended recodification
along these lines: "Ungerechtfertigte Bereicherung", in: Gutachten und Vorschiage гиг
Uberarbeitung des Schuldrechts, vol. II (1981), pp. 1515 sqq. However, he also recommends
inclu sion of a general clause to accommodate miscellaneous cases. The positioning of the
general clause (at the end of the dra ft provisions) corresponds to that of the condictio sine
ca u sa (§ 748 E I) within the system propose d by the first co mmi ssion cha rged with the
drafting of the BGB. For comment and criticism of the reform draft, see Manfred Lieb, "Das
Bereicherungsrecht de lege ferenda", 1982 Neue furistische Wochenschrift 2034 sqq.;
Reuter/Ma rtinek, op. cit., note 174 , pp. 67 sqq.
2. English law
(a) The basic options for the legal system
Unjustified enrichment is not a contextual category: it does not deal
with one particular aspect of life, but tends to crop up in a broad variety
of widely divergent circumstances. 357 An error made in the course of
discharging a contract of sale may give rise to an unjustified enrichment
claim, but so can the break-up of a "de facto" marriage or the
unauthorized use of someone else's photograph in a TV commercial.
Unjustified enrichment may occur as a result of the mistaken payment
of money, but it may also derive from the rendering of services, from
the acknowledgement of the non-existence of a debt, or from the
unlawful appropriation of someone else's property. As soon as a legal
system is therefore prepared to transcend the basic contract/tort
dichotomy, it is faced with the following dilemma. It may either
develop a motley assortment of rules and remedies, clustering around
individual types of factual situations and tending to develop their own
language and technicalities. 358 As a result, the law is in danger of
becoming unnecessarily complex, diffuse, and even unintelligible. Or it
may attempt to devise a unitary basis of enrichment liability, but then
the general formula resulting from these efforts is bound to remain on
355
Cf., for example, BGHZ 40, 272 sqq.; BGHZ 68, 276 (277); BGHZ 72, 246 (248 sq.);
BGHZ 82, 28 (30); cf. further Otto Muh], "Wandlungen im Bereicherungsrecht und die
Rechtsprechung des Bundesgerichtshofs", in: De iustitia et iure, Fest^abe fur Ulrich von Liibtow
(1980), pp. 547 sqq.
356
More recently, attempts to establish a uniform formula for all enrichment claims have
been revived, but they have, so far, not had any influence on the courts; cf especially
Christian-Michael Kaehler, Bereicherungsausglekh und Vindikation. AUgemeine Prinzipien der
Restitution (1972); Kupisch, op. cit., note 349, pp. 19 sqq.; Wilhelm, op. rit., note 231,
pp. 62 sqq. , 17 3 sqq . The vi ew tha t th e ne w d octr ine h as sto od t he test of t i me is
substantiated by Johannes Kondgen, "Wandlungen im Bereicherungsrecht", in: Dogmatik
und Methode, Josef Esser гит 65. Geburtstag (1975), pp. 55 sqq. and Andreas Wacke, "Vorzuge
und Nachteile des deutschen Bereicherungsrechts", in: Beitrage гит deutschen und israelischen
Privatrecht (1977), pp. 131 sqq.
357
Cf. also Zweigert/Kotz/Weir, p. 208: "The layman can make nothing of the
expression, and can hardly be blamed for it."
35M
Cf. Birks, Restitution, p. 20.
354
Cf.T for example, the literature list provided by Lieb, op. cit., note 174, § 812, at the
beginning.
60
On third-parry enrichment in German law cf., in particular, the influential study by
Claus-Wilhelm Canaris, "Dcr Bereichcrungsausgleich im Dreipcrsonenverha'ltnis", in:
Festschriftfiir Karl Larenz (1973), pp. 799 sqq.; cf. further the overviews by Reuter/Marlinek,
op. cit., note 174, pp. 387-515; Lieb, op. cit., note 174, § 812, nn. 30-135 and Konig,
Bereicherung, pp. 177 sqq. For a comparative analysis, see John P. Dawson, "Indirect
Enrichment", in: lus Privatum Gentium, Festschrift fiir Max Rheinstein, vol. II (1969), pp. 789 sqq.;
Konig, Bereicherung, pp. 219 sqq. Of fundamental importance in this respect is the refusal,
on the part of the legislator, to recognize the actio de in rern verso ("Motive", in: Mugdan,
vol. II. pp. 871 sqq.; on the application of that remedy in 19th-century German law—it
was essentially confined, again, to third-party enrichment cases such as the one discussed
in C. 4, 26, 7, 3—see Rudolf von Jhering, "Mitwirkung fiir fremde Rechtsgeschaftc",
(1857) 1 jhjb 330 sqq.; Windscheid/Kipp, § 483; Kupisch, Versionsktage, pp. 114 sqq.;
Brandi, op. cit., note 273, pp. 47 sqq., 55 sqq.; Reuter/Martinek, op. cit., note 174, pp. 18
sqq.; Konig, Bereicherung, pp. 182 sqq,, 203 sqq.). The underlying policy in not allowing the
plaintiff to sue the third party is hinted at already in the genuine part of C. 4, 26, 7, 3
(". . . eius personam elegisti"): the plaintiff has chosen the middleman as his contractual
partner and has thus relied on the willingness and ability of the latter to honour his
obligation, He must seek his reward where he has placed his trust and cannot now decide to
turn against a third party who has acquired the benefit through the middleman. This
policy is generally regarded as sound today: cf., for example, Zweigert/Kotz, pp. 294 sqq.;
cf.3111
also (de lege fcrenda) Konig, op. cit., note 354, pp. 1577 sqq.
Karl Larenz, Lehrbuch des Schuldrechts, Besondercr Teil (11th ed., 1977), preface and p.
466; Konig, Bereicherung. p. 225 (from a comparative perspective). It has been pointed out
repeatedly that the practical solutions to individual cases are not normally in dispute; cf.
Konig, op. cit., note 354, p. 1520.
362
Zweigert/Kotz, p. 297: ", . . one appears to be entering another world."
~ ' For a brief summary of the development, cf. Dickson, (1987) 36 International and
Comparative Law Quarterly 753: "Just as the law of contract developed out of the action in
'assumpsit', so, in turn, the law of quasi-contract developed out of the form of action known
as 'indebitatus assumpsit'. Common heads of recovery under that action ('counts') were
'money had and received', 'money paid', 'quantum meruit', and 'quantum valebant'. Each
of these counts had its own set of rules for determining whether recovery was allowable, and
unless the plaintiff brought his or her action within one of them the action was bound to fail,
except in the rare instance where a court of equity could step in to dojustice according to the
particular circumstances of the case. A regrettable by-product of the employment of
indebitatus assumpsit to remedy restitutionary claims was the importation of the 'implied
contract' notion, whereby a claim could succeed only if the defendant could be said to have
impliedly promised to grant it. This idea of a fictional contract impeded the development of
the English law of restitution from the middle of the eighteenth century to the middle of the
twentieth. It prevented plaintiffs from recovering against defendants when the contract
between them was ultra vires, it barred actions against defendants who were too young or
mentally imbalanced, and it restricted damages recoverable from a tortfeasor. Indeed, it
could be said that the whole subject of quasi-contract, and of its modern manifestation,
restitution, has suffered from its identification with the term 'contract' in much the same
way as the subject of constructive trusts has been badly handicapped by its identification
with the concept 'trust'."
For a detailed analysis of the development of implied assumpsit, see Simpson, History,
pp. 489 sqq. On unjust enrichment and the concept of quasi-contract in English law, cf.
Dawson, op. cit., note 119, pp. 9 sqq.; Goff and Jones, Restitution, pp. 5 sqq, and, most
recently, Birks, Restitution, pp. 22, 29 sqq.; cf. also Birks/McLeod, (1986) 6 Oxford Journal
of Legal Studies 46 sqq. Birks draws attention to the fact that "quasi ex contractu", as used
in the fourfold Justinianic subdivision of obligations, means "as though upon a contract"
(i.e., in reality there is none). The anglicized version "quasi-contract", on the other hand,
has never lost the overtones of "sort of contract". This is why unjustified enrichment has
been driven into the category of contract and is usually dealt with as a somewhat anomalous
appendage to the law of contract. The traditional position is epitomized by Lord Haldane's
statement in Sinclair v. Brougham [1914] AC 398 (HL) at 415: "[B]roadly speaking, so far as
proceedings in personam are concerned, the common law of England really recognizes
(unlike the Roman law) only actions of two classes, those founded on contract and those
rounded on tort. When it speaks of actions arising quasi ex contractu it refers merely to a
class of action in theory based on a contract which is imputed to the defendant by a fiction
of law. The fiction can only be set up with effect if such a contract would be valid if it really
existed." Birks, Restitution (p. 22): "When the law behaves like this you know it is in trouble,
its intellect is either genuinely defeated or deliberately indulging in some benevolent
dishonesty."
364
On the relationship between restitution and unjust enrichment, see Birks, Restitution,
pp. 16 sqq. ("Restitution and unjust enrichment identify exactly the same area of law. The
one term simply quadrates with the other"). Is there a historical link with the restitution
doctrine of th e Spanish schol astics of the lat e Middl e Ages (pos sibly via Grotius and
Viscount Stair)? Cf. the suggestion by Coing, p. 191; cf, also supra, note 320.
365
Birks, Restitution, pp. 2 sq., taking up a remark by H.W.R Wade, Administrative Law
(1st ed., 1961), preface.
366
For a comprehensive discussion, see Goff and Jones, Restitution, pp. 69 sqq.
367
Orakpo v. Manson Investments Ltd. [1978] AC 95 (HL) at 104.
368
(1760) 2 Burr 1005 (KB). For a most stimulating analysis of Lord Mansfield's use of his
Roman learning in this case, see Peter Birks, "English and Roman Learning in Moses v.
Macferlan", (1984) 37 Current Legal Problems 1 sqq. Generally speaking, the equitable
principle enunciated in Moses v. Macferlan has not been well received; cf., for example, Holt
v. Markham [1923] 1 KB 504 at 513 ("well-meaning sloppiness of thought"}; H.G. Hanbury,
"The Recovery of Money", (1924) 40 LQR 35 ("Lord Mansfield definitely crossed the all too
narrow bridge which leads from the sound soil of implied contract to the shifting quicksands
of 369
natural equity"); cf. further Dawson, op. cit., note 119, pp. 15 sqq.
370
The Law of Restitution (2nd ed., 1978), pp. 13, 24.
GofT and Jones, Restitution, pp. 13 sq. Birks, Restitution, pp. 7, 16 sqq., 20 sq. and
passim proposes a very similar pattern of analysis: the defendant must have been enriched, he
must have been enriched at the expense of the plaintiff, the enrichment must have been
unjust and there must be no other consideration that might bar the claim.
171
Cf, for example, Hussey v. Palmer [1972] 3 All ER 744 (CA); Eves v. Eves [1975] 3 All
ER372768 (CA), both decisions relating to the problem of "constructive trust".
Cf., in particular, his splendid Introduction to the Law of Restitution (1985). The purpose
of his book, as he himself describes it, is to find "the simplest structure on which the material
in 3Goff
73
and Jones can hang" (p. 3).
For further indicia of this "wider movement by which Anglo-American common law
has set about rectifying the error of having overlooked the subject for most of the century
in which textbooks have re-shaped the law", see Birks, Restitution, p. 5; Michael Martinek,
"Der Weg des Common Law zur allgemeinen Bereicherungsklage—Ein spater Sieg des
Pomponius?", (1983) 47 RabelsZ 294 sqq., 305 sqq. Contra, most recently, Steve Hedley,
"Contract, Tort and Restitution; or, On cutting the legal system down to size", (1988) 8
fournal of Legal Studies 137 sqq.; cf. also Atiyah, Rise and Fall, pp. 764 sqq. arguing that,
while ideas of unjust enrichment permeate many aspects of the law, it would be wrong to
extricate a separate body of law under that name; for a reply cf. Peter Birks, "Restitution and
the Freedom of Contract", (1983) 36 Current Legal Problems 141 sqq.; on which, in turn, see
P.S. Atiyah, Essays on Contract (1986), pp. 48 sqq. In Scotland restitution has been recognized
as an established and independent source of obligations since the 17th century. For an
analysis of the historical development, see Peter Birks, "Restitution: A View of the Scots
Law", (1985) 38 Current Legal Problems 57 sqq.
374 (-? • Dawson, op. cit.. note 119, pp. 3 sqq., I l l sqq.
375
Cf., in particular, George Pal mer, The Law of Restitution (1978), vol. I, pp. 40 sqq.;
vol. II, pp. 358 sqq. ("benefits conferred pursuant to an actual or supposed contract",
"benefits actively acquired by the defendant through his own wrong", "unsolicited
benefits").
3711
Restitution, pp. 43 sqq. Birks, Restitution, pp. 99 sqq. distinguishes between restitution for
wrongs and restitution for unjust enrichment by subtraction. The latter category is
subdivided according to three different factors rendering an enrichment unjust, namely non-
voiuntary transfer (in the sense of a transfer that, under the circumstances, the plaintiff did
not want to happen), free acceptance (i.e. what is recognized in equity under the name
"acquiescence") and other miscellaneous cases.
377
Martinek, (1983) 47 RabclsZ 318 sqq., 330 sqq.; Konig. op. cit., note 354, p. 1521.
-17K « 818 II BGB.
379
§ 818 III BGB. But see §§ 818 IV, 819: from the time of litispendence or from the
moment the recipient knows about the absence of a legal ground he is liable "under the
general provisions" (§§ 292, 987 sqq. BGB); for further details, see Dawson, "Erasable
Enrichment in German Law", (1981) 61 Boston University LR 277 sq., 303 sqq.
3K0 por an anajySjs of § 8ig ]]j antj of the casuistry that has developed in this regard, see
Dawson, (1981) 61 Boston University LR 271 sqq.; Rcuter/Martinek, op. cit., note 174,
pp. 576 sqq.; Lieb, op. cit.. note 174, § 818. nn. 1 sqq.
381
Cf, for exampl e, Fl essner, op. cit., not e 341, p. 2.
382
For a comparative analysis, cf. Flessner, op. cit.. note 341, pp. 37 sqq.; cf. also Konig,
Bereichemng, pp. 51 sqq., 73 sqq.; Zwcigert/Kotz, pp. 316 sqq.; as far as American law is
concerned, cf. John P. Dawson, "Restitution without Enrichment", (1981) 61 Boston
University LR 563 sqq.
383
Cf. supra, p. 882.
3 K4
Ulp. D. 26. 8, 1 pr.; Ulp. D. 26, 8, 5 pr.
385
Marci. D. 46, 3, 47 pr. For all details, see Hubert Niederlander, Die Bereichemngshaj-
tung im ktassischen romischen Recht (1953), pp. 11 sqq., 56 sqq., 89 sqq.; Werner Flume, "Der
Wcgfall der Bcrei cherung in der Ent wickkmg vom romi schen zum gelt endcn Recht ", in:
Festschrift fur Hans Niedermeyer, 1953, pp. 124 sqq.
386
On whi ch see supra, p. 486.
3H7
Ter. Cl. D. 24. 1, 25.
ЗЯН por a|j details, see Karlheinz Miscra, Der Bereichenmgsgedanke bei der Schenkung unter
Eheeatten (1974), pp. 6 sqq.
зйч
Ulp. D. 24, 1, 7 pr.; Niederla'nder, op. cit., note 253, pp.' 11 sqq., 56 sqq., 67 sqq.;
Flume, Festschrift Niedermeyer, pp. 116 sqq.; Miscra, op. cit., note 388, pp. 91 sqq., 189 sqq.
For a detailed analysis of the reasons that may have induced the Roman lawyers thus to
restrict the plaintiff's claim, see Misera, op. cit., note 388, pp. 216 sqq., 248 sqq.
390
Pomp. D. 12, 6, 7.
341
Gai. III. 91; Inst. Ill, 14, 1.
392
Paul. П. 12, 1, 2, 1; Gai. Ill, 90.
393
Cf., for example, Marci. D. 19, 5, 25; Flume, Festschrift Niedermeyer, p. 130.
y)4
Cf. supra, pp. 687 sqq.
395
Paul. I). 45. 1, 91, 3: ". . . quotiens culpa intcrvenit debitoris, pcrpetuari
obligationcm." For further details, sec supra, pp. 786 sq., 791 sq. An enrichment debtor
cannot, however, normally have been held responsible for the event preventing him from
honouring his obligation in just the same way as a promisor; for it can hardly be expected
of him to be aware of his obligation to make restitution (and thus to adjust his behaviour
accordingly) to the same extent as this can be expected ot a person who has promised, say,
to convey a slave. If he was actually aware of the fact that he received indebitum, he
committed theft (cf. supra, note 99 ).
396
Afr. D. 12. 1. 23.
W7
Ulp. D. 12, 6, 26, 12.
39K
As Peter Birks (Mommsen, Kriiger, Watson, The Digest of Justinian, vol. I (1985))
translates.
i9
'' Fl ume , Fe st sch ri f t Nie de rm ey e r, p. 105.
4Ш
C f., i n pa rt i cul ar, Fl ume , Fe st sc h ri f t Ni ed e rm e ye r, pp. 10 4 sq q.; c f. al s o: N i e de rl a 'nde r,
op. ci t ., not e 253, pp. 4 sqq.; M ake D ie sse l horst, D ie Na tu r d e r Sac he ah au sse rge set zli che
Rechtsquelle, verfolgtan der Rechtsprechtmg zur Saidolheorie (1968), pp. 36 sqq. Cont ra: He inri ch
Si be r, "Re t e nti o propt e r re s donat as ", i n: S tud i in ono re d i Sa lva to re Ri cc o bono , vol . I ll ( 1936) ,
pp. 252, 257; von Lubt ow, Co nd ic ti o, pp. 20 sqq. and ot he rs.
401
Fl ume , Fe st sc h ri f t Nied e rm ey e r. pp. 140 sqq.
402
Bart ol us, Co m m e n ta ri a , ad D . 12, 6, 7 ( Q uod i nde bi t um) .
403
Cf. supra, p. 837, note 28.
4(14
Collegium theoretico-praaicum. Lib. XII, Tit. VI, XXIX.
405
Flume, Festschrift Niedermeyer, pp. 145 sqq. (who, however, at p. 144, draws attention to
the fact that Duarenus had already abandoned the distinction between species and
quantitas as the object of the enrichment claim and merely stated "eum a quo condicitur
indebitum, eatenus damnari, quaternus sit factus locupletior"); Diesselhorst, op. cit.. note
400, pp. 42 sqq.; Flessner, op. cit., note 341, pp. 5 sqq.; Konig, Bereichenmg, pp. 52 sqq. The
provisions of the Prussian General Land Law are still in tune with the traditional opinion; cf.
in particular, § 193 I 16 PrALR.
Or, as it is often put, "innocent" receivers of unjustified gain must not be allowed to
incur any loss as a result of the enrichment claim; they must not be required to "reach into
their own pockets".
407
Cf. Dawson, (1981) 61 Boston University LR 271 sqq., who draws attention to a
statement of the imperial Supreme Court (RGZ 118, 185 (187)) according to which the
"principle of enrichment that is highest of all is that the duty of the enriched person to
surrender . . . must in no event lead to a reduction of his estate by more than the amount of
the enrichment". This principle, Dawson comments, is enforced "with an unrelieved rigor
and disregard of consequences that would be hard to find elsewhere in modern German law"
(p. 272).
408
Gluck, vol. 13, pp. 152 sqq.; Vangerow, Pandekten, § 625, Anm. 3; Windscheid/Kipp,
§424,
409
1.
"Protokolle", in: Mugdan, vol. II, pp. 1181 sqq.
410
Cf., in particular, the trenchant criticism by Dawson, (1981) 61 Boston University LR
271 sqq., 306 sq. who, after pointing out that the surviving net gain as the measure of
enrichment "had emanated not from some 'most holy' sanctum of the legal order [cf, for
instance, the remark by Otto von Gierke, quoted supra, p. 835, note 6] but from the private
studios of Pandectist authors", proceeds to argue that the pandectist authors and their
followers gave a basic misdirection to the German law of restitution. Their aim "was the
promotion of virtue by giving honesty, based on ignorance, both reward and protection".
Thus they concentrated attention and concern "on the 'innocent1 recipients of unjustified
gain". Their view, however, is fundamentally flawed and one-sided for "it took no account
of the other side in what has for centuries been conceived as a two-sided relation—
enrichment acquired at the expense of another. . . . An encompassing principle of
exoneration that ensures against any loss all those who do not know that the gain they
derived and acquired at another's expense will have to be restored, therefore seems (to an
unsympathetic observer from abroad) to show a basic though well-meaning confusion of
thought" (pp. 302, 306, 314).
1
" . . . malum passionis quod infligitur propter malum actionis": Grotius, Dejure belli ac
pads. Lib. II, Cap. XX, I; generally, see Eberhard Schmidhauscr, Vom Sinn der Strafe (2nd
ed., 1971), pp. 34sqq.
2
Generally, on the distinction between criminal law and the law of delict, see Pierre
Catala, John Anthony Weir, "Delict and Torts: A Study in Parallel", (1963) 37 Tulane LR
582 sqq.; Andre Tune, "Introduction", in: International Encyclopedia of Comparative Law, vol.
XI, 1 (1983), nn. 49 sqq.; more specifically for England (crime and tort), see Percy H.
Winficld, The Province of the Law of Tort (1971), pp. 190 sqq.; d. also Van den Heever,
Aquilian Damages, pp. 1 sqq.
3
Green v. Fitzgerald, Fitzgerald v. Green 1914 AD 88 sqq.
4
Cf., for example. Pauw. Persoonlikheidskrenking, pp. 190 sqq.; J. Neethling,
Persoonlikheidsreg (2nd ed., 1985), pp. 203 sqq. For Germany, see Andreas Wacke, in:
Munchener Kommentar, vol. V, 1 (2nd ed., 1989), § 1353, nn. 39 sqq.
5
Crimes that result in harm to individuals do, however, normally constitute a delict. For
a more detailed analysis, see Jean Limpens, Robert M. Kruilhof, Anne Meincrtzhagen-
Limpens, "Liability for One's Own Act", in: International Encyclopedia of Comparative Law,
vol. XI, 2 (1983), nn. 151 sqq.
902
6
Gai. HI, 88; c(. supra, pp. 10 sqq.
7
Cf. generally Tune. op. cit., note 2, nn. 32 sqq.
H
Supra, pp. 11 sqq. Cf. also G.H.L. Fridman, "The Interaction of Tort and Contract"
(1977) 93 LQR 422 (who recommends a fusion of the two categories) and J.C. Smith,
"Economic Loss and the Common Law Marriage of Contracts and Torts", (1984) 18
University of British Columbia LR 95 sqq. (who records the union of contract and tort, but
warns that it may be premature to celebrate the nuptials).
<}
Even comparative lawyers have their difficulties. Thus, Basil Markcsinis, "An
Expanding Tort Law —The Price of a Rigid Contract Law", (1987) 103 LQR 354, after an
analysis of how German courts deal with economic loss cases, criticizes English courts for
expanding the law of torts rather than the law of contract. Christian von Bar, "Deliktsrccht",
in: Gutachtcn itnd Vorschtage zur Uberarbeitung des Schtldrechts, vol. II (1981), pp. 1685 sqq.,
1771 sqq., on the other hand, after having exa mined the modern trends in French and
English law, advocates de legc rerenda an expansion of the German law of delict at the
expense of the contractual constructions employed de lege lata. On the nature of the liability
arising from culpa in contrahendo (cf. supra, pp. 11 sq., 244 sq .) cf. most recently, Dieter
Medicus, "Die culpa in contrahendo zwischen Vertrag und Delikt", in: Festschrift fur Max
Keller (1989), pp. 205 sqq.
1()
Robert Stevens, "Medley Byrne v. Heller. Judicial Creativity and Doctrinal Possibility"
(1964) 27 Modern LR 161.
11
Su pra, pp. 12 sq.
12
Jeffrey O'Connell, "T he Interlocking Death a nd Rebirth of Contract a nd Tort",
(1976-77) 75 Michigan LR 662.
13
John G. Fleming, (1982) 30 American Journal of Comparative Law 704.
14
John G. Fleming, An Introduction to the law of Torts (1977), p. 1.
15
Cf., for example, John G. Fleming, "Is There a Future for Tort?", (1975) 58 Australian
LJ 131 sqq.; Zwcigcrt/Kotz, pp. 433 sqq.; Tune, op. cit., note 2, nn. 21 sqq.
"'
17
Charles Fried, Contract as Promise (1У81), pp. 2 sq.
Cf. W.B.C. Palton, "Tort or Contract", (1966) 82 LQR 346 sqq.
18
For details, see Tony Weir, "Complex Liabilities", in: International Encyclopedia of
Comparative Law, vol. XI, 12 (1983), nn. 10 sqq. For a recent comparative discussion on the
question of concurrence or alternativity of remedies in medical malpractice claims, see Dieter
Giesen, International Medical Malpractice Law (1988), pp. 33 sqq.
14
§ 852 BGB.
~(l § 195 BGB; for details, see Peters/Zi mmermann. Vvrjahmn^sjristen. pp. 218 sqq.
21
§ 282 BGB.
22
§§ 29, 32 ZPO.
23
Cf., for example, §§ 599 (loan for use), 690 (deposit), as opposed to § 823 I BGB.
24
§ 847 BGB; cf. infra, pp. 1027, 1092 sqq.
25
§ 253 BGB.
26
§ 831 BGB.
27
§ 278 BGB.
M
~ For details, see Peter Schlechtricm. Vertragsordnung und ansservertragiiche Haftung (1972), pp.
289 sqq.
~ Both claims can, however, not be treated as completely independent. On the interaction
between the two notionally independent claims, see Weir. op. cit., note 18, n. 61. Cf. also
the3(1example discussed supra, pp. 202 sq.
That is loss, which does not flow from (usually: physical) damage to a specific right or
interest of the plaintiff (such as life, body, health, freedom or a specific asset within his
property).
3
The patrimony as such is not listed among the rights or interests enumerated in § 823
I, the core provision of the German law of delict {cf. infra, p. 1036). Pure economic loss may
be recovered under § 823 II, provided that some statute — usually of a criminal nature—has
been violated which aims at the protection ot the injured party's patrimony, and—most
importantly—under § 826 BGB (which is, however, limited to intentional activities which
must, in addition, be contra bonos mores). For an overview of the German provisions, cf.
B.S. Markesinis, Л Comparative Introduction to the German Law of Tort (1986), pp. 24 sqq., 509
sqq., 513 sqq.
~ Cf. Schlechtriem, op. cit., note 28, pp. 63 sqq.; Weir, op. cit., note 18, nn. 52 sqq.
33
Art. 1382: "Tout fait quekoiique de I'hottttiie, qui cause d autrui uti dommage, oblige celui par
la (ante duquel il est arrive, a le reparer,"
M
~ Tr. Weir, in Zweigert/Kotz/ Weir. p. 283.
35
Van Wyk v. Lewis 1924 AD 438 sqq.
36
LiUicrap, Wassenaar and Partners v, Pilkington Brothers (SA) (Pty.) Ltd. 1985 (1) SA 475
(A); cf. p. 500G, where Grosskopf AJA st at es t hat "t he Aquili an action does not fit
comfortably in a contractual setting like the present".
37
See infra, pp. 1042 sq.
3K
P.Q.R. Boberg, "Back to Winterbottom v. Wright?— Not Quite!", (1985) 102 SALJ 213
sqq.; Dale Hutchison and D. P. Visser, "Lillicrap Revisited: Further Thoughts on Pure
Economic Loss and Concurrence of Actions", (1985) 102 SALJ 587 sqq., 590 sqq.
39
Cf. infra, pp. 1038 sqq.
40
"It is a familiar position in our law that the same wrongful act may be made the subject
of an action either in contract or in tort at the el ection of the cl aimant, and, although the
course chosen may produce certain incidental consequences which would not have followed
had t he ot her course been adopt ed, it is a mist ake t o regard t he two kinds of li ability as
themselves necessarily exclusive of each other": Lister v, Romford Ice and Cold Storage Co.
[1957] AC 555 (HL) at 587 (per Lord Raddiffc). Cf. Weir, op." cit., note 18, nn. 67 sq. For
criticism see Fridman, (1966) 82 LQR 428 sqq.
41
Winfield, op. cit., not e 2, pp. 8 sqq.; Tune, op. cit., note 2, n. 5.
42
Supra, pp. 824 sq.
43
For a comparison, see Buckland/McNair, pp. 338 sqq.; Catala/Weir, (1963) 37 Tulane
LR 573 sqq.; B.S. Markesinis, "The Not So Dissi milar Tort and Delict", (1977) 93 LQR 78
sqq
* 4 Cf., for example, Karl Scha'fer, in: Staudinqer (12th cd.), §§ 823-832 (1986), § 823,
nn. 1-625 (334 pages).
45
For an overview cf. Li mpens/Kruithof/ Meinertzhagen-Li mpens, op. cit., note 5, nn. 5
44
Fleming Torts, p. 5. Cf also Ashby v. White (1703) 2 Ld Kaym 938 (per Holt CJ);
Chapman v, Pickersgill (1762) 2 Wils 145 ("This action is for a tort: torts are infinitely various,
not li mi t ed or confi ned, for t here i s nothing i n nature but may be an inst rument of
mischief": p. 146). For a more modern case in point, see Rookes v. Barnard 11964] AC 1129
(HL) (establishing the tort of inti midation).
50
Pollock and Maitland, vol. II, p. 525.
51
Derived from the Latin "transgressio" (Pollock and Maitland, vol. II, pp. 511 sq.). For
what follows see S.F.C. Milsom, "Trespass from Henry 111. to Edward II I. " , (1958) 74 LQR
195 sqq., 407 sqq., 561 sqq.; idem. Historical Foundations of the Common Law (1969),
pp. 244 sqq. Cf also Theodore F.T. Plucknett, A Concise History of the Common Law (5th
ed., 1956), pp. 455 sqq.; C.H.S. Fifoot, History and Sources of the Common Law (1949),
pp. 44 sqq.
э2
Cf. Fifoot, op. rit., note 51, pp. 81 sq. ( A. D. 1373); on which, sec Milsom, Historical
Foundations, op. cit., note 51. pp. 249 sqq.
" Milsom, (1958) 74 LQR 407 sqq.; Simpson, History, pp. 200 sqq.
7:4
Milsom, Historical Foundations, op. cit., note 51, p. 263. It is significant to note that the
defendant, if convicted, was liable to a hue and imprisonment (abolished only in 1694) since
every trespass constituted a punishable offence; originally, no clear-cut division existed
between crime and civil injury. Trespass, the action which exercised dominance over the
growing law of torts, was "quasi-criminal" in character (Winfield, op. cit., note 2, p. 10).
It aimed "at a punitive and exemplary result", and throughout the time of the Year Books,
men were "punished" for their trespasses (Pollock and Maitland, vol. II, p. 573). The
transition from what we would call "criminal" to "civil" justice is described by Pollock and
Maitland (vol. II, p. 522) in the following words; "[U]nder Edward I a favorite device of our
legislators is that of giving double or treble damages to 'the party grieved'. They have little
faith in 'communal accusation1 or in any procedure that expects either royal officials or
people in general to be active in bringing malefactors to justice. More was to be hoped from
the man who had suffered. He would move if they made it worth his while. And so in a
characteristically English fashion punishment was to be inflicted in the course of civil actions:
it took the form of manifold reparation, of penal and exemplary damages." Further on the
history of the distinction between tort and crime, see Winfield, op. cit., note 2, pp. 8 sqq.;
Buckland/MacNair, pp. 344 sqq.
While, generally speaking, the common law of torts (like its civilian counterpart, the law
of delict) has moved from punishment to compensation, it has (unlike the civil law) never
entirely abandoned the penal element. Some traces of the old link between tort and crime
have survived to the present day, in particular the notion of exemplary ("punitive") damages
to punish contumelious and outrageous wrongdoing (cf. Rookes v. Barnard [1964] AC 1192;
Fleming, Torts, pp. 1 sq.; Winfield and jolowicz, pp. 616 sqq.). The old common-law rule
that tort claims survive neither the death of the wrongdoer nor that of the victim (also due
to the historical connection of trespass with criminal law, usually expressed in the adage
"actio personalis moritur cum persona") was abrogated by statute in 1934 (Fleming, Torts,
pp. 638 sqq.; Winfield and Jolowicz, pp. 657 sqq.).
5э
Cf. supra, pp. 777 sqq.
56
Scott v. Shepherd (1773) 2 Black W 892 at 894 sq.
57
Fleming, Torts, p. 17.
5K
Fleming, Torts, pp. УЗ; cf. also Tune, op. c i t . , note 2, nn. 71 sqq.
59
[1932] AC 562 (HL); on which see R.F.V. Houston, "Donoghue v. Stevenson in
Retrospect", (1957) 12 Modern LR 1 sqq.; idem. "Dotioghne к. Stevenson: A Fresh Appraisal",
(1971) 24 Current Legal Problems 37 sqq.\).С Smith. Liability in Negligence (1984), pp. 15 sqq.
m
[1932] AC 562 (HL) at 579.
61
Fleming, Torts, p. 94. But cf. also Smith, op. cit., note 59, pp. 15 sqq. and passim, who
argues that the law of negligence ca nnot be reduced to a single principle of liability.
Vl2
Cf., for example. Leatne v. Bray (1803) 3 East 593 at 600; but see also Percy H. Winfield,
"The Myth of Absolute Liability", (1926) 42 LQR 37 sqq.; S.F.C. Milsom, "Trespass from
Henry I I I to Edward I II , Part I I I : More Special Writs and Conclusions", (1958) 74 LQR 578
s
qq,
'~ Cf. Fleming, 'lorts, pp. 18, 93 sqq.; Tune, op. cit., note 2, nn. 71 sqq.; cf. also infra ,
pp. 1034 sq . , 1129 sq.
44
For what follows, see Winfield and Jolowicz, pp. 116 sqq.
65
[Ш91] 1 QB 86 (cf. infra, p. 1006, note 50).
<ih
Fowler v. Lannitig [1959] 1 QB 426. The same view had already been adopted earlier in
the so-called highway cases (plaintiff injured by accident on highway): Holmes v. Mather
(1875)
1)7
LR 10 Exch261.
[1965| 1 QB 232.
f8
' She had been sunbathing on a lawn outside a hotel when defendant had driven his car
over her legs.
69
711
[1965J 1 Qb 232 at 242 sqq. But see still Elwes J. in Letanz v. Cooper [1964] 2 QB 53.
1
[1965] 1 QB 232 at 240.
Fleming, Torts, p. 17. Cf. also John W. Salmond, "Observations on Trover and
Conversion". (1905) 21 LQR 43: "Forms of action arc dead, but their ghosts still haunt the
precincts of the law. In their life they were powers of evil, and even in death they have not
wholly ceased from troubling"; Winfield and Jolowicz, p. 43: "Maitland's famous phrase,
'The forms of action we have buried, but they still rule us from their graves', has been
repeated often enough to become a cliche. One does not venture to polish any aphorism of
Maitland's, but we shall see that in some respects it may be questioned whether the forms
of action have not been buried alive."
72
U n i te d Au st ral i a Lt d . v . Ba rc lay s Ba nk Ltd . ( 1 9 4 1 ] AC 1 ( H L) at 29.
73
Nc h o n v . La rh o h [ 1 9 4 8 ] 1 K B 3 3 9 at 3 4 3.
7 A
_ _ Cf . al s o t he re m a r ks b y M ar k c si ms , ( 19 7 7) 93 LQ R 8 5 s qq .
13
F ri t z P ri n gs h e i m, "T he I n ne r Re l a t i o n s hi p be t we e n E n gl i sh a n d R o m a n l a w ", ( 1 9 3 5) 5
Ca m bri dg e LJ 347 sqq.
7(1
Buckland/MacNair, p. XIV.
Cf., in particular, the actiones in factum by means of which the lex Aquilia was
extended: infra, pp. 977 sqq., 986 sq., 993 sqq.
7H
Buckland/McNair, p. XIV; cf. also Markcsinis, (1977) 93 LQR S3 sqq. 9
For what follows see supra, pp. 1 sqq. 8(1 On tab. VIII, 2-4, see infra, pp.
1050 sq. K1 Cf., for example, infra, pp. 961 sq. H2 Cf., for example, infra,
pp. 932 sqq. 83 Cf. infra, p. 1062.
44
Infra, pp. 1050 sqq.
KS
Not all of them actiones poenales.
H7
' Gai. IV, 46.
Pap. D. 1, 1, 7, t.
m
8<l
See supra, pp. 654 sqq., 664.
Gai. Ill, 209 and see the discussion in D. 47, 8; further: Udo Ebert, Die Geschichie des Edikls
de hominibus armatis coactisve (1968); Marco Balzarini, Ricenhe in tema di danno violento e
rapina net diritto romano (1969); Letizia Vacca, Ricerche in tema di 'actio vi bonorum raptorum' (1972);
Kaser, RPr 1, pp. 626 sqq. The actio vi bonorum raptorum had (at least also) a penal character
(cf.w infra, p. 920).
Cf. supra, pp. 16 sqq.
'" For an overview, see Kaser, RPr I, pp. 62b sqq.
42
Cf, for example, Gai. IV, 112 ("certissima inns regula"); Inst. IV, 12, 1; Pasqualc Voci
DER, vol. I, pp. 51 sqq., 302 sqq.
93
But sec infra, p. 1061.
94
Call. D. 44, 7, 59.
95
For details, see Levy, Konkurrenz, vol. I, pp. 476 sqq.; Liebs, Kta%enkonkurrettz, pp. 125
sqcy, 181 sqq., 265 sq.; Kaser, RPr II, p. 429.
In post-classical times only slaves; see fast. IV, 8.
97
Gai. IV, 75; lust. IV, 8 pr. The surrender took the form of mancipatio in the case ot
slaves, alternatively, of in iure cessio. For further details as to the basis and origin of noxat
liability, and to the details of its application, see the literature referred to infra, p. 1118, note
177.
9M
Gai. D. 9, 4, 1.
99
Thomas, Institutes, p. 305.
1(1(1
Inst. IV, 8. 2; cf. also already Gai. IV, 75.
101
Gai. IV, 77; Ulp. D. 47, 2, 41, 2; Inst. IV, 8. 5.
1(12
Cf. supra, pp. 314 sq.
1(13
Cf., for example, Buckland/McNair, p. 344: "[T]he law of delict [is allied] with that of
crime rather than with that of other civil obligations, so much so that Mommsen in his
Strafrecht, somewhat to the confusion of his readers, hardly distinguishes between delict and
crime except in matters of procedure."
104
For al l de t ai l s, se e T he o do r M o m mse n, R o m i sc h e s S t ra f re c h t ( 1899) ; Wol f gan g K un ke l ,
Untersuchungen гиг Entwicklung des romischen Kriminalverfahrens in vorsullanischer Zeit (1962);
A.H.M. Jones, The Criminal Courts of the Roman Republic and Principate (1972); cf. also
Jolowicz/Nicholas, pp. 305 sqq., 401 sqq.; Liebs, Klagetikonkurrenz, pp. 266 sqq.; Artur
Volkl, Die Verfolgung der Kd'rperverletzung iin friihen Romischen Recht (1984), pp. 217 sqq.
105
An Introduction to Roman Legal and Constitutional History (2nd cd., 1973), pp. 29, 64.
106
Cf. the quotation by Pollock and Maitland, supra, note 54, which is also referred to by
Fritz Schulz, CRL, p. 573, in this context. Generally on delict and crime in ancient law, see
Maine, Ancient Law, pp. 216 sqq.
107
Who could, in certain instances, be compensated for his loss from the (public) penalty.
108
Gai. IV, 6.
109
Inst. IV, 6, 16.
110
D. 44, 7, 35 Pr.
111
Cf. su pra, pp. 770 sqq.
112
Emphasized by Gaius IV, 7; Inst. IV, 6, 17.
113
Infra, pp. 941 sqq.
114
Did the cla ssical la wyers u se the term "a ctio mixta "? Cf. Dctlcf Liebs, "Gemischte
BegrifTe im romischen Recht", (1970) 1 Index 143 sqq.; but see also Kaser, RPrll, p. 343 and
Hans Ankum, "Gaius, Thcophilus and Tribonian and the Actioncs Mixtae". in: Studies in
Justinian's Institutes in memory ofJ.A.C Thomas (1983), pp. 4 sqq.
According to Hans Ankum, "Actions by which we claim a thing (res) and a penalty
(poena) in classical Roman law", (1982) 24 BIDR 28 sqq., already in classical law.
Traditionally it is held that the splitting up of the award is of post-classical origin; cf., for
example,
116
Kascr, RPr II, p. 429.
hist. IV, 6, 19.
117
Cf. Paul. D. 47, 8, 1.
m
Gai. IV, 8 ("sccundum quorundam opinionc"); Gai. IV, 112; Ulp. D. 47, 8, 2, 27;
Ankum, (1982) 24 BIDR 18 sq., 30 sq.
m
Generally on actioncs mixtae, see Liebs, Klagenkonkurrenz, pp. 53 sqq. and the two
articles
12(1
by Ankum, Studies Thomas, pp. 4 sqq. and (1982) 24 BIDR 15 sqq.
121
Levy, Konkurrenz, vol. I, pp. 76 sqq.; Kaser, RZ, pp. 229 sqq.
On the concurrence of private penal actions and criminal proceedings cf. Liebs,
Klagenkotikurrenz, pp. 266 sqq.
"" For all details, sec Levy, Konkurrettz, vol. I and II; Liebs, Kltt^enkonkurretiz, passim; cf.
also Kascr, RZ, pp. 232 sqq. 123 Supra, p. 32.
"Inter Delicti Privata primo loco ponitur Furtum, quia ejus corrcctio est anriquis-
sima": Lauterbach, Collegium theoretico-practicutn. Lib. XLVII, Tit. II, II.
Fur turn
I. THE ROMAN CONCEPT OF FURTUM
1. The definition of D. 47, 2, 1, 3
The translation usually given for furtum is theft. Theft is recognized as
a criminal offence all over the world, be it on the basis of the common
law,1 be it on a statutory basis2 or as part and parcel of a comprehensive
penal code.3 But its scope differs considerably from that of its Roman
ancestor, the "private delict" furtum. In modern German criminal law,
for example, theft is just one of a whole variety of neatly
compartmentalized property-related offences.4 It consists in the taking
away of a movable thing belonging to someone else, with the intent of
unlawfully appropriating it to one's own use, and it has to be carefully
distinguished from embezzlement,5 fraud6 and the reception of stolen
property.7
The traditional civilian concept of furtum was much broader.
"Furtum crimen omnium generalissimum", wrote a famous 16th-
century treatise writer,8 and he added: ". . . ubique gentium tarn est
familiare ut vix ullum . . . reperiatur aut frequentius aut notius."9 He
then proceeded to cite what must have been the most celebrated
definition in the entire law of liability for wrongful acts. Taken from
1
As in South Africa; cf. J.R.L. Milton, South African Criminal Law and Procedure, vol. II
(2nd ed., 1982), pp. 595 sqq.; De Wet en Swanepoel, Strafrq? (4th ed., 1985), pp. 296 sqq.
2
As in Engtand; cf. today, the Theft Act of 1968. In terms of its s. 1(1) "a person is guilty
of theft if he dishonestly appropriates property belonging to another with the inte ntion of
perm a ne ntly de priving the othe r of it". The tra ditional English te rm for theft is larce ny
(from latrocinium).
3
As in Germa ny: § 242 StGB.
4
Cf. also De Wet en Swane poel, op. cit., note 1, pp. 302 sqq. For a discussion of theft
and all related offences in m odern English law, cf. J.C. Smith. The Law of Theft (5th ed.,
1984); for South Africa, cf. M ilton, op. cit., note 1, p. 602.
5
§ 246 StGB ("Anybody who unlawfully appropriates to his own use a m ova ble thing
not belonging to him, whic h is in his possession or c ustody . . .").
6
§ 263 StGB ("Anybody who, for the purpose of unlawfully enriching himself or a third
person, ca uses pec uniary da ma ge to a nother by proc uring or interposing an error through
dece ption or distortion or suppression of true facts . . .").
7
§ 259 StGB ("Anybody who for gain purchases, or otherwise acquires for himself or for
a third party property that has been acquired by means of a punishable act, or who disposes
of or participates in the disposal of suc h property . . .").
8
Van Damhouder, Praxis reruin criminatium, Cap. CX, 1; cf. also Benedict Carpzov,
Practica nova rerum criminalium Imperialis Saxonica (Lipsiae, 1739), Pars II, Quaest. LXXVH, 1.
9
Cf. also James Fitzjames Stephen, A History of the Criminal Law of England, vol. I l l
(1883), p. 129 (referring to the la ws of the early English kings): "Theft . . . seems to have
been the crime of crimes."
922
10
Also in England. Cf. the version given by Bracton, De Legibus et Consuetudinibus Angliae
f. 150 b ("[Fu]rtum est secundum leges contrectatio rei alienae fraudulenta cum animo
furandi, invito illo cuius res ilia fuerit"; on. p. 425 in the edition by S.E. Thome, vol. II
(1968)) containing the essential elements of D. 47, 2, 1, 3. For a discussion of Bracton's
definition, cf. Stephen, op. cit., note 9, pp. 130 sqq.; cf. also Holdsworth, vol. III. pp. 360
The significance of this element is illustrated by Lauterbach, Collegium theoretuo-
practicum. Lib. XLVII, Tit. II, XXIX with the following nice example: "Hinc Israelitae e
captivitate cgressi furtum non commiserunt, quia res Aegyptiis, supremo rerum Domino
aulhore, subtraxcrunt." It appears to have been much discussed; cf. also Carpzov, op. cit.,
note 8, Pars II, Quaest. LXXVII, 2, who argues that "qui rem mandato et auctorate Dei
tanquam supremi justissimique judicis accipit, fur dici vix poterit".
1
The text is regarded as interpolated by, among others, H.F. Jolowicz, Digest XLVII, 2
De Furtis (1940), pp. 1 sq.; Schulz, CRL, pp. 580 sq.; Alan Watson, "The Definition of
furtum and the Trichotomy", (1960) 28 TR 197 sqq.; Kaser, RPrl, p. 615. Contra: J.A.C.
Thomas, "Animus furandi", (1968) 19 lura 31 sq.
13
Gai. Ill, 196.
14
Gai. HI, 196; Paul. D. 47, 2, 40; cf. also Honsell/Mayer-Maly/Selb, p. 301, n. 13; as to
the historical development, see Wieacker, RR, p. 578.
15
Paul. D. 47, 2, 83 pr.
16
Gai. Ill, 200.
In which case the rule "rci . . . nostrae furtum facere non possumus" normally applied
(Paul. Sent. II. XXXI, 21). A res nullius could not be stolen cither; c(., for example,
Sab./Cass./Ulp. D. 47, 2, 43. 5 and Raphael Powell, "Furtum by a Finder", (1958-59) 33
Tulane LR 509 sqq. (containing also a comparison with English law). A fugitive slave was
considered as having stolen himself: cf. Afr. D. 47, 2, 61: С 6, 1, 1; С. 6, 2, 10 (both Diocl.)
and Fritz Pringsheim, "Scrvus fugitivus sui furtum tacit", in: Festschrift fur Fritz Schulz, vol.
1 (1951), pp. 279 sqq.
1M
D. 47. 2, 52, 7.
19
The same must have applied if somebody refused to restore a deposit. On the other
hand, however, mere denial of the receipt of a deposit did not as such constitute theft: cf.
Paul. D. 47. 2, 1, 2; Cels. D. 47, 2, 68 pr. ("Infitiando depositum nemo facit furtum"); this
is in line with the principle of "sola cogitatio furti faciendi non facit furem" (Paul. D. 47, 2,
1. 1); for an analysis of the subtle differences, cf. J.A. C. Thomas, "Infitiando depositum
nemo facit furtum", in: Sttldi in otwre de Edoardo Volterra, vol. II (1971), 759 sqq.
2(1
Ulp. D. 47, 2. 43 pr.
21
D. 13, 1, 18. On furtum and false pretences generally, seejolowicz, op. cit., note 12,
pp. XXV sqq. More specifically on the position of a falsus procurator, see Dieter Medicus,
"Zur Leistungsannahmc durch den 'falsus procurator' ", in: Syntelcia Vimenzo Arangh-Ruiz,
vol. I (1964), pp. 214 sqq.; J.A. C. Thomas, "A Note on 'falsus procurator' ", in: Studi in
honore di Giuseppe Grosso, vol. II (1968), pp. 4(19 sqq.
22
This was, of course, a fifth essential difference bet ween the modern and the Roman
concept of theft. Whatever may have been the exact meaning of "contrectatio" (the term is
usually transl at ed as "handli ng", "t ouching", or "some sort of physi cal meddling"; cf.,
however, also David Pugsley, "Contrectatio", (1980) 15 The Irish Jurist 341: "Contrectatio
is a nasty word. . . . It means touching, handling, fondling, pawi ng, interfering with";
according to MacCormack, 1977 Actajitridica 146 sq., these derogatory overtones made the
term suitable for use "in a legal context where the idea to be conveyed is not just 'touching'
but 'illicit touching' "), it did in any event not require the actual asportation of the object (nor
its "apprehension", which § 242 StGB is generally understood to require, in a somewhat free
interpretation of the term "Wegnahme" = "carrying away"). Thus, for example, the defacing
of documents could constitute theft in Roman l aw: cf. Paul./ Ulp./Iul. D. 9. 2, 40-42;
Ulp./ Paul. D. 47, 2, 27-32 and J. A. C. Thomas, "Furtum of Docume nts", (1968) 15 RID A
429 sqq.; idem, "Furtum of documents II", (1969) 20 htra 301 sqq.
21
Jolowicz, op. cit., note 12, p. XX.
24
Paul. D. 47, 2, 67, 2.
25
W. W. Buckland, "Contrect atio". (1941) 57 LQR 470, and many ot hers, assume that
the animals strayed.
2r
' Cf. Paul Huvelin, Etudes sur le fartum dans le Ires anciert droil remain (1915), pp. 380 sq.;
Bernardo Albanese, "La nozione del furtum fino a Nerazio", (1953) 23 Annali Palermo 44 sq.
27
Cf. D. 47. 2, 37. The original version of the decision is reflected in the words "Si
pavonem meum mansuetum, cum de domo mea effugisset. persecutus sis, quoad is perit,
agere tccum furti potero". Pomponius qualified it by adding ". . . ica potero, si aliqms eum
habere coeperit". Cf. Huvelin, op. cit.. note 26, p. 619; Albanese, (1953) 23 Annali Palermo
51 sq.; J.A.C. Thomas, "Contrectatio. complicity and furtum". (1962) 13 lura 82 sqq.
2H
Ulp. IX 47, 2, 52, 22.
29
Aulus Gellms, Nodes Atticae, Lib. XI, XVIII. 14.
30
Cf, for exampl e, Schul z, CRL, p. 572 (referri ng t o Mel a/ Ul p. D. 47, 2, 52, 22).
31
Paul Huvelin, "L'ani mus lucri faciendi dans la theorie romaine du vol". (1918) 42 X'RH
73 sqq.; Emilio Albertario, "Ani mus furandi". in: Studi di diritto rotnano, vol. Ill (1936),
pp. 211 sqq. But see Jolowicz, op. c i t . , note 12, pp. LV sqq.; Thomas, (1968) 19 lura 1 sqq.;
David Pugsley, "Animus furandi", in: Scritti in onore di Antonio Guarino, vol. V (1984), pp.
2419sqq.
32
Cf, for example, David Pugsley (1980) 15 The Irish Jurist 341 sqq. But see Alan
Watson, "Contrectatio as an Essential ofFurtum", (1961) 77 LQR 526 sqq.; j.A. C. Thomas
(1962) 13 lura 70 sqq.; Geoffrey MacCormack, "Definitions: Furtum and Contrect atio",
1977 Actajuridica 129 sqq.
33
Thomas, (1968) 19 lura 28 sqq.; idem, TRL, p. 353; J.P. verLoren van Themaat,
Diefstal en, in verband daarmee, bedrog in die Romeins-Hollandse Reg (1949), pp. 23 sqq., 125 sqq.
4
Thomas, (1962) 13 lura 85; idem, TRL, p. 354 (Contrectatio "is best conceived as some
positive physical interference with, not necessarily entailing actual touching of, the thing
stolen").
35
Op. cit., not e 12, p. 48.
36
(1941) 57 LQR 470 sq.
37
(1961) 77 LQR 526 sqq. a nd "Contrectatio again", (1962) 28 SDH/331 sqq. Contra:
Thomas, (1962) 13 lura 70 sqq. (pointing out that this would mea n that one person can be
liable as an accom plice, eve n though he was not working in concert with the actual thief).
As far as the case involving the toga is c oncerne d, cf. also Jolowicz, op. cit., note 12,
p. XXIV.
3H
MacCormack, 1977 Actajuridica 129 sqq. (quotation from p. 130).
39
Thus, for instance, the terms "dolus malus", "animus furandi", "animus celandi",
"animus lucri faciendi" and others are used to denote the mental element of furtum. On the
factual element of contrectatio, see MacCormack, 1977 Ada Juridica 144: ". . . [an]
extraordinarily wide range of meaning . . . attaches to contrectatio. It is never defined in the
texts and an attempt to express its essence produces some such statement as: contrectatio
denotes a physical connection or contact between the property stolen and the thief. The point
is both that the range of circumstances which might be held to constitute a physical
connection is infinite, and that the opportunity for disagreement is immense." De Wet en
Swanepoel, op. cit., note 1, pp. 301, 311 regard contrectatio as a term without any specific
meaning. On contrectatio, cf. further (apart from the literature already referred to) VerLoren
van Themaat, op. cit., note 33, pp. 8 sqq. and Carel Rainier Snyman, Die animus lucri faciendi
en die toe-eieningsbegrip by diefstal: 'n regsvergelykende studie, (unpublished LLD thesis,
Bloemfontein,
40
1972), pp. 14 sqq.; on lucri faciendi gratia, see Snyman, pp. 33 sqq.
Peter Stein, "School Attitudes in the Law of Delicts", in: Studi in onore di Amaldo
Biscardi,
41
vol. II (1982), pp. 281 sqq.
Cf., for example, Albanese, (1953) 23 Annali Palermo 43 sqq.; Jolowicz, op. cit., note
12,Atpp. XX sqq.; Thomas, (1962) 13 Iura 86 sqq.; Kaser, RPr I, pp. 614 sq.
43
Contra: Peter Birks, (1973) 8 The Irish Jurist 349 sqq.
Cf. Paul. D. 47, 2, 1 pr. (also drawing attention to the equivalent Greek expressions).
For details, see Hubert Niederlander, "Die Entwicklung des furtum und seine etymologi-
schen Ableitungen", (1950) 67 ZSS 253 sqq.
44
Gai. Ill, 195.
4:1
Cf. infra, pp. 975 sqq. On the borderline between furtum and the lex Aquilia were cases
involving the defacing of doc ume nts. Cf., for e xa m ple, Ulp. D. 9, 2, 41, 1 ("Intcrdum
eve nire Pom ponius clega ntcr ait, ut quis tabulas dele ndo fiirci non teneatur, sed ta ntu m
damni iniuriae, ut puta si non animo furti faciendi, sed tantum damni dandi delevit: nam furti
non te ne bitur; c um facto e nim etia m a nim um furis furtum e xigit") and Ulp. D. 47, 2, 27,
3 ("Sed si quis non amovit huiusmodi instrumenta, sed interleverit, non tantum furti actio
locum habet, verum etiam legis Aquiliae: na m rupisse videtur qui corrupit"). Cf. further
supra, note 22 a nd, in particular, Thomas, (1968) 15 RIDA 440 sqq.
4<1
Thomas, (1962) 13 Iura 87.
47
Infra, pp. 977 sqq., 986 sq., 993 sqq.
48
Supra, pp. 664 sqq.
49
For an overvi ew, see Kaser, RPr I, pp. 625 sqq.
50
Thomas, (1962) 13 Iura 87 sq.
51
Cf. Aulus Gellius, Nodes Atticae, Lib. VI, XV, 1.
3
~ Stein, Studi Biscardi, vol. II, pp. 283 sqq.
53
Paul. D. 47,2, 1 pr. For a detailed discussion, see Niederlander, (1950) 67 ZSS 186 sqq.
The English adjective "furtive" retains the meaning suggested by Labeo.
lA Paul. D. 47, 2, 1 pr.; for a discussion, see Niederlander. (1950) 67 ZSS 239 sqq. э5
СЛ. Stein, Studi Biscardi, vol. II, pp. 286 sq.
56
C f . A u l u s G e l l i u s , No d e s A rt i c a e , L i b . X I , X V I I I , 1 3 ; K a s e r , R P r I , p . 1 5 7 .
57
Cf . t he de fi ni t i on o f t he f t p ro vi de d b y A ul us Ge l l i u s, No d e s A t t i c a e , Li b. X I . X V I I I , 2 0
("Verba sum Sabini . . .: Qui alicnam rem adtrectavit, cum id se invito domino facere
mdicare
5H
deberet, furti tenetur").
And where the use of the older terms such as "amovere", "subripere" or "tollere"
would
59
therefore have been inappropriate and misleading.
The development is analysed in detail by MacCormack, 1977 Ada Juridica 131 sqq.
m
The definition of theft in terms of "contrectatio" gave rise to the following problem
that was much discussed among the Roman lawyers ("Volgaris cst quaestio": Ulp. (not
Paul.) D, 47, 2, 21 pr.): if only A part of a heap or collection is taken, does that entail theft
of the whole? The question was of great practical importance, since under the actio furti the
thief was liable for twotold or fourfold the value of the object stolen. As long as actual
asportation was the key element of theft, the answer cannot have been uncertain, but in later
Republican and classical law it was arguable that the removal of part constituted contrectatio
of the whole. Digest 47, 2, 21 preserves a "rather garbled discussion . . . of a medley of
cases" relating to heaps of corn, barrels of wine and beams too heavy for removal by one
person (MacCormack, 1977 Ada Juridka 134). It is impossible to reconstruct the position in
classical law with any degree of certainty. The writers of the ius commune tended to be as
perplexed (cf. Antonius Matthaeus, De Crimittibus (Amstelodami, 1661), Lib. XLVII, Dig.
Tit. 2, Cap. I, 3: "De qua quaestionc Ulpianus and Paulus . . . ita perplexe disserunt, ut
exdamare cum Poeta possis: Quo teneam vultus mutantcm Protea niodo?") as some modern
authors (cf. Pugsley, (1980) 15 The Irish Jurist 350 sq.: "absurd", "ridiculous"). For a
discussion, see Albanese, (!953) 23 Atlitali Palermo 139 sqq.; Jolowicz, op. cit., note 12,
pp. 29 sqq.; J.A.C. Thomas, "Digest 47. 2. 21", in: Syntekia Vituenzo Arangio-Rniz, vol. II
(1964),
61
pp. 607 sqq.; MacCormack, 1977 Ada Juridica 134 sqq.
Neither contrectatio alone (without the appropriate mental attitude) nor the mere
theftuous intent (unaccompanied by a physical element) constituted theft. For the first
proposition, sec Paul. D. 47, 2, 22 pr. ("Si quid tur (regent aut ruperit, quod non etiam
furandi causa contrcctaverit, eius nomine cum eo furti agere non potest"), for the second,
Paul. D. 47, 2, 1, 1 ("Sola cogitatio furti faciendi non facit furem").
"" Supra, p. 664.
"34 Supra, pp. 923 sq.
" _ Gai. Ill, 202.
'° On the distinction between ops and consilium, cf. Ulp. D. 47, 2, 50, 3.
'l6 Ulp. D. 9, 2, 27, 21, as interpreted by Geoffrey MacCormack, "Ope consilio furtum
factum", (1983) 51 TR 271 sqq., 275 sq.; and cf. Albancsc, (1953) 23 Annali Palermo 162 sqq.
67
Cf. Ulp. D. 47, 2, 50, 4; Gai. Ill, 202; Al banese, (1953) 23 Annali Palermo 54 sq.;
MacCor mack, (1983) 51 TR 274 sqq.
68
Cf. infra, pp. 976 sq., 986 sq.
w
For another interesting case of complicity, see Ulp. D. 47, 2, 52, 21: A wants to invest
money by lending it to a person of good credit. He asks В for advi ce, who recommends C.
С is indeed a man of substance. When it comes to handing over the money, however, В
presents someone else (a penniless D, rather than the respectable C) under the name of C.
В and D subsequently share the money. D has committed theft, В is liable "quasi ope . . .
consilioque furtum factum sit". In this case, too. the veteres would not have hesitated to
regard both В and D as act ual thieves: cf. Paul, (ad Pl autium) D. 47, 2, 67, 4.
70
MacCor mack, (1983) 51 TR 283.
71
Huveii n, op. cit ., not e 26, pp. 385 sqq.; Jol owi cz, op. cit., not e 12, pp. LXV sqq.;
Albanese, (1951) 23 Annali Palermo 164 sqq.
72
Cf, for example, Stein, Studi Biscardi, vol. II, p. 285.
73
The crucial text is Lab./Paul. D. 50, 16, 53, 2, on which see, most recently, Stein, Studi
Biscardi, vol. II, pp. 285 sq.. but also MacCormack, (1983) 51 TR 276 sqq.
74
lav. D. 47, 2, 91, 1; Pedius/Paul. D. 25, 2, 21, 1; Pedius/UIp. D. 47, 2, 50, 2; Cels./Ulp.
D. 47, 2, 50, 1; analysed, most recently, by Mac Cormack, (1983) 51 TR 282 sqq.
75
Ul p. D. 47, 2, 50, 2.
7(1
MacCormack, (1983) 51 TR 293.
77
Cf. Gai. IV, 37; Lenel, EP, p. 328; Kaser, RPr I, p. 616.
7H
Ulp. D. 47, 2, 50 pr.: "In furti actione non quod interest . . . duplabitur, sed rci verum
predu m"; cf. also Ulp. D. 50, 16, 193.
79
Ul p. D. 47, 2, 50 pr.
80
Paul. D. 47, 2, 83, 3; cf. also D. 47, 2, 27 pr. sqq.
81
Cf. the argument reported by Paulus in D. 47. 2, 32 pr.: ". . . si iudici, apud quem furti
agatur, possit probari, quantum debitum Juerit, possit etiam apud cum iudicem cadem
probare, apud qucm pecuniam petat: si vero in furti iudicio probare non potest, ne illud
quidem posse ostendi, quanti eius interest." Hence the conclusion of "quidam": "tabularum
dumtaxat existimationem faciendam in furti actione." Paul's own answer to the problem
(". . . potest post furtum factum tabulas nanctus esse actor, ut ex eo probet quanti sua
interfuerit, si tabulas nanctus non esset") has been described, appositely, as "partial and
rather desperate": Thomas, (1968) 15 RIDA 436.
For a discussion, see Medicus, Id quod interest, pp. 233 sqq.; Franz Wieacker, "Furtum
tabularum", in: Synteleia Vincenzo Aranyio-Ruiz, vol. I (1964), pp. 562 sqq.; Thomas, (1968)
15 RIDA 432 sqq.
83
Possibly under the influence of the developing conception of interesse in the lex Aquilia
(cf.H4infra, pp. 969 sqq.): Thomas. (1968) 15 RIDA 437 sqq.
Paul. Sent. II, XXXI, 32.
85
Cf. Medicus, Id quod interest, p. 232.
86
Cf. still Inst. IV, 1, 19.
87
Iul. D. 3, 2, 1; Paul. Sent. II, XXXI, 15.
88
Pap. D. 47, 2, 81, 1.
89
Cf. supra, pp. 397 sqq.
40
Cf. for example, supra, pp. 192 sqq.
91
Gai. Ill, 205.
92
Ulp. (possibly Sab.) D. 47, 2, 10; the rule is also referred to in Quintus Mucius
Scaevola/Pomp. D. 47, 2, 77, 1. Gaius has "[cuius] interesit rem non perirc" and "[cuius]
interest rem salvam esse".
93
Iul. D. 47, 2, 59; Gai. D. 19, 2, 6, For further details concerning both locatio conductio
operis and rei , see Frit z Schul z, "Di e Akti vl egiti mati on zur acti o furt i i m kl assi schen
romischen Recht ", (1911) 22 ZSS 59 sqq.
94
Gai. Ill, 206; Mod. Coll. X, II, 6; cf also C. 6, 2, 22, 1; Schulz, (1911) 32 ZSS 37 sqq.
95
Gai. Ill, 204 ("Unde constat creditorem de pignore subrepto furti agere posse"); Paul.
D. 47, 2, 15 pr.; Paul. D. 47, 2, 88; Hans Ankum, "'Furtum pignoris' und 'furtum fiduciae
(II)", (1980) 27 RIDA 95 sqq.; Max Kaser, " ' Furtu m pi gnori s' und ' furt u m fi duci ae' ",
(1982) 99 ZSS 249 sqq.; cf. also Schulz, (1911) 32 ZSS 43 sqq. But the question has been
(and still is) cont roversi al; for cont rary vi ews and i nterpret ations, c(. J. A. C. Thomas,
"Furtum pignoris: a commentary on the commentaries", in: Studi in onore di Cesare
Sanf ili ppo, vol. I (1982), pp. 585 sqq.; G. C. J.J. van den Berg h, "Cust odi a and furt um
pignoris", in: Studi in onore di Cesare Sanfilippo, vol. I (1982), pp. 601 sqq.; cf. also still Max
Kaser, "Besitzpfand und bcsitzloses Pfand", (1979) 45 SDHI63 sqq. The answer depends on
whether one accepts (1) that the pledgee was liable for custodia and (2) that his entitlement
to the actio furti rested on this custodia liability rather than on his security interest. It is
interesting to not e that Gaius discusses the position of the pl edgee (without reference to
custodia) before he deals with fullo, sarcinator and commodatary (where he specifically links
entitlement to the actio furti and custodia). It may therefore well be that in earlier classical
law the pledgee's security interest (based on his real right in the object pledged to him) was
regarded as the relevant criterion; the actio furti would then have been granted to the pledgee
onl y up t o d ou bl e t h e v al u e o f t h e cl ai m t h at wa s s e c u re d b y t h e pl e d g e b ut t o t h e
plcdgor/owner for (double) the amount by which the value of the pledge exceeded the clai m;
cf. al so Ul p. D. 47, 2, 12, 2; Ulp. D. 47, 2, 14. 5-7 and Kaser, (1982) 99 ZSS 255 sqq.
96
Supra, pp. 208 sqq.
97
Gai. Ill, 207.
'IH Cf. Ulp. D. 47, 8, 2, 22 sq. and Kascr, (1979) 45 SDHI 72. For
details cf. supra, p. 287.
100
Ulp. D. 47, 2, 14 pr.
1
Cf. Pap. D. 47, 2, 81 pr. ("Si vendidcro neque tradidero servum et is sine culpa mea
subripiatur, magis est, ut mihi furti competat actio: et mca videtur interesse, quid liominium
apud me fttit"); for all details, sec Max Kaser, "Die actio furti des Vcrkaufers", (1979) 96 ZSS
118 sqq".
10
~ Gai. Ill, 205; cf. also Ulp. D. 47, 2, 12 pr. (who provides the following reason: "пат
qui non habet quod perdat, eius pcriculo nihil est").
1(13
Paul. D. 47, 2, 13.
104
Such interest was in any event only recognized if it arose "ex honesta causa": Pomp.
D. 47, 2, 77, 1 (dealing with the situation where a thing was stolen from a thief; the first thief
may not bring the actio furti against the second one "ideo quod domino intcrfuit, non prioris
furis, ut id quod subrc ptum et salvum essct").
1115
Ulp. D. 47, 2, 46, 1-6; lav. D. 47, 2, 75; Ulp. D. 47, 2, 52, 30; Iul./Paul. IX 47, 2, 54, 4;
Kaser, (1979) 96 ZSS 103 sq.; idem, "Grenzfragen der AktivJegitirnation zur actio furti". in: De
iustitia et hire, Festgabejtir Ulrich von Liibtow (1980), pp. 291 sqq.
106
On the significance of quadruplum cf. Vmcenzo Arangio-Ruiz, "La repression du vol
flagrant ct du non flagrant dans I'ancicn droit roniain", in: Scritti di diritto romano, vol. II
(1974), pp. 371 sqq. (unconvincing); contra, for example, Honsell/Mayer-Maly/Selb,
p. 359. For a general discussion, cf. Kelly, Roman Litigation, pp. 153 sqq.
107
For Justinianic law, cf, lust. IV, 1, 3 sqq.
108"This point is also emphasized by Jolowicz, op. cit., note 12, pp. LXVIII and others.
1)4
Some writers of the ius commune even took the view that non-manifest [heft was the
more serious offence: cf. infra, note 185. Others who defended the traditional distinction
(which was still preserved in artt. 157 sq. of the Constitutio Criminalis Carolina) drew
atte ntion to the fac t that the a ppre he nsion of the thief was ve ry disgrac eful ("quia
deprehensio tanta rurpitudo") and gave rise to clamour and commotion ("quia clamorem.
tumultum . . . excitavit"): cf. Heinrich Janssen, Der Diehstahl in seiner Entwicklung von der
Carolina bis ziim Ausgang des 18. Jahrlutmierts, (unpublished Dr. iur. thesis, Gottingen, 1969),
pp. 69 sq, (with the quotations from a com mentary on the Carolina by Joha nn Paul Kress
from 1721). For a more frivolous comment, cf. Plucknctt, History, p. 447: "No reasons seem
to be evident for the rule [sc: that the manifest thief fared much worse than the one whose
guilt was only established after a lapse of time] . . ., but some savages are said to adopt it as
a special c onde m nation for those who are not merely thie ves, but inc om pete nt thie ves."
1(1
On concept and etymology of furtum manifestum, see Fernand dc Visscher, "Le 'fur
manifestos' ", (1922) 46 RH 442 sqq. (unconvincing); contra: Ernst Rabel, (1932) 52 ZSS 473
sqq.; cf. also the disc ussion by Jolowicz, op. cit.. note 12, pp. LXVIII.
Cf. Gai. Ill, 185 ("nam quod manitestum non est, id nee manifestum est"); Gai. I ) . 47,
2, 8 ("Nee manifestum turtum quid sit, apparet: nam quod manifestum non est, hoc scilicet
nee ma nifestum est"). Cf. also MacCormack, (1983) 51 TR 271.
112
". . . discreditable example of Roman conservatism": Dc Zulueta, Gains II, p. 199; cf.
also Thomas, Institutes, p. 264.
113
For Germanic law cf. Hcinrich Brunner/Claudius Freiherr von Schwcrin, Deutsche
Rechtsgeschichte, vol. II (1928). pp. 626 sqq.; for the old English common Saw, cf. Pollock and
Maitland, vol. II, pp. 495 sqq.; cf. also Stephen, op. cit., note 9, p. 132, who draws attention
to the fact that the division of thefts into manifest and non-manifest theft by Bracton was
taken directly from Roman law.
114
Op. cit., note 12, p. LXIX.
115
Cf. also Pollock and Maitland, vol. II, p. 495 (". . . we doubt whether we can wholly
acquit our forefathers of the [il-|logical idea that half-proven guilt is proven half-guilt").
h(>
Ancient Law, p. 223.
117
Cf. supra, pp. 915 sqq.
ин
119
Cf. Gai. Ill, 189.
On which see, most recently, Walter Selb, "Vom geschichflichcn Wandel der Aufgabe
des 'iudex' in dcr 'legis actio'", in: Geddchtnisschnft fiir Waljgatig Kunkel (1984), pp. 423, 443;
Max Kaser, "Unmittelbare Vollstreckbarkeit und Burgcnrcgrcss", (1983) 100 ZSS 94. For
a parallel in the old English common law (summary mode of dealing with "hand-having"
thieves), see Pollock and Maitland, vol. II, pp. 160 sq.
1211
Aulus Gellius. Nodes Atticae. Lib. XI, XVIII, 8.
121
Tab. 8, 12.
122
Ta b. 8, 13. Cf. ge nera lly the sourc es a nd literature in Kaser, RPr I, p. 158 (n. 34);
Wieac ker, RR, p. 244 (n. 38); also Jolowicz, op. cit., note 12, pp. LXXIV sq.
123
Cf, Gai. D. 9, 2, 4, 1 ("c um clam ore testificfare]"). On the parallel in Germanic law
("Geriifte"), see Wieacker. Festschrift jtir Leopold Wenger, vol. I (1944), pp. 129 sq.; for
Engla nd, cf. Polloc k a nd Maitla nd, vol. II, pp. 160 sq.
'~ 4 Gai. Ill, 190; cf. tab. 8, 16, as reconstructed on the basis of Festus. De verhomm
signification?, sub "ncc" (but see Rcuven Yaron, "Si adorat furto", (1966) 34 TR 510 sqq.).
The duplum is perhaps explainable, originally, as a form of taliation: the defendant must be
pla c e d i n t he sa m e p ositi o n, fi na nc ia ll y, a s he ha d pla c e d t h e pla i ntiff. C f. Ke ll y,
Roman Litigation, pp. 154 sqq.; Detlef Liebs, "Damnum, damnare und damnas", (1968) 85
ZSS 191 sq.
Cf. Sc hulz, CRL, p. 582; Watson, Obligations, pp. 231 sq.; as far as slaves were
concerne d, cf. still Pom p. D. 12, 4, 15.
12f)
Gai. Ill, 189.
12
The following were the main differences between the actio furti nee manifesti and the
actio furti manifesti: the former had a formula in ius concepta (thus, it applied only to Roman
citizens; to peregrini it had to be extended by way of fiction: cf. Gai. IV, 37 and De Zulueta,
Gains II, p. 257). it la y for double the va lue a nd c ould be brought a ga inst the main
perpetrator as well as his accomplices (on account of the "ope vc consiliove" clause). The
actio furti manifesti had a formula in factum concepta (since it was a praetorian creation), lay
for fourfold the value a nd c ould only be brought a gainst the thief himself, not against any
of his accomplices (the formula did not contain the "opevc consiliove" clause; reason: "[i]s,
qui ope m furtum facienti fert, num qua m ma nifestus est: itaque accidit, ut is quidem, qui
opem tulit, furti nee manifesti, is autem, qui deprehensus est, ob eandem rem manifesti
teneatur").
l2
* For what follows, see Gai. Ill, 184; Ulp. and Paul. D. 47, 2, 3-7; Inst. IV, 1, 3; Dc
Visschcr, (1922) 46 RH493 sqq.; Rabel, (1932) 52 ZSS 475 sqq.; Jolowicz, op. at., note 12,
pp. LXXHI sq.
129
Gai. Ill, 184. For interesting case law, see Ulp. D. 47, 2, 7, 1-3.
130
Inst. IV, 1, 3.
131
Iul. / Ul p. D. 47, 2, 3, 2. Gai us' obj ect i on t o t hi s sol uti on (". . . magn a m re ci pit
dubitationem utrum unius did an etiam pl uri um di erum spati o id t ermi nandum sit") was
answered by accepting the limitation suggested by Paul (" 'Quo destinaverit quis auferre' sic
accipiendum est 'quo destinaverit eo die manere eum eo furto' ").
'" Cf, for exampl e, Rei nhart Maurach, Fri edri ch-Chri sti an Schroeder, Straf recht ,
Besonderer Teil, Part I (6th ed., 1977). § 34 I II В I. The moment of apprehensio is generally
regarded as relevant today (that is, a contrectatio that amounts to an assumption of control
and gives the thief the opportunity to remove the object). 1 doubt whether this correctly
reflects the meaning of the notion of "Weynahme" (taking away), as used in § 242 StGB.
ш
Gai. Ill, 192; Aulus Gellius, Nodes Atticae, Lib. XI, XVIII, 9.
134
For similar ritualistic searches in other early legal systems, c(. Claudius Freiherr von
Schwerin, Die Formen der Haussuchim% in iridoqermanischen Rechten (1924).
135
III, 193.
" ' ". . . neutrum conim procedit, si id quod quaeratur eius magnitudinis aut naturae sit,
ut nc que subici ne que ibi im poni possit."
137
For an overview, cf., for example, Egon Weiss, "Lance et licio", (1922) 43 ZSS 455
sqq^; Fra nz Hora k, RE, vol. XXIV, c ol. 788 sqq.; Wica c ker. RR, p. 245.
™ Romisches Stra/recht, p. 748.
139
For a detail ed analysis, cf. Joseph Georg Wolf, "Lanx und licium. Das Ritual der
Haussuchung i m altromischen Recht". in: Sympotka Franz Wieacker (1970), pp. 59 sqq.
140
Cf. Watson, Obligations, pp. 232 sq.
141
Gai. Ill, 193 ("quac res ridic ula cst").
142
Gai. Ill, 186, 191; Aulus Gcllius, Nodes Atticae, Lib. XI, XVIII, I t . Cf. David Daubc,
"Some Comparative Law— Furtum conceptum", (1937) 15 77? 48 sqq.; Jolowicz, op. cit.,
note 12, pp. LXXV sqq.; De Zulueta, Gains II, pp. 201 sqq.; Jolowicz/Nicbolas, pp. 168 sq.
Of course, it could happen that the object had not in fact been stolen by the occupier of the
premises but had been placed there by someone else. If that was the case, the latter was liable
to the occ upier under an actio furti oblati: Gai. Ill, 187, 1'Jl.
143
Gai. Ill, 188, 192. By the time of Justinian not only the actio furti prohibit! but also the
actiones furti concepti and oblati were obsolete: hist. IV, 1, 4.
144
". . . neque ca res arbitrio tuo restituetur": the clausula arbitraria. 14:1
Like all other actiones in rcm: lust. IV, 6, 17.
146
Gai. IV, 7.
147
Supra, note 13.
14 M
Cf. supra, note 15. Generally on the relationship between contractual liability and
redress for furtum in locatio conductio, and on their interplay, seej. A.C. Thomas, "Furtum
and locatio conductio", (1976) 11 The Irish jurist 170 sqq.
144
Ulp. D. 13, 1, 1 ("In furtiva re soli domino condictio competit"). For further details, see
Wolfram Pika, Ex causa furtiva condicere im klassischeti romischen Recht (1988), pp. 35 sqq.
15(1
Cf., for example, supra, pp. 6. 835.
15
' IV, 4.
152
For a discussion, see Pika, op. cit., note 149, pp. 20 sqq. It is likely that the condictio
was extended to cases of furtum at a time when "dare oportere" had not yet acquired the
technical meaning of "to have to tra nsfer ownership". Cf. further Pernice, Labeo, vol. I l l ,
p. 233; Schwarz, Condictio, p. 278; Roy Stone, "Gaius noster and 'Res nostra' ", (1966) 83
ZSS 357 sqq.; Ka scr, RPr I, p. 618; but cf. also Liebs, Klagenkonkumnz, pp. 96 sq.
1э э
" Possibly not under that name, though: Schwarz, Condictio, p. 53; Pika, op. cit., note
149, pp. 21 sq.
154
Gai. IV, 8; cf. a lso lul./Ulp. D. 11, 3, 11, 2 (". . . qua m vis e nim c ondictione
hominem, poe nam autem furti actione consecutus sit 11 ); Ulp. D. 13, 1, 7, 1; Pika, op. cit.,
note 149, pp. 28 sqq.
155
Ul p. D. 13, 1, 10 pr.
156
Pom p./Ulp. D. 47, 2, 21, 10: "Qua m vis a ute m earum quoq ue re rum , quas quis non
abstulit, furti teneatur, attamen condici ei non potest, idcirco quia condici ea res, quae ablata
est, potest: e t ita Po m ponius scribit."
157
U lp . D . 1 3 , 1 , 1 0 p r.
158
D. 13, 1, 20.
b9
Liebs, KlagettkoYikttrrenz, pp. 136 sqq.; Pika, op. ci t . , note 149, pp. 30 sqq.
160
Apart from that, the plaintiff did not (as under the rei vindicatio) have the notoriously
difficult task of proving his quiritary ownership. A third point was that, as a result of "fur
semper in mora", the defendant was condemned into the highest value that the obj ect had
had since the commission of the theft (i.e. the plaintiff was indemnified for lucrum cessans):
Ulp. D. 13, 1, 8, 1; Paul. D. 13, 1, 13; Tryph. D. 25, 2, 29. For condemnation under the rei
vindicatio the time of litis contestatio was releva nt. On the adva nta ges of the condictio ex
causa furtiva, cf. generally Gluck, vol. 13, pp. 212 sqq.; Pieter Pauw, "Historical Notes on
the Nature of the c ondictio furtiva ", (1976) 93 SALJ 396.
161
Gai. D. 47,2, 55, 3; Ulp. D. 13, 1, 7 pr. and 1; Le vy, Konkumnz, vol. I, pp. 416 sqq.,
428 sq.; Lie bs, Klagenkonkurrenz, pp. 91 sqq.; Pika, op. cit., note 149, p. 108.
163
For the technical details, sec Pomp. D. 47, 2, 9, 1; Levy, Konkurrenz, vol. II, pp. 90
sqq.; Pika, op. dr., note 149, pp. 109 sqq.
1
'■ If a wife, in view of an imminent divorce, had stolen something from her husband, a
special actio rerum amotarum (here the edict used the term "amovere" as opposed to merely
"contrectare") was made available by the praetors to the husband (in classical law wives
enjoyed the same protection against thefts by their husbands). It was a purely reipcrsecutory
remedy and appears to have been introduced because theft was regarded as conceptually
impossible between husband and wife (". . . quibusdam existimantibus ne quidem furtum
earn [i.e.: the wife] facere, ut Ncrva Cassio, quia societas vitae quodammodo dominam cam
faceret": Paul. D. 25, 2, 1). The actio rerum amotarum thus replaced both the actio furti and
the condictio ex causa furtiva. Later, however, it was argued that theft was in fact possible
in this situation, but that the matrimonial reverence owed by the spouses to each other
prevented them from suing each other with the actio furti, a remedy which was penal and
entailed infamia (". . . aliis, ut Sabino et Proculo, furto quidem cam facere . . . . sed furti non
esse actionem constitute» iure . . . nam in honorem matrimonii turpis actio adversus uxorem
negatur": Paul. D. 25, 2, 1 and Gai. D. 25, 2, 2). This docs not, however, explain why the
condictio ex causa furtiva should have been excluded between husband and wife; in fact, it
may well have become available as an alternative remedy (perhaps only through Justinian's
intervention) to recover the stolen property. Whether or not the condictio ex causa furtiva
may be brought by spouses against each other has always remained disputed (cf., for
example, Gliick. vol. 28, pp. 48 sq. on the one hand, Windscheid/Kipp, § 454, n. 24 on the
other). Those who answered the question in the affirmative usually argued that the actio
rerum amotarum had been abrogated by disuse, since it did not give the spouse anything
over and above what he could obtain by the condictio (Wmdscheid/Kipp, loc. cit.). For all
details on the development and scope of application of the Roman actio rerum amotarum,
see Andreas Wacke, Actio rerum amotarum (1963), passim; Liebs, Klayenkonkiirrenz, pp. 146
sqq.; Kaser RPr I, pp. 618 sq.; idem, RPr II, p. 436, M For an example, cf. supra, p. 939
(with note 132).
ш
TRL, p. 360.
166
Cf. also Kelly, Roman Litigation, pp. 162 sq. (". . . the classical actio furti . . . must
have been in practice a fairly useless remedy").
167
Cf., for exa mple, Mom mscn, Strafrecht, pp. 260 sqq., 346 sqq, and passim; A.H.M.
Jones, The Criminal Courts of the Roman Republic and Principate (1972), pp. 107 sqq.;
Jolowicz/Nicholas, pp. 401 sqq. Some thefts were public offences already under Republican
law—for e xa m ple, pla gium (kidna pping: D. 48, 15; M om mse n, S trafrecht, pp. 780 sqq.;
Berger, ED, p. 632) and abigeatus (cattle-rustling; D. 47, 14; Mommsen, Strafrecht,
pp. 775 sq,)— ma ny others were a dde d under the Principate (on furtum balnea num, theft
com mitted in a bath-house, see D. 47, 17; on the crime n cxpilatae hercditatis, 15. 47, 19;
Mommsen, Strafrecht, pp. 777 sqq.; Berger. ED, p. 418); generally cf. Mommsen, Strafrecht,
pp. 733 sqq., 760 sqq.; cf. also Jolowicz, op. c it., note 12, pp. Xll sqq.
lf>H
For a similar process in the history of the early common law, cf. Pollock and Maitland,
vol. II, pp. 157 sqq., 494 sq.
lr 9
' Ge nuine, according to Kaser. RPr I, p. 617; ide m, RPr II, p. 435.
17(1
D. 47, 2. 57, 1 (suspected by Jolowicz, op. cit., note 12. pp. 8f> sq. and others).
171
He eve n em phasized that it was ope n to the victim of a theft to resort to civil rather
than criminal proceedings: cf. I). 47, 2, 93 in fine (interpolated: Ka ser, RPr I, p. 435).
172
They were not received in France: cf. Auguste Dumas, Histoire des obligations dans
I'ancien droit fraticais (1972), pp. 33 sq.; Coing. pp. 506 sq.
173
Cf. VerLore n va n The maat, op. cit., note 33, pp. 38 sqq.; Snyman, op. cit.. note 39,
PP- 45 sqq.
Cf., tor example, Gudelinus, Commetitani de iure novissimo , Lib. I I I . Cap. XIII, n. 18
(". . . fisc o solo poe nas ob vindicta m publica m iudicio criminati perse que ntc "). On the
factors militating against dealing with crime by way of delicta pnvata in general, cf. Coing,
pp. 504 sqq. On the history (and eventual decline) of the poena dupli generally, see Karl Otto
Schemer, "Der doppelte Fahrpreis oder dcr Geist des dcutschen Privatrechts", in: Wege
europdischer Rechtsgeschichte, Karl Kroeschel! zum 60. Geburtstag (1987), pp. 361 sqq., 367 sqq.
l7r>
Artt. 157, 158. In the case of art 157 the thief was, however, liable to be incarcerated if
he could not pay the duplum (in accordance with the maxim "qui non habet in acre, luat in
corpore "; cf. Ulp. D. 48, 19, 1, 3 in fine); acc ording to art. 158, c onde m nation in
quadruplum was applicable only if the thief was a respectable person and provided one could
expect him to im prove his wa ys (otherwise the penalties were pillory, whipping a nd
ba nishme nt). Neither the duplum nor the qua druplum a ppears to ha ve bee n a pplie d in
practice: cf. H. Holz ha uer, HRG, vol. Ill, c ol. 1996.
17(1
Lauterbach, Collegium theoretko-practicum. Lib. XLVII, Tit. I, XLV1I.
177
Stryk, Usus mademus pandectamm. Lib. XLVII, Tit. I, § 1.
178
Cf. Gudelinus, op. at., note 174, Lib. Ill, Ca p. XIII: ". . . om nes ac tiones a pud nos
reipersecutorias esse dicendum cst earumque om nium conceptionem esse in simplum."
79
As far as Holland was concerned, cf. Groenewegen, De iegibus abrogatis, Inst. Lib. IV,
Tit. I, § 5 poena; Voet, Commentarhis ad Pandectas, Lib. XLVII, Tit. I I , XV.
iao
At the same time, the distinction between manifest and non-manifest theft became
obsolete.
181
Wachter, Pandekten, § 214; Windscheid/Kipp, § 453, 2.
182 rjcrnburg, vol. II, § 130 in fine; cf. also Amdts, Pandekten, § 323 in fine.
- Originally, every act of theft carried capital punishment. According to art. 160 CCC
(dealing with furtum magnum) the judge was no longer obliged to impose the death penalty.
For details cf. Ja nsse n, op. cit., note 109, pp. 91 sqq. For Engla nd cf. Ste phe n, op. cit.,
note 9, p. 129; Polloc k a nd Maitla nd, vol. II, pp. 495 sqq.
184
Cf. artt. 157 sq. as opposed to art. 160 CCC. For a definition, cf., for example,
Lauterbach, Collegium theoretico-praaicum. Lib. XLVII, Tit. II, XII ("Ab Objecti quantitate in
M a gnu m , sec un dum Co nst. Car. quod 5 solidos vel a ure os e orum ve ae stima tione m
continet, vel excedit; et Parvum, quod est intra illam summam"); for a discussion of the
distinction and its historical foundations, seejamsen, op. cit., note 109, pp. 68 sqq., 82 sqq.
For England, where "both an old English and an old Frankish tradition may have conspired
to draw the line between 'grand' and 'petty larceny' at twelve pence", see Pollock and
Maitland, vol. II, pp. 495 sqq.; Holdsworth, vol. Ill, pp. 366 sq.
lib
This distinction related only to petty theft and it determined whether the thief had to
pay duplum or quadruplum: see artt. 157 sq. CCC, Whether it derived (via the Italian
jurisprudence) trom Roman law or from Germanic roots is disputed: cf. Janssen, op. cit.,
note 109, pp. 6H sq. It appears that already by the beginning of the 17th century the
distinction was no longer observed in practice. Some authors even claimed that manifest
theft deserved to be punished more mildly, not more severely, than non-manifest theft;
among these authors were Carpzov, who argued (on the basis of the theory of ablatio; on
which cf. supra, p. 939) that manifest theft was tantamount merely to attempted theft, and
Johann Paul Kress, who drew attention to the fact that the manifest thief did not usually
cause any damage, since he was able to return the object stolen: cf. Janssen, op. cit., note 109,
pp. 71 sq.
186
C (. a rt. 1 7 0 C C C e co n tra rio .
187
Cf. R. Lieberwirth, "Oicbstahl", in: HRGt vol. I, 1971, col. 730 sq.; Snyman, op. cit.,
note 39, pp. 55 sqq. This view of theft prevailed throughout the history of the English
common law: "There can . . . be little doubt that the 'taking and carrying away', upon
which our later law insists, had been from the first the very core of" the English idea of theft.
'He stole, took and carried away': this is the charge made against the thief." Even Bracton's
definition of the crime in terms of contrectatio (cf. supra, p. 923, note 10) did not change
that, for the notion of contrectatio was "narrowed down to the case where there has been an
actual physical change of possession effected by the act of the thiet without the consent of the
person entitled to the goods" (Holdsworth, vol. Ill, p. 361); cf, further Stephen, op. cit.,
note 9, pp. 134 sqq. In the same vein, the Larceny Act of 1916 still provided that "a person
steals who, without the consent of the owner, fraudulently and without a claim of right
made in good faith, takes and carries away anything capable of being stolen with intent, at
the time of such taking, permanently to deprive the owner thereof". The expression "carries
away", it was further specified, "includes any removal of anything from the place which it
occupies, but in the case of a thing attached only if it has been completely detached". This
definition of theft obviously did not include embezzlement, which, in turn, was made a
separate crime in 1799 (with regard to servants or clerks; later extended to other persons
too). For details, see Stephen, op. cit., note 9, pp. 152 sqq.; Plucknett, History, pp. 449 sqq.
and s. 17 of the Larceny Act of 1916. The Theft Act of!968, however, has redefined theft
so as to include (inter alia) embezzlement; it no longer requires an act of asportation but
refers, instead, to the dishonest appropriation of property belonging to another. For details,
see Smith, op. cit., note 4, nn. 17 sqq.
188
Friedrich Schaffstein, Studien zur Entwicklung der Deliktstatbestande im Gemeinen
Deutsche» Strafrecht (1984), p. 35.
184
For a discussion, see Janssen, op. cit., note 109, pp. 4 sqq.
" That is, at the very time whe n public law (of which criminal law is a prominent part;
cf. Ulp. D. 2, 1, 3) emerged as a scientific discipline in its own right—a process which has
re ce nt l y be e n anal yse d by M i chae l St oll ei s, G e sch ich te d e s of fen t li chen R ech t s in Deu t sch land ,
vol . 1 ( 1988) .
141
Cf. t he obse rvati on by V i nni us, I ti sti tu tion e s, Li b. I V, T i t. I , 6, base d on t he e xampl e
discusse d in Paul. D . 47, 2, 40.
192
Pra ct ica no va, op. ci t ., note 8, Pars II , Quacst . LXX XV , 1; for a di scussi on of
Carpz ov's doctrine (and also of his fellow Sa xonia n Matthias Berlich's work, on whic h it
wa s base d), see ja nsse n, op. cit., note 109, pp. 8 sqq., 13 sqq.
193
For details of the de velopm e nt, seeja nsse n, op. cit., note 109, pp. 17 sqq., 26 sqq.,
42 sqq.; cf. also Lieberwirth, op. cit., note 187, col. 733 sqq.
14
Cf. supra, p. 922; for the de velopm e nt in Engla nd (where the narrow, Germ a nic
concept of theft had always been adhered to), see Stephen, op. cit., note 9, pp. 145 sqq.;
Pluc knett, History, pp. 446 sqq.
195
That is, where they did not at the same time fulfil the requirements of any of the other
crimes (as, for exa mple, fraud).
196
Gluck, vol. 13, pp. 229 sqq.; Wachtcr, Pandekten, § 214; Windscheid/Kipp, § 452.
197
On the nature of the c ondictio e x ca usa furtiva, cf. Pika, op. cit., note 149, pp. 102
sqq.; Gluc k, v ol. 1 3, pp. 23 0 sqq.; Pa uw, (19 76) 93 SA L J 39 6 sqq.; W indsc he id/Kip p,
§§ 425, 453, 1; Baron, Pandekten, § 311. II.
198
"Motive", in: Mugdan, vol. II, p. 475.
199
Infra, p. 1036; cf. also Hugo Grotius, lnleiding, III, XXXVII, drawing together
da m a ge to property a nd theft under the he a ding of "misdae d te ge ns goe d" (on whic h see
Stnit v. Saipem 1974 (4) SA 918 (A) at 929 sq.).
2(X1
Cf. supra, pp. 889 sq.
201
For a detailed analysis of Roman-Dutch law, cf. VerLoren van Themaat, op. cit., note
33, pp. 61 sqq.; cf. also Snyman, op. cit., note 39, pp. 61 sqq. The main respect in which
the Roman-Dutch crime of theft appears to have differed from the Roman delict of furtum
was that depositaries, borrowers, pledgees, etc., exceeding their contractual rights in respect
of the thing, were not liable "moribus nostris" to criminal prosecution; reason: "quasi
minores sint tales a pudorc recessus, quam ut infamiae et corporali subjacerent coercitiom"
(Voet, Commentarius ad Pandectas, Lib. XLVII, Tit. II, XV); cf. also Groenewegen, De legibus
abrogatis, Inst. Lib. IV, Tit. I, § 7 placuit; Vinnius, Institutiones, Lib. IV, Tit. I, 6; but see also
the analysis by VerLoren van Themaat, op. cit., note 33, pp. 132 sqq.
202
Cf. supra, note 187.
203
An important catalyst in this reception process was the Native Territories' Penal Code
of 1886 (applicable in Transkei). Its definition of theft (copied from Sir James Fitzjames
Stephen's draft Cri minal Code) was substantially adopted by the most prominent South
African textbook (Gardiner and Lansdowne, p. 1082) when it first appeared in 1919. In the
same year, the definition was adopted by Kotze JP in R v. Siboya 1919 EDL 41 at 43 sq.
KotzeJP (one of the most influential judges in the late 19th and early 20th centuries) seems
to have had a particular predilection "om ons gemene reg oor diefstal in die [Transkeian
Penal Code] te soek" (De Wet en Swanepoel, op. cit., note 1, p. 311; cf. also pp. 313 sq.).
For another prominent example of this tendency, cf. R v. Carehe and Kay 1920 CPD 471 at
474 (per KotzeJP), where s. 180 of the Native Territories' Penal Code is referred to as
authority for the proposition that theft requires actual asportation.
204
For a concise summary of where South African courts have followed and where they
have refused to follow English law, cf. Milton, op. cit., note 1, pp. 601 sqq. According to
j.C. de Wet (De Wet en Swanepoel, op. cit., note 1, p. 307), this partial reception of English
law has turned theft into " 'n byna onhanteerbare regsfiguur". "So seer is dit die geval", he-
continues, "dat daar vandag op hierdie terrein omtrent geen reel is waaroor daar duidelikheid
en censt emmi gheid best aan nie."
205
Percivat Gane, The Selective Voet, vol. VII (1957), p. 150.
206
Cf., in this cont ext, the remarks by MacCormack, quoted supra, note 39.
207
Cf. R v. Tarusika 1959 (1) R & N 51 (SR) at 51-2, where contrectatio is defined as a
mere "touching or handling [of] the thing with a view to its asportation". Contra ("[a] mere
touching of the thing is not enough") Milton, op. cit., note 1, p. 607 ; cf. also VerLoren van
Themaat, op. cit., not e 33, p. 71 (". . . uit ons hofbeslissmgs blyk dat blot e aanraak ni e
voldoende is nie maar hantccr vcreis word").
2(№f
Milton, op. cit., note 1, pp. 607 sq.
2m
De Wet en Swanepoel, op. cit., note 1, pp. 308 sqq.; contra: Milton, op. cit., note 1,
p. 608.
210
R v. Makonit 1942 OPD 164 at 165.
211
According to R P. Strydom 1952 (2) SA 397 (T) at 399H-400A, in the case of theft of
money the mani pul ati on of cheques or a book ent ry may constit ut e a cont rect ati o even
without the actual physical handling of any individual coins; but "[w)hen it comes to theft
of an individual object such as a beast . . . the rule still seems to be that there must be an
actual physical dealing with the thing concerned or some conduct which is akin to physical
handling. As an example of the latter type may be mentioned the case where a bird or animal
the property of another is enticed into an enclosure and captured and appropriated". Contra:
Milton, op. cit., note 1, p. 607.
212
Cf. R v. Nerera 1939 SR 297 at 299; R v. Carehe and Kay 1920 CPD 471 at 474 (both
under the influence of English law; cf. s. 1 of the Larceny Act of 1916). Contra: Moodley v.
Я (1914) 35 NLR 514 at 519; Я с. Mlooi \92S AD 131 at 152; Milton, op. cit., note 1, pp. 606
sq.; Snyman, op. cit., note 39, p. 209. English law itself has now abandoned this criterion.
~1 3 Op. cit,, note 1, p. 603. Cf. also the detailed discussion (33 pages) by VerLoren van
Themaat, op. cit., not e 33, pp. 66 sqq. (whose work also cont ains a val uabl e analysis of
contrect atio i n Roman l aw: pp. 8 sqq.). Dc Wet (De Wet en Swanepoel , op. cit ., not e t ,
p. 311) argues that already in Roman law contrectatio was " 'n uitgediende uitdrukking
sonder *n spesifieke betekenis".
214
R v. Siboya 1919 EDL 41 at 43 sq.; Milton, op. cit., note 1, pp. 621 sqq.; Snyman, op.
cit., note 39, pp. 222 sqq.; but sec VerLoren van Themaat, op. cit., note 33, pp. 125 sqq.
English law itself has toyed for some time with the idea of including lucri faciendi gratia into
the definiti on of t heft (cf. Bl ackst one, Commentaries, Book IV, chapt er XVII, I and the
discussion by Snyman, op. cit., note 39, pp. 167 sqq.); it was rej ected only in the case of
R v. Cabbage (1815) Russ & Ry 292.
215
Cf. the analysis by Milton, op. cit., note 1, pp. 616 sqq.; Snyman, op. cit., note 39,
pp. 235 sqq.; but see also De Wet en Swanepoel, op. cit., note 1, pp. 312 sqq., who argue
that the essential requirement is "die bedoeling van die dader om horn die goed toe te eien".
216
Cf, for example, R v. Fortuin (1883) 1 Buch AC 290 (theft of the use of an ox is not
a crime).
217
R v. Mtaung 1948 (4) SA 120 (O).
218
Cf. supra, p. 945 (with not e 183).
219
1955 (4) SA 247 (A).
220
R v. Si biya 1955 (4) SA 247 (A) at 257C. The decision cont ains a very i nteresting
dissenting opinion by Van den Heever JA (at pp. 257E sqq.).
221
Cf . Th e S t a t e v . Ne U m a p i u s 2 S AR 12 1 a t 1 26 ( "B ut t h i s di st i n ct i o n f s c: be t we e n t he f t
and embezzlement] docs not exist in the Roman-Dutch law. . . . Just as one may by our law
commit theft by means of false pretences, so likewise may he commit theft by means of
embezzlement"); De Wet en Swanepoel, op. cit., note 1, p. 317.
222
Milton, op. cit., note 1, pp. 629 sq. ("fAn owner] commits theft where he effects a
contrectatio of his own property when someone else has a special property or interest in it
of which the owner intends permanently to deprive him").
223
The various actiones furti were already obsolete in Roman-Dutch law: cf. supra, note 179.
224
Cf. supra, pp. 886 sq.
2Гг>
Minister van Verdedi^im; v. Van Wyk 1976 (1) SA 397 (T) at 400C-H; De Vos,
Verrykwpaanspreeklikbeid,'p.
22f>
213; Pauw, (1976) 93 SALJ 399 sq.
227
Cf supra, p. 948.
1988 (4) SA 315 (W). The last cases before Clifford v, Farinha were that of Minister van
Verdediying v. Van Wyk (supra, note 225) and John Bell & Co. Ltd. v. Esselen 1954 (1)
SA 147 (A).
22H
Clifford v. Farinha 1988 (4) SA 315 (W) at 320D-E: "The difficulty experienced by
the plaintiff in establishing Aquilian liability, on the facts of the present case is that the
defendant's intentional acts . . . were not intended to cause the loss of the vehicle, while the
act which proximately caused the loss of the vehicle—namely the theft by a third
party—was not attributable to any fault on the part of the defendant." But quaere. The
question is not so much whether the defendant was liable for the second theft but
whether—under Aquilian principles—she was liable for her own act of furtum. If so, she
was liable to pay damages, covering the plaintiff's interest in the car. The fact that this claim
would normally (i.e. without the interference by the second thief) have been settled by way
of restitution of the car is quite irrelevant. Cf, as far as German law is concerned (to which
Cilliers AJ refers (at p. 321) when dealing with the principle of fur semper in mora), § 251
I BGB and Jens Peter Meincke. 1980 Juristenzeitung 677 sqq.
229
Minister van Verdediging v. Van Wyk 1976 (1) SA 397 (T) turned on the same point. In
that case the defendant had unlawfully taken the plaintiff's car and driven it to a dance. He
parked the truck at a parking lot, where it caught fire and hurnt out. The court applied the
condictio ex causa furtiva because it allowed the plaintiff to recover the highest value of the
stolen thing since the commission of the theft. Again, I think, the plaintiff could also have
received the same amount (value of the truck before it burnt out) under Aquilian principles.
23(1
Clifford v. Farinha 1988 (4) SA 315 (W) at 322G (". . . there is nothing to indicate that
the Roman-Dutch writers . . ., in dealing with civil actions based on theft in its various
manifestations, considered a civil claim to be dependent on the particular manifestation of
theft also being a crime").
Lex Aquilia I
I. ORIGIN A ND CO NTENT O F THE LEX AQUILI A
1. The essential data provided in the Digest
The lex Aquilia was undoubtedly the most important statutory
enactment on Roman private law subsequent to the XII Tables. It was
passed by an assembly of the plebs after it had been proposed by a
tribune by the name of Aquilius (". . . lex Aquilia plebiscitum est, cum
earn Aquilius tribunus plebis a plebe rogaveht"1 ). It repealed and
superseded all earlier laws that had dealt with unlawful damage (to
property)—XII Tables and others alike ("[l]ex Aquilia omnibus
legibus, quae ante se de damno iniuria locutae sunt, derogavit, sive
duodecim tabulis, sive alia quae fuit"2 ). The lex Aquilia was not
particularly long or complex;1 it contained three "chapters" (we would
rather say sections or paragraphs), the second of which was no longer
in use in classical Roman law ("[h]uius legis secundum quidem
capitulum in desuetudinem abiit"). 4 The first and the third chapters are
preserved verbatim; they were quoted by Gaius in his commentary on
the edictum provinciale (first chapter) and by Ulpian in his commen-
tary on the Edict (third chapter), and these quotations have been
incorporated into the Corpus Juris Civilis. Drafted no longer in the
clumsy monumental style of the XII Tables nor, as yet, displaying the
hairsplitting pedantry of the later Republican legislation, 5 they read as
follows:
"(Si quis] scrvum scrva m vc a lic num a he na m ve qua drupe de m vel pec ude m iniuria
Oc cide nt, qua nti id in с о a nno plurim i fuit, ta ntu m ae s da re do m ino da m na s c sto";''
"Ceterarum rcrum practer homine m et pec ude m occisos si quis alteri da m num fa xit,
quod usserit fre gerit rupcrit iniuria, qua nti e a re s crit in dic bus triginta proximis,
ta nt u m a e s d o m i n o da re da m na s e sto. " 7
1
Uip. D. 9, 2, 1, 1.
" Ulp. D. 9, 2, 1 pr. On the effect ot this clausula derogatoria and on the provisions
preceding the lex Aquilia, see Pernice, Sachbeschadigungen, pp. 21 sqq.; Van den Heever,
Aquiiian Damages, pp. 15 sqq. ("Oh how I wish that Ulpian had given us an inkling of these
prior laws": Franciscus Balduinus); Kaser, Altrcimisches ins, pp. 132 sqq.; Fritz Pringsheim,
"The origin of the lex Aquilia", in: Gesantmelle Abhandlungen, vol. II (1961), pp. 410 sqq.;
J.M. Kelly, "The Meaning of the Lex Aquilia", (1964) 80'LQR 81 sqq.; von Liibtow, Lex
Aquilia, pp. 22 sqq.; La wson/Markc binis, pp. 2 sq.
I
But sec J.A. Crook, "Lex Aquilia", (1984) 72 Athenaeum 75 sq.
* Ulp. D. 9, 2, 27, 4.
""■ Norr, Causa mortis, p. 128.
II
Gai. D. 9. 2, 2 pr.
7
Ulp. D. 9, 2, 27, 5.
953
я
Commentaruis ad Pandectas, Lib. IX, Tit. II, V.
9
Ben Beinart, "Roman Law in South African Practice", (1952) 69 SALJ 157; for a
collection of further conjectures (Cuiacius, Bynkershoek and many others) c(. Johannes van
der Linden in his notes on Voet, Commetttarhts ad Pandectas, printed (in translation) in Percival
Gane, The Selective Voet, vol. II (1955), p. 550; Gluc k, vol. 10, pp. 359 sqq.
The manuscript was found in a Veronese library; it is a palimpsest: some works of St.
Jerome ha d bee n writte n over the Gaius te xt.
1
Siro Solazzi. L'estinzione dell' obbligazione tie! diritto ratnana (2nd ed., 1935), pp. 72 sqq.;
Frezza, Gctranzie, vol. I, pp. 5 sqq.; Gaetano Schenllo, "L'adstipulator", (1963) 10 RIDA 241
sqq.; Kaser, RPr I, p. 660; Honscll/Mayer-Malv/Selb, p. 285. An adstipulatio was primarily
applie d whe n the stipulator wa nte d to ma ke sure that pa yme nt would be ma de after his
death; a direct stipulation post m orte m was invalid: Gai. Ill, 117; Berger, ED, p. 352.
12
For details cf. Levy-Bruhl, "La deuxieme chapitredcla loi Aquilia", (1958) 5 RIDA 507
sqq.; Giuseppe Grosso, "La distinzione fra 'res corporales' e 'res incorporales' с il secondo
capo della 'lex Aquilia' ", in: Synteleia Vincenzo Arangio-Ruiz, vol. II (1964), pp. 791 sqq.;
C. St. Tomulescu, "Les trois chapitrcs de la lex Aquilia". (1970) 21 lura 191 sqq.; Bernhard
Schebitz, Вегескпищ ah Ersatzes nach der lex Aquilia (unpublished Dr. iur. thesis, Berlin,
1987), pp. 147 sqq.'
13
Gai. Ill, 216.
14
Cf. e.g. Van den Heever, Aquilian Damages, p. 7; Den Bcinart, "Once More on the
Origin of the lex Aquilia", 1956 Butterworth's South African LR 70; Theodor Joseph Gerke,
"Geschichtliche Entwicklung der Bemessung der Anspruche aus der 'Lex Aquilia1 ", (1957)
23 SDHI 61; Watson, Obligations, p. 234; Thomas, TRL, p. 363; Kaser, RPr I, p. 161; Paul
van Warmelo, "A propos de la loi Aquilia", (1980) 27 RIDA 333; Richard A. Bauman,
Lawyers in Republican Roman Politics (1983), pp. 83 sqq.; Honsell/Mayer-Maly/Selb, p. 364;
Hans Ankum, "Quanti ea res erit in diebus XXX proximis dans le troisicme chapitre de la lex
Aquilia: un fantasme florcntin", in: Religion, societe et politique, Melanges en hommage a
Jacques Ellul (1983), p. 171.
ь
Paraphrasis institutionum. Lib. IV, Tit. Ill, § 15.
16
Gai. I, 3; plebiscita were thus practically equated to leges.
17
This point is emphasized by W. M. Gordon, "Dating the lex Aquilia", 1976 Actajuridica
316.
18
Cf. A. M. Honore, "The Background to Justinian's Codification", (1974)48 Tutane LR
873. On Theophilus, who was also a member of the commission charged by Justinian with
the drafting of the Institutes, cf. C. 1, 17, 2, 9 (". . . virum illustrem magistrum i urisque
peritiim in hac splendidissima civitate laudabiliter opti mam legum gubernationem
ext endentem").
19
A. M. Honore, "Linguistic and Social Context of the Lex Aquilia", (1972) 7 The Irish
Jurist 145 sq.
20
(1972) 7 The Irish Jurist 145 sq.
21
Gordon, 1976 Ada Juridica 315 sq. comments (sarcastically?): "It is, of course, well
known that deans of faculties arc accustomed to putting together scraps of information and
blending the m int o what they hope will be a plausi bl e story. . . ."
22
1956 Butterworth's South African LR 70 sqq.; he argues that the main purpose of the
statute was to protect plebeian property owners and to enable them to exact reparations for
the losses which they had suffered at the hands of the patricians.
~ Cf. von Lubtow, Lex Aquilia, p. 16; Jolowicz/Nicholas, p. 275; Norr, Causa mortis,
pp. 126 sq.; but see, in support of Beinart, Bauman, op. cit., note 14, p. 83.
24
(1972) 7 The Irish Jurist 145 sqq.
25
On which see, for example, H. Chantraine, in: Kleiner Pauly, vol. I. col. 632 sqq.
26
Cf., for example, Plinius, Historia naturalis, Lib. XXXIII, XIII (42 sqq.).
27
(1972) 7 The Irish Jurist 149 sq. Cf. also Schebitz, op. cit., note 12, pp. 36 sqq. who, for
different reasons than Honore, argues in favour of a date around 210 B.C. For an overview
of other opinions differing from the majority view, cf. Arnaldo Biscardi, "Sulla data della
'lex Aquilia' ", in: Scritti in memoria di Antonio Giuffre, vol. I (1967). pp. 77 sqq.
28
Cf. e.g. Norr, Causa mortis, p. 128; against Honore, see also Alan Watson, "Personal
Injuries in the XII Tables", (1975) 43 TR 217; Georg Thiel mann, " 'Actio utilis' und 'actio
in factum' —Zu den Klagen im Umfeld der lex Aquilia", in: Studi in onore di Arnaldo Biscardi,
vol. II (1982), p. 297; Schebitz, op. cit., note 12, pp. 31 sqq.
29
It may, however, have been validly enacted even before 286 (the year of the lex
Hortensia) as a plebiscite, provided it was endorsed by the Senate; cf. Biscardi, Scritti Giujfre,
p. 81; Honore, (1972) 7 The Irish Jurist 146; Theo Mayer-Maly, (1974) 126 Gottin^scht
Gelehrte Anzeigen 132; Norr, Causa mortis, p. 128.
" Cf. Ulp. D. 9, 2, 27, 22 ("Si mulier pugno vel equa ictu a te percussa eiecerit, Brutus
ait Aquilia teneri quasi rupto").
1
Cf. e.g. Biscardi, Studi Giuffte, pp. 83 sqq.; von Lubtow, Lex Aquilia, pp. 16 sq.;
Mayer-Maly, (1974) 226 Gottingische Gelehrte Anzeigen 132; G. Cardascia, "La Portee
Pri mitive de la Loi Aquilia". in: Daube Noster (1974), pp. 53 sqq.; Kaser, RPr I, p. 161;
Thomas, TRL, p. 363; Norr, Causa mortis, pp. 124 sqq.; Honsell/ Maycr-Maly/Selb, p. 364.
32
Theophilus' statement is confirmed by the scholiast to Basilica 60, 3, 1. Bauman, op.
cit., note 14, p. 83 thinks that the accounts of Theophilus and of the scholiast are based on
different sources (which would be an argument in favour of their credibility). According to
Norr, Causa mortis, p. 127, the scholiast does in fact not link the lex Aquilia with the sccessio
plebis. Generally on the reliability of the two Byzantine statements on the lex Aquilia, see
Gordon, 1976 Ada juridica 315 sqq.
33
Kaser, for instance, thinks that the connection between lex Aquilia and lex Hortensia is
spurious (RPr I, p. 161); but cf. Honsell/Mayer-Maly/Selb, p. 364.
34
Emphasized by Bauman, op. cit., note 14, p. 83.
23
Cf. the summary given by Gai. Ill, 217.
36
Gai. Ill, 216.
37
Cf. David Daube, "On the Use of the Term Damnum", in: Studi in onoredi Siro Solazzi
(1948), p. 155 ("Gaius' expla nation is no explanation. It fails from whatever angle we look
at it. It is one of the many rationalisations of historical difficulties undertaken by the Roman
jurists").
3M
Cf., particularly, David Daube, "On the Third Chapter of the Lex Aquilia", (1936) 52
LQR 267 sq.; idem, Studi Solazzi, pp. 154 sqq.; Pringshci m, Gesammelte Abhandtungen,
vol. II, pp. 410 sqq.
39
Supra, note 2.
40
Ulp. D. 9. 2, 1 pr. (". . . sivc alia flex] quae fuit").
41
Tabula 8, 3; for all details d. Artur Volkl, Die Verfolgung der Korperverletzung im fmhen
Romischen Recht (1984), pp. 144 sqq.
42
Daube, (1936) 52 LQR 267 sq.
41
Pringshcim, Gesammelte Abhandlutigen, vol. II, p. 414.
44
According to David Pugsley, "Si quis alteri damnum faxit", 1977 Acta juridica 299, the
three chapters were originally three different ieges.
45
According to Pringsheim, Gesammelte Abhandlungen, vol. II, pp. 410 sqq., chapter 3 had
its predecessors, too. In fact, he detects five historical layers which succeeded each other in
a logically and historically understandabl e manner. Pringshei m's analysis is based on the
account provided by Gai us III, 210 sqq.
4(1
Cf. Daube, (1936) 52 LQR 268, who argues that it requires a much more developed
technique to amalgamate new and old rules than only to add the new ones to the old. He also
suggests that it may have had some influence that, for a long time, statutes were written on
srone; making an appendix was then easier than fitting in an interpolation. Cf., however, the
reservations by Cardascia, Daube Nosier, pp. 67 sq. and Schebitz, op. cit., note 12, pp. 9 sqq.
47
But see Crook, (1984) 72 Athenaeum 76 (". . . all too likely that what was quoted as the
lex Aquili a in t he days of Gaius and Ul pi an was a heavily modernized t ext int o whi ch a
sprinkling of obvious archaisms had been rcintroduced for verisi militude").
48
Cf. Ulp. D. 9, 2, 1 1 , 6 ("Legis autem Aquiliac actio его competit, hoc crat domino");
cf. also Gai. Ill, 154 a; Pernice, Sachheschadiguttgen, pp. 14 sq.; von Lubtow, Lex Aquilia,
p. 19; also, generally, Wittmann, Korperuerletzuitg, pp. 44 sq.
44
Cf. e.g. von Lubtow, Lex Aquilia, p. 19; Crook, (1984) 72 Athenaeum 70.
э( )
A comprehensive reconstruction of both chapters one and three in general has been
proposed by Pugsley, 1977 Ada Juridica 295, 302. His views have not, however, gained
acceptance.
51
Cf. e.g. Kelly, (1964) 80 LQR 78; von Lubtow, Lex Aquilia, p. 21; Witt mann,
Korpervcrletzung, p. 40; Crook, (1984) 72 Athenaeum 77; Hausmaninger, Lex Aquiiia, p. 7.
5i
Cf. e.g. Otto Lend, (1922) 43 ZSS 577; De Zulueta, Gaius II, p. 210 ("It is as certain
as such a thing can be that Ceterarum — occisos is a gloss"); Pringsheim, Gesammelte
Abhandlmtgen, vol. I I , p. 416; von Lubtow, Lex Aquilia, p. 21: Wittmann, Korperverletzung, pp.
39 sqq.; Schebitz, op. cit., note 12, pp. 114 sqq.
713
Pcrnicc, Sachbeschadigungen, p. 14; Lenel, (1922) 43 ZSS 575; H.F. Jolowicz, "The
Original Scope of the Lex Aquilia and the Question of Damages", (1922) 38 LQR 221; von
Lubtow,
54
Lex Aquilia, p. 21.
RPr I, p. 161 (trans. Honorc, (1972) 7 The Irish Jurist 138); cf. also the interpretation by
Cardascia, Daube Noster, pp. 60 sq.
" For all details, see Fritz Schwind, Zttr Frage der Publikation itn romischeti Reeht (2nd ed.,
1973), pp. 26 sqq.
56
Dieter Norr, "Textc zur lex Aquilia". in: Iuris Prafessio, Festgabe fur Max Kaser (1986),
p. 215; cf. also Honore, (1972) 7 The Irish Jurist 139 sq.
57
Ho nore, loc. cit.
x
Cf. UIp.D . 9, 2, 27, 22.
w
Cf Paul- D. 9, 2, 31.
*" Honore, (1972) 7 The Irifh Jurist 140.
01
This point is emphasized by Norr, Causa mortis, p. 125.
02
"Fo rentU the r Qe nit iv ": Norr, Fe stgabe Ka se r, p. 216 .
63
Cf . H onore , (1 V7 2) 7 T he Iri sh J uri st 140 ( who arg ue s t hat t he t e rm " re s" was use d i n
an abst ract sense before 120 B.C .) and N orr, Fe stg abe K ase r, pp. 215 sq., who shows that the
w o rd s " c e t e ra r um re ru m" w e re u se d ( i n a g e ne r al i zi ng se nse : a s f a r as ot he r mat t e r s a re
c onc e rne d) b y t he R om an l e g i sl at or; f u rt he r , se e P ug sl e y, 1 9 7 7 Ac t a j uri d i c a 30 2 .
64
It shoul d have be e n " prae t e r homi ne m e t pe c ude m oc c i sum" . B ut see C roo k, ( 1 984 ) 72
At henae um 73.
65
Th i s di sc r e p a nc y of t e r m i n o l og y ma y , h o w e ve r , a l s o be e xp l i c a bl e on t he b a si s t h at
c hapt e r t hre e was draf t e d at anot he r ( l at e r) t i me t han c hapt e r one .
<* (1972) 7 Т Ы Irish Juri st 141.
67
U l p. D . 9 , 2 , 2 7 , 6 ( " Si q ui s i g i t u r п о п O c c i d e n t h o m i ne m ve l p e c u d e m . . . ") .
6H
Honore, (1972) 7 The Irish Juris! 140 sq. Norr. Festgahe Kaser, p. 216, incidentally,
regards even this part of the text as (substantially) genuine; so do Pugsley, 1977 Ada Inridica
302 sq. and Schebitz, op. cit., note 12, pp. 114 sqq.
m
Olp. D. 9, 2, 21, 1; cf. Pringsheim, Gesamnwite Abhewdhmgen, vol. II, p. 416.
711
Daube, (1936) 52 LQR 259; cf. also von Liibtow. Le'x Aquiiia, p. 120; but see
Pringsheim, Gesammdte Abhandlungen, vol. I, pp. 416 sq. Cardascia, Daube Nosier, pp. 63 sq.
draws attention to the fact that even in an economy where prices are stable (as in Rome
during the first half of the 3rd century в.с.) the value of slaves and grazing animals (that is,
of the most important work tools in an agrarian society) must have been subject to seasonal
fluctuations. Hence the time period of one year, to take into account the fact that the delict
might have happened during the bad season, and to allow the plaintiff to make good his true
loss. Cf. also F.P. van den Heever, Aquilian Damages, p. 9; but see Pugsley. 1977 Actajuridica
298 sq.; Pieter Pauw. "Once Again on the Origin of the Lex Aquilia", (1978) 95 SALJ 188.
71
Kaser, RPr I; p. 161; Honsell/Mayer-Maly/Selb, pp. 365 sq.; Hausmaninger, Lex
Aquilia, p. 28; cf. also Lawson/Markesinis, p. 5; Schebitz, op. cit., note 12, pp. 63 sqq.
2. Chapter three
(a) Chapters one and three compared
The manner in which the compensation was determined in chapter one
was thus reasonably straightforward. More particularly, since one was
dealing with the complete destruction of an object, reference to its real
value made good sense. We can hardly expect to find a refined
assessment of the concrete "quod actoris interest" in these early days,
and restoration of the value of the slave (or animal) provided the
plaintiff with what he was at least typically "interested" in. A good deal
more mysterious is the position under chapter three. "Quanti ea res erit
in diebus triginta proximis": this clause differs in three important
respects from the one contained in chapter one, but appears to
correspond with it regarding the very issue in which one would least
expect such correspondence. First of all, the period here is not one year,
but merely 30 days. Secondly, this period is not retrospective but
prospective: it is the 30 days after the infliction of the wound that
72
Lawson/ Markesinis, p. 5.
73
Gai. Ill, 214 (". . . quo fit ut quis plus interdum c onse quatur qua m ci da m num datum
est").
74
Iu l./U lp . D . 9 . 2 , 2 3 , 3 .
75
Iu l./U lp . D . 9 , 2 , 2 3 , 3 .
76
For another exa mpl e, see Ul p. D. 9, 2, 23, 5.
77
Daube, Roman Law, p. 67; cf. also Van den Heever, Aquilian Damages, p. 12.
7K
79
III, 218; cf. also hist. IV, 3, 14.
Cf. n. 17 on p. 158 of the Mommsen/Krugcr edition.
m
Pernice, Sachbeschadi^un^en, pp. 14 sq.; Lend, (1922) 43 ZSS 575; Max Kaser, Quanti ea
res est (1935) pp. 168 sq. '(but cf. today RPr 1, p. 161); Schulz, CRL, p. 588; Gerke, (1957)
23 SDHI 78 sqq.; Pringsheim, Cesammelte Abhattdlungen, vol. II, pp. 416 sq.; Medicus, Id
quod interest, p. 239; Geoffrey MacCormack, "On the Third Chapter of the Lex Aquiiia",
(1970) 5 The Irish jurist 169 sq.; Tomulescu, (1970) 21 Ima 195 sq.; von Lubtow, Lex Aquiiia,
p. 21; Pugsley, 1977 Actajuridica 305; Van Warmelo, (1980) 27 RIDA 347; Ankum, Melanges
Ellui,
81
pp. 171 sqq.; Bchrends, \9SSJuristische Schulung 880.
H2
Cf., in particular, Ankum, Melanges Ellui, pp. 180 sq.
Gai. III. 218; cf. also Ulp. D. 9, 2, 29, 8.
яз
Gai. Ill, 218; cf. also Inst. IV. 3, 15 ("nam plebcm Romanam, quac Aquilio tribuno
rogante hanc legem tulir, contentam fuissc, quod prima parte eo verbo usa est").
*" Lenel, (1922) 43 ZSS 577; Kaser, Quanti ea res est, p. 169; Schulz, CRL, p. 590; Gerke,
(1957) 23 SDHI 79 sq.; Medicus, Id quod interest, p. 238; MacCormack, (1970) 5 The Irish
Jurist 170; Van Warmclo, (1980) 27 RIDA 347.
Hj
Roman Law, pp. 67, 68. It is great fun to read this whole tour deforce.
Hfl
R oman La w, p. 71.
87
Cf. (1936) 52 LQR 257.
8H
Daube's interpretation has been followed, at least essentially, by Watson, Obligations,
pp. 234 sq.; Wittmann, Korperverletzung, pp. 40 sqq.; Cardascia, Daube Noster, pp. 53 sqq.;
Kaser, RPrl, p. 161; Thielmann, Studi Biscardi, vol. II, pp. 299 sq.; Honsell/Mayer-Maly/
Selb, p. 366; Hausmaninger, Lex Aquilia, p. 29; Schcbitz, op. cit., note 12, pp. 165 sqq. All
these authors reject the view that the full value could be claimed. But while some think (with
Daube) that the plaintiff could recover his full intcresse, others confine his claim to the
diminution in value of the damaged object. Cf. also Pauw, (1978) 95 SALJ 189 sqq. (who
argues that the question was approached in a flexible manner).
?9
(1936) 52 LQR 256.
90
(1936) 52 LQR 255 sqq.; cf. al so Sch ul z, CRL, p. 588; von Lubt ow, Lex Aqui li a,
pp. 109 sq.; Cardascia, Daube Noster, pp. 53 sqq.; Alan Watson, "Personal Injuries in the
XII Tables", (1975) 43 TR 214 sqq.; Schebitz, op. cit., not e 12, pp. 116 sqq.
91
H.F. Jolowicz, "The Original Scope of the lex Aquilia and the Question of Damages",
(1922) 38 LQR 220 sqq.; cf. also Van Warmel o, (1980) 27 RIDA 340 sqq.
92
Cf. supra, p. 958 (note 41).
93
(1936) 52 LQR 264 sq.
94
Daube hi mself, in another context, points to the "enormous prestige of the lex Aquilia
in t he fi rst fe w cent uri es of i ts exist enc e" (St udi Sol azzi , p. 149). But see Norr, "Zur
Interdepcndenz von Prozessrecht und materiellem Recht am Beispiel der lex Aquilia", (1987)
6 RJ 101, 112 (the lex Aquilia was of little practical relevance).
'* (1922) 38 LQR 220 sqq.
96
(1936) 52 LQR 255, 260. Burning does not appear in the XII Tables, but Daube draws
attention to the fact that in biblical law burning, breaking and crushing are used to describe
three different types of wounding. On "urere frangere rumpere", in this context, cf. further
MacCor mack, (1970) 5 The Irish Jurist 171 sqq.; Wat son, (1975) 43 TR 215 sqq.; Art ur
Volkl, "Quanti ea res erit in diebus triginta proximis. Zum dritten Kapitel der lex Aquilia",
(1977) 24 RIDA 465 sqq.; Van Warmelo, (1980) 27 RIDA 339 sq.; on membrum ruptum and
os fractum in the XII Tables, cf. Peter Birks, "The Early History of Iniuria", (1969) 37 TR
179 sqq.; Volkl, op. cit., note 41, pp. 40 sqq.. 144 sqq.
97
"The proper verdi ct i s non li quet ": De Zul uet a, Gai ns II, p. 212; "Is anything . . .
exempt from doubt ?": Crook, (1984) 72 Athenaeum 75.
98
This argument has been advanced by MacCormack, (1970) 5 The Irish Jurist 170.
9
"j. A. Iliffe, " 'Thirty days hath Lex Aquilia ", (1958) 5 RIDA 493 sqq.; Watson,
Obligations, pp. 234 sq.; Wittmann, Korpervertetztmg, pp. 40 sqq.; John M. Kelly, "Further
Reflections on the 'Lex AquiHa7 ", in: Studi in onore di Edoardo Volterra, vol. 1 (1971), pp. 239
sqq.; Thomas, TRL, p. 364; V6lkl, (1977) 24 RIDA 478; Thielmann, Studi Biscardi, vol. II,
pp. 299 sq.; Crook, (1984) 72 Athenaeum 74; Hausmaningcr, Lex Aquilia, p. 29; Schebitz, op.
cit., note 12, pp. 116 sqq.—Norr, Festgabe Kaser, p. 217 contemplates retrospectivity in spite
of "erit"; Cardascia, Daube Noster, pp. 72 sq. argues the other way round—that one can
maintain prospectivity despite reading "fuit".
100
Cf. supra, p. 963.
"" Cf. e.g. Daube, (1936) 52 LQR 261; d. also, most recently, Schebitz, op. cit., note 12,
pp. 114 sqq.
102
Cf. supra, pp. 959 sq., 965 sq. (note 94).
103
It has been advanced by Wittmann, Korpervertetzung, pp. 40 sqq.; approved by
Honsell/ Mayer-Maly/ Sel b, p. 366; Schebit z, op. cit ., not e 12, pp. 123 sq.; rej ect ed by
Ankum, Melanges Ellui, p. 178. For exactly the opposite view cf. Van Warmelo, (1980) 27
RIDA 347.
104
Cf. also Daube, Studi Solazzi, p. 146 (lectio difficilior); Cardascia, Daube Noster, p. 59.
1(15
Cf. supra, p. 960.
106
C(. e.g. Volkl, (1977) 24 RIDA 465 sqq.; also MacCormack, (1970) 5 The Irish Jurist
171 sqq. MacCormack agrees that the third chapter covered all types of objects, but he reads
the "quanti ea res" clause backwards (fuit). In order to avoid the absurdities pointed out
above, he is thus forced to argue that "urere frangere rumpere" originally expressed types
of physical damage, which constituted a serious injury to a slave, animal or other object.
Thus, it makes good sense to say that the owner received the highest value within the
previous year (along similar lines, see Van den Heever, Aquilian Damages, pp. 11 sqq.;
Beinart, 1956 Buttertvorth's South African LR 77; Iliffe, (1958) 5 RIDA 502 sqq,; Detlef Liebs,
"Damnum, damnarc, damnas", (1968) 85 ZSS 197). But it is implausible that no protection
should
1(17
have existed against less serious (but more frequent!) forms of damage.
Cf. Kelly, Smdi Volterra, vol. I, pp. 240 sq.; Volkl, (1977) 24 RIDA 477 sqq.
I(IH
Cf. generally Kascr, RZ, p. 97.
11)4
Why did the first chapter not provide for a similar 30-day period? Cf. the suggestions
and arguments advanced by Kelly and Volkl, loc. cit. Perhaps the policy reasons in favour
of retxospectivity (cf. supra, pp. 961 sq.) prevailed as far as chapter one was concerned; with
regard to chapter three, on the other hand, retrospectivity a la chapter one was out of the
question, if one accepts that chapter three gave the plaintiff a claim only for the diminution
in value, not for the full value of the object damaged. "What is the 'highest value' in the last
thirty days of a crack in a wine-jar? " (Kelly, Studi Volterru, vol. I, p. 237).
110
The weak point in the scenario sketched above appears to lie, at first blush, in Gai. Ill,
218 and Ulp. D. 9, 2, 29, 8, and here not so much in the use of the words "fuit" and "fuerit"
(on these cf. supra, p. 967), but in the suggestion to read "plurimi" into the text of the third
chapter. Does that mean that the classical jurists reckoned backwards (as is usually taken for
granted)? If that was so, we face the problem of a change of "interpretation" from "erit" to
"fuit" sometime between 286 B.C. and classical law. This is indeed a serious obstacle, since
such an "interpretation" against the words of the lex is neither very likely per se (cf. supra,
pp. 960, 965 sq. (note 94)), nor would it have made much sense, since it would have involved
a retrogression from a more refined to a more "primitive" way of assessing the damage (but
sec Volkl, (1977) 24 RID A 479 sqq. for an interesting attempt to resolve these
problems—which, incidentally, are in any event less serious than those faced by adherents
of the "scribal error" viewpoint; for a detailed list of problems arising if one reads "fuit" or
"fuerit" into the original text of the lex Aquilia. cf. Cardascia, Daube Noster, pp. 54 sqq). Yet,
it is by no means necessary to assume that the classical jurists calculated the 30-day period
backwards (cf. also Wittmann, Korperverletzittig, p. 41). They may in fact have retained
"crit" without, however, understanding any longer why such a period had originally been
inserted into chapter three: (legal) history was not the strong point of the Roman jurists. This
would be particularly likely if the 30-day period was reminiscent ot, or tied up with,
procedural niceties from the days of the XII Tables and the legis actiones, which were long
since obsolete by Sabinus' time. (If the lex Aquilia dates from the first half of the third
century, litigation resulting from it would, at first, have been by legis actio.) Since nobody
understood (or approved of) the rationale of the 30-day rule, one simply applied it, under
different auspices, as if it contained the word "plurimi" (under the influence of the first
chapter, with which chapter three had by now been combined for about 300 years). The
practical effect of this change of perspective was that the plaintiff was to receive quanti ea res
est, to be assessed at that time within a 30-day period after the injury, when it was the
highest. Thus, if a slave had been injured and the wound had nearly healed within the month
following the injury, the diminution in value of the slave had to be assessed at the time ot
the injury, not at the time when the slave had nearly reached his full value again; if, on the
other hand, the slave became progressively more ill (that is, less valuable), the end of the
30-day period had to be chosen for the assessment of the diminution in value. It is, therefore,
submitted that the classical lawyers attributed exactly the kind of rationale to the 30-day rule
in chapter three that, according to Daube, was assigned to it by those who had drafted that
part of the lex Aquilia. Of course, this rationale—and with it the 30-day rule—applied only
to res se moventcs. not to the (more frequent) cases of damage to inanimate objects. This
may be one of the reasons why the classical lawyers appear to have been so surprisingly
uninterested in it—we do not find any case law concerning the 30-day rule in the Digest.
There is, however, one important text which indirectly alludes to the 30-day rule and which
appears to me to confirm the view advanced above. In D. 9, 2, 24 Faulus deals with the case
where somebody has confessed to having injured a slave; but then it turns out that the slave
is not injured at all. Paulus poses two (rhetorical) questions: ". . . aestimationem cuius
vulneris faciemus? vcl ad quod tempus recurramus?" The text (genuine; c(. Watson,
Obligations, p. 235; also Volkl, (1977) 24 RIDA 483) implies that the classical lawyers
regarded aestimatio vulneris as relevant for the award of the sum into which the wrongdoer
had to be condemned. The second question refers to a time which has to be taken into
account for the purposes of aestimatio vulneris. One can draw the inference that the 30-day
rule was still applied. If that was so, it can, however, hardly have been reckoned backwards.
For how can one assess a wound (within) 30 days before it has been inflicted?
111
Cf. supra, pp. 918 sqq.
112
IV, 9.
113
"Prototype": Kaser, op. at., note 84, p. 167.
114
Iftst. IV, 6, 19. In favour of a dual nature of the lex Aquilia even in classical law
(whether under the name of actio mixta or not; cf. supra, pp. 919 sq. (note 114)) cf. e.g.
Ernst Levy, Privatstrafe und Schadensersatz im klassischen romischen Recltt (1915), pp. 135 sqq.;
Kaser, RPr I, p. 621;'Honsell/Maycr-Maly/SeIb, p. 365. Contra: Schulz, CRL, p. 589; von
Lubtow, Lex Aquiiia, pp. 36 sqq., who attribute a purely penal character to the actio legis
Aquiliae. They regard many of the texts contained in [he Digest as interpolated and do not
even believe Gaius (". . . has been added by a man who had in mind Gai. 4, 17Г": Schulz,
p. 589); but cf. Mayer-Maly (1974) 226 Gottingische Gelehrte Anzeigen 133. More recently,
Hans Ankum, "Actions by which we claim a thing (res) and a penalty (poena) in classical
Roman law", (1982) 24 BIDR 31 sqq. has also argued that the actio legis Aquiliae was purely
penal. While rejecting von Lubtow's opinion as "ft]otally inacceptable" (p. 17), he argues
that Gaius made a mistake (p. 19). Generally, one tends to believe that at least the penal
element (if not also the compensatory one) was characteristic of the lex Aquilia from early
on. For a different view (the original lex Aquilia did not have a penal character at all), ct
Cardascia, Daube Naster, p. 63.
Since the actio legis Aquiliae was an actio mixta, it could not be cumulated with other
reipersecutory actions; cf. Levy, Konktirrenz, vol. II, pp. 1 sqq.; Kaser, RPr I, p. 621;
Hausmaninger, Lex Aquilia, pp. 35 sqq.; contra: von Lubtow, Lex Aquilia, pp. 69 sqq.
115
But see Geoffrey MacCormack, "Aquilian Studies", (1975) 41 SDMI 67 sqq., who
regards it as misleading to picture the development of the law as a progression from
objective (market) value to subjective interest. In his opinion, it cannot be assumed that the
jurists, even at the time of the enactment of the lex Aquilia, applied inflexibly some particular
standard for the assessment of compensation.
"'■ Cf. Ulp. D. 9, 2, 23 pr.
117
III, 212. For further discussion of the problems arising from the killing of slaves
instituted as heirs, cf. Ulp. D. 9, 2, 15, 1 in fine; Marci. D. 9, 2, 16; Ulp. D. 9, 2, 23, 1 and
2; Gerke, (1957) 23 SDHI 66 sqq.; Alan Rodger, "Damages for the Loss of an Inheritance",
in: DaubeNoster (1974), pp. 289 sqq.; MacCormack, (1975)41 SDHI 71 sqq.; Schebitz, op.
cit., note 12, pp. 290 sqq.
1
Paul. D. 9, 2, 22, 1 ("non solum . . . perempti corporis aestimatio facienda esl, sed ct
eius ratio haberi debet, quo cetera corpora depretiata sunt"); Gai. Ill, 212 ("non solum occisi
fit aestimatio, sed eo amplius id quoque computatur, quod ceteri qui supersunt depretiati
sunt"); for a recent analysis, see Schebitz, op. cit., note 12, pp. 273 sqq.
114
III, 212.
120
Trans. C.F. Kolbcrt, in: Justinian, The Digest of Roman Law, Theft, Rapine, Damage and
Insult (1979), p. 80.
121
Paul. D. 9, 2, 22, 1.
122
"Illud non ex verbis legis, sed ex interpretations placuit . . .": Inst. IV, 3, 10.
123
Cf. e.g. Kaser, RPr I, p. 621; MacCormack, (1975) 41 SDHI 69 sqq.; Lawson/
Markesinis, pp. 35 sq.; Hans Ankum, "L'actio de pauperie et 1'actio legis Aquiliac dans le
droit romain classique", in: Studi in onore di Cesare Sanfilippo, vol. II (1982), pp. 47 sqq.;
Honsell/ Mayer-Mal y/ Sel b, pp. 367 sq.; Hausmaninger, Lex Aquili a, pp. 28 sqq. Contra:
von Lubtow, Lex Aquilia, pp. 121 sqq.; cf. also Gerke, (1957) 23 SDHI 66 sqq., 82 sqq.;
Medicus, Id quod interest, pp. 238 sqq.; Schebitz, op. cit., note 12, pp. 268 sqq., 355 sqq.
124
D. 9, 2, 21, 2; regarded as interpol ated by von Lubtow, Lex Aquilia, p. 122; Gerke,
(1957) 23 5DH/82 sqq.; Schebitz, op. cit., note 12, pp. 361 sqq.; but see e.g. Ankum, Studi
Sanfilippo, vol. II, p. 51. Cf. also Ulp. D. 9, 2, 23, 6.
Ulpian, however, refers to Labeo. Ankum, Studi Sanfilippo, vol. II, p. 50 therefore
attributes the transition from the (objective) aestimatio corporis to the plaintiff's id quod
interest to Labeo. Others refer to Julian (Kascr) or late classical jurisprudence (Hausman-
inger); cf. also supra, note 115 above. Ulp. D. 9, 2, 23, 4 has (of course) also often been
regarded as suspect; c(. Gerke, (1957) 23 SDHI 93 sqq.; but see Medicus, Id quod interest,
pp. 241 sq.; MacCormack, (1975)41 SDHI69 sq.; Ankum, Studi Sanfilippo, vol. II, pp. 49 sq.
12r
' According to Daube, (1936) 52 LRQ, 258 sqq., cf. also Studi Soiazzi, pp. 146 sqq., the
principle of intcresse was first established in the third chapter of the lex Aquilia (it was
inherent in the "quanti ea res erit" clause), which, according to him, at hrst applied only to
the wounding of res se moveiitcs. When it was extended to cove r inanimate objects, the
method ot calculation applicable under chapter one (estimation of the market value) filtered
through to chapter three, at least as far as cases of complete destruction were concerned. But
this is unconvincing; cf. e.g. Medicus, Id quod interest, p. 239; Volkl, (1977) 24 RID A 483 sq.
127
Cf. su pra, p. 827. T here wa s no compensa tion for immateria l da mages (mental pain
and suffering); cf. Paul. D. 9, 2. 33 pr.: "Si servum meum occidisti, non affectiones
aestimanda s esse puto, veluti si filium tuum naturalem quis occiderit. . . . "
128
Cf. Pa ul. D. 9, 2, 24.
129
Ulp. D. 9, 2. 27, 17 in fine.
130
Lab./Proc./Ulp. D. 9, 2, 29, 3.
131
"Too speculative": La wson/Markesinis, p. 35.
132
C(. Ulp. П. 9, 2, 4 1 pr.
1ЯЗ
D. 9, 2, 41 pr. For a detailed, and recent, discussion of what could be claimed under
chapter three, cf. Schebitz, op. cit., note 12, pp. 165 sqq. He deals with D. 9, 2, 41 pr. and
other cases involving the destruction of instruments (pp. 218 sqq.); in his opinion, all these
texts arc largely spurious.
134
Ulp. I). 9, 2, 23, 8; cf. also Gai. IV, 112; further: Tobias Johannes Scott, Die Geskicdetti.s
van die Oorerftikhi'id van Aksies op grand van Qnregmatige Daad ш die Suid-Afrikaaiise Re%
(unpublished Or. iur. thesis, Leiden, 1976), pp. 19 sqq.
155
Ulp. D. 9 , 2, 11, 2 : Iul./Ulp. D. 9 . 2 , 51 , 1.
136
Ulp. D. 9, 2, 1 1 ,2 ; cf. further Levy, Kottkttrrenz, vol. I, pp. 484 sqq.; von Lubtow, Lex
Aquilia, pp. 57 sqq.; Liebs, Klagetikonkurrenz, p. 181.
17
The lex Aquilia is reported to have contained special rules about the paterfamilias's
noxal liability: cf. Gai. IV, 76; Cels./Ulp. D. 9, 4, 2, 1. The paterfamilias seems to have been
liable under the actio directa, "si servus scicnte domino occidit"; reason: "ipse enim videtur
dominus occidisse" (Ulp. 1). 9, 4, 2 pr.)- Knowledge by the paterfamilias, however, was not
easily to be assumed: "Scicntiam hie pro patientia accipimus, ut qui prohibere potuit
teneatur, si non fecerit" (Paul. D. 9, 2, 45 pr.). Of course, the paterfamilias was also liable
under the actio directa if the slave or son in power had acted under his orders. The same
principle applied if a free man acting under orders committed an Aquilian delict: "actio legis
Aquiliae cum со est qui iussit. si modo ius imperandi habuit" (lav. D. 9, 2, 37 pr.). For a
detailed discussion, see von Lubtow, Lev Aqailia, pp. 41 sqq.; Hans-Peter Bcnohr, "Zur
Haftung fur Sklavendelikte", (1980) 97 ZSS 273 sqq.; cf. also Hausmaninger, Lex Aquilia,
p. 35.
13K
Paul. D. 9, 2, 30, 3; cf. also Gai. Ill, 202 (". . . ctiam culpa puniatur").
139
Cf. supra, pp. 932 sqq., 936 sqq.
140
Gai. IV, 9.
141
For what follows, cf. Kascr, RZ, pp. 94 sqq.
l4
~ In what form was the doubling of the da ma ges e xpre sse d in the statute? Cf. the
synopsis of the discussion by Crook, (1984) 72 Athenaeum 75 sq.
143
Kaser, Altromisches ins, pp. 132 sqq.; i dem, HZ, p. 95; idem, RPr I, p. 162; cf. also
J. Paoli, Lis infitiando crescit in duplum (1933), pp. 95 sqq.; von Liibtow, Lex Aquilia, pp. 26
sqq.; La wson/Markesinis, pp. 12 sqq. Cf, m ost rece ntly, the intere sting speculations by
Norr, (1987) 6 RJ 113. He thinks the actio legis Aquiliae in duplum may have been available
only if the wrongdoer denied that he had committed the delict, not if he merely disputed that
he had acted iniuria.
144
According to Norr, (1987) 6 RJ 113, thejurists in Rome were typically concerned only
with cases where the question whether a particular person had com mitted the delict could
not easily be disputed.
4
That litiscrescence could not have been what gave the actio legis Aquilia its penal
nature is also emphasized by De Zulueta, Gaius II, p. 230; von Liibtow, Lex Aquilia, pp. 37
sq.; Cardascia, Daube Nosier, p. 70; Lawson/Markesinis, p. 5; Hausmaninger, Lex Aquilia,
pp. 34 sq.; but see e.g. Wittmann, Korperverhtzung, p. 41 and others.
14 6
Inst. IV, 3, 9 ("qua ra tione cre ditum est poe nale m esse huius le gis actione m ");
lust. IV, 6, 19.
147
"Aliquando" {Inst. IV, 3, 9); "imerdum" (Inst. IV, 6, 1У); but see Ankum, (1982) 24
BIDR 31 ("in many cases").
I4H
Cf., particularly, Cardascia, Daube Noster, pp. 57 sqq. ("ине veritable loterie avec un petit
nombre de numeros perdants"); also already, Pernice, Sachbeschadigungen, p. 121.
14y
Cardascia, Daube Noster, p. 63 therefore chinks that the accio legis Aquiliae was
originally not an actio pocnalis. But cf. e.g. Mayer-Maly, (1974) 226 Gb'ttmgische Gelehrte
Anzei%en 133.
150
Supra, pp. 961 sq.
151
Cf. t he formulation by Dc Zuluet a, Gains II, p. 210.
152
But see Ankum, (1982) 24 BIDR 31 ("the excess is a penalty").
153
154
D. 9, 2, 2, 2; cf. also fast. IV, 3, 1.
For the reason, see Wesel, Statuskhre, pp. 50 sq. Unlike the other typical grazing
animals, pigs are kept for no other purpose than to provide meat. On pigs and the lex
Aquilia,
155
see also Gluck, vol. 10, pp. 354 sq.
Gai. D. 9, 2, 2, 2.
156
Wounding of quadrupedes pecudes and wounding and killing of all other animals was
covered by chapter three; cf. Gai. Ill, 217; Inst. IV, 3, 13.
157
Cf. the cases in Ulp. D. 47, 2, 50, 4 together with Gai. D. 47, 2, 51; Nerat. D. 9, 2, 53.
158
Ofilius/Ulp. D. 9, 2, 9, 3.
bv
Ccls./Ulp. D. 9. 2, 7, 6. For a detailed analysis and the historical development of the
phrase "causam mortis praestare", see Dieter Norr, Causa mortis; for a summary in English of
the main points, see Dieter Norr, "Causam mortis praebere", in: The Legal Mind, Essays for
Tony Honors (1986), pp. 203 sqq. Norr's views have been favourably received by, inter alia,
Willvonseder, (1988) 105 ZSS 737 sqq.; Mayer-Maly, (1986) 37 lura 148 sqq. and
MacCormack,
lfi
(1988) 56 TR 209 sqq.; for very critical comments, sec Watson, Failures, p. 83.
"Cf. e.g. UGH, 1971 Neue Jumtische Wochcnschnft 1980 (1981); BGH, 1971 Neue
Jurislische Wodwiischrift 1982 (1983) (though not dealing with injury to life but to bodily
integrity); Wolfgang Grunsky, in: Miitichetter Kommvntar, vol. II (2nd ed., 1985), Vor § 249,
nn. 61 sqq.
161
For further discussion, see Reinhard Zimmcrmarm, "Herausforderungsformel und
Haftung fur fremde Willensbetatigungen nach § 823 I BGB'", 1980 Juristenzeitttng 10 sqq.
'~ Cf. e.g. the discussion by Ernst von Caemmcrer, "Wandlungen des Deliktrechts", in:
Gesammette Schriften, vol. I (1968), pp. 478 sqq.
163
Iul. D. 9, 2, 51 pr.; von Lubtow, Lex Aquilia, p. 138. Cf also La b./Ulp. D. 29, 5, 1,
17 concerning the senatus consultum Silariianum ("Occisorum appellatione eos contineri
La be o scribk, qui per vim a ut cae de m sunt intcrfecti . . .").
lf 4
' Iul. D. 9, 2, 51 pr. Like wise, tresspass has traditionally been defined as the tort of
inflicting direct and forcible injury; the formal allegation of the writ of trespass was that the
defenda nt had acted "vi et armis et contra pacem Domini Regis". It was on the strength of
this allegation (whether true or not) that the jurisdiction of the king's courts (as opposed to
the local courts) was established. Cf F.W. Maitland. The Forms of Action at Common Law
(1965), pp. 48sqq.
165
D. 9, 2, 7, I: "Occisum autem acciperc debemus. sive gladio sive etiam fuste vel alio
telo vel manibus (si forte strangulavit cum) vel calce petiit vel capite [lapide? cf Wesel,
Statuslehre, p. 83] vel qualiter qualiter."
166
Cf., in particular, N.H. Andrews, " 'Occidere' and the lex Aquilia", (1987) 46
Cambridge LJ 315 sqq.
167
La b./Ulp. D. 9, 2, 9 pr. On this te xt cf. Norr, Causa mortis, pp. 16 6 sqq.
16H
Cf. UIp. D. 9, 2. 9, 1.
l(>
'' Cf. Ulp. D. 9, 2, 9, 1.
170
Cf. La b./Ulp. D. 9, 2. 9 pr.; c f. a lso Ce ls./Ulp. D, 9, 2, 7, 6.
171
III, 219; d. also hist. IV, 3, 16.
172
T he sa me a pplies to the tort of trespa ss: the wrong mu st ha ve been com mitted by
"direct mea ns". For deta ils cf, for example, Winfield and Joiowicz, pp. 42 sqq., 53 sqq.;
Fleming, Torts, pp. 15 sqq., 23 sqq.; cf. also Maitland, op. c i t . , note 164, p. 50 (". . . it was
to the last necessary that there should be some wrongful application of physical force to the
defendant's la nds or goods or person—but . . . a wrongful touch to his person or chattels
wa s held to be force enough a nd a n a dequate breach of the king's peace").
173
For very useful schemes of cases falling under chapt er one and being remedi ed by
actiones in factum, cf. Andrews, (1987) 46 Cambridge LJ 316 sqq.
174
Ce ls./Ulp. D. 9, 2, 7, 7.
175
Ul p. D. 9, 2, 7, 2.
176
Ulp. D. 9, 2, 9, 4; cf. also Alf. D. 9, 2, 52. 2 ("aeque si quis . . .").
177
Someti mes (cf. e.g. Gai. Ill, 219) also referred to as actiones utiles.
178
Ulp. D. 9, 2, 11, 1.
l7
"Cf. Gai. Ill, 219.
180
Cels./Ulp. 1). 9, 2, 7, 6.
181
Proc./Ulp. D. 9, 2, 7, 3 ("Proinde si quis alterius im pulsu da m num de derit, Proculus
scribit ne que e um qui im pulit te neri, quia non oc cidit, ne que e um qui im pulsus e st, quia
da m num iniuria non de dit").
1НЭ
Supra, p. 976, note 157. 1!"
Supra, p. 976, note 158. 1M4
Ulp. D. 9, 2, 9, 2.
1K5
Cf. further Gai. HI. 219; Ulp. D. 9, 2, 2У, 7; Lab./Ulp. D. 47, S, 2, 20; von Lubtow,
Lex Aquiiia, pp. 148 щ. Ulp. D. 19, 5, 14, ! deals with a case where a slave freezes to death
because his clothes have been taken away. In both instances we are, however, not dealing
with a "mere" omission; here, too, the death occurred as an indirect result of a previous
action of the defendant: he had locked the slave in (so that he starved); he had taken away his
clothes (so that he was exposed to the chill of a winter night).
1Mfl
Similar problems arose with regard to the tort of trespass. For an instructive example cf.
Scoff i'. Shepherd (1773) 2 Black W 892: A throws a lighted squib into a crowd, where it falls
upon Б. B, in alarm, throws it away and it falls upon C, who does the same as B. The squib
ends its journey by falling upon D, exploding and putting out his eye. The whole incident
took place on a fair day, close to Guy Fawkes Night. Three of the judges regarded this as
trespass by A to D; Blackstone J dissented and held an action on the case to be necessary.
To read thejudgment is indeed to "step back into the age ot Julian and Ulpian and to be
surprised by the anachronism that the Roman discussion is conducted in the prose of Boswell"
(Andrews. (19S7) 46 Cambridge LJ 321). For an in-depth analysis, cf. M.J. Prichard, Scott e.
Shepherd (1773) and the Emergence of the Tort of Negligence (1976).
IH7
Cf. Ulp. D. 9, 2, 7, 7. It did not matter "sive ipso ictu pcrierit aut continue submersus
estIHH
aut lassatus vi fluminus victus perierit".
III. 219: ". . . item si quis alieuum servum de pome aut ripa in flumen proiccit"; cf.
von Lubtow, Lex Aquiiia, pp. 145 sq. But some editors read "sed si" in place of "item si";
Gains would then have to be taken to have shared Celsius's opinion (as did, incidentally,
Justinian:
IK
Inst. IV, 3, 16).
'' Ulp. D. 9,2, 11, 5; not interpolated: cf- MacCormack, (1975)41 SDH/14 sqq. against
von
19(1
Lubtow, Lex Aquiiia, p. 152 and others.
Cf. Ulp. P. 9, 2, 11, 5. Or was it the slave who was held so that the dog could bite
him? The text does not make that clear: "Item cum eo. qui canem irritaverat et effeccrat, ut
aliquem morderct, quarnvis cum поп tenuit, Proculus respondit Aquiliae actioncm esse: sed
Julianus eum demum Aquiiia tencri ait, qui tenuit et effecit ut aliquem morderet: ceterum si
поп tenuit, in factum agendum." Cf. e.g. von Lubtow, Lex Aquiiia, p. 152 ("tenere" refers
to the slave); Geoffrey MacCormack, "Juristic Interpretation of the lex Aquiiia", in; Studi in
onore di Cesare Sanjilippo, vol. I (1982), p. 277 ("tenere" refers to the dog); cf. further Jean
Macqucron, "Lcs dominates causes par des chiens dans la jurisprudence Romaine", in: Flares
l eg tt tn H .J. S che lt em a o bla ti ( 1 У 7 1 ) , pp. 147 sqq.
141
"Cctcrum placuit ita demum ex hac legc actionem essc, si quis praecipuc corpore suo
da m num de derit": hist. IV, 3. 16. Only by a dding the word "pra ecipue ", did Justinia n
acknowledge a somewhat more liberal usage that may have gained ground in post-classical
times; cf. e.g. von Liibtow, Lex Aquilia, p. 213.
142
D. 9, 2, 51 pr.
143
Cf. Norr, Causa mortis, pp. 7 sq., who draws attention to a passage in Pla utus' play
Psendolus where the author achie ves a comical effect by opposing "occidere gladio" a nd
"occidere fame".
194
"Occidere" was also interpreted strictly in another statutory context: Lab./Ulp. D. 29,
5, 1, 17; cf. Peter Stein, "School Attitudes in the Law of Delicts", in: Studi in onore di Arnaldo
Biscardi, vol. II (1982), pp. 287 sq.; Norr, Causa mortis, pp. 166 sq.
145
Ofilius/Ulp. IX 9. 2, 9, 3. For an analysis, see Schipani, Lex Aquilia, pp. 165 sqq.;
MacCormack, (1975) 41 SDHI 17 sq.; Stein, Studi Biscardi, vol. II, pp. 289 sq. and,
particularly, Norr, Causa mortis, pp. 139 sqq.
' ". . . qucmadmodum si scrvus metis ab alio in insidias deductus, ab alio esset occisus."
On the use of the word "qucmadmodum" and arguments by analogy in the texts on the lex
Aquilia, sec MacCormack, Studi Satijilippo, vol. I, pp. 255 sqq.
197
Cf. generally Max Kaser, " ius honorarium' and 'ius civile' ", (1У84) 101 ZSS 48 sqq., 65
sqq.; also Norr, Causa mortis, pp. 146 sqq.; Wieacker, RR, pp. 470 sqq.
19
Watson, Obligations, pp. 241 sqq.; cf. also Stein, Stttdi Biscardi, vol. II, p. 288.
199
Behrends, Fraus legis, pp. 33 sqq.
200
The discussion turns mainly on Alf. D. 9, 2, 52, 2 (a case involving two heavily laden
carts proceeding up the Capitoline hill. The first cart rolled back and crashed into the second
one, which, in turn, knocked down a slave. The text does not make it clear whether the slave
was killed or merely wounded; whether, in other words, the decision concerned a case of
"occidere" or of "rumpere"). On ]~). 9, 2, 52, 2 cf. Watson, Obligations, p. 242; Schipani, Lex
Aquilia, pp. 179 sqq.; MacCormack, (1975) 41 SDHI13 sqq.; idem, Studi Sanfilippo, vol. I,
pp. 257 sq.; Norr, Causa mortis, pp. 142 sqq.; Andrews, (1987) 46 Cambridge Lj 323.
2111
Cf. Norr, Causa mortis, pp. 6 sq.; Andrews, (1987) 46 Cambridge LJ 322 sq.
2112
Norr, Causa mortis, pp. 126. 136 sq. He draws attention to the fact that many of the
examples concerning the actio in factum have the air of the school room.
203
Causa mortis, pp. 126, 137 sq., 149; cf. also idem, (1987) 6 RJ 105 sqq.
204
IV, 11.
205
(1988) 56 TR21Q.
2Ofl
Early Law and Custom (1861), p. 389.
207
Gai. Ш, 219; Insc. IV, 3, 16.
2(<H
Ulp. D. 9, 2, 27, 6.
209
Ulp. D. 9, 2, 27, 7. A person who sets fire to a house is also liable to the neighbour
to whose house the fire spreads: Ulp. D. 9, 2, 27, 8 ("Si quis insulam voluerit meam exurere
et ignis etiam ad vicini insulam pervenerit, Aquilia tenebitur etiam vicino"). But this was a
borderline case; cf. the dispute concerning a rather similar case (fire on a stubble-field spreads
to the neighbour's praedium) in Coll. XII, VII, 4-7; for a discussion, see MacCormack, Studi
Sanfilippo, vol. I, pp. 275 sq. Further on "urere" (with a discussion of the interesting case of
Ul p. D. 9, 2, 27, 10 —oven agai nst party wall ), cf. Pet er Birks, "Cooki ng t he Meat:
Aqutlian Liability for Hearths and Ovens", (1985) 20 The Irish Jurist 352 sqq., 365 sqq.
~'° Nerat./Ulp. D. 9, 2, 27, 9; for a discussion, see Ben Beinart, "Culpa in omittendo",
(1949) 12 THRHR 145 sqq.; von Lubtow, Lex Aquilia, pp. 159 sqq; Kemp J. Kemp, Detictual
Liability for Omissions (unpublished LLD thesis, Port Elizabeth, 1978), pp. 91 sqq.
211
Further on urere, cf. Schipani, Lex Aquilia, pp. 334 sqq.
212
"Within the category of cut glass the diatreta or the so-called 'cage-cups' (Netzgia'ser)
are the ultimate marvel in the sphere of artistic glass. . . . These marvels of craftsmanship
were probably cut from a thick walled vessel. But to the present day it remains a mystery
how this work could be carried out, for the infinite patience, fanat ical concentration and
cal m deliberation required to produce such a work of art seem to go beyond the real m of
possi bilit y. There was such a danger of seei ng t he whol e work ruined by a break i n an
unguarded moment . . . A possible explanation of the mystery might be that the
undercutting was performed entirely under water. For if glass is fully immersed in water, the
even distribution of pressure on all sides prevents chipping and cracking": F. Neuberg,
Ancient Glass, as translated by M. Bullock and A. Jaffa, and quoted by Peter Birks, "Other
Men's Meat: Aquilian Liability for Proper User", (1981) 16 The Irish Jurist 168. The process
of diatretion is thus the drilling and piercing which makes the net of glass and separates it
from the inner cup and which turns the pre-diatreton (a beaker clad in an outer layer of
differently coloured glass) into a calix diatretra (cf. Birks, loc. cit.); cf. further Okko
Bchrends, "Die Rechtsformen des rdmischen Handwerks", in: (1981) 22 Abhandlungen der
Akademie der Wissenschaften in Gottinyen 146.
213
Ulp. D. 9. 2, 27,29; cf Birks. (1981) 16 The Irish Juris! 163 sqq. (suggesting a fairly far-
reaching reconstruction of the text).
H
; Ulp. D. 9, 2, 27, 31.
2b
For details, see Wittmann, Korperverlftzung, pp. 3 sqq.; Volkl, op. cit., note 41, pp. 40
sqq.
ш
217
D. 9, 2, 27, 17.
Ulp. D. 9, 2, 27. 22. Cf. also Pomp. D. 9. 2. 39 pr.: "Quintus Mucius scribit: equa
cum in alieno pasceretur, in cogendo quod praegnas erat eiecit: quaerebatur, dominus eius
possetne cum eo qui coegisset lege Aquilia agere, quia equam in iciendo rupcrat. si
percussissct aut consulto vehementius egisset, visum est agere posse." On these texts, see
Schipani, Lex Aquilia, pp. 133 sqq.; von Lubtow, Lex AquiUa, pp. 112 sq., 167 sq.;
MacCormack, (1975) 41 SDHI 3 sq.; Herbert Hausmaninger. "Zur Gesetzesinterpretation
des Celsus", in: Studi in onore di Giuseppe Grossa, vol. V, pp. 265 sq.; Behrends. 1985
Juristische Schulung 878 sqq.; Norr, Causa mortis, pp. 130 sqq. For an interesting alternative
explanation of the phrase "quasi occidcre", sec Norr, (1987) 6 RJ 106 sq.
-1* This is how Gaius (III, 217) describes the new approach.
2V>
Gai. Ill, 217; cf. also lnst. IV, 3, 13. Ulpian (D. 9, 2, 27, 13) attributed this extension to
"fere omncs veteres"; but cf. Hausmaningcr, Studi Grosso, vol. V, p. 265; MacCormack,
(1975) 41 SDHI 4 sq.
2211
Ulp. D. 9, 2, 27, 15.
32 1
Ulp. D. 9, 2, 27, 18 ("quasi rupent").
222
Ul p. D. 9, 2, 27, 19.
223
Ul p. D. 47, 2, 27, 3; Iul. D. 9, 2, 42.
224
Ul p. D. 9, 2, 27, 24.
22: 1
Proc./Ulp. D. 9, 2, 29, 2 (". . . parvi refert navem i mmittendo aut serraculum ad
navem ducendo an t ua manu damnum dedens"); Schi pani, Lex Aquilia, pp. 341 sqq.
226
Ulp. D. 9, 2. 27, 23.
- Ulp. Y). 9, 2, 27, 25, It ripe grapes were cut down and then taken away this was not
damnum iniuri a datum but could be furtum or cont empt iniuria (in the sense of the actio
iniuriarum). For a discussion of Ulp. D. 9, 2, 27, 25, see Birks, (1981) 16 The Irish Jurist
153 sqq.
22K
". . . non negat fractum et ustum contineri corrupt! appellatione": Ulp. D. 9, 2, 27, 16.
224
Ulp. D. 9, 2, 27, 16.
230
Andrews, (1987) 46 Cambridge LJ 325 sq.
231
Ulp. D. 9, 2, 27, 35.
232
Vi v./ Ulp. D. 9, 2, 27, 28 ("Et si puerum qui s cast raverit et preti osiorem fecerit,
Vivianus scribit cessarc Aquiliam, sed iniuriarum ent agendum . . ."); cf. also Ulp. D. 9, 2,
27, 17. The fact that no Aquilian action could be brought in these cases may, alternatively,
have been due to the absence of damnum. The third chapter started off with the words "si
quis alteri damnum faxit", before it proceeded to specify "quod usserit fregcrit ruperit". It
is, however, not clear how damnum must be understood. Does it refer to the actual damage
done to the object concerned (cf. e.g. Liebs, (1968) 85 ZSS 197; MacCormack, (1970) 5 The
Irishjurist 172)? Then it would scarcely have any independent significance, but would merely
be a summari zi ng reference t o what ever has happened t o t he obj ect by means of urere
frangcre rumpere (or rather: corrumpere). Or docs it refer to the loss caused to the owner
of the object (cf. e.g. Daube, Studi Solazzi, pp. 98 sqq.; von Liibtow, Lex Aquilia, pp. 132
sqq.; Hausmaninger, Lex Aquilia, p. 31), so t hat urere trangere rumpere was rel evant in
terms of chapter three only if it resulted in such loss? Only in the latter case could one say
that, even though an object had been subjected to a rumpere iniuria, liability could still be
negatived by a further factor, namely the absence of damnum. Cf, on D. 9, 2, 27, 28 in this
context, von Liibtow, Lex Aquilia, pp. 132 sqq.; Birks, (1981) 16 The Irishjurist 160 sqq. As
far as the term "damnum" is concerned, cf, above all, Daube, Studi Solazzi, pp. 93 sqq.;
Liebs, (1968) 85 ZSS 173 sqq.
233
MacCormack, (1975) 41 SDMI 6.
234
Cels./Ulp. D. 9, 2, 27, 14; Geoffrey MacCormack, "Celsus quaerit: D. 9, 2, 27, 14",
(1973) 20 RIDA 341 sqq.
235
He advocated an action on the rather contorted basis of quasi corrumperc.
236
Ul p. D. 9, 2, 27, 20 ("It em si qui s frument o harenam vel ali ud quid i mmi scui t, ut
difficilis separatio sit, . . ."), On the divergence between D. 9, 2, 27, 14 and D. 9, 2, 27, 20
cf. Hausmaninger, Studi Grosso, vol. V, p. 268.
" 7 On these cases, cf. von Liibtow, Lex Aquilia, pp. 180 sqq.; J.L. Barton, "The Lex
Aquilia and Decretal Actions", in: Daube Noster (1974), pp, 15 sqq.; MacCormack, (1975) 41
SDHI 30 sqq. 238 Alf. D. 19, 5, 23.
239
Sab./Ulp. D. 9, 2, 27, 21
240
Proc. D. 41, 1, 55.
241
Cf. Ulp. D. 47, 2, 50, 4.
242
In D. 47, 2, 50, 4, the flag-waver is held liable under the actio furti if he acted "furti
faciendi causa". But where the waving of the flag is merely a silly practical joke ("lusus
perniciosus") there is no theft. In some instances, the actio de dolo was available. On the
relationship between actio de dolo and actiones in factum, see Alan Watson, "Actio de dolo
and actiones in factum", (1961) 78 ZSS 392 sqq.
243
Cf. Ul p. D. 9, 2, 27, 21 (oft en regarded as i nt erpol at ed; cf. e. g. von Lubt ow, Lex
Aquilia, p. 181; but cf. MacCormack, (1975) 41 SDHI 31 sq. ). To make things even more
puzzling, Ulpian attributes to Sabinus also the opinion that an actio in factum was applicable
(D. 9, 2, 27, 21 in fine). Did Sabinus possibly express different opinions on the question in
different works (Barton, Daube Noster, p. 19)?
244 "-phe suggestion chat a direct Aquilian action may lie in the circumstances can only be
described as pretty startling": Barton, Daube Noster, p. 19.
245
Birks, (1981) 16 The Irish Jurist 141.
246
D. 9, 2, 30, 2.
247
Cf. e.g. von Lubtow, Lex Aquili a, pp. 185 sq.
248
(1981) 16 The Irish Juris! 141 sqq.; d. also the sequel in (1985) 20 The Irish Jurist 352
sqq. (under the title "Cooking the meat: Aquilian Li ability for Heart hs and Ovens" and
concerning Ulp. D. 9, 2, 27, 10 and Coll. XII, VII, 8 (oven against party wall)—a case "of
particul ar obscurity" (MacCormack, (1975) 41 SDHI 30); for further discussion of these
texts, cf. von Lubtow, Lex Aquilia, pp. 162 sqq.; MacCormack, (1975) 41 SDHI 36 sqq.;
Norr, Causa mortis, pp. 171 sq.).
249
Overseas Tankships (U.K.) Ltd. v. Marts Dock & Engineering Co. Ltd. (The Wagon
Mound) [1961] AC 388 (HL) at 423, 419.
250
H.L.A. Hart, A. M. Honore, Causation in the Law (2nd ed., 1985), p. 1 (the standard
work in the field).
251
Cf. e.g. Boberg, Deli ct, pp. 380 sqq. (an excepti onal ly l uci d account of Aquil i an
liability in the South African usus hodiernus); cf. also Hart and Honore, op. cit., note 250,
p. 110 ("bifurcation of causal questions"); Dieter Giesen, Internationa! Medical Malpractice
Law (1988), pp. 163 sqq.
2=2
Cf. e.g. Hart and Honorc, op. cit., note 250, pp. 108 sqq.; A.M. Honore, "Causation and
Remoteness of Damage", in: Internationa! Encyclopedia of Comparative Law, vol. XI, 7, nn.
106 sqq.; Fleming, Torts, pp. 173 sqq.; for South Africa cf. e.g. Minister of Police v. Skosana
1977 (1) SA 31 (A) at 33 sqq.
253
On the use of the term "condition" and on the (German) " Aquivalenztheorie", cf. Hart
and Honore, op. cit., note 250, pp. 431 sqq.
254
And therefore, in a way, presupposes what it sets out to prove, on the basis of a priori
conclusions derived from experience. For criticism of the sine qua non test, cf., for example,
the discussions by Honore, op. cit., note 252. nn. 108 sqq and Boberg, Delict, pp. 383 sqq.;
cf. also e. g. Jurgen Rodig, Die Denkform der Alternative in derJurisprudenz (1969), pp. 115 sqq.
255
Supra, p. 977.
256
Boberg, Delict, p. 380.
257
Boberg, Delict, p. 387; cf. also Fleming, Torts, pp. 173, 181 sqq.; Hart and Honore, op.
cit., note 250, passim, e.g. pp. 88 sqq.
25H
For an overview of the different theories that have been developed, cf. Bobcrg, Delict, pp.
439 sqq.; Honore, op. cit., note 252, nn. 67 sqq.; Fleming, Torts, pp. 181 sqq.; Lange,
Schadensersatz, pp. 51 sqq.
259
The leading case embracing the foreseeability test is The Wagon Mound (supra, note
249). For a detailed analysis (and a proposed restatement) of the foreseeability test, seeJ.C.
Smith, Liability in Negligence (1984), pp. 91 sqq., 131 sqq.
260
Leading case (dethroned by The Wagon Mound) In re Polemis (In re an arbitration between
Polemis and Furness, Withy & Co. Ltd.), [1921] 3 KB 560 (CA), but cf. Bacon's maxim "in
jure non remot a causa sed proxi ma spectatur" which is analysed byjoscph H. Beale, "The
Proxi mate Consequences of an Act", (1919-20) 33 Harvard LR 633 sqq.
261
On the so-called adequate cause theory cf, for example, Lange, Schadensersatz, pp. 57
sqq.; Hart a nd Honore, op. cit., note 250, pp. 465 sqq.
Pre vailing vie w in m odern Germa n la w; c f, in pa rtic ular, Ernst von Cae m m erer,
"Das Problem des Kausalzusammcnhangs im Privatrecht", in: Gesammelte Schriften, vol. 1
(1968), pp. 395 sqq.; Lange, Schadensersatz, pp. 76 sqq.
263
This approach is strongly urged by Boberg, Delict, pp. 274 sqq., 380 sqq. On the
difference between the abstract and the relative concept of negligence, cf. the clear analysis
by W. H. B. Dean, "Cul pabi lity or Re mot eness", (1974) 91 SALJ 47 sqq.
264
"Haftungsbegrundende Kausalitat" as opposed to "haftungsausfiillende Kausalitat";
cf. e.g. H;.rt and Honore, op. cit., note 250, p. 85; Lange, Schadensersatz, pp. 54 sq.;
Zimmermann, 1980 Juristenzeiturtq 16.
2fi5
Cf. eg. Andrews J in Pahgraf v. Long Island Railroad Co. (1928) 248 NY 339 at 352, 162 NE
99 at 103: ". , . because of convenience, of public policy, or a rough sense of justice, the law
arbitrarily declines to trace a series of events beyond a certain point. This is not logic. It is
practical politics."
26
This point is made particularly clearly with regard to Roman law by MacCormack,
Studi Sanfilippo, vol. I, p. 283.
267
Karoly Visky, "Die Frage der Kausalitat aufgrund des D. 9, 2 (ad legem Aquiliam)",
(1979) 26 RID A 475 sqq., 501; MacCormack, Studi Sanfilippo, vol. I, pp. 263 sqq.; c(. also e.g.
Lord Dunedin in Leylattd Shipping Co. Ltd. v. Norwich Union Fire Insurance Society [1918] AC
350 (HL) at 362 (". . . question . . . to be determined by common-sense principles").
26H
Cf- the comprehensive analysis of this phrase in philosophical, rhetorical and legal
literature by Norr, Causa mortis, passim.
269
For a detailed analysis, see Reinhard Willvonscder, Die Verwendung der Denkfigur der
"conditio sine qua non" bei den romischen Juristen (1984), pp. 32 sqq.
27
" Willvonseder, op. cit., note 269, pp. 12 sqq., 194.
271
Dieter Norr, Essays Honore, p. 205 writes: "If that were right we would have to
conclude that the Romans, a warlike people, did not properly understand what they were
doing when they killed enemies or criminals by starvation." The argument is developed in
greater detail in Causa mortis, pp. 2, 122 sq.
272
Particularly clear on this point is Andrews, (1987) Cambridge LJ 315 sqq., 328.
273
MacCormack, Studi Sanjitippo, vol. I, p. 282.
274
Sec, generally, Honore, op. cit., note 252, nn. 130 sqq.; Hart and Honore, op. cit.,
note 250, pp. 205 sqq.; Ernst von Caemmerer, "Das Problem der iiberholcnden Kausalitat
im Schadcnsersatzrecht", in: Gesammette Schriften, vol. 1 (1968), pp. 411 sqq.; Lange,
Schadensersatz, pp. 110 sqq.
7э
Honore, op. cit., note 252, n. 111. This is only one of the conundra raised by the sine
qua non test. For exceptions and alleged exceptions to the conditio sine qua non rule, sec
Honore, op. cit., not e 252, nn. 119 sqq.
276
D . 9 , 2 , 11 , 3 .
277
Cf. e.g. Honore, op. cit., note 252, n. 130 read in conjunction with nn. 77 sqq. Cf.,
in this context, Weld-BlundeU v. Stephens [1920] AC 956 (HL) at 986: "Perhaps one may be
forgiven for saying that В snaps the chai n of causation; that he is no mere conduit pi pe
through which consequences flow from A to C, no mere moving pan in a transmission gear
set in motion by A; that, in a word, he insulates A from C"; on which, see A.L. Goodhart,
"The Third Man or Novus Actor Intcrveniens" (1951) 4 Current Legal Problems 190: "My
only comment is that four met aphors do not constitute one argument."
2
™ lul. D. 9. 2, 51 pr.
274
But see also Ulp. D. 9, 2, 15. 1, where Iulianus is purported to have adopted the same
view as Celsus. This contradiction has given rise to a host of speculations. The three texts
D. 9, 2. 11, 3, D. 9, 2, 15, 1 and D. 9, 2, 51 and the problem of the "overtaking cause" have
frequently been discussed; cf., in particular, Karl-Heinz Schindler, "Ein Streit zwischen
Julian und Celsus", (1957) 74 ZSS 201 sqq.; David Pugsley, "Causation and Confessions in
the lex Aquilia", (1970) 38 TR 163 sqq.; von Liibtow, Lex Aquilia, pp. 59 sqq.;
MacCormack, (1975) 41 SDHI 26 sqq.; Visky, (1979) 26 R1DA 486 sqq.; Hans Ankum,
"Das Problem der 'iiberholenden Kausalitat' bei der Anwcndung dcr lex Aquilia im
klassischen romischen Recht", in: De iustitia et iure, Festgabe fur Ulrich von Liibtow (1980), pp.
325 sqq.; Lawson/Markesinis, pp. 30 sqq.; Willvonseder, op. cit., note 269, pp. 144 sqq.;
Norr,
2m
Causa mortis, pp. 181 sqq,; Hausmaninger, Lex Aquilia, pp. 17 sq.
2MI
Cf. Ulp. D. 9, 2, 21, 1; supra, p. 961, note 69.
282
Cf. Ulp. D. 9, 2, 21, 1; supra, p. 961, note 69.
Frier, Roman Jurists, p. 44,
2ЯЗ
Supra, p. 981, note 196.
284
Norr, Causa mortis, p. 158.
28-1
Barton, Dattbe Nosier, pp. 21 sqq. (who argues that this explains the "hostility" and
"viciously restrictive [attitude]" of the classical lawyers towards the actio directa; they
wished to force plaintiffs to use praetorian actions in the greatest possible number of cases,
because they could thus avoid the inequitable doubling of damages); Norr, Causa mortis,
pp. 149 sqq.; idem, (1987) 6 Д/ 111 sqq. (on the basis of a most ingenious reconstruction of
the "drama" in front of the praetor, when the correct type of action had to be chosen).
286
Thielmann, Studi Biscardi, vol. II, pp. 314 sqq.
Cf. e.g. Walter Selb, "Formulare Analogien in 'actiones utiles' und 'actiones in factum'
am Beispiel Julians", in: Studi in onore di Arnaldo Biscardi, vol. Ill (1982), pp. 315 sqq.
288
Cf. e.g. UIp. D. 47, 8, 2, 20; Gai. D. 47, 2, 51; UIp. D. 9, 2, 27, 9; Paul. D. 9, 2, 30. 2.
289
For an overview cf. von Lubtow, Lex Aquilia, pp. 169 sqq.; Kaser, RPr I, p. 622;
Hausmaningcr, Lex Aquilia, pp. 33 sq. Cf. also J.M. Thomson, Who Could Sue on the lex
Aquilia? (1975) 91 LQR 207 sqq. He argues that the actio directa was granted to persons who
were not strictly dominus. Only towards the end of the Republic and in the course of a
general move towards an interpretative restriction of the lex Aquilia (cf, in another context,
supra, p. 982, notes 198, 199) was the actio directa confined to owners and did the praetor
therefore have to devise analogous claims for non-owners.
290
Cf. supra, note 48.
291
Ulp. D. 7, 1, 17, 3; ("Si quis scrvum occiderit, utilem actionem exemplo Aquiliae
fructuario dandam numquam dubitavi"); Ulp. D. 9, 2, 11, 10; but see the discussion by John
Iliffe, "The Usufructuary as Plaintiff under the lex Aquilia according to the Classical
Jurists", (1965) 12 RIDA325 sqq.
292
But only "propter inopiam debitoris vel quod litem amisit" and limited "ad modum
debiti": Paul. D. 9, 2, 30, 1. Normally, the actio legis Aquiliae was available to the
pledgor/debtor, and it would have been inequitable to give an action against the wrongdoer
both to the pledgor and to the pledgee. For details cf. Joseph Georg Wolf, "D. 20, 1, 27
Marc. 5 dig. Zur Aktivlcgitimation des Pfandglaubigcrs fur die actio legis Aquiliae", (1959)
76 ZSS 520 sqq.
293
Cf. Ulp. D. 19, 2 , 4 1 ; contra: Iul./Ulp. D. 9, 2, 11, 9 (based on Iul. D. 13, 6, 19: "Ad
eos, qui . . . utendu m [a liquid] a ccipiun t, da mnu m iniuri a ab ali o datum non pert inere
procul dubio est").
294
Cels./Uip. D. 9, 2, 27, 14; for details: MacCormack, (1973) 20 RIDA 341 sqq.
295
Ulp. D. 9, 2, 17; for details: Pernice, Sachbeschddigungen, pp. 190 sqq.; Felix Wubbe,
"Der gutglaubigc Besitzer, Mensch oder Bcgriff?", (1963) 80 ZSS 193 sqq.
296
Ulp. D. 9, 2, 17.
297
Supra n. 292.
29R
Cf. Pap. D. 1, 1, 7, 1 ("Ius praetorium est, quod praetorcs introduxerunt adiuvandi vel
supplendi vel corrigendi iuris civilis gratia propter utilitatcm publicam"); Marci. D. 1, 1, 8
("Nam et ipsum ius honorarium viva vox est iuris civilis").
299
Cf, in particular, Walter Selb, "Actiones in factum und Formeltechnik", in: Festschrift
fiir Heinrich Demelius (1973), pp. 230 sqq.; idem, Studi Biscardi, vol. Ill, pp. 312 sqq.; idem,
"Formulare Analogien in actiones utiles und actiones in factum vor Julian", in: Studi in onore
di Cesare Sanfilippo, vol. V (1984), pp. 729 sqq.; Max Kaser, " 'Ius honorarium' und 'ius
civile' ", (1984) 101 ZSS 95 sqq.
3(M1
D. 3, 5, 46, 1. 301
III, 219.
302
Selb, Festschrift Demelius, pp. 223 sqq.; idem, Studi Biscardi, vol. Ill, pp. 328.; but cf. also
Hasse, Culpo, pp. 36 sq.; Pernice, Sachbeschadigungen, pp. 145, 157 sqq.; Schulz, CRL, p. 591;
Kaser, RPrl, p. 621; idem, (1984)101 ZSS 101; Thielmann, Studi Biscardi, vol. II, pp. 303 sqq.;
Paul van Warmclo, "Les actions autour de la loi Aquilic", in: Studi in onore di Amaldo Biscardi,
vol. Ill (1982), pp. 351 sqq.; Honsell/Mayer-Maly/Selb, p. 367; Gunter Wescner, "Utiles
actiones in factum", in: Studi in onore di Emilio Betti, vol. IV (1962), pp. 503 sqq.
303
Van Warmclo, Studi Biscardi, vol. Ill, p. 360.
304
On which see, for example, von Lubtow, Lex Aquilia, pp. 209 sqq.; Paul van
Warmelo, "The Institutes ofjustinian as Students' Manual", in: Studies in Justinian's Institutes
in memory o/J.A.C. Thomas (1983), pp. 175 sqq.
305 That [ St t ne caS es where an object was damaged, but not as a direct consequence of a
physical action of the wrongdoer.
That is, cases where the owner was deprived of the use of his object which, in turn,
was, however, neither damaged nor stolen; cf. the examples supra, pp. 986 sq.
307
Thomas, Institutes, pp. 274 sq. writes with mild irony: ". . . the imperial assertion in
respect of the niceties of a system of procedure several centuries out of use may be received
with scepticism."
ЗП8 ?f already Pernice, Sachbesdicidigungen, pp. 144 sqq. Von Liibtow, Lex Aquilia, pp.
135 sqq., 180 sqq., 202 sqq., cf. also idem, (1984) 30 Labeo 317 sqq. has, however,
argued chat lint. IV, 3, 16 reflects the position in classical law. Cf, for example, Gliick,
vol. 10, pp. 334 sq.
31(1
Windscheid/Kipp, § 455, n. 3.
Lex Aquilia II
I. THE STATUTORY DEFINITION OF THE DELICT:
INIURIA
1. Damnum iniuria datum
(a) The notion of "поп iure facere"
"Occidere" and "urere frangere rumpere" were relatively straightfor-
ward, predominantly factual and descriptive requirements of the
Aquilian delict. Matters were more intricate when it came to the notion
of iniuria, 1 as contained in chapters one and three. Only "damnum
facere" of a specific kind could be labelled as a private wrong and it was
the complex concept of "iniuria" that gave the action of the defendant
its distinctly delictual flavour. A stabs to death B's slave who is lying in
ambush to rob him. 2 С pulls down his neighbour's house to keep a fire
off his own. 3 The aedil D smashes some beds that have been left lying
around in via publica so as to endanger the traffic. 4 E enters a slave of
his for a public boxing and wrestling contest (pancratium) in the course
of which the latter is killed by his opponent F. 5 There can be no doubt
that in all of these cases we are dealing with damage that has been
directly inflicted: with "occidere" (A and F) or "corrumpere" (C and
D) in the most literal and manifest sense of the words. And yet, it
would scarcely be appropriate to award damages to B, to the
neighbour, to the owner of the beds or to E. Why not? Because, as we
would put it, in none of these instances had the damage been
wrongfully inflicted. 6 For the Romans, this was the first, and possibly
the most obvious, implication of "iniuria": "Iniuria ex eo dicta est,
quod non iure fiat: omne enim, quod non iure fit, iniuria fieri dicitur."7
"[O]ne of the most impressive achievements of the Roman legal mind": Lawson/
Markesinis, p. 19,
2
Cf. Gai. D. 9, 2, 4 pr.
3
Cf. Cels./Ulp. D. 9, 2, 49, 1.
4
Cf. Ulp. D. 18, 6, 13.
5
Cf. Ulp. D. 9, 2, 7, 4.
6
For the modern concept of wrongfulness, cf. e.g. Jean Limpens/Robert M. Kruithof/
Anne Meinertzhagen-Limpens, "Liability for One's Own Act", in: International Encyclopedia of
Comparative Law, vol. XI, 2 (1983), nn. 28 sqq.; Erwin Deutsch, Haftungsrecht, vol. I (1976),
pp. 190 sqq.; Boberg, Delict, pp. 30 sqq. In French legal science, no clear distinction is drawn
between unlawfulness and fault; both are taken to be implicit in the concept of faute, as
contained in art. 1382 code civil; cf. e.g. Zweigert/Kotz, pp. 356 sqq.
7
Ulp. D. 47, 10, 1 pr.; cf. also Ulp. D. 9, 2, 5, 1 ("Iniuriam autem hie accipere nos
oportet . . . quocl non iure factum est, hoc est contra ius . . ."); Paul. Coll. II, V, 1
("Generaliter dicitur iniuria omne, quod non iure fit"); Inst. IV, 4 pr.; for a discussion cf.
998
Pernicc, Sachbeschiidigungen, pp. 26 sqq., 34 sqq.; Schipani, Lex Aquilia, pp. 51 sqq.,
296 sqq.; Peter Birks, "The Early History of iniuria", (1969) 37 TR 163 sqq.; von Lubtow,
LexH Aquilia, pp. S3 sqq., 94 sqq.
A similar argument is usually adopted as far as the interpretation of § 823 I BGB is
concerned and hence the distinction, even in the interpretatio moderna of the German
statutory version of Aquilian liability, between direct injuries on the one hand, and those
brought about indirectly and liability for omissions on the other. Here the wrongfulness of
the defendant's behaviour has to be positively established (did he owe a duty of care to the
plaintiff and did he act in breach of this duty? The enquiry is thus very similar to the one
conducted in English law in order to establish "negligence" (cf., for example, infra, p. 1039,
note 264); it involves the balancing of conflicting interests and is thus ultimately a matter o(
public policy; cf. e.g. Fleming, Torts, pp. 125 sqq.; Boberg, Delia, pp. 33 sqq.); there the
element of wrongfulness is taken to be automatically satisfied and is removed only if a
specific legally recognized defence can be invoked. Cf. Ernst von Caemmerer, " Wandlungen
des Deliktrechts", in: Gesammehe Schnften, vol. 1 (1968), pp. 478 sqq.; Hans Stoll,
"Unrechtstypen bei Vcrletzung absoluter Rechte", (1963) 162 Archiv fur die civilistische Praxis
205 sqq. For a similar distinction in South African law, cf. Boberg, Delict, pp. 32 sq.; cf. also
J.C.4 Smith, Liability in Negligence (1984), pp. 26, 29 sqq. and passim.
Cf., in particular, Peruke, Sachbesdia'digungeti, pp. 34 sqq.; Ben Beinart, "The
relationship of iniuria and culpa in the lex Aquilia", in: Stitdi in onore di Vincenzo
Arangio-Ruiz, vol. I (1953), pp. 282 sqq.; Lawson/Markesinis, pp. 19 sqq.; Hausmaninger,
Lex Aquilia, pp. 20 sqq.
10
Ulp. D. 43, 16, 1, 27; cf. also Gai. D. 9, 2, 4 pr. (". . . nam adversus pericuh m naturalis
ratio permittit se defendere"); Paul. D. 9, 2, 45, 4 ("vim enim vi defendere omnes leges
omniaque iura pcrmittunt"); Alfred Pernice, Labeo, vol. II, 1 (2nd ed., 1895), pp. 73 sqq.;
Paul van Warmelo. "Noodweer", 1967 Acta Juridica 10 sqq; Giannctto Longo, "Sulla
legittima difesa e sullo stato di neccssita in diritto romano", in: Sein und Werden im Recht,
Festgabe fur Ulrich von Lubtow (1970), pp. 321 sqq.; Hausmaninger, Lex Aquilia, pp. 20 sq.;
Andreas Wackc, "Defence and necessity in Aquilian liability", (1987) 20 Dejure 83 sqq. On
the philosophical justification of defence in terms of the ius naturale and the ius gentium, cf.
Stephan Kuttner, Kanonistische Sclmldtehre von Gratian bis aufdie Dekretalen Gregors IX (1935),
pp.1 334 sqq.
Paul. D. 9, 2, 45, 4.
im m inent. Use of force against a person who has already com pleted his
attack cannot be justified, since it constitutes an act of revenge, rather
than self-defence: "ilium . . . solum qui vim infert ferire conceditur, et
hoc, si tuendi dum taxat, non etiam ulciscendi causa factum sit." 12 And
finally, even if the attack w as both unlaw ful a nd im m inent, the
prospective victim w as not allow ed to resort to unreasonable and
excessive m eans in order to try to ward it off. 13 Of course, if one's life
w as threatened, one w as allow ed to kill the attacker. 14 B ut if a n
im m inent theft could have been prevented by arresting the thief, it was
not perm issible quite sim ply to stab him to death. 15 If som ebody wa s
hit w ith a w hip and, in the re su lting braw l, pok ed out one of th e
attacker's eyes, he had not acted iniuria; 1Л but if a shopkeeper, whose
lantern w as taken aw ay, pursued the thief, got hold of him , tried to
snatch back his lantern and, in the course of doing so, put out the thief's
eye with a spiked whip 17 which he was carrying, he was accountable for
the injury inflicted.18-19
(c) Necessity
If w e turn our attention to the second of the above-m entioned
12
Paul. D. 9, 2, 45, 4; cf. also Cockrofl v. Smith (1705) 11 Mod Rep 43.
13
Cf. also Limpens/Kruithof/Meinertzhagen-Limpens, op. cit., note 6, n. 168 ("'The
force used in defence must be proportionate to the attack"); Fleming, Torts, p. 77 ("The
force used must not exceed what reasonably appears to be necessary to beat off the attack"),
§ 227
14
II BGB.
U!p. I). 9, 2, 5 pr. ("Sed et si qucmcumque alium ferro se petentern quis Occident, non
videbitur iniuria occidisse").
13
LJlp. D. 9, 2, 5 pr. (". . . sin autem cum posset adprehendere, maluit occidere, magis
est16ut iniuria fecisse videatur"); cf. also Cook v. Beal 1 Ld Raym 176 at 177.
17
Alf. D. 9, 2, 52, 1.
Or sword-cane: flagellum, in quo dolor inerat.
IM
Alf. D. 9. 2, 52, 1. The taker of the lantern was, incidentally, not treated as a thief in
this text; the incident, from which the scuffle developed, was probably nothing but a
"drunken prank": ct~. Geoffrey MacCormack, "Aquilian Studies". (1975) 41 SDHI 46 sq.
For a full interpretation of Aif. Г). 9. 2, 52, 1 from the point of view of defence, see Wacke,
(1987) 20Dc_/im?88sqq.
The Roman sources thus contained all the essential elements stilt constituting the
justification of self-defence in modern law; cf. Limpens/Kruitbof/Meinertzhagen-Limpens,
op. cit., note 6, nn. 167 sqq.; Fleming, Torts, pp. 76 sq.; § 227 BGB. For details of the
historical development cf. Hans Schmitt-Lcrmann, Die Lehre von der Notwehr in der
Wissenschaft des getneineti Strafrechts (1930), pp. 12 sqq.; Kuttner, op. cit., note 10. pp. 334
sqq.; cf. also Van Warmelo, 1967 Acta Juridka 10 sqq., 15 sqq. (Roman-Dutch law); Wacke,
(1987) 20 De Jure 86 sq. Bartoius and Baldus labelled the three requirements restricting the
right of defence "circa causam" (the causa of the act must be defence not revenge), "circa
tempus" (attack must be imminent) and "circa modum" (the requirement of paritas
armorum). Christian doctrine had some difficulty in reconciling the right of self-defence
with Christ's admonition in his Sermon on the Mount: "But I say unto you that ye resist not
evil: but whosoever shall smite thee on thy right cheek turn to him the other also" (St.
Matthew 5, 39). A whole variety of arguments were advanced in the course of time: Christ
did not intend to abrogate the ius naturalc (implication: natural law and the teachings of the
Bible have equal ranking!); a person who allowed himself to be killed without offering
resistance was like a person who committed suicide, and suicide is a tresspass against God
(cf. Andreas Wacke, "Der Selbstmord im romischen Recht und in der Rechtsentwicklung",
(1980) 97 Z.SS32 sqq.).
" (l For details, sec Lim pens/Kruithof/Meinmz ha gen-Lim pc ns, op. cit., note 6, nn. 170
sqc-.; Fleming, Tom, pp. 86 sqq.: §§ 228, 904 BGB.
- 1 Fleming, Toris, p. 86.
~" For details, sec Pernice, Labco, op. cit., note 10, pp. 66 sqq.; Longo, h'estgabe von
Liibrow, pp. 331 sqq.; Geoffrey MacCormack. "Aquilian Studies", (1975) 41 SDMI S3 sqq.;
Lawson/Markesinis. pp. 20 sqq.; Hausmaninger, Lex Aquilia, pp. 21 sq.; Wacke. (1987) 20
De Jure 97 sqq.
Ulp. D. 43, 24, 7, 4; on this te xt, see Sc hipa ni, Lex Aquilia, pp. 153 sqq.
24
Ulp. D. 9, 2, 49, 1 (also emphasizing, however, that the person pulling down his
neighbour's house a cted iniuria, "nisi magna vi cogente fucrit factu m"). On D. 9, 2, 49, 1,
sec Schipani, Lex Aquilia, pp. 310 sqq. Cf. also Cope v. Sharp? [19121 1 KB 496 (CA), where
the defence of" necessity was successful, even though the fire wa s eventually extinguished
before it reached the defendant's property; at the moment, however, at which the defendant
acted, there a ppeared to be real and imminent da nger.
25
Ulp. D. 47, 9, 3. 7 in fine; for a discussion of the whole text, see Schipani. Lex Aquilia,
pp. 206 sqq. Ulpian's view was regarded as authoritative on the matter by the authors of the
iu s commu ne: cf. Andrea s von Tu hr, "Der Nothsta nd im Civilrecht" (1888 ). p. 62 .
26
Cf. e.g. § 228 BGB (harm m ust not be disproportionate to the da nger), § 904 BGB
(im mine nt harm m ust be our of all proportion to the harm inflicte d); tor Fra nce a nd the
French legal family cf. Limpens/Kruithof/Mcinertzhagen-Limpens, op. cit., note 6, nn. 173
sqq. (things sacrificed must be less valuable than the things saved (France); the damage
caused must be less serious in kind and quantity than the one the defendant tried to avoid
(Argentina)). Only in the common-law countries does there appear to be no specific
requirement of this kind; but even here, the measures which are taken must be "reasonable"
(cf Winfield and Jolowicz, p. 723, cf also p. 725 (more latitude in the protection of the
actor's person than of his property)). German law (§ 904, 2 BGB) as well as some other legal
systems, whilst maintaining that the infringement of the third party's interest is justified,
nevertheless grant a claim for compensation on equitable grounds to that third party; cf. e.g.
Limpens/Kruithof/Meinertzhagen-Limpens, op. cit., note 6, nn. 179 sqq.; Fleming, Torts,
pp. 88 sq.; Winfield and Jolowicz, pp. 723 sqq.
" Cf., along very similar lines, Reinhard Willvonseder, Die Verwendung der Denkfigur der
"condicio sine qua поп" hei den romischen Jttristen (1984), pp. 157 sqq.; Lawson/Markesinis,
p. 21.
"4M Cf. supra, pp. 347 sq.
"The terrible frequency of devastating conflagrations is one of the most remarkable
things in the history of Ancient Rome, and hardly less extraordinary is the apparent
inadequacy of counteracting measures": P.K. Baillic Reynolds, The Vigiles of Imperial Rome
(1926), p. 13. Only Augustus established the vigiles, who acted as police force as well as a
fire brigade; for details, see W. Krcnkel, in: Kleiner Pauly, vol. V. col. 1270 and the work by
Baillie Reynolds.
3(1
Cf. Fleming, Torts, p. 86; c(. also King's Prerogative in Salpelre (1607) 12 Co Rep 12
(dealing with the case of a person who blew up a house to prevent the fire spreading to the
whole
11
town).
Ulp. D. 19, 5, 14 pr. discusses a case where in a situation of maritime distress someone
threw somebody else's merchandise overboard in order to save his own. But here, again, the
"trespasser" also acted for the benefit of everybody else on board. Cf. also Mouse's case,
(1609) 12 Co Re p 63. On Quint. M uc./Pom p. D. 9, 2, 39, c(. Okko Be hre nds, 1985
Juristische Schulunq 878 sqq.; Hausmanmger, Lex Aquilia, p. 23; Wacke, (1987) 20 De Jure
92 sqq.
32
Lab./Proc./Ulp. D. 9, 2, 29, 3; Wacke, (1987) 20 De Jure 94 sqq.; cf. also RGZ 5, 160;
88, 211.
13
For the historical development of the modern doctrine of necessity in private law, cf.
Andreas Hatzung, Dogmengeschichtliche Grundlagen und Entstehung des zivilrechttichen Notstands
(1984), pp. 56 sqq. (usus modernus), 63 sqq. (natural law), 69 sqq. (pandectism), 90 sqq.
(codifications of the age of reason), 134 sqq. (origin of the §§ 228, 904 BGB).
34
Ulp. D, 47, I I ) , 13, 1. For examples cf. Ulp. D. 9. 2, 29, 7 (where the magistrate was
compelled "quid . . . adversus rcsistentem violentius [facere]"); Ulp. D. 43, 24, 7, 4
("incendii arcendi causa vicini aedes intercidfere]"). Cf. generally Hausmaninger, Lex
Aquilia, pp. 23 sq.; for m odern la w Lim pe ns/Kruithof/Meinertz ha ge n-Lim pe ns, op. cit.,
note 6, nn. 181 sqq.; Boberg. Delict, pp. 771 sqq.
35
Ulp. D. 9, 2, 29, 7.
3(1
Ulp. D. 9, 2, 29, 7.
37
Ulp. D. 9, 2, 7, 4. On this te xt cf.-Pernice, Labeo, op. cit., note 10, pp. 82 sqq.;
Schipani, Lex Aquilia, pp. 319 sqq.; Wittmann, Korperverletzung, pp. 95 sqq.; Andreas
Wacke, "Accidents in sport and games in Roma n and modern German law", (1979) 42
THRHR 282 sq.
-w F.A. Wright, in: The Oxford Classical Dictionary (2nd ed., 1970), p. 775; H.A. Harris,
Greek Athletes and Athletics (1964), pp. 105 sqq.; O. W. Reinmuth, in: Kleiner Pauly, vol. IV,
col. 460; Wacke, (1979) 42 THRHR 282 sq.; Ingomar Weiler, Der Sport bei den Volkern der
Alien
34
Welt (2nd ed., 1988), pp. 183 sqq.
Such as there were; according to Wright, loc. at., they were strictly enforced by
umpires, who closely watched the combatants.
On consent in modern law cf. Limpens/Kruithof/Meinertzhagen-Limpens, op. at,,
note 6, nn. 184 sqq.; Fleming, Tor/5, pp. 72 sqq.; Dcutsch, op. cit., note 6, pp. 226 sqq.;
Boberg, Delict, pp. 724 sqq. The problem of consent is particularly topical in medical
malpractice cases: cf. the comprehensive discussion by Dieter Giesen. International Medical
Malpractice
41
Law (1988), pp. 252 sqq.
D. 9, 2. 5. 1.
42
I I I , 211.
43
U l p. D . 47 , 1 0, 1 p r .; U l p. D . 47 , 6. 1, 2; U l p. D . 47 , 10 , 1 5, 4 6; P a ul . D . 4 4 , 7 , 3 4 p r .
On the relationship between iniuria and culpa and on the historical development, cf.
Beinart, Studi Arcitigio-Rniz, vol. I, pp. 279 sqq.; von Lubtow, Lex Aquilia, pp. 83 sqq.;
Lawson/ Markesinis, pp. 19 sqq., 22 sqq.; Honscll/ Mayer- Mal y/ Selb, pp. 229 sqq.
45
Cf. the situation in Paul. D. 9, 2. 30, 3.
46
Cf. Al f. / Ul p. P. 9, 2, 29, 4.
47
Cf. supra, pp. 978 sq.
4M
Cf. supra, pp. 9H4 sq.
49
Ccls. Coll. XII, VII, 5.
э0
Lawson/Markcsinis, pp. 19 sq. In England, this has become the generally accepted view
since the end of the 19th century (!), as a result of the decision of Stanley v. Powell [1891] 1
QB 86 (per DcnmanJ; the defendant, while firing at a pheasant, had shot the plaintiff (who
was employed to carry cartridges) with a pellet which ricochetced from a tree at a
considerable angle. Since the injury was held to have been accidental, the action tor tresspass
was
51
unsuccessful).
For the development in England cf. Salmond and Heitston on the Law of Torts (18th ed.,
1981), p. 128: "In so far as Stanley v, Powell decided that inevitable accident was a good
defence to an action of tresspass it probably cannot now be questioned. But in recent years
a series of decisions . . . have extended Stanley v. Powell so far as to hold that a plaintiff in
an action of tresspass for injuries to the person must always prove intention or negligence on
the5 part of the defendant."
- Beinart, Studi Arangio-Ruiz. vol. I, pp. 284 sqq.; Lawson/Markcsinis, p. 25. Contra:
MacCorrnack, (1975) 41 SDH! 56 (according to whom iniuria was probably understood by
thex jurists, from the time of the enactment of the lex, as expressing the requirement of fault).
That that was not the case in classical law has been emphasized by Geoffrey
MacCormack, "Aquilian Culpa", in: Daube Noster (1974), pp. 201 sqq.
" l 4 C f. Be i n a rt , S t u d i A ra n g i o - R u i z, v ol . I , p . 2 86 .
ээ
L i k e t h e c o n c e p t o f "f a u t e " i n a r t . 1 3 8 2 c o d e c i v i l ; c f . s u p r a , n o t e 6 .
56
Be inart, S tu d i А гап ^о- Ru iz, vol. I , p. 285; K ase r, R Pr I , p. 505.
57
I n sl . I V , 3, 2 .
5
* In st . I V , 3, 3 sq q.
yj
Cf. S chi pam, L e x Aqu il ia , pp. 439 sqq.; Kase r, R Pr I I. p. 438.
60
A n a l ys e d i n gr e a t d e t a i l b y S c h i p a n i , L e x A q u i l i a , p p . 1 3 3 s q q . ; M ac C o r m a c k , D a u be
No st e r, pp. 203 s qq.; i de m, ( 19 75) 41 S D M I 43 sqq.; cf . al s o vo n Lubt o w, L e x A q u i li a ,
pp. . 9 8 sq q.
61
Paul. D. 9. 2. 31.
62
Paul. D . 9, 2, 30, 3.
f i3
U l p. D . 9 , 2, 9 , 4. O n j a ve l i n s a n d j a v e l i n t h r o w i n g i n t h e A n c i e nt W o r l d, se c H a r r i s ,
o p. c i t ., n ot e 3 8 , p p . 9 2 sq q .; i d e m, A t h l e t i c s i n A n c i e n t G re e c e ( 1 9 7 6) , p p . 1 9 6 s q q .
fl4
Mela/Proc./Ulp. D. 9, 2, tl pr.
fl5
Cf. abo Pcrnicc. Siichbvschadiyuuqett, p. 51; von LCibtow. Lev Aquilia, pp. 87, 105.
'"'
67
MacCormack, Danbc Noster.'pp. 202, 204.
As, for instance, they were in Paul. D. 9. 2, 31.
(8
' MacCormack, Daube \'oster, p. 202. Neither furiosus nor infans can be made liable
under the lex Aquilia; reason: "quac enim in eo culpa sit, cum suae mentis поп sit"
(Pegasus/Ulp. D. 9. 2, 5, 2). On the delictual liability of an impubes infantia maior, see
Lab./Ulp. D. 9, 2, 5, 2; Lab./Iul./Ulp. D. 47, 2, 23; Bernard Pcrrin, "Le caractere subjectif
de I'lniuria Aquilicnne a Fepoque classiquc". in: Stndi in oiwre di Pietro de Francisci, vol. IV
(1956), pp. 271 sqq.; MacCormack, Daube Nosier, pp. 2!8 sq.; Schipani, Lex Aquilia. pp. 219
sqq., 270 sqq.; Hausmaninger, Lev Aquilia, p. 26.
'' Cf. von Lubtow, Lex Aquilia, pp. 83 sqq.; Schipani. Lev Aquilia, passim, e.g. pp. 131
sqq., 192 sqq.; MacCormack, Daube \oster, pp. 201 sqq.; Honsell/Maycr-Maly/Selb, p. 366;
Hausmaningcr, Lex Aquilia, p. 25. That culpa was seen in an objective light is also apparent,
for instance, from the one (apparently) more generalizing statement on culpa that we
possess: " . . . culpam autem essc, quod cum a dihgente provider! potent, поп ent
provisum" (Paul. D. У, 2, 31; attributed by Paul to Quintus Mucius). This phrase has often
been regarded as spurious (cf. e.g. Arangio-Ruiz. Responsabilita, pp. 234 sqq.; von Lubtow,
Lex Aquilia, pp. 99 sq.), but see. for example, Schipani, Lex Aquilia, pp. 141 sqq., 371 sqq.
It should, however, not be seen as providing a general definition of culpa (in terms of
foreseeability); the remark was probably related by Quintus Mucius more directly to the
circumstances of the case than appears from I). 9, 2, 31: MacCormack, Daube Nosier, pp. 203
sqq. For a different evaluation, cf. Okko Hehrends, "Die Rechtsformen der romischen
Handwcrks". (1981) 22 Ahhandlnngeu der Akadenrie der Wissemchaften in Goltingen 145. It should
also be noted that the problem of fault was not considered in isolation. The Roman lawyers
did not go through a list of specific requirements, defined and categorized as neatly as in a
modern textbook, when they tried to establish whether a particular plaintiff was liable under
the lex Aquilia. Just as fault and unlawfulness were not neatly separated, so the issue of
fault was frequently merged with causal questions: a higher degree of fault could, for
instance, "compensate" for a certain lack of directness in the infliction of the injury. The
point has been emphasized and illustrated by Geoffrey MacCormack, "Juristic Interpretation
of the Lex Aquilia", in: Studi in onore di Cesarc Sanfilippo, vol. I (1982), pp. 270 sqq. The
bonus (or diligens) paterfamilias as a general model of the standard by which the issue of
75
For a com parative survey, cf. A.M. Honore, "Ca usation and Re mote ness of Damage",
in: International Encyclopedia of Comparative Law, vol. XI, 7 (1983), nn. 144 sqq.; additionally
(for South African law) Boberg, Delict, pp. 652 sq.
76
Cf., for exampl e, Pernicc, Labeo, op. cit., not e 10, pp. 97 sqq.; Buckl and/ McNair,
pp. 370 sqq.; Mcdicus, Id quod interest, pp. 322 sqq.; Buckland/Stein, p. 587; Peter Aumann,
Das mitwirkendc Verschulden in der neueren juristischen Dogmengeschichte, (unpublished Dr. iur.
thesis, Hamburg, 1964), pp. 4 sqq.; Klaus Luig, "Uberwiegendes Mitverschuldcn", (1968)
2 his Commune 192 sqq.; von Liibtow, Lex Aquilia. pp. 106 sqq.; Christian Wollschiager,
"Das ei genc Verschulden des Verl etzt en l m romischen Recht ", (1976) 93 ZSS 115 sqq.;
Lawson/ Markesinis, pp. 33 sq.; Hausmaninger, Lex Aquilia, pp. 26 sqq.
77
Cf". Uip. 9, 2, 9, 4 in fine; Paul. D. 9, 2, 31 ("quod si nullam itcr ent, dolum dumtaxat
praest are debet, nc i mmitt at in cum, quem vi deril transeunt em").
™ Paul. IX 9, 2. 31.
14
Paul. IX 9, 2, 28.
m
Ulp. IX 9, 2, 9. 4 (cf. supra, note 63).
Ml
Mela/Proc./Ulp. D- 9, 2, 11 pr. (cf. supra, note 64).
82
Cf. further Wollschlager, (1976) 93 ZSS 128 sqq., who draws attention to a Greek
parallel (or rather: model) for the case of" the javelin-thrower.
нз
"[A] stock . . . case in classical jurisprudence": MacCormack, Daube Noster, p. 215.
84
But, on the other hand, he could hardly be thought to have caused the damage directly
(damnum corpori datum). Did Mela, therefore, only contemplate an actio in factum? What
kind of game were the players busy playing? Wackc, (197У) 42 THRHR 277 thinks it was
a game similar to hockey (where the ball was hit); according to Wollschlager, (1976) 93 ZSS
132, the ball had been thrown by hand; the text merely says "pila percussa". On Roman ball
games generally, see H.A. Harris, Sport in Greece and Rome (1972), pp. 75 sqq.; Weiler, op.
cit., note 38, pp. 265 sqq.
~ People of lower rank were shaved by itinerant barbers in the open air; for the wealthier
Romans,
Я6
elegant barbershops were available; for details, see e.g. Carcopino, pp. 175 sqq.
Genuine? No, says von Liibtow, Lex Aquitia, p. 107 ("naive Ghsse"). Contra: Theo
Mayer-Maly, "Пе se queri debere, offida erga se und Verschulden gegen sich selbst", in:
Festschrift fur Max Kaser (1976), p. 248.
87
The idea of compensatio culpac; cf. infra, pp. 1030, 1047.
HM
Cf, in particular, Luig, (1968) 2 his Commune pp. 193 sqej. Wacke, (1979) 42 THRHR
2769explains the decision in D. 9, 2, 9, 4 (javelin-thrower) on this basis.
* Cf. Buckland/McNair, pp. 370 sqq., but also Pcrnice, Sachbeschadigmigen, p. 60.
Contra, in particular, MacCormack, Studi Sanfilippo, vol. I, pp. 277 sqq. ("In a sense one can
say that the jurists reduced the question of causation to one of fault").
" Originally, the common law treated contributory negligence as a complete defence: it
not only impaired but completely barred recovery except against an intentional wrongdoer.
"fl]f there is blame causing the accident on both sides, however small the blame may be on
one side, the loss lies where it falls" was the principle, as formulated by Lord Blackburn, in
Cayzer, Irvine & Co. i>. Canon Co. [1884] 9 AC 873 (HL) at 881. It wasjustified on the basis
that, in a practical sense, the plaintiff was the author of his own wrong (Butterjield v. Forrester
(1809) 11 East 60 at 61) and therefore the only effective cause of his injury (Fleming, Torts,
p. 243, who criticizes this argument as being "a hollow pretence" and "hypocritical").
Subsequently, this harsh rule was mitigated by the "proximate cause", or "last
opportunity", test. As a result of it, the entire blame was now thrown on whoever had had
the last opportunity of avoiding the harm. "Not surprisingly", writes Fleming, p. 244, "the
result [which was still all or nothing] was again explained in the abracadabra of causation,"
possibly still under the influence ot the canonical distinction between causa proxima and
causa remota (Luig, (1968) 2 lus Commune 223). On the "last opportunity" rule in South
African law, cf. Boberg, Delict, pp. 653 sqq.
9
' Wollschlager, (1976) 93 ZSS 131 sqq.
4
" Cf. also Mayer-Maly, (1974) 226 Gottingische Gelehrte Anzeigm 130; Hausmaninger,
Lex Aquilia, p. 27. The idea of an exclusion of delictual liability on the grounds of an
assumption of risk ("Handetn aufeigene Gefahr") has also been advanced with regard to Alf.
D. 9, 2, 52, 4 ("Cum pila complures luderent, quidam ex his servulum, cum pila percipere
conaretur, impulit. servus cecidit et crus frcgit: quaercbatur, an dominus servuli lege Aquilia
cum eo, cuius impulsu ceciderat, agere potest"): von Lubtow, Lex Aquilia. pp. 108 sq.;
Wacke, (1979) 42 THRHR 278 sq. Alfenus, however, rather appears to have stressed the fact
that there was no fault involved ("respondi non posse, cum casu magis quam culpa videretur
factum"). But, of course, all disputes about whether the exclusion of liability in a specific
situation depended on "wrongfulness" or "fault" are, as far as Roman law is concerned, of
a somewhat academic nature. That the Roman lawyers took account of the special
circumstances obtaining in combative sport is apparent from Ulp. D. 9, 2, 7, 4 (a case
dealing with wrestling, boxing and pancratium): "cessat flex] Aquilia, quia gloriae causa et
virtutis, non iniuriae gratia videtur damnum datum." Generally on liability for accidents in
sport and games in Roman law, see Wacke, (1979) 42 THRHR 273—specifically on Ulp. 1).
9, 2, 7, 4 cf pp. 281 sqq.
In modern law, the opinion tends to prevail that the crucial issue is one of wrongfulness,
not of fault; as long as the rules of the game are not infringed, participants in any form of
contact sport do not act unlawfully if they injure each other. The appropriate dogmatic tool
to achieve this result is, however, in dispute; consent (volenti non fit iniuria), assumption of
risk, application of special standards of behaviour (i.e. modification of the usual "alterum
non laedere" precept for contact sport)? For details, see Reinhard Zimmcrmann,
"Verletzungserfolg, Spielregeln und allgemeines Sporlrisiko", 1980 Versicherungsrecht
497 sqq. These special considerations are, however, justifiable for injuries inflicted only
while the game (or fight) is in progress. For the time before (knocking up) and after (final
whistle has been blown, towel has been thrown in) the normal rules apply, and any injury
is (prima facie) unlawful. For Roman law cf, along similar lines, Ulp. D. 9, 2, 7, 4 (". . .
plane si ccdentem vulneraverii, erit Aquiliae locus").
93
On the meaning of "de se queri debet" in this context, see Wollschlager, (1976) 93 ZSS
132 sqq.; generally, cf. Mayer-Maly, festschrift Kaser, pp. 236 sqq.
94
Aumann, op. cit., note 76, pp. 6 sq., 1 b; Wollschlager, (1976) 93 ZSS 115 sqq.; cf. also
Schipani, Lex Aquilia, pp. 420 sqq.; contra, for example, Medicus, Id quod interest, pp. 322
sqq.; Luig, (1968) 2 Ins Commune 192 sqq.; Honsell/ Mayer- Maly/Selb, p. 232.
106
For details, see Wittmann, Korperverletzun^, pp. 62 sqq.; cf. also Lawson/Markesinis, p.
11.1117
For details cf. supra, pp. 970, 972.
1(1H
Gai. D. 9, 3, 7; cf. also Gai. D. 9, 1, 3; Ulp. D. 9, 3, 1, 5; Wittmann, Korperverletzung, pp.
66 sqq.; N.J.J. Olivier, Die aksie weens die nalatige veroorsaking van pyn en lyding (unpublished
Dr.1 iur. thesis, Leiden, 1978), pp. 21 sqq.
ч
All texts inferring that an actio utilis was granted in cases of damage to freemen have
often been regarded as interpolated; cf., most recently, von Liibtow, Lex Aquilia, pp. 116
sqq. Cf. also Schulz, CRL, p. 591 ("It is . . . hardly credible that an actio utilis was ever
granted in classical times when a free person had suffered injury") and many others.
"" But cf. also Ulp. D. 9, 2, 7, 4 (the wrestling, boxing and pancration case); our only
source dealing with the applicability of the lex Aquilia where a freeman had been killed. It
is very widely held, however, that the actio legis Aquiliae utilis was not available in classical
Roman law in the case of death of freemen; cf. e.g. Thomas, TRL, p. 368; but cf. Robert
Feenstra, "Die Glossatoren und die actio legis Aquiliae utilis bei Totung eines freien
Menschen", in: Eltjo J.H. Schrage, Das romische Recht im Mittelalter (1987), pp. 205 sqq.;
Bernhard Schebitz, Berechmmg des Ersatzes nach der Sex Aquilia (unpublished Dr. iur. thesis,
Berlin, 1987), p. 100. As far as Byzantine law is concerned, see Stephan Brassloff, "Zur
Lehre von den Rcchtsfolgen der schuldhaften Totung eincr Person im byzantinischen Recht",
(1911) 25 Zeitsclirift fitr vergleichende Rechtswissenschaft 378 sqq.
4 . T h e lib e r h o m o b o n a fid e se rv ie n s
The actio legis Aquiliae utilis was granted in a second type of situation
by the classical lawyers: where a freem an had been injured, who did not
know about his status and served in good faith as som eone else's slave
(liber hom o bona fide serviens). U lpian m ust have referred to him
w hen he sa id: "L iber hom o suo nom in e utile m A quiliae habe t
actionem ."' 16 Extension of Aquilian protection to the injury of sons in
power could still be explained on the basis that the position of the
paterfam ilias was not altogether dissim ilar to that of the erus (dom inus)
111
The same incident is discussed in Iul./Ulp. D. 19, 2, 13, 4 and on a parchment
discovered in Egypt: cf (1957) 14 Papiri delta Societa Italians, n. 1449; Vincenzo
Arangio-Ruiz, "Frammenti di Ulpiano, libro 32 ad edictum, in una pergamena di
provenienza egiziana", (1957) 153 Archivio Giuridico Filippo Serafitii 140 sqq.; idem, "Di
nuovo sul frammento di Ulpiano in PSI. 1449 R.", (1960) 2 RIDR 281 sqq.
"~ How was this possible? Can a stroke at the neck make an eye pop out? This is, indeed,
what Arangio-Ruiz, (1960) 2 BIDR 292 (and before him Cuiacius and other humanists)
maintained. Or did the stroke at the neck push the apprentice's head against an awl which
he held in his hand at that particular moment (cf. Schulz, Ein0inm$, p. 56; Maycr-Maly,
Locatio conductio, p. 187; Wittmann, Korperverletzuttg, p. 84). More recently, it has been
argued that due to the specific shape of a Roman shoe-last, eye and neck may well have been
hit with one and the same stroke: cf. Max Schubert, "Dcr Schlag des Schusters", (1975) 92
ZSS 267 sqq.
113
The question depended on how severely an instructor was allowed to punish his
apprentices. Julian says: ". . . levis dumtaxat castigatio concessa est doccnti." For a
discussion, see Maycr-Maly, Locatio conductio, pp. 186 sqq; Friedhelm Harting, Die "positive»
Vertragsverletztingeti"iti der neueren detitschen Privatrechtsgeschichte (unpublished Dr. iur. thesis,
Hamburg,
114
1967), pp. 29 sqq.
"Sed legc Aquilia posse agi non dubito." The text is, however, corrupt, in so far as
neither Julian nor Ulpian can have granted the actio directa (cf. Wittmann, Korpervertetzung,
p. 189);
15
but d. also Schebitz, op. cit., note 110, p. 91.
Iul./Ulp. D. 9, 2, 7 pr.
116
D. 9, 2, 13 pr.; Jors/Kunkel/Wengcr, p. 257; Wittmann, Korperverletzung, pp. 76 sqq.;
Kaser, RPr I. p. 622; Olivier, op. cit., note 108, pp. 28 sqq.; Schebitz, op. cit., note 110,
pp. 82 sqq.
117
Wittmann, Korperi>erietzun<>, p. 104.
118
Alf. D. 9, 2, 52, 1; cf. supra, p. 1000.
119
Ргос./Ulp. D. 9, 2, 11, 5; cf. supra, p. 980 (not es 189, 190).
120
Ccls./Ulp. D. 9, 2, 7, 7; cf. supra, p. 980 (note 187).
121
Cf. the authors menti oned supra, not e 116.
122
Cf. e.g. Wieacker, (1975) 92 ZSS 357; Kascr, RPr 11, p. 438; Schebitz, op. cit., note
110, pp. 79 sqq.; but cf. Brassloff, (1911) 25 Zeitschrift fur vergleichende Rechtswissenschaft,
pp. 378 sqq.; Wittmann, Ko'rpervertetzimg, pp. 98 sqq.; undecided is Hausmaningcr, Lex
Aquilia, p. 32.
Usus modernus pandectamm. Lib. IX, Tit. I I , § 1.
124
On the lex Aquilia in post-classical law and under Justinian, cf. the clear and instructive
exposition in Inst. IV, 3; Giovanni Rotondi, "Teorie postclassichc sull' 'actio legis
Aquiliae' ", in: Scrittigiuridici, vol. II (1922), pp. 411 sqq.; idem, "Dalla 'lex Aquilia' all'art
1151 Cod. Civ., in: Scritti, op. cit., pp. 468 sqq.; Levy, Obligationenrecht, pp. 335 sqq.;
Schipani, Lex Aquilia, pp. 387 sqq., 439 sqq.; Kaser, RPr II, pp. 437 sqq.
12э
Cf. also Molinaeus, Commentatius in Codicem, Lib. II, Tit. XXXV (Opera omnia, vol.
HI (Parisiis, 1681), p. 625): ". . . in omnibus iudiciis nulla actio (est) frequentior ilia."
l e
~ For a comprehensive analysis of the usus modernus of the actio legis Aquiliae, cf.
Kaufmann, Lex Aquilia, passim; cf. also Rotondi, Scritli, vol. II, pp. 501 sqq.; Going, pp. 509
sqq.; Thomas Kiefer, Die Aquilische Haftung im "AUgememen Landrecht fur die Preussischen
Staaten" von 1794 (1989), pp. 58 sqq.; as far as France is concerned, cf Coing, pp. 506 sq.
127
Cf., in particular, Rudolf Konig, Das allgemeine Schadensersetzrecht im AUttelalwr im
Anschluss an die lex Aquilia (unpublished Dr. iur. thesis, Frankfurt, 1954), passim; most
recently, c(. Kiefer, op. cit,, note 126, pp. 29 sqq.; cf. also Charles Fried, "The Lex Aquilia
as a Source of Law For Bartolus and Baldus", (1960) 4 American Journal of Legal History
142 sqq.; Harvey Chalmers, "The Concurrence of Criminal and Civil Actions in Medieval
Law", (1973) 39 SDHI 385 sqq.
12K
Ic appeared in 1703; I have used the edition Halae Magdeburgicae, 1750. The quotation
("actio nostra . . .") is taken from § I of this treatise.
129
Cf. supra, pp. 961 sqq.
130
Cf., for example, Konig, op. cit., note 127, p. 38.
131
Cf. Kaufmann, Lex Aquilia, pp. 85 sq.; the quotation is taken from Stryk, Usus
modemus pandectarum, Lib. IX, Tit. II, § 2.
132
Cf. Kaufmann, Lex Aquilia, p, 86.
133
Usus modemus pandectarum, Lib. IX, Tit. II, §§ 2 sq.; cf. also Struve, Syntagma, Exerc.
XIV, Lib. IX, Tit. II, XXV; Lauterbach, Collegium theoretico-practicum, Lib. IX, Tit. II,
XXIV.
134
Cf. supra, p. 974.
135
Vsus modemus pandectarum, Lib. IX, Tit. II, § 20.
136
Kaufmann, Lex Aquilia, p. 88,
137
Gliick, vol. 10, p. 385. For the 19th century, cf. Windscheid/Kipp, §§ 263, 455, 5 in
fine.
138
Inst. IV, 3, 9; cf. supra, pp. 974 sq.
5. Passive intransmissibility
(a) Canonist doctrine
Another domino was bound to fall sooner or later: the Roman rule that
the Aquilian action was passively intransmissible. 146 Unless legal
proceedings against the wrongdoer had already reached the stage of litis
contestatio (in which case the wrongdoer's death no longer affected the
139
Gai. IV, 9; cf. supra, p. 970.
140
De legibus abrogatis, Inst., Lib. IV, Tit. Ill, § 15. For further details on the development,
see Tobias Johannes Scott, Die Geskiedetiis van die Oorerfiikheid van Aksies op grond van
Onregmatige Daad in die Suid-Afrikaanse Reg (unpublished Dr. iur. thesis, Leiden, 1976),
pp. 48 sqq., 154 sqq.
141
Cf. e.g. Stryk, Usus modernus pandectarum. Lib. IX, Tit. II, §§ 4, 21; Lauterbach,
Collegium theoretico-practimtn. Lib. IX, Tit. II, XXIV.
142
Cf. supra, pp. 916, 973.
143
The medieval lawyers (who still regarded the actio legis Aquiliae as both
reipersecutoria and poenalis) had confined the cumulation to the amount by which the award
exceeded che plaintiff's interessc, i.e. the duplum (in the case of litiscrescence) or any surplus
on account of t he assessment cl auses: cf. Koni g, op. cit ., not e 127, pp. 46 sq.; Lange.
Schddensersatz und Privatstrafe, pp. 135 sq., 138.
144
Stryk, Usus modernus pandectarum. Lib. IX, Tit. II, § 21.
145
Stryk, loc. cit.; cf. also Gluck, vol. 10, pp. 385 sqq.; Kaufmann, Lex Aquilia,
pp 91 sqq.
146
Supra, p. 973.
147
Cf. Gai. D. 50, 17, 139 pr.; Paul. D. 50, 17, 164; Call. D. 44, 7, 59.
14K
Cf. Scott, op cit., note 140, pp. 21 sqq.
l 4y
Kaufmann, Lex Aquilia, pp. 95 sqq.
15<)
Henricus de Segusio (Hostiensis), In Decretalium Commentaria, Lib. V, De raptoribus,
incendiariis, et violatoribus ecclesiarum (Tit. XVII), Cap. V, 1 and Lib. Ill, De sepulturis
(Ti t . XXVIII ), Ca p. XI V, 10. For a det ai l ed an al ysi s, cf. T. J. Scot t , "Passi v e
Transmissibility of Delictual Actions in Old Canon Law", 1978 Acta Juridica 15 sqq.
151
Hence the jurisdiction of the Church ("ratione peccati"); cf. Wieacker, Privatrechts-
geschichte, p. 76. On the criterion of ratione peccati, cf. also Wolter, Ins canonicum in iure civili,
pp. 43 sqq., 91 sqq., 161 sqq., 193 sqq.
152
C f. su p ra, p . 82 4, n ote 2 83 .
153
Boe h me r , I n s e c d e si a st i c u m p ro t e st an t i u m , Li b. V , T i t . X V I I , § CX X X I I ; cf. al s o S c ot t ,
1978 Acta Juridica 18.
Konig, op. cit., note 127, pp. 6 sq., 54; F.H. Lawson, "The Duty of Care in Negligence: A
Comparative Study", (1947-48) 22 Tuiane LR 115 sq.; but see Kaufmann, Lex Aquilia, pp.
12 sqq.
m
4mt. IV, 3, 16 in fine.
161
Speculum iudiciale. Lib. IV, Panic. IV, De Iniuriis et damno dato, § 2 sequitur, 14; cf.
further Konig, op. cit., note 127, pp. 22 sqq.
162
F or al l de t ai ls, see Kaufmann, L e x Aqu il ia , pp. 46 sqq., 62 sqq.
163
Cf. Ka ufm an n, L e x A q ui l ia , p. 53.
164
Cf., f or e x am pl e , Br un ne m an n, Co t n m e n t a riu s i n Pa n d e c ta s, Li b. I X , T i t . I I , Ad L. I t e m
M e l a, 11, n. 14; St r yk, U su s m od e rn u s pan de c ta m m . Li b. IX , T i t . I I , §§ 6 sq.; Gl i i ck, vol . 10,
p p . 3 3 9 s q . ; R o t o n d i , S c r i t t i , v ol . I I , o p . c i t . , n ot e 1 2 4 , p p . 5 2 4 s q .
165
Struve, Syntagma, Exerc. XIV, Lib. IX, Tit. II, XX; cf. also Lauterbach, Collegium
theoretico-practicum. Lib. IX, Tit. II, VII ("Ut damnum sit datum pecuniarium, scilicet, quo
altcrius diminuitur patrim oiiium ").
l6h
Collegium theoretico-practicum. Lib. IX. Tit. II, XV; for Roman-Dutch law cf., for
example, Van Bynkershoek, Observations tittnuituariae, n. 1195; Pieter Pauw, "Aanspreek-
likheid vir 'suiwer vermoe'nskade' in die Suid-Afnkaanse reg", (1975) 8 Dejure 26 sqq.;J.C.
van der Walt, "Nalatige wanvoorstelling en suiwer vermoenskade: die appclhof spreek 'n
duidelike woord", 1979 TSAR 145 sqq.; Administrates, Natal v. Trust Bank van Afrika Bpk.
1979 (3) SA 824 (A) at 830 sq.
167
Cf. supra, pp. 783, 812 sq.
168
Supra, note 166.
169
Or, possibly, of culpa in contrahendo,
17
" Cf. Kaufmann, Lex Aquilia, pp. 110 sqq.; Harting, op. cit., note 113, pp. 65 sqq.
171
See, too, Kaufmann, Lex Aquilia, pp. 117 sq.; Rotondi, Scritti, vol. II, op. cit., note
124, pp. 523 sqq.
172
Konig, op. cit., note 127, p. 33.
173
Cf. supra, p. 1003, note 37; p. 1015, note 110.
174
Surtnna Codicis, Lib. Ill, De lege Aquilia (p. 89, left column).
i 7D
For a penetrating interpretation of glossatorial writings on the matter, see Feenstra, in:
Schrage, op. ci t . . note 110, pp. 207 sqq.
176
Cf. Feenstra. in: Schrage, op. cit., note 110, pp. 211 sqq.
177
For details, see Kaufmann, Lex Aquilia, pp. 34 sqq., 43 sqq.
178
See, however, the remark ' "sed cert e heres liberi hominis non agir iege Aquilia" by
Azo, loc, cit., as interpreted by Konig, op. c i t . , note 127, p, 34. Contra: Feenstra, in:
Schrage, op. cit.. note 110, pp. 217 sqq.
17 J
' Collegium theoretico-practiatm. Lib. IX, Tit. II, VIII; cf. also Stryk, Usus modernus
pandectarum. Lib. IX, Tit. II , § 9.
1HO
Usus modernus pandectarum, Lib. IX, Tit. II, § 9.
181
Cf. also Grotius, Itileidinq, I I I , XXXIII, 2; Lockhat's, Estate v. North British & Mercantile
Insurance Co. Ltd. 1959 (3) SA 295 (A) at 304; Dernburg. Pandekten, vol. II, § 132, 2; § 844
I BOB.
l H2
Lauterbach, Collegium theoretico-practicum. Lib. IX. Tit. I I, VIII.
183
Feenstra, in: Schrage, op. cit., note 110, pp. 205 sqq.; cf. also Durantis, Speculum
iudiciale, as quoted by Konig, op. cit., note 127, p. 40.
184
Commentarius ad Pandectas, Lib. IX, Tit. II, XI. Cf. also Struve, Syntagma, Exerc.
XIV, Lib. IX, Tit. H, XXII; Grotius, Inividing. I I I . XXXIII, 2; Gluck, vol. 10, pp. 341 sq;
for the 19th century, see Dernburg, Pandekteti, vol. II, § 132. 2; Windscheid/Kipp, § 455. 5
(who draw attention to the fact that the claim, recognized in practice, is "certainly not"
justifiable theoretically); today § 844 II BGB.
185
For which period did one have to assume that the relatives lost the opera of the dead
person? Bartolus and Baldus argued (on the authority of Pap. D. 7, 1, 56 in fine) that the
assessment had to be based on the presumption that the deceased would have become 100
years old. Durantis said "usque ad tempus quo verisimile est eum occisum vivere potuisse"
(Kaufmann, Lex Aquilia, p. 20), but also referred (like Azo and Roffredus before him) to
D. 35, 2. 68 pr. (the so-called lex Hereditatum computation!, providing a table for the
computation of the value of a legatum concerning alimenta (problem: does it infringe the lex
Falcidia?)); cf. the detailed analysis by Feenstra, in: Schrage, op. at., note 110, pp. 223 sqq.
As far as Roman-Dutch and South African law are concerned, cf, Grocnewcgen, De leqibus
abrogate, Digest. Lib. XXXV, Tit. II, 1. 68;J.E. Schohcns, "Damages for Death", (1959)
76IW>
SAL/373 sqq.
!H7
Supra, p. 1015.
1да
Cf. supra, p. 1015.
Cf. Robert Feenstra, "Theories sur ia responsabilitc civile en cas d'homicide et en cas
de lesion corporelle avant Grotius", in: idem, Fata iuris romani (1974), pp. 327 sqq.; Wieiing,
Interesse mid Privatstraje, pp. 136 sqq.; Olivier, op. cit., note 108, pp. 37 sqq., 120 sqq.,
155 sqq,
189
Kaufmann, Lex Aquilia, pp. 30 sqq.; Manfred Herrmann, Der Schutz der Personlichkeit
in der Rechtslehre des 16. bis 19. Jahrhunderts (1968), pp. 64 sqq.; Olivier, op. cit., note 108,
pp. 121 sqq., 152 sqq., 160 sqq.
1911
Stryk, Usus modemtis pandectarum, Lib. IX, Tit. II, § 10.
9. Culpa
(a) In general
About the only requirement of Aquilian liability that remained
essentially unchanged was culpa {in the sense of fault). It could take the
form of intention (dolus) or negligence (culpa in the narrow sense, as it
was conceptualized in the Justinianic sources196). The wrongdoer was
191
O r , m o r e p r e c i s e l y: a d o p e r a s , " q u i b u s c a r u i t a u t c a r i t u r u s e s t " ( G a i . D . 9 , 3 , 7) . O n
t he o pe r a r u m a e s t i m a t i o s e e , a g a i n , F e e n s t r a , i n: S c h r a ge , o p . c i t . , n o t e 1 1 0 , p p . 2 2 3 s q q .
192
L aut e r b a ch, Co l l e g iu m t h eo re t i co -p ra c t ic u m . Li b. I X , T i t . II , X X I V .
193
V oe t , Co m m e n t a ri u s a d Pa n d e c t a s , Li b. I X , T i t . I I , X I . Cf . a l s o V i n n i us , I n st i t u t i o n ss .
Lib. IV, Tit. Ill, 13, n. 2; and, in particular, Grotius, Inleiding, III, XXXIV, 2 ("De smert
ende ontciering van 't lichaem, hoewcl eighentlick niet en zijn vergoedelick, werden op geld
geschat, soo wanneer sulcks vcrsocht word"); Gluck, vol. 10, pp. 388 sqq.; as far as pecunia
doloris is concerned, cf. also Stryk, Usus modemus pandectamtn, Lib. IX, Tit. II, § 10 (on the
basis of an analogy to art. 20 of the Constitutio Criminalis Carolina). For a discussion cf.
Robert Feenstra, "Over de oorsprong van twee omstreden paragrafen uit de Inleidinge van
Hugo de Groot (III, 33, 2 en III, 34, 2)", 1958 AdaJuridica 27 sqq.; idem, Fata iuris romani,
pp. 323 sqq.; Wieling, Interesse und Privatstrafe, pp. 133 sqq.; Pieter Pauw, "Aspects of the
origin of the action for pain, suffering and disfigurement", 1977 TSAR 244 sqq.; Olivier,
op. cit., note 108, pp. 135 sqq., 162 sqq.; Boberg, Delict, pp. 516 sqq.; Hoffa v. SA Mutual
Fire & General Insurance Co. Ltd. 1965 (2) SA 944 (C) at 950 sqq.; Government of the Republic
of South Africa v. ЩиЬапе 1972 (2) SA 601 (A) at 606A-611A. Feenstra, loc. cit., has drawn
attention to the fact that this development was inspired not only by local customs but
(particularly in the person of Hugo Grotius) by concepts of the law of nature, as formulated
by 16th-century Spanish writers on the basis of medieval canonist doctrine (particularly the
doctrine of restitution); cf. also Olivier, op. cit., note 108, pp. 83 sqq., 91 sqq., 135 sqq.
For the position in the 19th century, see Windscheid/Kipp, § 455, 7; Wieling, Interesse und
Privatstrafe, pp. 147 sq.; today cf. § 847 BGB. On the recoverability of dommage moral in
French law, see Genevieve Viney, in: Jacques Ghestin, Traite de droit civil, Les obligations, La
re spon sa bili te: e ff et s ( 1988), nn. 142 sqq.; Pauw, Pe rso onl ikhe id sk ren ki ng, pp. 139 sqq.
194
C f. s t i l l D e r n b u r g, Pa n d e k t e n , v ol . I I , § 1 32 , 1 .
145
Cf. Jac obu s dc Ra va nis, as quote d b y P au w, 197 7 TSA R 244.
196
F o r a h i s t o r i c a l a n a l ys i s , c f . B e r t K r i k k e , " R e c h t s h i s t o r i s c h e e n d o g m a t i s c h e
pr o bl e me n ro n d he t e ul p a- be gr i p ", i n: S t ra f re c h t i n p e rsp e c t i e f ( 1 9 80 ) , p p. 20 1 sq q.
197
Cf.. for example, Voct, Coiniiwiltariiis ad Pandectas, Lib. IX, Tit. II, XIII; Rotondi,
Scritti, vol. II, op. cit., note 124. pp. 513 sq.; Kaufmann, Lex Aquilia, pp. 74 sqq.: for the
19th century cf. Ogorck, Gvfahrdimgshaftung, pp. 37 sqq. It was frequently argued, though,
that liability for culpa levissima was excluded if the damage had been done within a
contractual relationship which, in turn, did not impose such a strict degree of diligence on
the parties; in other words, the special, contractual standard of diligence could modify what
was generally (under the law of delict) expected of a person. Example: ". . . si depositaries
in rebus suis negligens ex levissima culpa damnum dederit in re deposita, ad illud
resarciendum, cum locum non habeat depositi actio, multo minus haec poenalis"
(Lauterbach, Collegium theorctico-practicum. Lib. IX, Tit. II, IX—not taking into account,
though, that the Aquilian action was no longer penal, but purely reipersecutory, as he
himself acknowledged in other places, cf. e.g. loc. cit. XXIV); reason: "alias frustranea esset
omnis de culpa juris dispositio." Cf. also Stryk, Usus modenius pandectarum. Lib. IX, Tit. II,
§ 14; Gliick, vol. 10, pp. 310 sqq. The same case is still decided in exactly the same way
according to modern German law. A depositarius is liable for diligentia quam in suis (§§ 690,
277 BGB), whereas liability in delict is for negligence in general (§§ 823 I, 276 I BGB)" If an
object that has been deposited is damaged or destroyed, the requirements for both a
contractual and a delictual claim for damages are usually satisfied, but the standard of
diligence envisaged in §§ 690, 277 BGB is applied to the delictual claim also; otherwise the
intentions of the legislator, as expressed in § A90 BGB, would be frustrated. Cf., for
example, Uwe Huffer, in: Ajiinchener Kommentar, vol. II, 2 (2nd ed., 1986), § 690, n. 7;
generally on the problems arising from the concurrence of liabilities, see Peter Schlechtricm,
Vertragsordmtng nnd ausservertragliciu- Haftung (1972), passim; Fleming, Torts, pp. 168 sqq.;
Tony Weir, "Complex Liabilities", in: International Encyclopedia of Comparative Law, vol. XI,
12 (1983), nn. 10 sqq.; for South Africa cf. Lillicrap, Wassenaar and Partners v. Pitkitiqton Brothers
(SA) (Pty.) Lid. 1985 (1) SA 475 (A) at 500F-501H; Dale Hutchison, D.P. Visser, (1985) 102
SALJ 590 sqq.; Boberg, Delict, pp. 3 sqq. Cf. also supra, pp. 904 sqq.
1УН
In discussions concerning imperitia, liability for medical malpractice played a
particularly prominent role. What the lawyers of the usus modernus had to say about the
medical profession, in this context, was not particularly flattering. For Stryk, the medical
profession was full of sycophants (". . . nulla ars plures habeat Sicophantcs quam medicina,
et plcrumque hie barbitonsorcs et pharmacopolac officii sui limites excedant . . ."; he then
proceeds to report a case of "pillutarum impcrite adhibitarum contra chirurgum");
Lauterbach regretfully reported that negligent doctors were only rarely brought before a
court of law and that they were therefore the only people who might kill with impunity
("Raro . . . culpa Medici in judicium vocatur. Unde: Errata Medicorum terra occultat,
benefacta autem Sol lllustrat. Et Plinius: Soli Medico hominem occidere impune est"); and
Groenewcgen came to the conclusion: "Imperitia hodie non solet imputari medicis . . .
Medicorum imperitia terra tegit, ideoque in judicium non vocatur, aut alioqui fere
excusatur" {De legibtts abrogates, Inst., Lib. IV, Tit. Ill, § 7); cf. also Vinnius, histitutiones. Lib.
IV, Tit. Ill, 8, n. 2. On the history of medical malpractice law in England, cf. the remarks
by Giesen, op. cit., note 40, pp. 4 sqq. Generally on imperitia culpae adnumeratur in
Roman-Dutch law, cf. Scott, Gedenkbtwdel Steyn, pp. 134 sqq.
199
Cf. , for example, Struve, Syntagma, Exerc. XIV. Lib. IX, Tit. II, XXI ("Quod si nee
dolus ncc culpa intervenit, non intelligitur damnum injuria datum . . ."); Voet,
Commentarius ad Pandectas, Lib, XLVII, Tit. I, I; Gliick, vol. 10. pp. 319 sqq; Kaufmann, Lex
Aquilia, pp. 73 sqq. As far as damages caused by an act which is "licit and permitted by law"
(a traditional ball game) are concerned, cf. the interesting decision of the Rota Fiorentina of
1780, discussed by Gino Gorla, (1У75) 49 Tulane LR 346 sqq. The decision, inter alia, refers
to D. 9, 2, 11 pr. (the barber case). The case of the barber also features prominently (art. 146)
in the Constitutio Criminalis Carolina of 1532, the codification that heralded a new era in the
science of criminal law.
But cf. the somewhat unfortunate attempts of (for example) Lauterbach to apply the
scholastic causa doctrine: Collegium theoretico-practicum. Lib. IX, Tit. II. I—III, XL For turther
details, see Kaufmann Lex Aquilia, pp. 64 sqq.
2(11
Cf. e.g. Stryk, USIIS modernus pandectarum. Lib. IX, Tit. I I , § 7 ("Quale ergo hie subest
interesse? scil. nullum aliuci, quam ut constet. an actione dirccta. 1. aquil. an in factum
agendu m. Veru m inter haec nihil interesse, ja m dictum est").
2(12
Cf. e.g. Lauterbach. Collegium theoretico-practicum. Lib. IX, Tit. II. II and III: "Causa
sive factum, ex quo oritur, est damnum facientis injuria . . . Causa efficiens remota est Lex;
. . . [p]roxima est malitia, infirmita s, ignorantia. negligentia vel imperitia horninis. . . ,"
2113
Konig, op. cit.. note 127. pp. 31 sq.
2 04
D. 7, 1 , 13, 2 (". . . na m qui a gru m non proscindit. qui vites non su bserit, item
aquarum ductus conrumpi patitur, lege Aquilia non tenetur"); on this text cf. Pernice,
Sachbeschadigungen, pp. 166 sqq.; Van den Heever, Aquilian Damages, pp. 41 sqq; Ben
Beina rt, "Cu lpa in o mitte ndo ", (1 9 49 ) 12 THRHR 15 2 sqq.; vo n Lu bto w, Le x Aq u ilia ,
p. 97; Alan Watson, "D. 7. 1. 13. 2 (Ulp. 18 ad Sab,): the lex Aquilia and decretal actions",
(1966) 17 Iura 174 sqq.; Kemp J. Kemp, Delictual Liability for Omissions (unpublished LLD
thesis, Port Elizabeth. 1978), pp. 75 sqq.
2113
Commentariiis ad Pandectas, Lib. IX, Tit. II, I I I .
206
Cf. Ulp. D. 9, 2, 27, 9; Gai. D. 9, 2, 8 pr.; see also the discussion by Van den Heever,
Aquilian Damages, pp. 37 sqq.; Kemp, op. cit., note 204, pp. 62 sqq., 88 sqq.
^°7 Voet, Commentarius ad Pandectas, Lib. IX, Tit. II, III; Gluck, vol. 10, pp 319 sq.;
Halliwell v, Johannesburg Municipal Council 1912 AD 659 at 670 sq.; Kemp, op. cit., note 204,
pp. 137 sqq.
208
Collegium theoretico-practicum. Lib. IX. Tit. II, X.
209
Stryk, Usus modernus pandectarum. Lib. IX, Tit. II, § 14.
21(1
Struve, Syntagma, Exerc. XIV, Lib. IX, Tit. II, XX; cf. also Grotius, Inleidinq, III,
XXXII. 3, 4, 12, 14.
211
Cf. supra, pp. 1011 sq.
212
Pomp. D. 50, 17, 203, on which see Medicus, Id quod interest, pp. 323 sq.; Aumann, op.
cit., note 76, pp. 30 sq.; Lange, Schadensersatz und Privatstrafe, pp. 71 sq.
213
Supra, pp. 1010 sqq.
214
Lauterbach, Collegium theoretico-practicum. Lib. IX, Tit. II, VII; cf. also XI.
215
Gl. Tenebitur ad D. 9, 2, 9, 4.
16
An unsuitable name, according to Buckland/McNair, p. 371; cf. also Lawson/
Markesinis, pp. 33 sq.
217
Luig, (1969) 2 lus Commune 206 sqq.; d. further Kaufmann, Lex Aquilia, pp. 77 sqq.;
Aumann, op. cit., note 76, pp. 50 sqq.; Wieling, Interesse und Privatstrafe, pp. 222 sqq.
21S
Collegium tlieoretico-praaicum, Lib. IX, Tit. II, I I I and II.
219
Cf., once again, in particular Feenstra, fata iuris romani, pp. 323 sqq.; also Thomasius,
op. cit., note 128, § LI and passim.
220
He tried to show not only that the actio hodicrna was entirely different from the actio
legis Aquiliae, but also that it corresponded to the precepts juris naturae vel gentium.
Characteristic is the following passage: "Cum . . . conveni[at] hac parte Canonicum jus cum
acquitatc naturali & moribus Gentium, sane in tantum se commendavit hac parte Jus
Canonicum Germanis ut duritiam morum proprium ad acquitatem Juris Canonici
reducerunt: Quo facto plane nun fuerunt apti. ut introducto, integro seculo post Jus
Canonicum, Jure Justinianeo in Academias Germanise, relicia hac parte Juris Canonici
aequitate, recipere potuerint irregularem illam et omni ratione destitutam duritiam legis
Aquiliae" (§ LI).
On Thomasius' views on the relationship between ius civile and ius canonicum in general,
see Wolter, Ius canonicum in hire civili, pp. 161 sqq.; on his natural-law theory, cf. Hinrich
Ruping, Die Naturrechtslehre des Christian Thomasius und ihre Fortbildung in der Thomasius-Schule
(1968).
221
De jure belli ac puds. Lib. II, Cap. XVII, I. Cf. also Inieiding, III, XXXII, 7, 9, 12
(referring to "het aengheboren rccht" (natural law).
For a discussion, sec Hans-Peter Bcndhr, "Ausscrvertragliche Schadcnsersaizpfiicht
ohnc Verschuldcn? Die Argumente der Naturrcchtslehrcn und -kodifikationcn", (1976) 93
ZSS 209 sqq.; Kicfcr, op. cit., note 126, pp. 78 sqq.
Characteristic is the following passage from his De jure naturae et gentium: "Ex hisce
positis facile est rundamentum legis naturalis in venire. Scilicet manifesto apparct, hominem
esse animal sui conservandi studiosissimum, per se egenum, sine sui similium auxilio servari
ineptum, ad mutua commoda promovenda maxime idoneum, idem tamen sacpe
malitiosum, pctulans, et facile irritabilc, ac ad noxam inferendam prom turn, ac validum.
Ejusmodi animali, ut salvum sit, bonisque fruatur, quae in ipsius conditioncrn hie cadunt,
nccessarium est, ut sit sociabile, id est, ut conjungi cum sui similibus velit, et adversus ilios
ita se gerat, ut ne isti ansam accipiant euni lacdendi, sed potius rationem habeant ejusdem
commoda servandi, aut promovcndi" (Lib. II, Cap. Il l, XV).
~~4 De jure naturae et gentium, Lib. Ill, Cap. I, I; c(. further Benohr, (1976) 93 ZSS 213 sqq.;
Kiefer, op. cit., note 126, pp. 83 sqq. "Ut ne quis alterum laedat" (alterum non laedere) is
the more basic of the two statements; (II.) has to be added, though, because, as Thomasius
(op. cit., note 128. § II) explains "|f|rustraneum hoc esset praeceptum, si post laesionem non
tencrcr laeso ad satisfactioneni").
"^ D. 1, 1, 10, 1 (on which, see Malte Dicsselhorst, "Die Gerechtigkcitsdefinition Ulpians
in D. 1, 1, 10 pr. und die Praecepta iuris nach D. 1, 1, 10, 1 sowic ihre Rezeption bei Leibnitz
und Kant", in: Rotnisches Rccht in tier enropa'ischen Tradition, Syinposion Franz Wieacker (1985), pp.
185 sqq.; Gottfried Schiemann, "Das allgcmeine Schadigungsverbot: 'alterum non
laedere1 ", 1989 Juristische Sdmliing 345 sqq.). On the precept of alterum non laedere, cf.,
most recently, Hans Hattenhauer, drundbegrijj'e des Biirgerlichert Rechts (1982), pp. 103 sq.;
Diesselhorst, op. cit., pp. 196 sqq.; Klaus Luig, "Digesten und Dogmatik", (1986) 5 RJ307
sqq.; Eduard Picker, "Vertragliche und deliktische Schadcnshaftung", 1987 Juristenzeitung
1048 sqq.; Schiemann, 1989 Juristische Schnhmg 345 sqq.
221
227
' Op. cit., note 128, § II.
Op. cit., note 128, § IV; "|a|equum est, quia piutn et humanum est. aliis, quibus etiam
non a nobis damnum datum est, ex abundantia nostra succurrcrc et in solatium, rcrum
amissarum quaedam donare; quanto magis lis. qui facto nostro damnum passi stint: Justum
est, quia tranquillitas humani generis id postulat." On the notions of acqualitas and
tranquillitas.
22
in this context, cf. Benohr. (1976) 93 ZSS 220 sqq.
224
f Op. cit., note 128, § IV. Cf. further § VII. but also § V.
Blackburn j, in the famous case of Rylands v. Fletcher [1861-73) All ER 1 at 11 appears
to have had something similar in mind, for his way of arguing implies that he regarded no-
fault liability as the primary principle of delictual liability, negligence as an exception (cf. also
A.W.B. Simpson, "Legal Liability for Bursting Reservoirs: The Historical Context of Rylands
v. Fletcher". (1984) 13 Journal of Legal Studies 213 sqq.). In the course of the 19th century,
English courts vacillated on the question ot whether to deduce negligence based liability or
no-fault liability from the maxim of "sic utere tuo ut alieno non laedas"; cf. infra, p. 1137,
note 317.
21( 1
Benohr, (1976) 93 ZSS 226 sq.
231
On this notion cf. from an analytical point of view, foachim Hruschka, "Imputation", in:
Albin Eser, George P. Fletcher, Rechtfertigung und Entsdntldigung, vol. I (1987), pp, 121 sqq.
232
On Pu fendorf's concepts of an a ctio moralis, of imputatio and imp utativitas, cf. e.g.
De jure naturae etgentium. Lib. I, Cap. V; W. Hardwig, Die Zureclniung (1957), pp. 35 sqq.;
Joachim Hruschka, "Ordentliche und ausscrordentliche Zurechnung bei Pufendorf", (1984)
76 ZStrW66\ sqq.
233
Philosophia practica utiiversalis. Pars I (Francofurti et Lipsiae, 1738), § 692 ("Defectus
rectitudinis actionis dicitur vincibilis, si cum evitare potuisses, modo voluisses"); § 696
("Defectus rectitudinis actionis vincibilis dicitur in genere culpa"); § 701 ("Defectus actionis
a rectitudine quoad voluntatcm et voluntatum dicitur Dolus"); § 717 ("Culpa in specie
dicitur defectus rectitudinis actionis quoad intellecturn vincibilis").
234
Cf. UIp. P. 50, 17, 23 in fine.
235
On the fault principle in the natural law codifications, see Benohr, (1976) 93 ZSS
228 sq. (Codex Maximiliancus), pp. 229 sqq. (Prussian General Land Law), 233 sqq.
(ABGB), 242 sqq. (code civil). On the most direct sources of art. 1382 code civil, cf. infra,
note 248.
236
Grotius had used certain passages from Aristotle's Nicomachaean Ethics as the starting
point for his views on delict: cf. De jure belli ac pads. Lib. Ill, Tit. XI, II sqq.
237
Analysed in detail by Hans-Peter Benohr, "Die Entscheidung des BGB fur das
Verschuldensprmzip", (1978) 46 TR 1 sqq.
23K
Cf. e.g. Josef Esser, Grundlagen und Entwicklung der Gefahrdungshaftung (2nd cd., 1969),
pp. 50 sqq.; Roscoe Pou nd, "T he Role of the Will'in La w", (1954) 68 Harvard LR 1 sqq.
(8, 17); Ogorek, Gefahrdungshaftung, pp. 23 sq.
239
Cf. e.g. System, vol. V, pp. 1 sqq.; Obligationetinrht, vol. II, p. 295.
24(1
Cf. e.g. Hem Kotz, "Haftung fur besondcre Gefahr", (1970) 170 Archiv fur die
civilistische Praxis 2 sqq.
41
~ Fleming, Torts, pp. 93 sqq., 302 sqq. (" 'No liability without fault' became the banner
of an individualistic society set on commercial exploitation and self-help").
242
Bcnohr. (1978) 46 TR 10 sqq.
"4" Cf., in particular, Rudolf von Jhering. Das Schuldmoment im romischen Privatrecht (1867).
44
~ "Protokolle", in: Mugdati, vol. II. p. 1074; [ have, in general, followed the translation
by Weir, in Zweigert/Kotz/Weir, p. 31 i.
~4э "|V]estigial anomalies of an uncivilised past when individual freedom was less
esteemed than in the new era of middle class democracy": Fleming, Torts, p. 302; for Roman
law, cf. Jhering, op. cit.. note 243, pp. 41 sq.
246
Cf. infra, pp. 1132 sqq.
247
Cf. e.g. Hans Jcntsch, Die Entwickhtng voti den EuizeltJtbestiindcn des Deliktrechts гиг
Gcncralnorm ttnd die Berechtigimg finer solchen (unpublished Dr. шг. thesis, Leipzig, 1939),
pp. 5 sqq.; Friedhelm Keppmann. Die neiiere Entuncklung der objektiven Tatbestande dcr §§823,
826
24H
BGB (unpublished Dr. iur. thesis, Minister, 1959)', pp. 18 sqq.
The way to the famous general clause of art. 1382 led via Jean Domat, Les loix civiles,
Lib. II. Tit. VIII, Sect. IV. 1; cf the analysis by Yosiyuki Noda, "Jean Domat et le Code civil
frangais" (1956) 3 Comparative Law Review (Japan Institute of Comparative Law) 1 sqq.; cf also
Pothier, Train1 da obligations, nn. 116, 123. Art, 1382 code civil has been received by the
Dutch legislator: art. 1401 BW. There is one interesting difference, however: the Dutch
Code has "elke onregtmatigc daad" as opposed to the "tout fait quekonqtte" of art. 1382 code
civil (for details of the development cf. Robert Fccnstra, Vergelding en vergoeding (1982),
pp. 3 sqq.). French legai science has, however, read the requirement of wrongfulness into the
notion of "fautf": cf. supra, p. 998, note 6.
249
Cf also §§ 1. 8, 10 I 6 PrALR, on which see Kiefer, op. cit., note 126. passim. He
draws attention to the continuity between the doctrines of the usus modemus and the
provisions of the Prussian General Land Law on the law of delictual liability. The
natural-law theories merely provided the philosophical framework.
2Ы>
Cf, for example, Dernburg, Pandekten, vol. II, §§ 131. 135; Hassc, Culpa, pp. 26 sq.;
Vangerow, Pundekten. % 681; Windschcid/Kipp, §§ 451,"455; RGZ 9, 158 sqq. (163 sqq.); for
a discussion, see Keppmann, op. cit., note 247, pp. 52 sqq. Legal practice did not always
follow suit; c(. August Hefke. "Das Wcsen des damnum iniuna datum", (1886) 14 Archiv fur
praktiiche Rechtswissenschaft 212 sq. Under the influence of pandectist doctrine the provisions
of the PrALR (cf. supra, note 249) were also restrictively interpreted and brought into line,
as far as possible, with the scope of Aquilian liability in Roman law. Cf. Kiefer, op. cit., note
126, pp. 165 sqq., 189 sqq., 224 sqq.
Ъ1
The first draft had still opted for a general clause: cf. §§ 704 sq. E I. On the discussions
in the course of the traveaux preparatoires, cf Keppmann, op. cit., note 247. pp. 97 sqq.;
Michael Fraenkel, Tatbestand und Ziirechnung bei § 823 Abs. ! BGB (1979), pp. 97 sqq.; Kiefer.
op. cit., note 126, pp. 270 sqq. In the end, the general clause was rejected by the second
commission
2 2
by a bare majority often to eight votes.
^ Which, incidentally, can also be traced back to Grotius (cf. his InSeidim;, III, XXXIII
(Van misdaed tegen 't leven), III, XXXIV (Van misdaed tcgen 4 lichaem). Ill, XXXV (Van
hoon). 111, XXXVI (Van misdaed tegens goed)) and beyond him, ultimately, to Doncllus
(cf.253infra, p, 1086. notes 270 and 274); Feenstra, op. cit., note 248, pp. 13 sq.
Delictual protection of family relationships, of the right to an established and operative
business, and of the general right to one's personality, to mention the three most notable
examples. For an overview, cf. U.S. Markesinis, A Comparative Introduction to the German
Law of Tort (1986), pp. 34 sqq. (with reproduction, in translated form, of some ot the most
important cases: pp. 173 sqq.); Zweigert/Kotz, pp. 340 sqq. The "or any other right" clause
was, in fact, intended to refer only to absolute rights similar to ownership (as, for example,
patents, copyrights, trade marks, or the right to one's image).
2r>A
Unless, of course, there is a contract between the two parties concerned (in which case
recovery for pure economic loss presents no problem), or unless the negligent statement
leads to physical damage (for an instructive example, see Bristow v, Lycett 1971 (4) SA 223
(RAD), where the defendant's assurances relating to an elephant had turned out to be unduly
sanguine).
"^ In these cases, 5 ^23 I BGB leads to strange distinctions. It the interruption of the
electricity supply merely brings to a halt the machines in a factory, the owner of the factory
has no claim for the resulting loss of production (pure economic loss; but was there perhaps
an infringement of the plaintiff's right to an established and operative business? No, say the
courts: the interference was not "direct"; ef. e.g. HGHZ 66, 388 sqq.); but if it causes the
incubators in a poultry farm to cool off with the result that all the eggs arc spoilt, the plaintiff
may recover his loss (s.v. injury to property; ct. BGHZ 41. 123 sqq.). For a discussion of the
cable cases ct. e.g. Gimter Hager, "Haftung bei Stoning dcr Energiezufuhr", 1979
Juristetizcitung 53 sqq.; Alfons Burge. "Die Kabclbruchfallc", 1981 Jurist ische Blatter 57 sqq.;
Markesinis, op. cit., note 253, pp. 112 sqq., 125 sqq. The leading English cable case is Sparta»
Steel & Alloys Ltd. v. Martin & Co. (Contractors) Ltd. (1973] 1 QB 27 (CA); for a comparative
analysis, see Gerold Herrmann, Znni Nachteil des Vermogens (1978). pp. 23 sqq.; for South
African law, see Coronation Brick (Ply.) Ltd. v. Strachan Construction Co. (Pty.) Ltd. 1982 (4) SA
371 (D) (and the discussion in Boberg. Delict, pp. 144 sqq.).
2S<1
With the result that the will is invalid and the property of the deceased passes to the
intestate heirs. In England, a negligent solicitor has been held liable to the disappointed
beneficiary in a case of this kind: Ross v. Caiintcrs [1980] Ch 297. For an analysis of the
situation in German law, see Remhard Zimmermann, "Lachende Doppelerben?—Erbtolge
und Schadensersatz bei Anwaltsverschulden", 1980 Zeitschrift fiir das gesainte Familienrecht 99
sqq.; as far as common-law jurisdictions are concerned, ct. Owen Rogers. "The Action of
the Disappointed Beneficiary", (1986) 103 SALJ 583 sqq.; cf. also Werner Lorenz, "Some
thoughts about contract and tort", in: Essays in Memory of Professor F.H. Lawson (1986),
pp. 86 sqq.
2S7
Cardozo CJ, in Ultramares Corporation v. Touche (1931) 255 NY 170, 174 NE 441
at 444.
2
™ Cf. Weller & Co. v. Foot and Mouth Disease Research Institute [1966| 1 QB 569 at 585;
generally cf., for example, Herrmann, op. cit., note 255. pp. 1 sqq.. 15 sqq. (a book written
in an unusually brisk and lively style); cf. also the analysis by W. Bishop, "Economic Loss in
Tort", (1982) 2 Oxford Journal of Legal Studies 1 sqq.
"VJ "Culpa in contrahendo odcr Schadensersatz bei nichtigen oder nicht zur Perfektion
gelangtcn Vertragcn", (1861) 4JhJb 12 sq., as translated by Weir, in Zwcigert/Kotz/Weir,
p. 266.
(c) England
In other jurisdictions the distinction between (physical) damage to a
specific corporeal asset and economic loss has, however, come in for
trenchant criticism. "I can find neither logic nor common sense in
this", said Lord Devlin in the leading English case on negligent
statements, 261 and he therefore felt
"bound to say, my Lords, that I think this to be nonsense. It is not the kind of
nonsense that can arise even in the best system of law out of the need to draw nice
distinctions between borderline cases. It arises, if it is the law, simply out of a refusal
to make sense. The line is not drawn on any intelligible principle."
Cases of pure economic loss are thus no longer excluded, a limine, from
the ambit of the English tort of negligence, but they are seen to require
special treatment on policy grounds. Whether or not a duty of care was
owed to the injured party in a particular situation and whether or not
there was a breach of such duty of care:262 these questions are
determined with more circumspection than in cases of loss arising from
physical injury. In recent years, a tendency appeared to gain ground to
draw the line much more liberally in favour of the injured party than in
the period immediately following Hedlcy Byrne and Heller. 263 Thus, a
prima facie duty was said to arise if a relationship of proximity or
neighbourhood exists between the parties, "such that, in the reasonable
contemplation of the [alleged wrongdoer], carelessness on his part may
2Л
" Cf. also, as far as negligent statements are concerned, the famous dictum by Lord
Pearce: "Negligence in word creates problems different from those of negligence in act.
Words are more volatile than deeds. They travel fast and far afield. They arc used without
being expended and take effect in combination with innumerable facts and other words. . . .
If the mere hearing or reading of words were held to create proximity, there might be no
limit to the persons to whom the speaker or writer could be liable. Damage by negligent acts
to persons and property on the other hand is more visible and obvious; its limits are more
easily defined" (Hedley Byrne & Co. Ltd. v. Heller & Partners Ltd. f 1964] AC 465 (HL) at 534).
2<i<
Hedley Byrne & Co. Ltd. v. Heller & Partners Ltd. [l%4j AC 465 (HL); cf. PS. Atiyah,
"Negligence and Economic Loss", (1967) 83 LQR 248 sqq.; Smith, op. cit., note 8, pp. 49
sqq.. 163 sqq. The distinction between economic loss and physical damage is defended by
Bruce Feldthusen, Economic Negligence (1984), pp. 8 sqq.; cf. further, as far as the United
States is concerned, the recent analyses by Robert L. Rabin, "Tort Recovery for Negligently
Inflicted Economic Loss: A Reassessment", (1985) 37 Stanford LR 1513 sqq. and, more
specifically on California, Justin Sweet, Deliklshaftung fur rcinen Vermb'gensschaden, Festschrift
fur Max
(
Keller (1989), pp. 129 sqq.
'~ Duty, breach and damage are the three essential requirements in English law for the
tort of negligence; cf. e.g. Lord Atkin in the famous case of Donoghue v. Stevenson [1932] AC
562 (HL) at 579; Fleming, Tom, pp. 94 sqq. On the concept of duty of care, cf. the detailed
(and
263
critical) analysis by Smith, op. cit., note 8, pp. I sqq.
When "the horns of judicial valour' . . . were hastily withdrawn into their judicial
shell" (Boberg, Delict, p. 92): cf. in particular. Mutual Life and Citizens' Assurance Co. Ltd.
v. Clive Raleigh Evatt [1971] AC 793 (PC) and the comment by Fleming, Torts, p. 609.
264
Anns v. Merton London Borough Council [1978] AC 728 (HL) at 751 sq. (per Lord
Wilberforce). The fa mou s "neighbour test", rea ffirmed by Lord Wilberforce in the Anns'
case, for determining whether a duty of care exists, ha s been formulated by Lord Atkin in
Donoghue v. Stevenson [1932] AC 562 (HL) at 580 ("one of the most oft-quoted dicta in the
la w of tort": Boberg, Delict, p. 53; cf. also Smith, op. cit., note 8 , p. 20 : "Seldom in the
history of the common law has a single statement of a single judge in a single case had such
a profound effect on the development of the la w"): "The liability for negligence . . . is no
dou bt ba sed u pon a general public sentiment of mora l wrongdoing for which the offender
must pay. But acts or omissions which any moral code would censure cannot in a practical
world be treated so a s to give a right to every person injured by them to demand relief. In
this wa y ru les of la w arise which limit the ra nge of compla ina nts and the extent of their
remedy. The rule that you are to love your neighbour becomes in law, you must not injure
you r neighbou r; a nd the la wyer's qu estion, Who is my neighbou r? receives a restricted
reply. You mu st take reasona ble care to avoid a cts or omissions which you can rea sonably
foresee would be likely to injure your neighbour. Who, then, in law is my neighbour? The
answer seems to be—persons who are so closely and directly affected by my act that I ought
reasonably to have them in contemplation as being so affected when I am directing my mind
to the a cts or omissions which are called in question."
Lord Atkin's famous dictu m ha s been hailed, rather extrava gantly, as "a seed of an oak
tree, a source of inspiration, a beacon of hope, a fountain of sparkling wisdom, a skyrocket
in the midnight sk y" ((Mr. Ju stice) A.M. Linden, "T he Good Neighbou r on Tria l: A
Fountain of Sparkling Wisdom", (1983) 17 University of British Columbia LR 67). For a
somewhat more critical analysis, see Smith, op. cit., note 8, pp. 15 sqq. He refers to a
"judicial platitude" which "is now a liability to the law of negligence" and should be "laid
gracefully to rest in the tombs of the law reports alongside the myriad of other cases which
are no longer relevant in the last two decades of the 20th century." On the impact of Anns'
decision, see Smith, op. cit., note 8, pp. 38 sqq.
265
Cf., in this context, also Junior Books Ltd. v. The Veitchi Co. Ltd. [1983] 1 AC 520 (HL)
and the conclusions dra wn by J.C. Smith, "Economic Loss a nd the Common Law Marriage
of Contracts and Torts", (1984) 18 University of British Columbia LR 95 sqq.; but cf. also
Peter Cane, "Economic Loss in Tort: Is the Pendulum out of Control? ", (1989) 52 Modem
LR 201 sqq. ("constructively" overruled?; p. 203). For further comments, from a
compa ra tive perspective, see Werner Lorenz, "Verk ehrspflichten zu m Schu tze fremden
Vermog ens? " a nd Peter Schlechtriem, "Delik tsha ftu ng des Su bunternehmers g egenu ber
dem Ba u herm wegen Minderwert sein es Werk s—Eine neu e Entscheidu ng des Hou se of
Lords", in: 25 Jahre Karlsruher Forum (1983), pp. 48 sqq., 64 sqq.; B.S. Markesinis, "An
Expa nding Tort Law—The Price of a Rigid Contract Law", (1987) 103 LQR 357 sqq., 376
sqq., 385 sqq.; Lorenz, Essays Lawson, pp. 95 sqq.
266
In the meantime, however, "a strong reaction against this tendency has . . . prompted a
return to the traditional caution against generalized principles, if not a repudiation of the
idea that a new start, untrammelled by past experiences, was now in order": Fleming, Torts, p.
162, referring, inter alia, to Governor of the Pcabody Donation Fund i>. Sir Lindsay Parkinson &Co.
Ltd. [1985| AC 210 (HL) and Candlewood Navigation Corporation Ltd. v. Mitsui OS.K. Lines
Ltd. /The Mineral Transporter) [1986] AC 1 (t*C). Later cases also show a tendency to return to
the earlier view. In Leigh & Sillcti'iin Ltd. v. Aliakmon Shipping Co. Ltd. [1986|2AU ER 145
(HL). the fear of "opening the floodgates so as to expose a person guilty ot want of care to
unlimited liability to an indefinite number of . . . persons" (at 154G) prompted the court to
dismiss the action (on the Aliakmon case, see Markesmis. (1987) 103 LQR 387 sqq. (". . . an
opinion that at times display* an inadequate consideration tor the repercussions of the
decision, opts for a solution tha t is clearly utopic, a nd u nforgiva bly misses the
opportunity to bring some order into the prevailing chaos")). The same tendency is revealed
in the trilogy of 1987 cases, viz. Smith v. Liitlewood Organisation Ltd. [1987] 1 AC 241 (HL)
(where Lord Goff opined that too general a notion of reasona ble foresight or proximity
could not "accommodate all the untidy complexities of life" (at 736A)). Curran v. Northern
Ireland Co-ownership Housing Association Ltd. [1987] 2 All ER 13 (HL) (where their Lordships
felt themselves "entitled to be wary of effecting any extension ot the principle appplied in
Anns v. Merton London Borough" (at 18D)) and Yuen Kun-yeu v. Attorney General of Hong Kong
[ 1987] 2 All ER 705 (PC); cf now also D&F Estates Lid. v. Church Commissioners for England
[1988] 3WLR 368 (HL); on which sccJ.N. Duncan Wallace, (1989) 105 LQR 46 sqq.; Cane,
(1989) 52 Modern LR 200 sqq. In view of these constantly changing judicial sentiments, one
can certainly subscribe to the statement that "the English law on the recoverability of mere
economic loss is today possibly in greater confusion than ever before" (Dale Hutchison,
"Negligent Statements: Why the Reluctance to Impose Liability? ". (1978) 95 SALJ 519); cf.
also Smith, op. cit., note 8, p. 49 ("The one thing which is clear about the topic of economic
loss is that the principles regarding recovery are obscure") and the concluding remark by
Cane, (1989) 52 Alodern LR 214: "Given this conceptual morass, it seems unlikely that the
law of tort liability for economic loss is yet in its final form. The pendulum is swinging
wildly
2bl
and is yet to find a regular rhythm."
1987Juristenzcitung 1041 sqq., 1047 sqq.
273
§ 1295 ABGB.
274
In 1916 the legislator even added (totally unnecessarily, one should have thought) a
second subsection to § 1295 ABGB which corresponds to § 826 BGB. For a critical
evaluation of the assimilation between German and Austrian law of delict, cf. Rudolt
Reischauer, in: Peter Rummel (cd.), Kotnmentar zutti ABGB, vol. II (1984), § 1294, n. 16; for
a different view, see Fricdrich Harrer, in: Michael Schwi mann (ed.), Pmxiskommentar гит
ABGB, vol. V (1987), § 1295, nn. 1 sqq. Very much the same development, interestingly,
appears to have occurred in Swiss law (with regard to the general clause of art. 41 I OR); cf.
Gauch, Festschrift Keller, p. 136. The French general clause (art. 1382 code civil), on the other
hand, has not been narrowed down, by way of interpretation, in a similar manner. French
courts have thus arrived at results, which, as Harrer points out, are hardly imaginable under
Austrian law (cf. e.g. the action of a soccer club against a person who carelessly killed one
of their (professional) players. The club was allowed to clai m damages for having to pay a
high transfer fee to obtain the services of a substitute player: Zweigert/Kotz, p. 361). For a
comparative discussion, cf. Lawson/ Markcsinis, pp. 80 sqq.
27ff
Van der Walt, Delict, n. 24.
27f>
Boberg. Delict, p. 103.
277
Administrator, Natal v. Trust Bank van Afrika Bpk. 1979 (3) SA 824 (A) at 829 sqq.
RumpfFCJ specifically referred to Roman-Dutch law in this context. He also drew attention
to the fact that, for a long time, an unsatisfactory situation of uncertainty prevailed in South
African law. Taking up a metaphor by Learned Hand j ("Nor is it desirable for a lower court
to embrace the exhilarating opportunity of anticipating a doctrine which may be in the
womb of time, but whose birth is distant"), he continued: "The birthpangs of such a right
of action have endured so long that the time has arrived, perhaps even with a Cesarian
section, that this child should be brought into the world. It should immediately be added that
it can be foretold that the child will be a problem child" (p. 831, as rendered into English on p.
825). Admhiistratem, Natal v. Trust Bank van Afrika Bpk. in fact vindicates the liberal view of
Watermeyer J in Perl man v. Zoutettdyk 1934 CPD 151, who stated, inter alia, that "Roman-
Dutch law approaches a new problem in the continental rather than the English
way, because in general all damage caused unjustifiably [injuria| is actionable, whether
caused intentionally fdolus] or by negligence [culpal". Perhmm v, 'Zoutendyk, in its time, was
on the one hand hailed as "a classic example of the method of Roman-Dutch law" (T.W.
Price, "Aquilian Liability for Negligent Statements", (1950) 67 SAL] 414), but on the other
hand denounced as "the leading heresy in the law of delict" (R.G. McKerron, (1973) 90
SAL] 1; McKerron's view, in turn, has been referred to as "one of the most stupid
statements that has yet appeared in South African legal literature": J.C. van der Walt, 1979
TSAR 151). Perlmati v. Zoutendyk concerned liability for negligent statements, and so did
Herschel v. Mntpe 1954 (3) SA 464 (A), a decision that adopted a much more conservative line
(though how conservative exactly, it is difficult, if not impossible, to state because of the
diversity of views expressed by the five judges concerned—"(q]uot judices, tot sententiae"
commented G.A. Mulligan. (1954) 71 SAL] 321; "only one Judge . . . correctly enunciates
the proper rules ot law . . . but applies them wrongly to the facts" said T.W. Price, 1955
Btmerwartlt's South African LR 154. and Dale Hutchison, 1975 Respousa Meridians 134
declared the whole decision to be obiter). Nevertheless, Hcrschel v. Mrupe set the tone for
more than 20 years, until the advent of the Trust Bank decision. For an analysis of the most
important cases of the pre- and post-Trust Bank period as well as the views expressed in the
South African legal literature, cf. Boberg, Delict, pp. 58 sqq., 103 sqq.
~™ For instance, as far as negligent misrepresentation inducing a contract is concerned.
Traditionally, the courts have denied delictual liability in these cases (cf. Hainman v. Moolman
1968 (4) SA'340 (A) at 348A-349H; under the influence of English law); but see now Bsso
Petroleum Co. Ltd. v. Mardon [1976] 1 QB 801 (CA) (for English law), Kern Trust (Edms.)
Bpk. v. Hurter 1981 (3) SA 607 (C); Hutchison, (1981) 98 SAL] 486 sqq. and Boberg, Delict,
pp.27962 sq. (for South African law).
The courts often refer to the "duty of care" concept as the appropriate dogmatic tool (cf.
e.g. Shell & BP South African Petroleum Refineries (Ply.) Ltd. v. Osborne Panama SA 1980 (3)
SA 653 (D) at 659A-660A; Franschhoekse Wynkelder (Ko-operatief) Bpk. v. South African
Railways & Harbours 1981 (3) SA 36 (C) at 40A-41F), legal writers tend to find the key to the
problem in the requirement of wrongfulness (cf. e.g. Pauw, (1975) 8 Dejttre 31; Hutchison,
(1978) 95 SAL] 519; Van der Walt. Delict, n. 24). On the nature of wrongfulness and on its
relationship to the duty-of-care concept, cf. Boberg, Delict, pp. 30 sqq.; for a comparative
analysis of "duty of care in negligence", see Lawson, (1947—48) 22 Tulane LR 111 sqq.
2H
" Cf also Coetzce J, in Suid-Afrikaanse Bantoctrust v. Ross enjacobsz 1977 (3) SA 184 (T) at
187.
281
Cf. supra, p. 980, note 185.
282
Supra, p. 1029.
2
'" Bobcrg, Delict, p. 211; cf. also Kemp, (1985) 18 CILSA 163 sqq. (who adopts a very
restrictive attitude and argues against a delictual duty to rescue); Smith, op. cit., note 8,
PP; 29 sqq.
~ " Cf. already supra, p. 999, note 8 and Boberg, Delict, pp. 30 sqq.
242
Culpa, according to the writers of the usus modernus and the natural lawyers. The
modern distinction between unlawfulness and fault appears to go back tojhering (op. cit.,
note 243, pp. 4 sqq.).
244
For all details, see Boberg, Delict, pp. 210 sqq.
245
Minister van Polish v. Ewe is 1975 (3) SA 590 (A); but cf. also the earlier cases, Re^al v.
African Superstate (Pty.) Ltd. 1963 (1) SA 102 (A) at 109E, 117B-C, and 121D-F and
Peri-Urban Areas Health Board v. Munarin 1965 (3) SA 367 (A) at 373E.
~'b Halliwell v. Johannesburg Municipal Council 1912 AD 659; Cape Town Municipality v.
Paine, 1923 AD 207 at 217; reaffirmed in (and perhaps best illustrated by) a whole string of
"municipality cases" (a local authority is not liable ior damage arising as a result of its
omission to repair a road within its jurisdiction, unless, by previously building the road, it
had introduced a new source of danger which would not otherwise have existed; for details
and references, see Boberg, Delict, pp. 221 sq.)
For a comparative analysis, cf. Limpens/Kruithof/Meinertzhagen-Limpens, op. cit.,
note 6, nn. 76 sqq.; Lawson/Markesinis, pp. 71 sqq. As far as English law is concerned, sec
Fleming, Torts, pp. 133 sqq. More specifically on liability in negligence for an omission by
medical practitioners, see Giesen. op, cit., note 40, pp. 144 sqq., 157 sqq.
2ад
As in the case of direct infliction of an injury where the action is taken to be wrongful
unless the requirements of a specific legally recognized defence are satisfied; cf. supra, p. 999,
note 8 and Boberg, Delict, p. 32 (". . . it is settled law that all harm to person or property
caused by a positive act is prima facie wrongful"); Smith, op. cit., note 8, p. 26 (". . . the
prima facie duty doctrine has application only to risks of physical harm arising out of
action").
299
Minister van Potisie v. Eweis 1975 (3) SA 590 (A) at 597B.
3011
301
Delict, p. 214.
Declared untranslatable by Lawson/Markesinis, p. 78.
3112
For a comprehensive analysis, see Christian von Bar, Verkehrspfiichtcn (1980), pp. S3
sqq. and passim. For the historical development (starting with RGZ 52, 373 sqq.; RGZ 54,
533asqq.), cf. von Bar, pp. 1 sqq., 15 sqq.
BGHZ 66, 51 sqq. (though transposing the whole problem, rather oddly, into the law
of contract).
304
For ail details, see Hans-Joachim Mertens, in: Mumhener Kommentar, vol. HI, 2 (2nd
cd., 1986). § 823, nn. 223 sqq.
6. Contributory negligence
(a) Developments in continental Europe
Finally, a word about contributory negligence. Here, too, we have a
situation where the conservative attitude of 19th-century legal science
ultimately did not prevail against a more equitable dispensation
advocated by 18th-century natural lawyers. Mommsen, Windscheid
and most of the other pandectists embraced the so-called principle of
"culpa-cornpensation". Digesta 50, 17, 203308 was their dogmatic
starting point:309 everybody has to carry the consequences of his own
fault. As a result of this "most natural"310 precept, the victim of a
wrong was bound to lose his claim for damages if he could have
avoided the injury through the exercise of proper care. This entailed the
old, though somewhat rough-and-ready, notion of "all or nothing".
Nineteenth-century legal practice was dominated by it, too. 311 Thus, for
instance, the courts dismissed the claim of a traveller against an
innkeeper for the loss of his suitcase, because he had handed over the
suitcase to one of the innkeeper's servants without specifically drawing
attention to its valuable content;312 or the action of a horseman who
crashed into a coach while charging down a road at night. 313 Towards
M> >
' Mertens, op. cit.. note 304, nn. 215 sqq.
**' RGZ 85, 185 (186).
3117
Boberg, Delict, p. 146.
30
* Cf. supra, p. 1030 (note 212).
зоч Qf Fricdrich Mommsen, Zur Lehre von dem Interesse (1855), p. 158; Windscheid/Kipp,
§ 258, 2; cf. further Werner Rother, Hafttmgsbeschrankung im Schadensrecht (1965), pp. 30 sqq.;
Aumann, op. cit., note 76, pp. 80 sqq.
31(1
Mommsen, op. cit., note 309, p. 157.
311
See Rother, op. cit., note 309, pp. 35 sqq.; Aumann, op. cit., note 76, pp. 168 sqq.
312
RGZ 1, 83 sqq.
313
RG, in: (1889) 44 SeitffA., n. 86. Both the owner of the coach and the horseman had
infringed several police regulations.
the end of the 19th century, the courts tended to balk at the idea that
even the slightest negligence on the part of the plaintiff should have
such drastic consequences. They therefore decided the m atter on a
preponderance of fault (the old culpa m aior doctrine), 314 but still
according to the hallow ed "all or nothing". T he BG B , how ever, w ent
the decisive step further. It codified a solution that com pletely broke
w ith jo m a n istic do c trin e a n d th a t h ad first b ee n e x po un d ed b y
Christian W olff. Dealing w ith the position of a depositor who had
negligently chosen a careless depositee (who, in turn, had duly lost the
object deposited with him ), W olff had advocated an apportionm ent ot
dam ages according to the relative degree of fault:
"Si deponens rem custodiendam committit homini ncgligenti, qucm negligentem
essc novit, vcl nosse poterat, ct res deposita ucgligcntia depositarii vel perit, vel
dctcnoratur; damnum inter deponentem et dcpositariism dividendum in ratione
culpac utnusque."3ls
Though W olff acknowledged that his idea, appealing in theory, m ight
be difficult to realize in practice, 316 it was adopted by the Austrian 317 and
Swiss318 legislators as well as by French legal science.319 The BGB
ultim ately followed suit and provided as follow s:
"If any fault of the injured party has contributed to the occurrence of the damage, the
duty to compensate and the extent of the compensation to be made depend upon the
circumstances, especially upon the extent to which the injury was caused
predominantly by the one or the other party."-12"
314
Aumann, op. cit.. note 76, pp. 170 sqq.; Luig (1969) 2 Ins Commune 234.
1I S
Christian Wolff, Jus naturae, Pars IV. Cap. Ill, § 591. Cf. further Pars II. Cap. I I ,
§§ 628 sqq. and Aumann. op. c i t . , note 76, pp. 42 sqq. " M Jus Nat urae, Pars II, Cap. I l l ,
§ 632.
317
§ 1304 ABGB.
3IH
Art. 51 II OR (1881); Art. 44 I OR (1911).
3I J
' Lavvson/ Markesinis, pp. 132 sqq.; Aumann, op. cit., note 76, pp. 132 sqq.
1211
§ 254 I; on the legislative history cf. Aumann, op. ci t . , note 76, pp. 140 sqq., 175 sqq.
321
Act 34/1956.
322
Fault, however, also plays an important (though secondary) role in German law in
determining the amount of the reduction; cf.. for example, Wolfgang Grunsky, in:
Miinchetier Kommetttar, vol. II (2nd ed., 1985), § 254. nn. 61 sqq.
323
South British Insurance Co. Ltd. v. Stnit 1%2 (3) SA 826 (A) at 835H.
Actio iniuriarum
I. THE EARLY HISTORY OF INIURIA
1. Iniuria in the XII Tables
Iniuria was a complex and intriguing concept. As one of the
requirements for Aquilian liability it was taken to embrace the notions
of wrongfulness and fault. 1 Apart from that, however, it had a further,
more specialized meaning. "Iniuria ex eo dicta est", explains Ulpian, 2
"quod non iure fiat: omne enim, quod non iurc fit, iniuria fieri dicitur. hoc
gcneraliter. spccialitcr autem iniuria dicitur contumelia."
In this latter sense, iniuria was a delict in its own right, and thus it was
not the actio legis Aquiliae but an actio iniuriarum that provided
protection for the injured party.
The historical origin of the actio iniuriarum appears to lie in tab. 8,
4 of the XII Tables, the text of which was either "Si iniuria alteri faxsit,
XXV poenae sunto" (this is the version handed down to us by Aulus
Gellius)3 or, as many modern editors will have it, "Si iniuriam [alteri?]
faxsit, . . .". 4 Depending on whether one chooses to follow Gellius5 or
the modern emendation, the XII Tables thus contained a delict of
"iniuria alteri facere" (in the sense of "to act in a wrongful manner with
regard to somebody else") or of "iniuria". 6 But, whatever the answer
to this problem, it is obvious that tab. 8, 4 must be read in conjunction
with the two provisions that preceded it. These were tab. 8, 2 ("Si
membrum rupsit, ni cum eo pacit, talio esto") and tab. 8, 3 ("Manu
fustive si os fregit libero, CCC, si servo, CL poenam subito").
Membrum ruptum was probably7 the mutilation of a limb, a
1
Supra, pp. 998 sqq., 1004 sqq.
2
Ulp. D. 47, 10, 1 pr.
3
Nodes Atticae, Lib. XX, I, 12 (according to the manuscripts); cf. also Paul. Coll. II, V,
5 (according to a manuscript from Vercclli).
4
Cf. e.g. S. Riccobono (ed.), Fontes Inris Romani Antejustiniani, Pars Prima (Leges)
(1968), p. 54. Cf. also Dietrich V. Simon, "Begriff und Tatbestand der 'Iniuria' im
altromischen Recht", (1965) 82 ZSS 132 sqq.; Kaser, RPr I, p. 156; Arrigo Manfredini,
Contributi alio studio dell "iniuria" in eta repubblicana (1977), pp. 15 sqq.
5
As do Peter Birks, "The Early History of Iniuria", (1969) 37 TR 188 sq. and Artur
Volkl, Die Verfalgung der Korperverletzung im fruhen Romischen Recht (1984), pp. 169 sqq.
6
Peter Birks, (1969) 37 TR 163 sqq., has argued, however, that tab. 8, 4 had nothing to
do with the later delict of iniuria; it did not constitute a separate and independent delict, but
was an integral part of the provision for os frangere of tab. 8, 3. According to Manfredini,
op. cit., note 4, tab. 8, 4 (and also tab. 8, 5) did not form part of the XII Tables but has to
be regarded as a rule of interpretation, worked out in the course of the 4th century by priests.
Against
7
both Birks and Manfredini, see Volkl, op. cit., note 5, pp. 18 sqq.
The exact meaning of membrum ruptum is much disputed. Cf. Santi di Paola, "La
genesi storica del delitto di 'iniuria' ", (1947) 1 Annali Catania 268 sqq.; Ulrich von Lubtow,
1050
12
Cf., for example, von Liibtow, (1969) 15 Labeo 139 (25 pounds of copper).
13
For details, see Peter Birks, "Lucius Veratius and the Lex Aebutia", in: Daube Noster
(1974), pp. 44 sq.
u
Nodes Atticae. Lib. XX, I, 12.
ь
Nodes Atticae, Lib. XX, I, 13 (on the authority of Labeo). On this story, cf. von Liibtow,
(1969) 15 Labeo 133 sq.; Alan Watson, "The Development of the Praetor's Edict", (1970) 60JRS
112 sq.; Birks, Daube Noster, pp. 39 sqq.; Manfredini, op. cit., note 4, pp. 79 sqq.
16
But see Birks, Daube Noster, pp. 40 sqq.
17
On which see Aulus Gellius, Nodes Atticae, Lib. XX, I, 13; von Lubtow, (1969) 15
Labeo
IH
139 sqq.; Wittmann, Kcirperverletzuttg, pp. 25 sqq.; Volkl, op. cit., note 5, pp. 208 sqq.
Cf the reconstruction by Volkl, op. cit., note 5, p. 214; Walter Selb, "Die Formel der
Injurienklage",
19
1978 Ada Juridica 36.
But the actio iniuriarum continued to be granted also in cases of physical harm. For all
details, see Wittmann, Korperverletzung, pp. 34 sqq., 47 sqq. He argues that in classical Roman
law (since the time of Labeo) minor bodily injuries constituting contumelia gave rise to an
action only if the wrongdoer had acted intentionally (as in all other cases of contumelia iniuria;
cf. infra, pp. 1059 sqq.). With regard to bodily harm going beyond mere contumelia, the actio
iniuriarum could, however, still be instituted even in cases of negligence. But the evidence is
very scanty (see, however, Lab./Ulp. D. 47, 10, 15 pr., as interpreted by Wittmann,
Korperverletzung, pp. 48 sqq.), since the compilers (apparently) regarded protection under the
lex Aquilia (which had been developed in the meantime; cf. supra, pp. 1015 sqq. ) as sufficient
and therefore limited the actio iniuriarum generally to cases of dolus.
2(1
Was this development inspired by Greek law (cf., for example, Fritz Pringsheim,
"Bonum et aequum", (1932) 52 ZSS 86 sqq.; von Liibtow, (1969) 15 Labeo 140 sq.;
Honscll/Mayer-Maly/Sclb, p. 369)? Contra ("The law of iniuria is genuinely Roman law")
Schulz, CRL, p. 598; Pugliesc, op. at., note 7, pp. 39 sqq.; Wittmann, Korperverletzung,
pp. 36 sq.
21
Ulp. D. 47, 10, 15, 26.
22
Cf. Pugliesc, op. cit.. note 7, pp. 81 sqq., 96 sqq.; Si mon, (1965) 82 ZSS 178 sq.;
Elemer Pol ay, " 'Iniuria di citur omnc, quod non iurc fit' ", (1985) 27 BIDR 76.
23
Roland Wittmann, "Die Entwicklungslinien der klassischen Injurienklage", (1974) 91
ZSS 299 sqq.; cf. also Jolowicz/Nicholas, pp. 272 sq.; Thomas, TRL, p. 369.
24
Too extreme, however, is the proposition by Rabcr, Injurienanspmche, pp. 6 sq.
Contumely iniuria was, of course, a private wrong. In 81 B.C. (that is, at a time of great
domestic upheaval) certain violent forms of it (pulsare, verberare and vi domum introire:
Ulp. D. 47, 10, 5 pr.) became the object of criminal proceedings, when Cornelius Sulla
introduced the lex Cornelia de iniuriis. The actio iniuriarum ex lege Cornelia, though
criminal in nature (it aimed at punishing those who endangered the public order), had to be
instituted by the injured party. For details, see Pugliese, op. at., note 7, pp. 117 sqq.; von
Liibtow, (1969) 15 Labeo 157 sqq.; Okko Behrends, Die rotnische Geschworenetwerfassung
(1970), pp. 115 sqq.; Manfredini, op. cit., note 4, pp. 217 sqq.; Artur Volkl, "Zum
Verfahren der 'actio legis Corneliae de iniuriis' ", in: Sodalitas, Scritti in onore di Antonio
Guarino, vol. II (1984), pp. 561 sqq. On the concurrence of actions, cf. Paul. D. 47, 10, 6;
hist. IV, 4, 10.
25
On "mal u m carmen incant are" (magi cal i ncant ati ons) and "occen tare" as a form of
public defamation (both contained in tab. 8, 1), see Franz Beckmann, Zauberei und Recht in
Roms Friihzeit (unpublished Dr. iur. thesis, Miinster, 1923); Eduard Fraenkel (1925) 1
Gnomon 185 sqq.; Max Kaser, "Infamia und ignomini a in den romi schen Rechtsqucllen",
(1956) 73 ZSS 222; Liebs, RR, p. 217; but see also Arrigo Manfredini, La diffamazione verbale
nel diritto romano, vol. I (1979), pp. 24 sqq.
26
D. 47, 10, 15, 2.
27
Ul p. D. 47, 10, 15, 3. Cf. also Ul p. D. 47, 10, 1, 1.
28
Cf. the literature cited supra, not e 25; Birks, (1969) 37 TR 206 sq. ; Honsell/ Mayer-
Mal y/ Sel b, p. 369; cf. also Manfredini , op. cit ., not e 25, pp. 49 sqq. , mai nt aini ng t hat
convicium originated as a political delict (unconvincing); and see Polay, (1985) 27 BIDR 76.
On t he etymology of convi cium, cf. Ul p. D. 47, 10, 15, 4 ("Convi ciu m aut em di citur vel
a concitatione vel a conventu, hoc est a collatione vocum. cum eni m in unum complures
voces conferuntur, convicium appellatur quasi convocium"); Raber, Injurienansprikhe, pp. 23
sq.; Wmmann, (1974) 91 ZSS 308 sq.
29
Ulp. D. 47, 10, 15, 11.
30
Ulp. D. 47, 10, 15, 12. Could an individual person commit the offence of convicium
(provided he acted in the presence of a crowd of people)? Cf. Ulp. D. 47, 10, 15, 4 and Ulp.
D. 47, 10, 15, 11 and 12; Raber, Injurienanspriiche, pp. 27 sqq.
31 32
D. 47, 10, 15, 9. Ulp. D. 47, 10, 15, 7.
33 34
Ulp. D. 47, 10, 15, 6. Ulp. D. 47, 10, 15, 5.
35
On its wording, see Lenel, EP, p. 400; for a general discussion, see, in particular, Raber,
Injurienanspriiche, pp. 39 sqq.; Wittmann, (1974) 91 ZSS 314 sqq.
36
On which sec, for instance, Berger, ED, p. 738.
37
Ulp. D. 47, 10, 15, 19.
M
Ulp. D. 47, 10, 15, 23.
"' Cf. Raber, Injurienanspriiche, pp. 54 sq.
40
Cf. Ulp. D. 47, 10, 15, 23.
41
Mo mmsen/ Krugcr. D. 47, 10, 15, 22. n. 5.
42
Ulp. D. 47, 10, 15, 22.
43
Ulp. D. 47, 1 0, 15, 20 .
Raber, Injurienanspriiche, p. 26.
' Raber, Injurienanspriiche, p. 50. 46 For
details, see Ulp. D. 34, 2, 23, 2. Raber,
Injurienanspriiche, p. 47.
to Ulpian, but only a very m inor one. 4 " Slightly m ore serious was an
insult to a virgo, dressed as a slave, 49 for even the pudicitia of a slave
enjoyed the protection of the law, though not quite to the sam e extent
as that of a freeborn wom an. sn "[S]i igitur non m atronali habitu fem ina
m erit et qu is earn appe llavit v el e i com ite m a bduxit, in iuria rum
tenetur" 51 is the sum m arizing com m ent by U lpian, w hich does,
however, not appear to tie in particularly well with the line of argum ent
developed in the two exam ples concerning ancillaris and m eretricia
vestis. 52 The text (our m ost interesting and im portant source dealing
w ith de ad tem p tata pudic itia) h as therefore often been d eclared
spurious 53 and various attem pts have been m ade to provide an am ended
version. Thus, for instance, the word "non" has been added between
"iniuriarum " and "tenetur"; 5 4 alternatively, "m atronali habitu" has
been read in place of "non m atrona li hab itu ". 5 5 C ornelis van
B ynkershoek 56 argued that the sentence m ay originally have been
m eant as a question, which Ulpian, in turn, m ight quite possibly have
answ ered in the negative. M ore recently, it has been suggested that
som e lines contained in the original text m ay have been dropped by
m istake. 57 None of these hypotheses can be proved and the question
regarding the exact circum stances under which the actio iniuriarum
could be brought against a person w ho had accosted a w om an not
w earing m atronly clothes m ust therefore ultim ately rem ain open.
4M
Ulp. D. 47, 10, 15, 15 (". . . multo minus [peccare videtur], si meretricia veste feminae,
non matrum familiarum vestitac fuissent"). Wittmann, (1974) 91 ZSS 317 translates
"minus" as "not" rather than "less" and therefore concludes that the edict did not apply in
this case.
49
Ulp. D. 47, 10, 15, 15; but see Wittmann, (1974) 91 ZSS 316 sq.
э
" Ulp. D. 47, 10, 9, 4; Rabcr, Itijurietmtispriiche, pp. 50 sq.
51
Ulp. D. 47, 10, 15, 15.
52
B u t s e c W i t t m a n n , ( 1 9 7 4 ) 9 1 ZS S 3 1 8 s q q .
" C f., fo r e x am pl e, S chul z, CR L, p. 5 9 7.
" "* C f . t h e h u m a n i s t H e i n r i c h B r e n k m a n n ( H a n s P e t e r s , " B r e n k m a n n s P a p i e r e z u
Gqttin gc n ". ( 1 9 11) 32 ZS S 3 7 5) .
7 :5
Corneli s van Byn ke rshoe k, O bse rvat ion s Ju ri s Ro man i ( Lu gd uni Bat avoru m, 1710) , Li b.
IV, Cap. XXV.
56
L oc. ci t .
57
R abe r , I n ju ri e i i a n sp ri i c h e , pp . 5 1 sq . Co nt r a: W i t t m a nn , ( 19 7 4) 9 1 Z S S 31 9 s q.
s
"Ulp. D. 47, 10, 15, 25.
59
But see David Daube: "'Ne quid infamandi causa fiat.' The Roman Law of Defamation", in:
Atti del cotigresso internazwnale di diritta romatw e di sioria del diritto (Verona), vol. Ill (1951),
pp. 418 sqq. ("|T]he edict contemplated nothing but infamare in the full
sense, 'to make a man incur infamy', i.e. infamy before the censor or praetor"). Contra: Max
Kaser, (1956) 73 ZSS 224; Raber, Injurienanspriiche, pp. 68 sqq.
60
Ul p. D. 47, 10, 15, 27 (". . . ut put a ad i nvi di a m ali cui us vest e l ugubri ut it ur aut
squalida, aut si barbam demittat, vel capillos submittat").
61
Cf., for exampl e, Suetonius. De vita Caesarum. Divus Iulius, LXVII, 2 (". . . audita
cl ade Tit uri ana barba m capillumquc summiserit fsc: Caesar] nee ante dempserit qua m
vindi cassct "); Di vus Augustus, XXIII. 2 (". . . per conti nuos menses barba capill oque
summisso caput intcrdum foribus illideret").
( 2
' Cf. Raber. Injurienanspriiche, pp. 57 sq.
63
Witt mann, (1974) 91 ZSS 323 (referring to Ven. D. 47, 10, 39).
64
Cf. the case reported by Seneca. Contriversiae. Lib. X, I (30), on which sec Daube, Atti
Verona, vol. Ill, pp. 433 sqq.; Raber, Injurienanspriiche, pp. 58 sq.; Wittmann, (1974) У1 ZSS
330 sqq.; Peter Birks, "hifamandi causa facta in disguise", 1976 Ada Juridica 83 sqq.
" 5 Ulp. D. 47, 10, 15, 27; Manfredini, op. cit., note 25, pp. 196 sqq. m
Ul p. D. 47, 10. 15, 29.
67
Ulp. D. 47, 10. 15, 30; Daubc, Atti Verona, vol. Ш, pp. 423 sq.; Raber,
Injurienanspriiche, pp. 64 sq.
68
For details, see Raber, Injurienanspriiche, pp. 65 sqq.
69
Ulp. D. 47, 10, 15. 31.
711
Ulp. D. 47, 10, 15, 32; Daube. Atti Verona, vol. Ill, pp. 426 sq.
71
Ulp. P. 47, 10, 15, 34. For details, see Raber, Injurienanspriiche, pp. 77 sqq.; Wittmann,
(1974) 91 ZSS 339 sqq.
72
Ulp. D. 47, 10, 1, 3. Could a slave also be personally insulted? No, according to Gai.
Ill, 222 ("Servo autcm ipsi quidem nulla iniuria intcllegitur fieri . . ."); but cf. Ulp. D. 47,
10, 15, 35 ("ipsi servo facta iniuria").
73
As to the exact meaning of "verberare" cf. Ulp. D. 47, 10, 5, 1 (". . , verbcrarc est eum
dolore caedere. pulsarc sine dolore"); Ulp. D. 47, 10, 15, 40 (" 'Verbcrasse' dicitur abusive
et qui pugnis cedderit").
7
"Iniuria . . . per alias personas" (Ulp. D. 47, 1(1, 1, 3). Insulting a married woman was
another instance of an indirect iniuria (". . . spectat enim ad nos iniuria, quae in his fit, qui
. . . affectui (nostrae) subiecti sint" : Ulp. D. 47, 10, 1, 3). It gained great importance within
the very honour-conscious upper echelons of 19t h-century society —cf., as a typi cal
exa mpl e, t he pl ot of Theodor Font anc' s li ttl e mast erpi ece Cecil e. For a j udi ci al
pronouncement on the matter, sec Jacobs V. Macdonald 1909 TS 442 at 443 (per Innes CJ). A
rather peculiar case of an "indirect" iniuria is dealt with by Paul. D. 47, 10, 26: someone
makes a mockery of another person's slave by taking him, "ani m[o| iniuriae faciendae", into
a popina ("cook-shop": J. A. C. Thomas, in Mommsen/Kriiger/ Watson) or by playing dice
with him; the slave is here used in order to insult his master. On this text, see Raber,
Injurienanspriiclie, pp. 139 sqq. and Marek Kurylowi cz, "Paul . D. 47.10.26 und die
Tatbestandc der romischen 'iniuria' ", (1987) 38 Labeo 298 sqq.
75
Ulp. D. 47, 10, 15, 38.
7(1
Cf. supra, p. 1016.
77
Iul./Ulp. D. 9, 2, 5, 3.
7H
For details, see Ernst Landsberg, Iniuria und Beieidigung (1886), pp. 42 sqq.; Wittmann,
(1974) 91 ZSS 346 sqq. and also David McQuoid-Mason, The Law of Privacy in South Africa
(1978), pp. 23 sqq., who attempts to subsume a variety of iniuriae under the heads of
"intrusions" (as where somebody enters someone else's home; see immediately below in the
text), "publication of private facts" (for instance: the premature disclosure of the contents of
another person's will, as discussed in Ulp. D. 9, 2, 41 pr.) and "putting a person in a false
light" (for example: falsely proclaiming a freeman to be one's slave; cf. Ulp. D. 47, 10, 11,
9; Gai. D. 47, 10, 12; Daube, Atti Verona, vol. Ill, pp. 428 sq.) and thus to relate them to the
modern concept of invasion of privacy, as developed in the United States.
79
Paul. D. 47, 2, 21, 7; cf. also Raber, Injurienansprikhe, pp. 152 sqq.
H0
lav. D. 47, 10, 44 ("Si inferiorum dominus aedium superioris vicini fumigandi causa
fumum faceret, aut si superior vicinus in inferiores aedes quid aut proiecerit aut infunderit,
negat Laheo iniuriarum agi posse: quod falsum puto, si tamen iniriae faciendae causa
immittitur"). Cf. further Ulp. D. 47, 10, 24 ("Si quis proprium servum distrahere
prohibctur a quolibet, iniuriarum experiri potest"); Ulp. D. 47, 10, 13, 7 (someone is
prevented from fishing in the sea or from lowering his nets); and, on these two cases, Raber,
Injurienanspriiche, pp. 161 sqq.; on D. 47, 10, 13, 7 cf. also Daube, Atti Verona, vol. Ill,
pp. 430 sqq.; Iul. D. 19, 1, 25 (a seller of grapes prevents the purchaser, after delivery, from
treading the grapes or from taking away the unfermented wine), on which seeJ.E. Spruit,
"Schikanen anlasslich eines Traubenkaufs", in: Satura Roberto Feenstra oblata (1985), pp. 157
sqq.
gi
82
Lab./Ulp. D. 47, 10. 15, 26; cf. supra, p. 1053.
Ulp. D. 47, 10, 1 pr. Cf. also Paul. Coll. II, V, 1 and 3; but. IV, 4 pr. ("Generaliter
iniuria dicitur omne quod non iure fit: specialiter alias contumelia, quae a contemnendo dicta
est, quam Gracci Vippiv appellant"); von Lubtow, (1969) 15 Labeo 162 sqq.; Wittmann, (1974)
91 ZSS 290 sqq.; Buckland/Stein, p. 590 (". . . in the law as we know it, the wrong
consisted in outrage or insult or wanton interference with rights, any act, in short, which
shewed contempt of the personality of the victim or was such as to lower him in the
estimation of others").
*" Paul. Coll. II, V, 2: "Commune omnibus iniuriis est, quod semper adversus bonos
mores fit. . ."; Raber, Injurienanspriiche, pp. 5 sq.; Wittmann, (1974) 91 ZSS 303 sqq.; Theo
Mayer-Maly, "Contra bonos mores", in: luris Professio, Festgabe fur Max Kaser (1986),
pp. 157 sqq.
intention to insult, was an essential requirem ent for the actio iniuriarum
in all its em anations. 84 But this is an inadm issible and ahistorical
generalization. Only som e of our texts can possibly be taken to lend
support to such a view ; but even they are usually not unam biguous.
Nor can one be certain whether they have not been interpolated by
Justinian's com pilers who, as we know, generally favoured subjective
criteria to determ ine legal consequences. Thus, in particular, there is
Ulpian's statem ent that "iniuria ex affectu facientis consistat" (conse-
quence: m adm en and persons under the age of puberty— "im pube[re]s,
qui doli capa[ces] non [sunt]"— cannot be liable under the actio
iniuriarum ), 85 but this text is taken from U lpian's com m entary on the
lex Cornelia de iniuriis, not on iniuria in term s of the praetorian edict; 86
and even apart from that, it does not state clearly w hat exactly w as
m eant by the term "affectus". C onsidering the context w ithin w hich
the phrase appears, it is not necessarily synonym ous w ith anim us
iniuriandi but m ay sim ply have been used to indicate that the offender
had to have been able to form a legally relevant will; 87 since unless a
person is able to distinguish between good and evil, the results of his
actions are not attributable to him in law. Reference has also often been
m ade to a variety of texts adverting to the offender's anim us iniuriae
faciendae. W e m ay think, once again, of the shoem aker's case where
liability under the actio iniuriarum is excluded "quia non faciendae
iniuriae causa percusserit, sed m onendi et docendi causa". 88 Had he
chastised iniuriae faciendae causa, one could be inclined to conclude, he
would have been held responsible. But it would be wrong to isolate a
purely subjective criterion and to assum e that its presence was essential
to establishing liability. T he re ason w hy the bo y w as be aten w a s
relevant within the w ider enquiry of whether the shoem aker's action
could be labelled "contra bonos m ores"; and it w as this rather m ore
objective criterion that ultim ately m attered, as is stated specifically, for
cases of this kind, by U lp. D . 47, 10, 15, 38:
"Adicitur 'adversus bonos mores', ut non omnis omnino qui verberavit, sed qui
adversus bonos mores verbcraverit, tencatur: ceterum si quis corrigendi animo aut si
quis emendandi, non tenetur."
A purely subjective m ental elem ent was thus, to put it cautiously, not
indispensable for purposes of liability, and it is quite in accordance with
its rather lim ited function that m any texts do not even m ention it. 89
84
Cf., for example, Melius de Villiers, "The Roman Law of Defamation", (1918) 34 LQR
412 sqq. and infra, notes 228, 229.
85
Ulp. D. 47, 10, 3, 1; interpol ated according to Gi annetto Longo, "La complicita nel
diritto penale romano", (1958) 61 BIDR 120; Max Kaser, "Gaius und die Klassiker", (1953)
70 ZSS 174; but see Raber, Injurienanspriiche, pp. 108 sqq.
86
Cf. the inscription (Ulpian 56 ad ed. ) and Lenel, EP, p. 397.
87
Pauw, Persoonlikheidskrenking, p. 18.
88
Ul p. D. 9, 2, 5, 3.
89
Cf., for insta nce , Ulp. D. 47, 10, 15, 23.
90
Cf., in particular, the detailed analysis by Raber, Injurienanspriiche, pp. 107 sqq.; further
Bhadra Ranchod, Foundations of the South African Law of Defamation (unpublished Dr. iur.
thesis, Leiden, 1972), pp. 12 sqq.; Pauw, Persoontikheidskrenking, pp. 17 sqq.; N.j.J. Olivier,
Die aksie weens die nalatiqe veroorsaking van pyn en lyding (unpublished Dr. iur. thesis, Leiden,
1978), pp. 12 sqq.
91
Op. cit., note 90, p. 15.
92
Gai. IV, 112.
93
Gai. IV, 112.
94
Gai. IV, 112. For details, seeVTobias Johannes Scott, Die Geskiedenis van die Oorerfiikheid
van Aksies op grand van Onregmatige Daad in die Suid-Afrikaanse Reg (unpublished Dr. iur.
thesis, Leiden, 1976), pp. 13 sqq.; 31 sqq.
95
Furt hermore, t he acti o i ni uri aru m had t o be brought wit hi n a year (whil e the
resentment was still (reasonably) fresh): cf. C. 9, 35, 5; Kaser, RPr\, p. 625; but cf. Pugliese,
op. cit., note 7, pp. 109 sqq.
96
Ul p. D. 47, 10, 28.
Which is, however, unlike in Roman law, confined to two specific cases: injury to the
body or health and deprivation of liberty. In particular, it docs not apply to situations where
honour or re putation are im paired: cf. infra, p. 1092.
98
This provision is widely criticized, however, and its abolition has been recom me nde d
de lege ferenda: cf. Hans-Joachim Mertens, in: Mutichener Kommentar, vol. Ill, 2 (2nd ed.,
1986), §§ 52 sqq.; Gerhard Hohloch, in: Gutackten und Vorscklage гиг Uberarbeitung des
Schuldrechts, vol. I (1981), pp. 442 sq. For South African law, see Scott, op. cit., note 94,
pp. 1 90 sq. He re the old En glish a da ge of "actio persona lis m oritur c um pe rsona " ha s
occasionally been referred to, quite wrongly, as Scott, (1976) 39 THRHR 288 sqq. shows.
99
Cf. Lend, EP, pp. 397 sqq.; Selb, 1978 Acta Juridica 29 sqq. As to the criteria applied,
cf. Inst. IV, 4, 7. Details of the procedure are described by Gaius III, 224: "[P]ermittitur enim
nobis a praetore ipsis iniuriam aestimarc, et iudex vel tanti condemnat quanti nos
aestim a verim us, vel m inoris, prout illi visum fuerit"; cf. also Pa ul. Coll. II, VI, 1. The
matter was different, though, in cases whic h were referred to as iniuria atrox. Here it was
not the plaintiff who ma de his own assessment of the injury (whic h the iude x could then
reduce, at his discretion); it was the praetor who determined the appropriate amount (which
the iudex in turn did not venture to reduce (cf. Gai. Ill, 224, second half))- The category of
iniuria atrox was also used to determine when a libertus could sue his patronus (to whom he
owed reverentia, pietas and obsequium; cf., for example, Ulp. D. 37, 15, 9) for contumelia:
cf. Ulp. D. 2, 4, 10, 12; Ulp. D. 47, 10, 7, 2 and 3. For a classification of iniuriae atroces (ex
facto, ex persona, ex loco), see Gai. III. 225; Ulp. D. 47, 10, 7, 8. For a general discussion,
see Raber, Injurienanspruche, pp. 91 sqq. Occasionally it has been maintained (wrongly) that
all injuries below the level of atrox were eliminated from the scope of the actio iniuriarum:
cf. Manfred Herrmann, Der Schutz der Personlichkeit in der Rechtslehre des 16.-18. Jahrhunderts
(1968), pp. 12 sq.
1(10
Gai. IV, 182.
101
CRL, p. 5 9 9 .
102
The te c hnica l te rm was "e xisrim a tio": cf. Call. D. 50, 1 3, 5, 1: "Existim a tio est
dignitatis inlaesae status, legisbus ac moribus comprobatus, qui ex delicto nostra auctoritate
le gum a ut m inuitur a ut c onsum itur."
03
For an analysis cf. Robert Mainzer, Die astimatorische Injurienklage in dergeschichtlichen
Entwicklung (1908), pp. 61 sqq.; Ranchod, pp. cit., note 90, pp. 32 sqq.; cf. also Herrmann,
op. c it., note 99, pp. 17 sqq.
109
If one and the same act constituted contumely iniuria and satisfied the requirements of
the lex Aquilia, and if therefore both immaterial and patrimonial loss was caused, the actio
iniuriarum and the actio legis Aquiliae could be cumulated: cf. Voet, Conttnentarius ad
Pandectas, Lib. XLVII, Tit. X, XVIII.
110
Ekkehard Kaufmann, "Das spatmittelalterliche deutsche Schadensersatzrecht und die
Rezeption der 'actio iniuriarum aestimatoria' ", (1961) 78 ZSS (GA) 93 sqq.
111
Kaufmann, (1961) 78 ZSS (GA) 97 sqq.; cf. also Mainzer, op. cit., note 103, pp. 47 sqq.
113
Collegium theoretico-practicum. Lib. XLVII, Tit. X, I. For further definitions of the
concept of iniuria, see Karlheinz Bartels, Die Dogmatik der Ehrverletzung in der Wissenschaft des
gemeinen Reckts bis гит Ausgang des W.Jahrhunderts (unpublished Dr. iur. thesis, Gottingen,
1959), pp. 72 sqq.; Herrmann, op. cit., note 99, p. 51.
xxi
Commentarius ad Pandectas, Lib. XLVII, Tit. X, I (trans by Melius de Villiers, The
Roman and Roman-Dutch Law of Injuries (1899), p. 17). The triad of corpus, dignitas and fama
is taken from Ulp. D. 47, 10, 1, 2. As in Roman law, the iniuria could be either "vel
immediate per semetipsum, nulla alia persona interveniente" or "vel mediate per
consequentiam" (Lauterbach, Collegium theoretico-practicum, Lib. XLVII, Tit. X, X; for
details cf. Bartels, op. cit., note 112, pp. 150 sqq.). According to Stryk, Usus modernus
pandectarum, Lib. XLVII, Tit. X, § 9, a man could be (indirectly) insulted by an insult
inflicted upon his wife, but not vice versa ("Ita quoque uxori injuria illata marito illata esse
censetur, . . . sed non vice versa"). Reason: "defendi uxores a vires, non viros ab uxoribus
aequum est." On iniuria per consequentias in modern South African law, see J. Neethling,
Persoonlikheidsreg
ll4
(2nd ed., 1985), pp. 70 sqq.
115
Lab./Ulp. D. 47, 10, 1, 1.
116
Lauterbach, Collegium theoretico-practicum, Lib. XLVII, Tit. X, II.
Cf., for example, Azo, Summa Codicis, Lib. IX, De iniuriis (p. 338, right column).
117
Cf. Vinnius, lnstitutiones, Lib. IV, Tit. IV, 1.
"114s But see, for instance, Voet. Commentarius ad Pattdectas, Lib. XLVII, Tit. X, X.
Cf. Lauterbach, Collegium theoretko-practkum, Lib. XLVII, Tit. X, LXVI sqq.
(emphasizing, however, that famosus libellus "ab aliis injuriis nee Causa Efficicnte, nee
Subjecto differt"). Perezius, Praelectiones, Lib. IX, Tit. XXXVI, appears to regard famosus
libellus and iniuria literis as synonymous ("Gravioris injuriae species cst, quae scripto ht").
1211
121
De Villicrs, op. cit., note 113, p. 77.
Commentarius ad Pandectas, Lib. XLVII. Tit. X, XI ("Consulto demque injunam quis
facit, si alteri injuriam fieri mandet, am generaliter procuret, ut alteri contumelia inferatur"),
Joost van Damhouder, Praxis return criminal him, Cap. CXXXV also had four classes, but
they were verbis, facto, scriptis and gestibus.
1
Angelus Arctinus, as quoted by Ranchod, op. cit., note 90, p. 32. On injuriae, quae in
non faciendo consistunt (for instance: debitos alicui honoris titulos non tribuere, dominum
aliquem non nominarc), see Leyser, Meditationes ad Pandectas, Spec. DXLIX.
'"*
124
Cf., in particular, Leyser, Meditationes ad Pandectas, Spec. DXLVIII.
For a detailed exposition cf., for instance, Voet, Commentarius ad Pandectas, Lib.
XLVII, Tit. X, VII sqq. and De Villiers, op. cit., note 113, pp. 73 sqq.; Landsbcrg, op. cit.,
note
12:1
78, pp. 69 sqq.; cf. also Bartels. op. cit., note 112. pp. 128 sqq.
All these examples from Lauterbach, Collegium theoretico-practicum. Lib. XLVII, Tit. X,
XVI, and Voet, Commentarius ad Pandectas, Lib. XLVII, Tit. X, VIII. Cf. further the
casuistry compiled by Bartels. op. cit., note 112, pp. 93 sqq.
l21
' Lauterbach, Collegium theoretico-practicum, Lib. XLVII, Tit. X, XVII; Stryk, Usus
modermts pandeciarmn, Lib. XLVII, Tic. X, § 7; cf. also the examples provided by Bartels, op.
cit., note 112, pp. 108 sqq. Generally on iniuriae reales, see A. Ranjit B. Amerasinghe, "The
law relating to Iniuriae reales", 1967 Actajuridica 159 sqq.; more specifically on ignominious
gestures
127
("sannae"): Leyser, Meditationes ad Pandectas, Spec. DXLV.
Lauterbach, Collegium theoretico-practkum, Lib. XLVII, Tit. X, LXV1.
12A
Cf. Going, pp. 513 sq.; Leyser, Meditationes ad Pandectus, Spec. DXLVI, XII (dealing
with "alterum, cui dignior locus debetur, antegredi").
124
Cf., for the Middle Ages, Joachim Bumke, Hofische Kultur (1986), for example pp. 248
sqq. (seating order), 276 sqq. (court ceremonies); on the hierarchical conception of society,
see Huizinga, op. cit., note 104, pp. 54 sqq.; Bumke, pp. 43 sqq.
13(1
131
Stryk, Usus modernus pandectantm. Lib. XLVII, Tit. X, § 3.
n
Cf. also De Villicrs, op. cit., note 113. pp. 98, 201.
~ Lauterbach, Collegium theoretico-practicutn. Lib. XLVII, Tit. X, VI. Cf. also, for
instance, Leyser, Meditationes ad Pandectas, Spec. DXLVIII, VIII.
133
Lauterbach, Collegium theoretico-practicum. Lib. XLV1I, Tit. X, XIX.
134
"Quic quid e nim fit a nim o ct intc ntione iniuria ndi alium quc a ut c om m ove ndi, a ut
laedendi" (Va n Da m houdcr, Praxis Remm Criminatium, Ca p. CXXXV); ". . . met ecn
oogmerk om te beledigen, tot schending van icmands ecr" (Joannes van der Linde n,
Regtsgeleerd, practicaal en Koopman's handboek (Amsteldam, 18(16), I. Bock, XVI Afd., § IV).
For detailed analyses, see Ranchod, op. cit., note 90, pp. 34 sqq., 75 sqq.; Pauw,
Persooniikheidskrenking, pp. 37 sqq., 77 sqq.; cf. also Bartcls, op. cit., note 112, pp. 75 sqq.
135
Paul. D. 47, 2, 54 pr.; Ranchod, op. cit., note 90, pp. 21 sqq. For a good summary cf.
Jolowic z, a s quote d by Ra nc hod, p. 21; "The c om pilers ha d no doubt a pre dilec tion for
anim us, partic ularly in the se nse that whe n there was doubt as to the e xiste nce of a le gal
relationship the y tende d to seek the criterion in the inte ntion of the party or parties
concerned to bring about the particular relationship as it was known to the law, whereas the
classical jurists had been content to decide the matter by applying objective legal rules to the
facts, including of course the intention of the parties."
136
Barrels, op. cit., note 112, pp. 81 sqq., 84 sqq.; Ranchod, op. cit., note 90, pp. 36 sqq.;
Pauw, Persoonlikheidskrenking, pp. 48 sqq.
137
Voet, Commentarius ad Pandectas, Lib. XLVII, Tit. X, XX; cf. also Lauterbach.
Collegium theoretico-practicum, Lib. XLVII, Tit. X, XIX: "Quod cum directe per testes aut
instrumenta fieri nequeat, proin conjecturae et praesumptioncs quoque admittuntur; puta ex
verbis et factis sua natura vel loci consuetudine injuriosis."
138
C(. Raiichod, op. cit., note 90, pp. 39 sq.; De Villicrs, op. cit., note 113, pp. 199 sqq.
139
Voet, Commetttarius ad Pandectas, Lib. XLVII, Tit. X, XX.
1411
This case was the prototype: Ulp. D. 47, 10. 15. 13.
On the position of advocates using injurious language in their professional capacity, see
the detailed analysis by Leyser, Meditationes ad Pandectas, Spec. DXLVII. Advocates do not
appear to have enjoyed the best of reputations ("Vulgata est et quotidiana querela de
improbitate et impcritia advocatorum"); cf. also Stryk (infra, note 289), § 5 (most advocates
earn their money through squalid trials — particularly those involving the actio iniuriarum).
4
" Cf. the case discussed by Stryk, Vsus madermis pandectarum. Lib XLVII, Tit. X, § 7 (". .
. si |clericus] foe minae invitae obtrudat osc ulum").
143
Cf. the authorities referred to by Stryk, loc. cit.
144
Stryk, ioc. cit.
145
Lauterbach, Collegium theoretico-practicum. Lib. XLVII, Tit. X, XIX.
14( 1
Bartels, op. cit., note 112, pp. 163 sq.; Ranchod, op. cit.. note 90, pp. 41 sq.; Pauw,
Persoonlikheidskrenking, p. 57; De Villiers, op. cit., note 113, p. 195.
4
Pauw, Persoonlikheidskretikint;, pp. 52 sqq.; for a very detailed discussion, see Leyser,
Meditationes ad Pandectas, Spec. DL.
148
Voet, Commentarius ad Pandectas, Lib. XLV1I, Tit. X, I in fine; cf. also Ranchod, op.
cit., note 90, pp. 44 sqq.. 81 sq.; De VilHers, op. tit., note 113, pp. 33 sq.
14
'' Reason: ". . . sicut fieri consucvit in ludis talibus": Azo, Commentarius ad sinyulas leyes
Codicis (Parisiis, 1577), Lib IX, Tit. XXXV, L. 5.
b
" Ranchod, op. at., note 90. pp. 48 sq., 82 sq.; De Villiers, op. cit., note 113, pp. 215
sqq. Cf. also the comprehensive analysis by Ernst Beling, Diegeschichtliche Entwickelung der
Retorsion und [Compensation von Beleidigungen und Korperverletzungcn (1894), pp. 1 sqq., 24 sqq.,
67 sqq., 120 scjq., 153 sqq.
15I
Ulnch Huber, Heedendae&e Rechtsgeleertheyt, II Dec], I I I Boek. VIII Кар., 10.
152
Lauterbach, Collegium theoretico-practicum, Lib. XLVII, Tit. X, LVII. He maintains that
retorsio is illicit in foro conscientiae (reason: "revera nihil alind est qnam privata vindicta")
as well as in foro externo de Jure Civili: "Quamvis autem haec ita sese habeant, Moribus
tamen nostris hoc remedium in toto tere Imperio est permissum, ita, ut retorsio in foro soli
non sit punibilis" (LX). For a defence of retorsio ("Retorsione injuriarum meliores sunt et
utiliores actionibus injuriarum"), see Leyser, Meditathvies ad Pandectas, Spec. DXLII, IX.
153
For a discussion, see Leyser, Meditationcs ad Pandectas, Spec. DLI. introducing his
discussion with the words: "Urraque regula: Veritas convitii excusat; et veritas convitn non
excusat; veraest"; Barrels, op. cit.. note 112, pp. 171 sqq., 181 sqq.; Ranchod, op. cit., note
90, pp. 49 sqq., 84 sqq.; cf. also Pauw, Persoonlikheidskrenking, pp. 54 sqq.; De Villiers, op.
cit., note 113, pp. 103 sqq. The main authority on the matter was Paul. D. 47, U), 18 pr.:
"Eum, qui nocentem infamavit non esse bonum acquum ob earn rem condemnari: peccata
enim nocentium nota esse et oportere et expedire."
154
Cf., for example, Voet, Commentarius ad Pandectas, Lib. XLVII. Tit. X, IX.
155
Lauterbach, Collegium theoretico-practicum. Lib. XLVII, Tit. X, XXI.
l r>e
Cf. the example discussed already by Pierre de Belleperche and Fabcr (Ranchod. op.
cit., note 90, p. 51).
5. Remedies
(a) Actio iniuriarum aestimatoria
If we turn our attention to the remedies available to the victim of the
insult, we find in the first place the so-called actio iniuriarum
aestimatoria. Though it may ultimately have originated in Ger-
manic customary law, 161 the essential attributes of the Roman actio
iniuriarum had been grafted onto it; it was, as Lauterbach put it, "nihil
aliud . . . quam actio praetoria, personalis, poenalis, civilis, famosa,
annalis". 1f' 2 Most importantly, therefore, it could not be brought by
the heir of the victim""13 (nor, of course, against the heir of the
wrongdoer); condemnation still involved infamia"' 4 (though not if the
insult had been only slight or moderate"15); and it prescribed within a
b7
Cf. Lauterbach, Collegium theoretico-ptmtimm. Lib XLVII, Tit. X, XX.
b8
Lautcrbach, loc. cit. Cf. also Stryk, Usiis modemus pandectarum, Lib. XLVII. Tit. X, § 6:
"[p]rotestatio facto contraria cst." On this legal proverb in general, see Arndt Teichmann,
"Die protcstatio facto contraria", in: Festschrift fur Karl Michaelis (1972), pp. 294 sqq.;
Helmut Kohler, "Kritik der Regel 'protestatio facto contraria non vaiet'", 1981 Juristcnzcitttng
464 sqq.
1э
" Lauterbach, Collegium thcorctico-practicitm. Lib. XLVII, Tit. X, XXII.
lf
'° Cf.. for example, Stryk, Usus tnodermtspandectamm. Lib. XLVII, Tit. X, § 14; cf. also
the discussion by De Villiers, op. cit., note 113, pp. I l l sqq.; Ba rtcls, op. cit., note 112,
pp. 188 sqq.
1 (il
As Robert Feenstra (quoted by Ra nchod, op. cit., note 90, pp. 6 6 sq.) believes.
1(12
Collegium theoreiico-practiann, Lib. XLVII, Tit. X, XXVI.
163
lfi4
For details., see Scott, op. cit., note 94, pp. 125 sq., 161 sqq.
"Infamia cnirn vitae amissioni aequalis est, ct oculorum privatione major habetur"(!):
Lauterbach,
165
Collegium theoretico-practicum, Lib. XLVII, Tit. X, XXXII.
". . . si modica vcl levis injuria illata sit." Reason: "Praetor minima non curat, ct
propter rem minimam поп detur actio famosa": Lauterbach, loc. cit. Generally on the
distinction Lcween iniuria atrox on the one hand and iniuria modica and levis on the other
during the time of the usus modcrnus, see Herrmann, op. cit., note 99, pp. 59 sqq.; De
Villiers, op. cit., note 113, pp. 153 sqq.; c(. also the case discussed by L. Roeleveld, 1981 Ada
Juridica 157 sqq. South African criminal law still requires "seriousness" of the offence with
regard to both the crimen iniuriae and the crime of defamation: J.R.L. Milton, South African
Criminal Law and Procedure, vol. II (2nd cd., 1982), pp. 528 sqq., 561 sqq.; Burchell, op. cit.,
note 105, pp. 325 sqq., but see, most recently, John van den Berg, "Is gravity really an
element of crimen iniuria and criminal defamation in our law?", (1988) 51 THRHR 54 sqq.
166
Prescription effectively terminated the possibility of bringing the actio iniuriarum
("Tollitur pracscriptione": Lauterbach, Collegium theoretico-praclicum. Lib. XLVII, Tit. X,
XXXVII; "fC]essat . . . injuriarum pcrsecutio": Voct, Commentarius ad Pandectas, Lib.
XLVII, Tic. X, XIX). Dissimulatio was another, very interesting way of putting a n end to
the right to sue. It dates back to Roman law (Ulp. D. 47, 10, 11, t: "Ininriarum actio ex bono
et acquo est et dissimulatione aboletur. si quis enim iniuriam dereliquerit, hoc est statim
passus ad a nim um suum non re voca verit, postea ex paenitentia rcmissam iniuriam п оп
potcrit recolere"; if someone at first ignores the affront, he cannot later change his mind and
seek to recover) and was much discussed by the writers of the ius commune (often sub voce
tacita remissio). On account of which circumstances could it be inferred that someone ha d
not taken the insult to heart and therefore waived the matter? "fE]x. gr. cum injuriante
pristina familiaritate sponte utendo, amice salutando, osculo amplectando, convcrsando";
likewise the drinking out of one cup (which the Germans of old considered to be the most
effectual token of friendship: Grotius, lnleiding, I I I, XXXV, 3). Merely keeping up the
normal proprieties ("ut com munis salutatio in publico, propinatio in convivio") did not
imply a remissio tacita. Nor, incidentally, did the act of going to confession to the pastor by
whom one had been insulted, "quia hie tan turn considcratur ut Vicarius Dei, et principaliter
agitur inter Deum et peccatorem" (all quotations from Lauterbach, Collegium theoretico-
practicum. Lib. XLVII, Tit. X. XXXVI). Cf. also Ranchod, op. cit., note 90', pp. 55 sq. 89;
De Villiers, op. c it . , note 113, pp. 187 sqq.
1(17
For deta :k cf, for example, Voet, Commentarius ad Pandectas, Lib. XLVII, Tit. X, XIII;
Stryk, Usus L.odernus pandectamm. Lib. XLVII, Tit. X, §§ 17 sqq. (distinguishing between
Saxony and other territories).
u
* Ka ufma nn, (1% 1) 78 ZSS (GA) 98 sq.
164
Lauterbach, Collegium theoretico-practiatm, Lib. XLVII, Tit. X, XXX.
17(1
Voet, Commentarius ad Pandectas, Lib. XLVII, Tit. X, XVII.
171
Cf., for example, Verhandelin% der lyfstraffelyke misdaaden (trans, van Hogendorp)
(Amsterda m, 1772), 87. Hoofstuk, XV sqq.
172
Co m m e n t a ri u s a d Pa n d e c t a s , Li b . X LV I I , T i t . X , X X I V ; c f . al s o D e V i l l i e r s , o p . c i t . ,
note 113, pp. 248 sqq.
173
Cf., for e xample, Stryk, l isas moderttus pandectamm. Li b. X LVII, Tit . X, § 21;
L aut e rb a ch , Co l l e g i u m t h e o re t i co -p ra c t i cu m . Li b. X LV I I , T i t . X . LV .
174
An "extraordinarium remedium", in the terminology of Lauterbach. The challenge to
a duel was another "extraordinary" remedy recognized at least by some {"Aliud
extraordinarium remedium re vincendae injuriae quidam ponunt in provocatione ad duellum
ex proverb. Auf eine Luge gehort eine Maultasche oder Dolch"). Lauterbach's comment
{Collegium theoretico-practicum, Lib. XLV1I, Tit. X, LXV): "Verum abominandum hoc et
omni jure prohibitum esse nemo Christianorum inftcias ibis, cum provocantes gravissime
peccent in Deum Magistratum, cui ultionis munus demandandum est, et proximum, cujus
corpori et animae struere conantur, et dum putativam temporalem ignominiam evitare
satagunt,
175
periculum aeternae infamiae atque exitii incurrunt, sive vincant, sive vincantur."
For details, see C. von Wallenrodt, "Die Injurienklage auf Abbitte, Widerruf und
Ehrenerklarung in ihrer Fntstehung, Fortbildung und ihrem Verfall", (1864) 3 Zeitschrift fur
Rechtsgeschkhte 243 sqq.
176
For details, see Wallenrodt, (1864) 3 Zeitschrift fur Rechtsgeschkhte 255 sqq.; Udo Wolter,
Das Prinzip der Naturalrestitution in § 249 BGB (1985), pp. 72 sq. Interesting historical examples
of recantationes are provided by Leyser, Meditatioties ad Pandectas, Spec. DXLIII, I.
177
178
Cf. supra, pp. 824 sq., note 283.
179
Cf. Wallenrodt, (1864) 3 Zeitschrift Jur Rechtsgeschkhte 261.
Cf. supra, p. 824, note 283.
180 por a detailed list of the ways in which reparatio iniuriarum could be effected, see Van
Damhouder, Praxis rerum criminalium, Cap. CXXXVI, 11.
1M1
Poenitentiale Viviani, as quoted by Wallenrodt, (1864) 3 Zeitschrift for Rechtsqeschichte
265.
1Я2
Cf., for example, the discussion by Lauterbach. Collegium theoretico-practkum, Lib.
XLVII, Tit. X, XLVII sqq.
IK3
Vsus modmuts pandectantm. Lib. XLVII, Tit. X, § 30; cf. also Wolter, op. cit., note 176,
p. 73. Leyser, Meditationes ad Pandectas, Spec. DXLIII, I states that there arc no rules
specifying which remedy is a vaila ble when, "sed ex arbitrio ju dicis pendet".
1H4
Cf. supra, p. 1070 (note 162).
185
Voet, Commentarius ad Pandectas, Lib. LXVII, Tit. X, XVII; cf. also Ranchod, op. cit. ,
note 90. p. 66; De Villicrs, op. cit., note 113, p. 179.
IHfl
Cf. Wailenrodt, (1864) 3 Zeitschrift fiir Rechtsgeschkhte 297; cf. also the discussion by
Stryk, Usus modernus pandectarutn. Lib. XLVII, Tit. X, § 28; Van Damhouder, Praxis rerum
criminatium. Cap. CXXXVI, 11, who, when referring to r^paratio iniuriarum, remarks "qua
iniuriantes puniendos esse diximus".
187
Wallenrodt, (1864) 3 Zeitschrift fur Rechtsgeschichte 296; Dc Villiers, op. cit.. note 113,
p. 178.
1KK
R. Licbcrwirth, in: HRG, vol. I, col. 358.
I Hy
Cf., for instance, Martens v. Short (1919) 40 NLR 193 at 194: "There is no branch of the
law so uncertain, and therefore so unscientific, as that of defamation" (per Tatham J).
190
Cf. the chapter title in Lord Denning, What Next in the Law (1982), p. 179.
191
Zweigert/Kotz, p. 454.
192
A.K.R. Krralfy. The Action on the Case (1951), p. 118.
193
The distinction between libel and slander ("the result, less of conscious policy than of
a series of historical accidents": John G. Fleming, Torts, p. 517; cf alsoj.M. Kaye, "Libel
and Slander— Two Torts or One?", (1975) 91 LQR 539: "Lassitude, not policy or reason,
brought the distinction between libel and slander to its finished state") is generally severely
criticized; cf, for instance, Fle ming, Torts, p. 517 (". . . absurd in the ory a nd very ofte n
mischievous in its practical operation"); Gatley on Libel and Slander (8th ed., 1981), nn. 141,
143- For satirical com ments ct\ the fictitious case reports of Chicken v. Ham and Temper v.
Hume and Haddock, in: A.P. Herbert, Uncommon Law (1%9), pp. 71 sqq.; idem, Codd's Las!
Case and Other Misleading Cases (1952), pp. 125 sqq.
144
Holdsworth, History, vol. VIII, pp. 363, 367; Potter's Historical Introduction to English Law
(4th ed., 1958), p. 436. On the relation between damage and action on the case, cf. also
Sim pson, History, pp. 580 sqq. One type of sla nder was, howe ver, held to be actiona ble
without proof of da ma ge: the im putation of a crime tria ble a t c om m on-la w ("sla nde r per
se"). This was the hrst inroad the com mon law courts were able to break into the
com pre he nsive jurisdiction of the ecclesiastical courts (ratione pe ccati) over defa mation
m atters. In all other cases, it was the a verm e nt of (te m poral) da m a ges tha t bec a me the
decisive factor in justifying a temporal remedy and that therefore allowed the comm on-law
courts to assert their jurisdiction against their ecclesiastical rivals. The first case appears to
have been Davis v. Gardiner (1593) 4 Co Rep 16 b (the imputation being that a woman had a
bastard child; as a result of this sca ndalous (slanderous) stateme nt, the woma n suffered
special damage in the form of loss of marriage; Plucknett, History, p. 494). |1 ;5 Cf. Potter,
op. at., note 194. p. 435.
''"' Generally on the history of libel and slander, cf the magisterial work of Holdsworth,
History, vol. VIII, pp. 333'sqq.; cf. also V.V. Veedcr, "The History of the Law of Defamation",
in: Select Essays in Anglo-American Legal History, vol. Ill (1909), pp. 446 sqq.; C.H.S. Fifoot,
History and Sources of the Common Law (1949), pp. 126 sqq.; Plucknett, History, pp. 483 sqq.;
Potter op. cit., note 194, pp. 429 sqq.; Kaye, (1975) 81 LQR 524 sqq. On the history of libel,
cf also Denning, op. cit., note 19(1. pp. 163 sqq. The influence of the civilian delict of iniuria
on the development of the English law of defamation and the historical interaction between
civil law and common law have, to date, received hardl1 ' шу attention; cf, however, Heinz
Hubner, "Defamation, Privacy", in: Helmut Coing, Knut Wolfgang Norr, Englische und
kontinentale liechtsgeschichte: ein Forsdumgsprojekt (1985), pp. 72 sqq. The most obvious point of
contact is the canon law which has, through the jurisdiction of the ecclesiastica l c ourts,
gre atly influe nce d the de velopm e nt in Engla nd. As late as 1497 Fineux CJ declared
defamation to be "entirely a spiritual offence" (cf. Potter, op. cit., note 194, p. 431).
147
Cf, for instance, William Blackstone. Commentaries, Book IV, Ch. XI, 13: ". . . [they]
are malicious defamations of any person, and especially a magistrate, made public by either
printing, writing, signs or pictures, in order to provoke him to wrath, or expose him t o
public hatred, contempt and ridicule. The direct tendency of these libels is the breach of the
public peace, by stirring up the objects of them to revenge, and perhaps to bloodshed. . . .
[Blasphe m ous, im m oral, treasona ble, sc hismatical, seditious, or scandalous libels are
punishe d by the English la w, some with a greater, others with a le ss de gree of se verity."
1 H
' The Court of the Star Chamber was a concihar court, namely the Privy Council sitting in
[he Star Chamber (camera stellata, so called from the gilded stars on the roof); on its
jurisdiction in general, see Holdsworth, History, vol. V, pp. 155 sqq.
''''' Lord Coke, as quoted by Denning, op. cit., note 190, p. 163.
211(1
21)1
Holdsworth, History, vol. VIII, pp. 363 sq.
A.K.R. Kiralfy. A Source Book of English Law (1957). p. 163. For a different
interpretation of this case, see Kaye, (1975) 91 LQR 53! sqq. In any event, the matter was
finally settled in Thorley v. Lord Kerry, in: Fifoot, op. cit., note 196, pp. 149 sqq.
2(<2
As appears already from the way in which the discussion of the law of defamation is
arranged in books such as Fleming, Torts, pp. 500 sqq.. 518; Witifield and Jolowicz on Tort
(12th
za
cd., 1984), pp. 293 sqq. or Cathy on Libel and Slander, notc"i93.
Sim v, Stretch (1936) 52 TLR 669 at 671 (per Lord Atkin).
2(14
2115
Parmiter v. Coupland (1840) 6 M & W 105 at 108 (per Parke B).
211(1
For all details, see Gatlcy, op. cit., note 193, nn. 221 sqq.
Cf., for instance, F.G. Gardiner, "Is Publication Essential to an Action for
Defamation", (1897) 14 Cape LJ 184 sqq; T.W. Price, "Animus Injuriandi in Defamation",
(1949) 66 SAL] 6; Die Spoorbond v. South African Railways, Van Heerden к. South African
Railways 1946 AD 999 at 1010; African Life Assurance Society Ltd. v. Robinson & Co. Lid. and
Central News Agency Ltd. 1938 NPD 277 at 295 sqq.; cf. also Voet, Cornmentarius ad Pandeclas,
Lib. XLVII, fit. X. I ("vcl dignitas") and De Villiers, op. cit., note 113, pp. 90, 132;
Grotius, Inhiding, III, XXXV, 2 (". . . in 't heimehek ofte in 't openbacr"). The reason for
this difference between common law and civil law lies in the fact that in England the
emphasis is on reputation (which can be impaired only by publication of defamatory matter),
whereas in Roman law it was on outraged feelings (cf. also Buckland/McNair, p. 380). Not
convincing,
207
in this respect, is Burchell, op. cit., note 105, pp. 71 sq.
Cf., for instance, Potter, op. cit., note 194, p. 437.
2(18
Bromage v. Prosser (1825), in: Fifoot, op. cit., note 196, pp. 151 sqq.; Holdsworth,
History, vol. VIII, pp. 374 sq.
2W
21(1
E. Hulton & Co. v. Jones [1910] AC 20 at 23 (per Lord Loreburn).
u
Op. cit., note 190, p. 173,
~ Denning, op. cit., note 190, p. 173.
V.
SOUTH AFRICAN USUS MODERNUS OF THE
ACTIO INIURIARUM
1. The battle about animus iniuriandi
The English tort of defamation is thus, in many respects, distinctly
different from the civilian delict of iniuria. 217 Yet there is also at least
one very obvious structural similarity. In both systems, a (prima facie)
defamatory imputation (no matter whether verbis or litteris) may give
rise to a cause of action unless the person who has made the imputation
is able to invoke one of a certain number of "defences" or "privileges".
This basic similarity enabled South African courts and writers to graft
many of the English rules of defamation onto the Roman-Dutch actio
imuriam that had originally been transplanted to the Cape. 218 The
development followed the general pattern of South African legal
history: in the course of the 19th century an ever-increasing tendency to
find one's law in an English textbook or in English case reports rather
than "to wade through a sea of Latin or to puzzle [one's] head over old
212
On the defence of truth, see Gatley, op. cit., note 193, nn. 351 sqq.
213
For all details, see Gatley, op. cit., note 193, nn. 691 sqq.
214
Generally on absolute privilege, cf. Gatley. op. cit., note 193, nn. 381 sqq.
21 s
For a detailed analysis, see Gatley, op. cit., note 193, nn. 441 sqq.
2
"' The same applies in the case of "fair comment"; the plea is defeated if the plaintiff can
show t hat the comment was actuat ed by mali ce.
217
For an overview, cf. Price, (1949) 66 SALJ 4 sqq; idem, "The Basis of the South
African Law of Defamation", 1960 Atta Juridica 254 sqq.; Ranchod, op. cit., note 90, pp. 133
sqq.
- I M Cf., for exampl e, Ranchod, op. cit., note 90, pp. 135 sqq. On the interaction of
English and Roman-Dutch law in Ceylon, see Lalith W. Athulathmudali, "The Law of
Defamation in Ceylon", (1964) 13 International and Comparative Law Quarterly 1368 sqq.
219
Sirjohn Wessels, "The Future of Roman-Dutch Law in South Africa", (1920) 37 SALJ
276.
220
Cf. the eleganter dictum by Holmes J, in: Ex parte Winnaar 1959 (1) SA 837 (N) 839
("The original sources of the Roman-Dutch law are important; but exclusive preoccupation
with them is like trying to return an oak tree to its acorn"); cf. also P.Q.R. Boberg, "Oak
Tree or Acorn?—Conflicting Approaches to Our Law of Delict", (1966) 83 SALJ 150 sqq.
221
Cf. supra, p. 557, note 73; p. 805.
222
(1830) 1 Mcnz 455.
223
Chiefjustice of the Cape of Good Hope (and later of the Union of South Africa) from
1877 to 1914. The standard biography is Eric A. Walker, Lord de Viliiers and His Ti mes
(1925).
224
Cf., inter alia, Botha v. Brink (1878) 8 Buch 118 at 123, 128 and 130.
225
Price, (1949) 66 SALJ 17.
22h
Jooste v. Chassens 1916 TPD 723 at 732; Laloe Janoe v. Bronkiwrst 1918 TPD 165 at 168;
Tothill v. Foster 1925 TPD 857 at 862 sq.; Kieinhans v. Vsmar 1929 AD 121 at 126.
227
McKerron, "Fact and Fiction in the Law of Defamation", (1931) 48 SALJ 154 (172).
228
1960 (4) SA 836 (C) at 840C-D.
229
See especially Jordaan v. Van Biljon 1962 (1) SA 286 (A); Crai% v. Voortrekkerpers Bpk.
1963 (1) SA 149 (A); Nydoo v. Vengtas 1965 (1) SA 1 (A).
230
For an analysis and critical evaluation of the position today, see Burchell, op. at., note
105, pp. 149 sqq.
231
H a sse n v . Po st Ne wsp a p e rs ( Pry .) Lt d . 19 65 ( 3) S A 5 62 ( W) ; S u t t on me re ( Pl y .) Lt d . v .
Hills 1982 (2) SA 74 (N) at 79A-B; P.J. Visser, "Nalatige krenking van die reg op farm",
(1982) 45 THRHR 168 sqq; Burchell, op. cit.. note 105, p. 168.
232
Cf., in particular, Suid-Afrikaanse IJitsaaikorporasie v. O'Malley 1977 (3) SA 394 (A) at
407A-D.
233
S ui d- Af ri ka an se U i t sa ai ko rpo ra st e v . O' Ma l l ey , 1977 ( 3) SA 394 ( A) at 404 sq. ( obi t e r) ;
Pakendorfv. De Fiamingh 1982 (3) SA 146 (A) at 156C. For further discussion, see Burchell,
op. cit., note 105, pp. 181 sqq.
234
Cf. the phrase used by Schrciner JA in Basner v. Trigger 1946 AD 83 at 94.
"' Cf., for instance. Mantred Nathan, The South African Law of Torts, 1921, pp. 98 sqq.
On the distinction between verbal and literal injuries by Voet, see De Villiers, op. cit., note
113, pp. 105 sqq.
236
For the details, see Chittharanjan Felix Amerasinghe, Defamation and other aspects of the actio
iniuriarum in Roman-Dutch Law (1968), pp. 82 sqq.; Burchell, op. cit., note 105, pp. 206 sqq.
"7 Cf., for instance, Ben Beinart, "The English Legal Contribution in South Africa: The
Interaction of Civil and Common Law", 1981 Actajuridica 58.
See Amerasinghe, op. cit., note 236, pp. 9 sqq., 19 sqq.; Burchell, op. cit., note 105,
pp 95 sqq.
231
Cf. Crawford v. Albu 1917 AD 102 at 113 sq.; Marais v. Richard 1981 (1) SA 1157 (A)
at 1166E-F; for details, see Amerasinghe, op. cit., note 236, pp. 144 sqq.; Burchell, op. cit.,
note 105, pp. 219 sqq.
240
Amerasinghe, op. cit., note 236, pp. 55 sqq.; Burchell, op. cit., note 105, pp. 67 sqq.
241
For example: the notion of malice as a means to defeat the defence of privilege; cf.
Basnet v. Trigger 1946 AD 83 at 94 sq.; May v. Udwin 1981 (1) SA 1 (A) at 14H sqq.; Burchell,
op. cit., note 105, pp. 249 sq.
242
Cf., for exampl e, Maisel v. Van Naemi 1960 (4) SA 836 (C) at 841B.
- 4 For det ails, see Amerasi nghe, op. cit., not e 236, pp. 93 sqq.; P. R. Mac Mi ll an,
"Ani mus iniuriandi and privilege", (1975) 92 SAL] 144 sqq.; Burchell, op. cit., note 105,
pp. 237 sqq.
Cf., for example, Burchell, op. cit., note 105, p. 205; as far as judicial privilege is
concerned, cf. the detailed analysis of Roman and Roman-Dutch authorities by Joubert JA
in May v. Udwin 1981 (1) SA 1 (A).
The Ro man- Dut ch wri t ers di d not yet dra w a cl ear-cut di sti nct i on bet wee n
unlawfulness and fault; cf., for example, supra, p. 1028, note 199.
24 6
For Roman law cf, for exampl e, Neethling, op. cit., note 113, pp. 51 sqq., who
attempts to analyse the provisions of the praetorian edict in terms of the individual interest
protected.
247
In the later German usus modemus there appears to have been a tendency to restrict the
scope of protection of the actio iniuriarum; for details, see Mainzer, op. at., note 103,
pp. 81 sqq.; Bartels, op. cit., note 112, pp. 52 sqq.; Herrmann, op. cit., note 99, pp. 51 sqq.
ш
Cf. supra, p. 1064, note 113.
Cf., for instance, the analyses by Bartels, op. cit., note 112, pp. 52 sqq.; Herrmann,
op, cit., note 99, pp. 51 sqq. and Neethling, op. cit., note 113, pp. 58 sqq.
250
The most enigmatic of them is "dignitas". According to De Villiers, op. cit., note 113,
p. 24, it meant "that valued and serene condition in [a person's| social or individual life
which is violated when he is, either publicly or privately, subjected by another to abusive
and degrading treatment, or when he is exposed to ill-will, ridicule, disesteem or contempt".
De Vill iers ap pen ds a foo tno te in whi ch he d ecl ar es th at th e wo rd "d ign ity " must b e
understood in a wide sense. "Injuries against dignity evidently comprise all those injuries
which are not aggressions upon either the person or the reputation." Cf. also Neethling, op.
cit., note 113, p. 58.
251
As h ad be e n the position i n Ro ma n la w; cf. su pr a, p. 105 9 ( note 8 2) .
2 rj2
one
T radi t i on al l y, t he re fo re , i nt r usi ons i nt o a pe rso n 's p ri v a c y h a ve t o be sq ue e z e d i nt o
of the established torts, particularly defamation. For an overview, see Zwcigert/Kotz, pp.
459 sqq.; but see now David J. Scipp, "English Judicial Recognition of a Right to
Privacy", (1982) 3 Oxford Journal of Legal Studies 325 sqq. A similar approach appears to have
been on its way in South African law; attention was focused very largely on defamation
which was usually dealt with as a specific wrong in its own right, Iniuria at large remained,
for a long time, in its shade and constituted a somewhat awkward collection of individual
cases that did not fit into any of the normal "pigeon-holes". Cf. still, for example, the
discussion by R.G. McKerron, The Law of Delict (6th ed., 1965), pp. 51 sqq., 160 sqq.
253
"The Right to Privacy", (1890) 4 Harvard LR 193; according to a book entitled
Landmarks of Law (referred to by Zweigert/Kotz, p. 457), "certainly the most influential law
review article ever written".
2э4
For an overview, c(. Zwcigert/Kotz, pp. 457 sqq. or McQuoid-Mason, op. cit., note
78, pp. 35 sqq.
R v. Umfaan 1908 TS 62 at 66; Cf. also Whittaker v. Roos and Bateman; Morant v. Roos
and Bateman 1912 AD 92 at 122.
2э6
W.A. Jouberl, Grondslae van die Persoanlikheidsreg (1953), pp. 115 sqq. and passim.
Joubert's views have been inspired by Carl Gareis (cf. e.g. "Das juristischc Wesen der
Autorrechte" (1877) 35 Archiv fur Theorie und Praxis des Allgemeinen Deutschen Handels- und
Wechsehechts 185 sqq.), Otto von Gierke (Deutsches Privatrecht, vol. 1 (1895), pp. 702 sqq.)
and Josef Kohler (cf. e.g. "Das Autorrecht", (1880) \»JhJb 129 sqq., 329 sqq.). On their
contributions to the idea of a general right of personality, see (apart from Joubert) Robert
Scheyhing, "Zur Geschichie des Personlichkeitsrechts im 19. Jahrhundert", (1959-60) 158
Archil' fur die civilistische Praxis 521 sqq.; Dicthelm Klippel, "Historische Wurzeln und
Funktionen von Immaterialguter- und Personlichkeitsrechten im 19. Jahrhundert", 1982
ZNR 132 sqq., 144 sqq.; Eberhard Klingenberg, "Vom personlichen Recht zum
Personlichkeitsrccht", (1979) 96 ZSS (GA) 203 sqq.; Dieter Leuze, Die Entwicklung des
Personlichkeitsrechts im 19, Jahrhundert (1962), pp. 93 sqq., 103 sqq., Il l sqq.; Neethling, op.
cit., note 113, pp. 5 sqq.; Helmut Coing, "Die Entwicklung der Pcrsonlichkcitsrechte im 19.
Jahrhundert", in: Festschrift fur Werner Maihofer (1988), pp. 78 sqq. On the protection of
personality rights in 19th-century German legal practice, cf. Karl Irmschcr, Der privalrechtliche
Schultz der Personlichkeit in der Praxis des gemeineti und der partikularen Rechte des 19.
Jahrhunderts (unpublished Dr. iur. thesis, Frankfurt/Main, 1953), passim.
27
' Cf., in particular, Neethling, op. cit., note 113, pp. 1 sqq. and passim; Universiteit van
Pretoria v. Tontmie Meyer Films (Edms.) Bpk. 1977 (4) SA 376 (T) at 381D sqq. As far as crimen
iniuriae
258
is concerned, see De Wet en Swanepoel, Strajreg (4th ed., 1985), pp. 250 sqq.
Ultimately Ulpian's: D. 47, 10, 1, 2.
2 9
* South African criminal law, too, still avails itself of this distinction. The various forms
of assault arc concerned with bodily integrity, crimen iniuriae serves to protect dignitas, and
the 6(>
crime of defamation takes care of fama.
~ For all details, see Neethling, op. cit., note 113, pp. 83 sqq.
261
The leading case is O'Keeffe v. Argus Printing and Publishing Co. Ltd. 1954 (3) SA 244 (C) at
247G (referring to De Villiers, op. cit., note 113, p. 24; cf. supra, note 250); cf. further
Amerasinghe, 1967 Actajuridica 192 sqq.; McQuoid-Mason, op. cit., note 78, pp. 124 sqq.;
Neethling, op. cit., note 113, pp. 63 sqq. Contra: Walker v. Van Wezel 1940 WLD 66 at 70.
From the point of view of criminal law (crimen iniuriae), see Milton, op. cit., note 165,
pp.2f 535 sqq.; De Wet en Swanepoel, op. cit., note 257, pp. 245 sqq.
'2 For all details, see Neethling, op. cit., note 113, pp. 36 sqq., 83 sqq. On the right of
privacy, see McQuoid-Mason, op. cit., note 78, pp. 86 sqq., 100 sqq. and passim.
2bi
O'Keeffe v. Argus Printing and Publishing Co. Ltd. 1954 (3) SA 244 (C) at 249D-E ("The
unauthorised publication of a person's photograph and name for advertising purposes is . . .
capable of constituting an aggression of that person's dignitas"); S v. A 1971 (2) SA 293 (T)
at 297 ("I have no doubt that the right to privacy is included in the concept of dignitas, and
that there is no dearth of authority for this proposition"); S v. I 1976 (1) SA 781 (RAD) at
784 ("Looking through (complainant's) window was clearly an invasion of her privacy. Put
another way her dignitas was injured by the invasion of her privacy").
M
What is the position of a plaintiff who has suffered patrimonial loss too? Generally
speaking, the actio iniuriarum lies for sentimental damages, the actio legis Aquiliae for
patrimonial loss. A plaintiff wishing to recover for both forms of harm must, therefore,
bring (and prove the requirements of) two different claims, which can, however, be
combined in a single action. This is unproblematic in cases where the patrimonial loss flows
from physical injury (cases of assault): it can be recovered under Aquilian principles (i.e. in
cases of dolus and culpa). If the same injury also constituted contumelia iniuria (in the form
of infringement of the plaintiff's right to corpus), sentimental loss can be claimed, provided
the defendant had acted animo iniuriandi. Defamation presents a more difficult problem,
since the wrong is of a non-physical nature. Again, however, if animus iniuriandi can be
established, both kinds of damages may be recovered (whether on the basis of an actio legis
Aquiliae and an actio iniuriarum "rolled into one"—pure economic loss, after all, has, once
again, become recoverable under the actio legis Aquiliae (cf. supra, pp. 1042 sq.)—or merely
of the actio iniuriarum — which would thus, by way of exception, also cover patrimonial
loss (possibly only if it is not "too remote")—is not quite clear). A defamation action based
on negligence can, in any event, be brought only for patrimonial loss and must satisfy the
requirements of the actio legis Aquiliae. For details, see Boberg, Delict, pp. 19 sq.;
Neethling, op. cit., note 113, pp. 75 sqq.; also already De Villiers, op. cit., note 113, pp. 182
sqq.; specifically on defamation: Burchcll, op. cit., note 105, pp. 305 sq.; specifically on
intrusions into the right of privacy: McQuoid-Mason, op. cit., note 78, pp. 252 sqq. There
is one further point that must be remembered with regard to physical injury. We have said
that the plaintiff may recover patrimonial loss under Aquilian principles (in cases of dolus
and negligence) and sentimental loss on account of the actio iniuriarum (only in cases of
dolus). Yet, even if the defendant acted negligently, there is an action available to the plaintiff
for pain and suffering. The historical origin of this action has been briefly discussed in a
previous chapter (pp. 1026 sq.). It is widely thought today that we are dealing here with an
actio sui generis (cf., in particular, Hoffa v. S.A. Mutual Fire & General Insurance Co. Ltd. 1965
(2) SA 944 (C)). Yet there are also those who regard the remedy for pain and suffering as an
exceptional form of Aquilian liability (exceptional, because it violates its patrimonial-
loss principle) or of an extension of the actio iniuriarum (into the field of negligence). For
a comprehensive discussion, see Olivier, op. cit., note 90, pp. 233 sqq.; Boberg, Delict, pp.
516 sqq. For a codified version of the action for pain and suffering, cf. § 847 BGB.
2ЬЪ
For the exceptions (all under the influence of English law), see Neethling, op. cit., note
113, pp. 116 sq. (false imprisonment), p. 185 (wrongful execution against property) and
supra, p. 1080 (liability of mass media for defamation).
** Cf. Lee, Introduction, p. 334.
267
Collegium theoretico-practicum. Lib. XLVII, Tit. X, I.
26K
Cf., for instance, the edicta contra duella in Brandenburg and Saxonia, as quoted by
Stryk, Usus modemus pandectarum. Lib. XLVII, Tit. X, §§ 23 sq.
69
~ Generally on anti-duelling legislation (starting in the late 16th century) and on the
motives inspiring it, cf. Slawig, op. cit., note 107, pp. 49 sqq; on the attitudes of the
churches cf. pp. 92 sqq. Slawig proceeds to give a detailed account of the fight against
duelling in Germany (more particularly: Prussia) during the 19th and 20th centuries. For an
analysis of the opposition to duelling on a European level during the Age of Enlightenment
and in the 19th century, see Kiernan, op. cit., note 107, pp. 165 sqq., 185 sqq. As far as
England is concerned, cf. Blackstone, Commentaries, Book IV, Ch. 14, III (quoted by
Kiernan, p. 165): "Express malice . . . takes in the case of deliberate duelling, where both
parties meet avowedly with an intent to murder: thinking it their duty as gentlemen, and
claiming it as their right. . . and therefore the law has justly fixed the crime and punishment
of murder on them, and on their seconds also."
On the Continent, too, punishment could be hefty; for an account of a particularly
spectacular incident, in which a duellist was ultimately decapitated, cf. Adolph Kohut, Das
Buck beriihmter Dueile (1888), pp. 57 sqq. Yet the self-defined elite that embraced the social
convention of duelling as a means of defending their honour failed, for a long time, to
respect anti-duelling laws and refused to resort to the alternative of instituting a defamation
action. Duelling remained "a feature of the 'noble' life. . . . One point was its being
normally illegal, especially for civilians. The duellist put himself above the law, and
demonstrated that his self-respect, or, what came to the same thing, his respect for his class,
mattered more to him than any external fact. . . . In what he deemed questions of honour
the gentleman stood outside any social contract binding on the common man; he belonged
to a superior social order which made its own rules" (Kicrnan, op. cit, note 107, p. 153).
Indicative of the 19th-century attitude towards duelling is also a statement made by Albrecht
von Roon, Prussian Minister of War, during a parliamentary debate: " Die personliche Ehre des
Mannes ist sein Eigenstes, und es giebt keine Madit der Erde, attch nicht die hochste, welche daruber
Richter sein kann" (The personal honour of a gentleman is his most cherished attribute, and
there is no power in the world, not even the Supreme one, which could set itself up to judge
about it); cf. Slawig, op. cit., note 107, p. 170. While duelling declined in 19th-century
Britain, it remained an influencial social institution in Germany until the First World War.
For details of the development, see Kiernan, op. cit., note 107, pp. 204 sqq. (Britain), pp.
271 sqq. (the "Old Monarchies"). Generally on the relationship of duelling and the legal
system, see Schwartz/Baxter/Ryan, (1984) 13 Journal of Legal Studies 325 sqq.; Slawig, op.
cit., note 107, pp. 49 sqq.
270
Cf., however, Donellus, who is the true father of this line of thought. He used the
three famous precepts of Ulp. D. 1, 1, 10, 1 ("honeste vivere, alterum non laedere, suum
cuique tribuere") as a starting point and argued: "Alterum non laedere est non laedere
alterius personam aut vitam ejus petendo aut violando incolumitatem, libertatem,
existimationem" (Commentarii, Lib. II, Cap. I, X). For a general discussion of Donellus 1
views, see Herrmann, op. cit., note 99, pp. 19 sqq. "Alterum non laedere" as the foundation
of the law of delict was later also emphasized by Pufendorf (supra, p. 1032); for him, too,
the protection of fama, honor and other constituent elements of the personality (conceived
by him, as previously by Donellus and Grotius, as "personality rights") was an integral part
of it. On Pufendorf's views, see Herrmann, op. cit., note 99, pp. 37 sqq.
271
Dejure belli ac pads. Lib. II, Cap. XVII, 1; cf. supra, p. 1032 (note 221).
272
"Damnu m forte a de mendo dictu m . . . cu m quis minus hab et suo ."
273
". . . sivc illud suum ipsi competit ex mera natura. . . ."
274
Cf. also Inleiding, II, I, 42 and, already, Donellus, Commetitarii, Lib. II, Cap. I, XI:
"Siquidem jus cujusque, id est quod jure cujusque est, non est tantum in rebus externis, sed et
in persona cujusque. Quod genus vita, incolumitas, fama, libertas" (cf. also supra, note 270).
Z7r>
For further details, as far as the positive (Roman-Dutch) law was concerned, cf.
Inl eidi ng, HI, XXXV (Van hoon) and III, XXXVI (Van lasteringh). On t he di fference
between hoon (translated by Lee as "injury") and lasteringh ("defamation"), cf. Ranchod,
op. cit., note 90, p. 68.
276
De jure belli ac pads, Lib. 11, Cap. XVII, XXII.
277
Dejure belli ac pads, Lib. I I, Cap. XVII, XXII. In this regard Grotius follows Domingo
de Soto (". . . cum pecunia pretium sit omnium rerum, ilia aesti matur et honor et fama").
This view was, however, not uncontested; thus. Leonardus Lessius in his work De iustitia
et iurc stated: "Pecunia secundum communem usum homi num non est mensura nisi rerum
venalium, quas homines sol ent pecuni a commut arc; fama aut em aeque nat ura sua neque
gentium consuetudinc pecuni a solet aesti mari." Cf. Ranchod, op. cit., note 90, pp. 67 sq.
2
™ budding, HI. XXXII, 7.
27
'' Both the concepts of subjective rights as such and of the protection of the personality in
terms of (a system of) subjective (personality) rights find their origin in the Commentarii
dejure Civili of Donellus. On Donellus' revolutionary ideas, on their reception by the natural
lawyers and on the specific contributions of Althusius, Grotius. Pufendorf, Thomasius and
Wol ff t o t he devel opment of a comprehensi ve prot ecti on of personali ty ri ght s, cf.
Herrmann, op. cit., note 99, pp. 19 sqq. 29 sqq.; Scheyhing, (1959-60) 158 Archiv fur die
dvilistische Praxis 508 sqq.; Lcuze, op. cit., note 256, pp. 12 sqq.; H.J. Becker,
"Personlichkcitsrccht", in: НДС, vol. II, col. 1626 sqq.; Klingenberg, (1979) 96 ZSS (GA)
195. Cf. also the programmatic statement of § 83 Einl. PrALR. Nineteenth-century legal
science was predominantly hostile to the idea of a right of personality; cf., in particular,
Savigny, System, vol. I. pp. 335 sqq. and, for a discussion, Scheyhing, (1959-60) 158 Archiv
fur die dvilistische Praxis 503 sqq.; Leuzc, op. cit.. note 256, pp. 46 sqq. Towards the end of
the century, however, we find a revival ot the idea in the writings of Gareis, Gierkc and
Kohler: cf. supra, note 256.
2H
" Epitomized in the work of Christian Wolff, who recognized, apart from the right of
honour and reputation (for details, see Institutiones §§ 142 sqq.), innate human rights (inter
alia!) to the use of one's organs, to food, drink and medication, to sensual enjoyment and to
the pursuit of happiness (Jus naturae. Pars I, Cap. II, § 376 ("jus . . . utendi organis suis"),
§ 383 ("jus . . . ad eas res, quae cibo ac potui inscrviunt seu corpus alere possunt"), § 416
("[j]us ad medicaments"), § 410 ("jus . . . fruendi voluptate transitoria, si fuerir innocua"),
§ 284 ("jus ad ea, quae ad felicitatem consequendam, conservandam et augendam
rcquiruntur"). This is not the kind of doctrine likely to appeal to either legal practice or a
legislator.
81
The main (if not exclusive) function of the delict of iniuria at the time of the late usus
modernus. The contraction of the actio iniuriarum was partly offset by the extension of
Aquilian protection, which occurred at about the same time. As has been discussed above,
the actio iegis Aquiliae became available to claim compensation for pain, suffering and
disfigurement (but only in cases of infliction of bodily harm, not as far as other forms of
iniuriac were concerned).
282
For what follows, see Mainzer, op. cit.. note 103, pp. 90 sqq.
28J
2M
The quotation is taken from Leyser, Meditationes ad Pandectas, Spec. DXLII, I.
Cf. supra, p. 1069 (retorsio), pp. 1063, 1085 (duel).
2Нэ
Leyser, Meditationes ad Pandectas, Spec. DXLII, VII. Leyser's work contains a very
interesting and fair ("[e]xsequitur haec . . . cleganter et docte, ut semper solet") discussion
of Boehmer's view and a comprehensive attempt to justify the existence of the actio
iniuriarum.
286
Cf., for example, supra, pp. 1019 sq. and infra, p. 1111.
287
Dejure belli ac pads, Lib. II, Cap. XVII, XXII. Cf. also Inieiding, III, XXXII, 7.
288
Cf. e.g. Bartels, op. cit., note 112, pp. 46 sqq.; also Irmscher, op. cit., note 256,
pp.289123 sqq.
Eines christlichen Jurisconsulti Bedencken von Injurienprocessen, in: Supplementum
dissertationum etoperum, vol. XIII (Florentiae, 1840), pp. 1022 sqq. (§7)—a beautifully written
piece that is still well worth reading today.
290
291
Cf. supra, pp. 1018, 1031.
292
Cf. Mainzer, op. cit., note 103, p. 91.
Mainzer, op. cit., note 103, pp. 96 sqq.
293
Cf. Rudolf von jhering, "Rechtsschutz gegen injuriose Rechtsverletzungen", in:
Gesammelte Aufsatze, vol. Ill (1886), pp. 233 sqq.; Landsberg, op. cit., note 78, pp. 83 sqq.;
Dernburg, Pandekten, § 137 in fine, and others; for a discussion, see Mainzer, op. cit., note
103, pp. 14 sqq.; Ekkehard Kaufmann, "Dogmatische und rechtspolitische Grundlagen des
§ 253 BGB", (1963) 162 Archivjur die civilistische Praxis 425 sqq.
294
Windscheid/Kipp, § 472; Mainzer, op. cit., note 103, pp. 101 sqq.
295
Supra, p. 1074.
24fi
For details c(., for example, Lauterbach, Collegium theorctico-practicum. Lib. XLVII, Tit.
X, LIH; Leyscr, Meditationes ad Patidectas, Spec. DXLIII, IV.
247
For details, sec Kaufmann, (1963) 162 Archil' fur die civilistische Praxis 430 sqq. (with
regard to the Prussian General Land Law).
m
~ In South African law, the Roman-Dutch amende honorable has fallen into desuetude:
cf. Lumley v. Owen, as quoted by Dc Villicrs, op. at., note 113. p. 178 ("an archaism"); Hare
v. White (1865) 1 Roscoe 246 at 247; Burchell, op. cit., note 105, pp. 315 sq. For a more
favourable opinion on the amende honorable cf. recently Kritzinyer v. Perskorporasie van
Suid-Afrika (Edms.) Bpk. 1981 (2) SA 373 (O). Burchell (p. 316) reports that the actio ad
palinodiam
294
has been received, and still lives on, in the Code of Zulu Law (Natal).
§ 188 StGB, on which cf., for instance, Baron, Pandektett, § 321, 3; Freiesleben, in: von
Ohhausen's Komincntar гит Strafgesetzhuch (11th ed., 1927), § 188. The rule was abolished in
1974.
300
§ 823 II BGB imposes an obligation to make amends upon anyone who violates a
statutory provision intended for the protection of others. Among these "protective norms",
are the provisions of the penal code dealing with insult and defamation (§§ 185 sqq. StGB).
Cf. also § 824 BGB.
301
Cf. Mainzer, op. cit., note 103, p. 93. On the concept of honour in the late 18th and
in the 19th centuries, see also Slawig, op. cit., note 107, pp. 14 sqq.; Kiernan, op. cit., note
107, pp. 152 sqq., 223 sqq. (on the views presented by Walter Scott and later British writers).
^Su pr a, p . 1 06 2 (n ot e 10 0) .
303
Cf. "Protokolle", in: Mugdan, vol. II, p. 1119; "Kommissionsbcricht", in: Mugdan,
vol. II, p. 1297; also, for example, G. Hartmann, "Der Civilgesetzentwurf, das
Aequita'tsprincip und die Richterstcllung", (1888) 73 Archivfiir die civilistische Praxis 364: "It
runs counter to the most profound German sensibilities to assess the most sacred emotions
in terms of base mammon and to compensate every culpable interference with those feelings
by means of a money payment" (trans.: Handford, (1978) 27 Comparative and International
Law Quarterly 855).
304
It was the same "psychology of honour" that kept alive the institution of duelling as
an alternative social mechanism to settle disputes relating to a point of honour: cf. the
analysis by Kiernan, op. cit., note 107, pp. 152 sqq.; cf. also pp. 116 sqq. (detailing the
"grudges and grievances" that could give rise to a duel). Duelling was not confined to
officers or to the nobility ("Barons from head to toe, in every drop of blood the fruit of
sixty-four equal marriages, and in every glance a challenge!": as Friedrich Engels saw it; cf.
Kiernan, p. 271) but had spread to the top echelons of the bourgeoisie. It had become an
upper-class phenomenon; doctors, lawyers, statesmen and newspaper editors were among
the highly represented groups. Involvement in duels or challenges included, among many
others, Napoleon, La Fontaine, Voltaire, Heinrich Heine, Otto von Bismarck, and at least
five men who were destined to become British prime ministers: Lord Bath, Lord Shelborne,
William Pitt, George Canning, the Duke of Wellington and Sir Robert Pee] (who was twice
in the role of challenger). Alexander Pushkin and the German socialist Ferdinand Lassalle
were killed in duels. For details, see Schwartz/Baxter/Ryan, (1984) 13 Journal of Legal Studies
325; Kiernan, op. cit., note 107, pp. 6 sqq., 216, 277 sqq. and passim; cf. also Kohut, op. cit.,
note 269, pp. 69 sqq. In Germany, a country [hat was "succumbing to atavistic
'neo-feudalism' and strident militarism", the duelling conventions retained their hold until
the First World War; ". . . so long disunited and timidly subservient to princelings and
prelates, [the German nation was] well fitted for a double life of reality and fantasy"
(Kiernan, op. cit., note 107, pp. 271, 272). The prevailing views among the upper classes are
encapsulated in the remark by Minister von Roon (cf supra, p. 1086, note 269). Highly
significant, too, the case of Reinhold von Thaddcn (who refused to accept a challenge and
was, as a result, subjected to severe social and professional discrimination) and of the three
Counts Schmising-Kerssenbrock (who were dismissed from the army as a result of having
rejected, for religious reasons, the institution of duelling); they are related and analysed by
Slawig, op. cit., note 107, pp. 175 sqq., 188 sqq. Slawig (p. 76) also draws attention to the
fact that the persons involved in duelling tended to receive milder forms of punishment in
19th-century Prussia and Germany than under 18th century anti-duelling laws. Why was the
opposition to duelling so much more successful in Britain (for details, see Kiernan, op. c i t . ,
note 107, pp. 204 sqq.) than in Germany? Kiernan's suggestion (p. 131) that "the availability
of pecuniary satisfaction must be one reason for the early demise of the duel in England" is
hardly satisfactory; for in Germany a pecuniary alternative (in the form of the private pocna
iniuriarum) could, after all, easily have been available, too.
105
Supra, p. 1036. The first draft (which was based on a general clause (supra, p. 1036,
note 251)) had, however, specifically included a reference to the protection of honour:
§ 704 II E I.
306
§ 847 I BGB. On the history and background of this provision, see Olivier, op. cit.,
note 90, pp. 173 sqq., 179 sqq.
307
§ 253 BGB; on which see, particularly, Kaufmann, (1963) 162 Archiv fur die civilistische
Praxis 421 sqq. For a comparative discussion and evaluation, and tor proposals de lege
ferenda, see Gerhard Hohloch, "Allgemeines Schadensrecht", in: Gutachten und Vorschlage
zur Uberarbeitung des Schuldrechts, vol. I (1981), pp. 426 sqq.; cf. also Lange, Schadensersatz,
PP- 256 sqq.
Generally on the general right of personality in German law, see Peter Schwerdtner, in:
Munchener Kommentar, vol. I (2nded., 1984), § 12, nn. 163 sqq.; Ernst von Caemmerer, "Der
privatrechtliche Personlichkeitsschutz nach deutschem Recht", in: Festschrift fiir Fritz von
Hippel (1967), pp. 27 sqq.; Hans-Erich Brandner, "Das allgemeine Personlichheitsrecht in
der Entwicklung der Rechtsprechung", 1983 Juristenzeitung 689 sqq.; in English:
Zweigert/Kotz/Weir, pp. 342 sqq.; B.S. Markesinis, Л Comparative Introduction to the German
Law of Tort (1986), pp. 37 sqq., 191 sqq., 542 sq., and P.R. Handford, "Moral Damage in
Germany", (1978) 27 International and Comparative Law Quarterly 849 sqq. 109 Cf. supra, p.
343, note 18.
310
Cf. supra, p. 1036 (note 253).
311
BGHZ 13, 334 sqq. Ironically, this breakthrough decision concerned a letter written
on behalf of a former Nazi minister of economic affairs, who felt insulted by a newspaper
article dealing with his activities in pre- and post-war Germany. For a translation of the main
parts of ihejudgment, see Markesinis, op. cit., note 308, pp. 191 sqq. For further cases, cf.,
for example, BGHZ 39, 124 sqq. (a television announcer was described in a newspaper
article as a "milked out nanny-goat" who really belonged in a "second-class honky-tonk" on
the Reeperbahn) and BGH, 1965 Neue Juristische Wochenschrift 685 sq. (fictitious interview
with Princess Soraya about her life with the Shah of Persia).
312
Which does not only protect a person's honour and reputation but his privacy at large.
313
BGHZ 26, 349 sqq.; BGHZ 35, 363 sqq. (both cases, in translation, in Markesinis, op.
cit., note 308, pp. 195 sqq.)
314
For all details, see Schwerdtncr, op. cit., note 308, nn. 291 sqq.
315
Iniuria atrox rediviva!
316
Are German courts allowed (and if so, under which circumstances} to decide contra
legem? After all, they are bound by the law: cf. art. 20 III GG. Art. 97 I GG makes it clear
that this subjection of thejudge to the law is inextricably linked with, and has to be regarded
as a necessary prerequisite for, judicial independence. I have tried to deal with the intricate
implications of judge-made law within a codified system in general, and with the
constitutional parameters set by the German Basic Law in Moderatiomrecht, pp. 97 sqq., 177
sqq. Cf. also Jorn Ipsen, Richterrecht und Verjassung (1975); Otto Rudolf Kissel, "Grenzen der
rechtsprechendcn Gewalt", 1982 Neue Juristische Wochenschrift Mil sqq.; Eduard Picker,
"Richterrecht oder Rechtsdogmatik — Altermtiven der Rechtsgewinnung", \988Juristenzei-
tung 1 sqq., 62 sqq.; Fritz Ossenbiihl, "Gesetz und Recht—Die Rechtsquellen im
demokratischen Rechtstaat", in: Josef Isensee, Paul Kirchhof (eds.), Handbuch des Staatsrechts,
vol. Ill (1988), § 61, nn. 35 sqq. The Federal Constitutional Court has, however, condoned
the judicial derogation of § 253 BGB: BVerfGE 34, 269 sqq. ("Soraya"). Contra: Wolfgang
Grunsky, in: Munchener Kommentar, vol. II (2nd ed., 1985), § 253, n. 6.
317
For the factors to be taken into consideration, see Schwerdtner, op. cit., note 308, nn.
294 sqq. For South Africa cf. Burchell, op. cit., note 105, pp. 289 sqq. English law has had
considerable influence in this regard. In the main, it is accepted that the award of damages
should compensate the plaintiff for his sentimental loss. Whether, in addition, punitive or
exemplary damages may be awarded is very controversial. But in any event, as has been
pointed out repeatedly, it is difficult, if not impossible, to separate the punitive and the
compensatory elements in sentimental damages: cf., for instance, S.A. Associated Newspaper
Ltd. v. Samuels 1980 (1) SA 24 (A) at 48E-H; also (for England) Cassell & Co. Ltd. v. Broome
[1972] AC 1027 (HL) at 1072 ("the whole process of assessing damages where they are 'at
large' is essentially a matter of impression and not addition", per Lord Hailsham). For a
comprehensive comparative analysis of the elements of compensation and satisfaction in the
modern remedies for sentimental loss (pain and suffering), see Petrus Johannes Visser,
Kompensasie en genoegdoening volgens die aksie weens pyn en teed (unpublished LLD thesis,
Pretoria, 1980);'cf. now also idem, "Genoegdocning in die deliktereg", (1988) 51 THRHR
468 sqq,
318
French courts and legal writers have always been able to grant adequate protection to
personality interests on the basis of the general clause of art. 1382 code civil ("Every act
whatever of man which causes damage to another obliges him by whose fault the damage
occurred to repair it"). Neither are honour, reputation, privacy or any other personality
rights excluded from th e scope of this provision nor do es the co de draw a distinction
between pecuniary damages and sentimental loss (dommage moral). For a comparative
analysis, see Zweigert/Kotz, pp. 448 sqq.; Leontin-Jean Constantinesco, "Die Person-
lichkeitsrechte und ihr Schutz im franzosischen Recht", (1960-61) 159 Archiv fur die
civilistische Praxis 320 sqq.
Strict Liability
I. LIABILITY FOR DAMAGE DONE BY ANIMALS
1. A special compartment
"[T]he law of torts has grown up historically in separate compartments
and . . . beasts have travelled in a compartment of their own." This
statement by Lord Simonds1 applies to civilian legal systems no less
than it does to the English common law. It reflects a common
appreciation of the fact that animals are a rather anomalous type of
chattel. They kick and butt and gore;2 they lie around in inappropriate
places for people to stumble over them and they stray onto busy
highways or railway lines where they collide with hapless cyclists3 or
cause trains to be derailed;4 they attack human beings, as well as each
other, they cause damage to movable and immovable property, they
roam around, and they pick up and transmit all sorts of infectious
diseases.s Dogs, "for ages the companion|s] and hunting agent[s] of
man",6 chase, kill and eat the neighbour's chickens,7 they bite innocent
postmen as well as unlawful intruders; they throw over little children in
clumsy attempts to hug them; and they leave behind excrement on
which people can slip. They also impregnate good-looking bitches and
thus deprive them of their chances of winning for their owners
handsome sums in beauty competitions.8
Animals, obviously, constitute a constant source of danger. Yet, the
law cannot simply aim at preventing people from keeping them, for
1
Read v.J. Lyons & Co. Ltd. Ц9471 AC 156 (HL) at 185.
2
Cf. Servius/Ulp. D. 9, 1, 1, 4. Generally on the theme of "the goring ox" ("a popular
one in the legal thought of the civilizations of the ancient Near East"), seeJ.J. Finkelstcm,
The Ox That Gored (1981), pp. 5 sqq. On the biblical laws concerning goring oxen, cf. also,
apart from Firskelstein, Bernard S. Jackson, Essays in Jewish and Comparative Legal Thought
(1975), pp. 108 sqq.
1
Cf. Searle v. Walibank |1947] AC 341, where it was held that an occupier of land
adjoining a highway owes no duty of care to maintain fencing or otherwise prevent his
animals from escaping onto the highway; a rule which has been described, with judicial
moderation, as "difficult, archaic and ill-adapted to urban communities" {Gomberg v. Smith
[1963) 1 QB 25 at 31) and, in the bolder spirit of academic analysis, as "an outrageous
subsidy shamelessly exacted by the farming lobby at the expense of public safety" (John G.
Fleming, An Introduction to the Law of Torts (1967), p. 170); cf. today § 8 of the Animals Act
1971 and Fleming, Torts, pp. 337 sq.; see also Ellis v. Johnstons 119631 2 QB 8; OLG Cellc,
1980
4
Versicherungsrecht 430 sq. (dealing with a dead animal lying on a road).
5
Cooper v. Railway Executive J1953] 1 All ER 477.
л
Cf. RGZ 80, 237 (239 sq.).
Boyce v. Robertson 1912 TPD 381 at 383.
7
Maree v. Diedericks 1962 (1) SA 231 (T) at 237C ("baldadigc slagtmg"). K Cf. BGHZ 67,
129 sqq. (concerning loss of earnings that would have resulted from the sale of purebred
puppies).
1095
9
Cf. the example used by Karl Larenz. Lehrbuch des Schuldrechts, vol. II (12th ed., 1981), p.
707; cf. also the case decided in OLG Braunschweig, 1983 Versichemngsrecht 347 sq. 1(1 Cf.
the distinction made in § 833 BGB.
1
Andrew v. Kilgour (1910) 13 WLR 608 (Canada).
12
Cf, for example, the Report of the New South Wales Law Reform Commission 1970,
in: W.L. Morison, C.S. Phcgan, C. Sappiden, Cases an Torts (6th ed., 1985), pp. 909 sqq.
13
Behrens v. Bertram Mills Circus Ltd. [1957] 2 QB 1 at 14; and see the comment in the
Report of the New South Wales Law Reform Commission (supra, note 12), p. 910.
Ulp, D. 9, 1, 1 pr.; hist. IV, 9 pr. On the deccmviral remedy, see, most recently,
Bernard S. Jackson, "Liability for Animals in Roman Law: An Historical Sketch", (1978) 37
Cambridge LJ 122 sqq.
1S
Lewis and Short, A Latin Dictionary (1979; 1966 impression), p. 1318.
1(1
Which was used in the lex Aquilia; cf. Ulp. D. 9, 2, 27, 5 and supra, pp.
953, 986.
17
Kaser, Alttb'misches ins, pp. 224 sqq.; cf. also Detlef Liebs, "Damnum. damnare und
damnas",
1H
(1968) 85 ZSS 195 sq.
Alan Watson, "The Original Meaning of Pauperies", (1970) 17ДЮЛ361 sqq. Watson,
pp. 363 sqq., also refutes Kerr Wylie's view, according to which the XII Tables did not in
fact use the term "pauperies" (J. Kerr Wylic, '"Actio de pauperie' Dig. Lib. IX, Tit. I", in:
Studi in onore di Salvatore Rkcobono, vol. IV (1936), pp. 465, 482).
19
Watson, (1970) 17 RIDA 362; cf. also Jackson, (1978) 37 Cambridge LJ 123 sq. This
would put the beginnings of the actio de pauperie in line with the lex Aquilia where, too,
slaves
2(1
and grazing animals were the principal objects of legal protection.
21
D. 9, 1, 1, 3.
D. 9, 1, 1, 3.
22
". . . [f]or a dog cannot reason like a human being, and there is something bizarre in
seeking the mens rea [guilty mind] of a pony": Salmond and Heuston on the Law of Torts (18th
ed., 1981), p. 318.
23
Cf. generally, Karl von Amira, "Thierstrafen und Thierprocesse", in: (1891) 12
Mittheilungen des Instituts fur oesterreichische Gesdnchtsforschung 545 sqq., 574 sqq., 587 sqq.;
Wolfgang Sellert, "Das Tier in der abendlandischen Rcchtsauffassung", in: Stadium generate.
Vortrage гит Thenta Tier und Mensch (1984), pp. 66 sqq.; cf. also (for Anglo-Saxon and
English law) Glanville Williams, Liability for Animals (1939), pp. 7 sqq., 265 sqq.
" 4 Thus, for insta nce, Plutarc h relates the case of a dog who was awarde d a lifelong
pe nsion since he ha d c hase d a criminal from Athe ns alm ost to Corinth. For details, see
Rudolf Dull, "Archaische Sachprozesse und Losvcrfahren", (1941) 61 ZSS 1 sqq.; ide m,
"Zum Anthropom orphism us im a ntike n Rec ht", (1944) 64 ZSS 346 sqq.; but cf. also
Finkelstein, op. cit., note 2, pp. 58 sqq. A strea k of anthropom orphism is also clearly
perceptible in the attitude adopte d by conte m porary lovers of a nimals towards their pets.
The Germa n philosopher, Arthur Schope nhauer, incide ntally, did not regard the intellect,
but rather the will to live, as the essential characteristic of every creature. Since, however,
in that respect there is no difference between animals and huma n beings (cf. E. Grisebach
(ed.) Die Welt ah Wille und Vorste!lun$>, vol. II (2nd ed.), pp. 235 sqq.), animals were, to him,
not me rely le ga l objects but ha d to be respecte d as the subjects of (m oral) rights.
Sc hope nha uer thus beca m e the intellectual a nc estor of the m odern "ethical" a pproac h
towards animal protection (animals have to be protected for their own sake). The contrary
view (human beings owe no duties towards animals since animals lack reason) was adopte d
by Kant and the other Enlightenment philosophers. They conseque ntly argued in favour of
animal protection, only in so far as к benefits man (the anthropocentric view of animal
prote ction): cf. Sellert, op. cit., note 23, pp. 80 sqq.
25
Cf. infra, p. 1114.
26
Cf. still Coweli v. Friedman & Co. (1888) 5 HCG 22 at 44: "[B]ut when an ox gores, the
act may be regarded as a breach of the good behaviour which is its second nature."
27
For all details, see von Amira, (1891) 12 MUtheihtngen des Instituts fur oesterreichiscbe
Geschhhtsforschung 545 sqq. Williams, op. cit., note 23, p. 266 refers to a "curious
recrudescence of earlier notions".
2K
Sellert, op. cit., note 23, pp. 73 sqq.
2<>
As far as legal literature is concerned, the practice of killing animals that killed a human
being was still defended by an author like Stryk, Usus modernus pandectarum. Lib. IX, Tit. I,
§20.
30
On the nature of that trial cf., however, von Amira, loc. cit. and Fi nkelstein, op. cit.,
note 2, pp. 64 sqq.
31
Cf. t he vi vid descripti on of a case i n the 16th-cent ury Net herl ands by C. G. van der
Merwe, "Dicre voor die Gereg", Mei 1972 Codiciltus 35.
32
Cf. also Finkelstein, op. cit., note 2, pp. 7 sqq., 48 sqq., 64 sqq., who em phasizes that
"[t]he notion that trials and punishments of irrational creatures and of inanimate things are
a valid legal procedure occurs uniquely in Western society"; it was unknown to any society,
past or present, which falls outside "the Western cosmological tradition" (pp. 64, 5).
33
Cf. Hans Fchr, "Gottesurteil und Folter. Eine Studie zur Damonologie des Mittelalters
und der neuen Zeit", in: Festgabe fiir RudolfStammier (1926), pp. 231 sqq., 252. But cf. also
Finketstein, op. cit., note 2, pp. 64 sqq., according to whom the animal had to be executed,
because the very act of killing a human being ". . . had rendered it an object of public horror.
This horror is enge ndere d by the im plications of suc h a killing: the animal was seen as a
living rebuttal of the divinely ordained hierarchy of creation; by an action that itself could
not be judge d on a m oral sta ndard the ox turne d into a n instrume nt that undermine d the
moral foundations of the universe" (p. 70). In the phenomenon of real animal trials in early
Christia n Europe, Finkelste in argue s, "a unique ly biblica l c onc e ption of sovereignly"
manifested itself; cf. pp. 25 sqq.
34
Sellert, op. cit., note 23, pp. 74 sq.
35
Kaser, RPr I, p. 165.
36
Cf. Dull, (1941) 61 ZSS 1 sqq.; but see Fra nz Ha yma nn, "Te xtkritische Studien z um
rom isc he n Obligaiione nrec ht", (1921) 42 ZSS 367 sqq. On the que stion of a historical
connection between Greek law and the Roman actio de pauperie, cf. also Jackson, (1978) 37
Cambridge LJ 122 sq.
37
On the origin of delict in private vengeance, cf. supra, pp. 2 sq., 914. For parallels
bet ween t he Roman and t he Anglo-Saxon devel opment, sec Willi ams, op. cit., note 23,
pp. 265 sqq. (272); cf. also p. 7 sqq.
3H
Supra, pp. 916 sq.
39
Cf., in particular, Otto Lend, "Die Formula der actiones noxales", (1927) 47 ZSS 2 sqq.;
Cornelius Gerhardus van der Merwe, Skuldlose aanspreeklikheid vir shade veroavsaak deur diere
(unpublished LLD thesis, Pretoria, 1970), pp. 5 sqq., 12 sqq.; Kaser, RPr I, pp. 165, 633.
Contra: Kcrr Wylic, Studi Riccobono, vol. IV, pp. 461 sqq.; Ubaldo Robbe, "L'actio de
pauperie", (1932) 7 RISG 359 sqq. On the differences between the actiones legis Aquiliae
and de pauperie noxalis, see Hans Ankum, "L'actio de pauperie et l'actio legis Aquiliae dans
le droit romain classique", in: Studi in onore di Cesare Sanfilippo, vol. II (1982), pp. 14 sq.
411
Ulp. D. 9, 1, 1, 1; on this text, see Van der Merwc, op. cit., note 39, pp. 15 sq.
41
Ulp. D. 9, 1, 1, 12; and see, in general, supra, p. 917.
42
Ulp. D. 9, 1, 1, 13. If the animal that had caused che damage was killed by a third party
aft er the vi cti m had institut ed proceedings against t he owner of t he ani mal, t he owner's
l i abi l i t y u n d er t h e a ct i o d e p a up e ri e ha d t o b e t a k e n i nt o a c c ou nt wh e n i t c a me t o
det ermi ning the sum that had to be awarded to the owner in his lawsuit against the third
party under the lex Aquilia; cf. lav. D. 9, 2, 37, 1; Ulp. D. 9, 1, 1, 16; and, for a detailed
analysis, Ankum, Studi Sanfilippo, vol. II, pp. 13 sqq.
43
On the approach adopted by the Romans towards ani mal s along these lines, see
Haymann (1921) 42 ZSS 368 sqq.; Slavomir Condanari-Mi chler, "Vis extrinsecus admota.
Ein Beitrag zum Einfluss dcr griechischen Philosophic auf Roms juristen", in: Festschrift fur
Leopold Wenger, vol. I (1944), pp. 236 sqq.; Sellert, op. cit., note 23, p. 71.
44
Cf. supra, pp. 3, 914 sq.
45
Ulp. D. 9, 1, 1, 11; cf. also Ulp. D. 9, 1, 1 pr. On the formula, see Lenel, EP, p. 195.
46
Ga i. D. 9, 4, 1.
47
Cf., for example, Condanari-Michler, Festschrift Wenger, vol. I, pp. 237 sqq.;
Buckland/Stein, p. 603; Van der Merwe, op. c i t . , note 39, pp. 2 sq.; Kaser, RPr I, p. 633;
Sellert, op. cit., note 23, p. 72. But cf Paul. D. 9, 1, 2, 1, where a distinction is drawn that
is most easily explainable on the basis that in the one case the owner was ac fault and in the
other he was not: "Si quis aliquem evitans, magistratum forte, in taberna proxi ma se
immisisset ibique a cane feroce laesus esset, non posse agi canis nomine quidam putant: at si
solutus fuisser, contra." But the somewhat abrupt second alternative ("at si . . .") may well
constitute a shortened and distorted version of the classical original. Unconvincing are the
explanations by Haymann, (1921) 42 ZSS 362 sq. and Kerr Wylic, Studi Riccobono, vol. IV,
pp. 508 sq. On D. 9, 1, 2, 1 cf. also Jean Macqueron, "Lcs dommages causes par des chiens
dans la jurisprudence Romaine", in: Flores legum H.j. Scheltema oblati (1971), pp. 137 sqq. As
far as trie discussion of D. 9, 1, 2, 1 by the authors of the ius commune is concerned, cf. C.G.
va n der M erwe, op. cit., note 39, p. 101.
48
Gai. D. 9, 1, 3 ("Ex hac lege ia m non dubitatur etia m liberarum pe rsonarum nomine
a gi posse . . ."). From this te xt it c a n be de duc e d that in earlie r tim es the m atter wa s in
doubt; originally probably, as in the case of the lex Aquilia, only injury to slaves (and grazing
animals) could be recovered. Cf. Kcrr Wylie, Studi Riccobono, vol. IV, pp. 465, 510; Van der
Mcrwe, op. cit., note 39, pp. 115 sqq.; Watson, (1970) 17 RIDA 365 sq.; Jackson, (1978) 37
Cambridge LJ 124 sq.
49
Paul. D. 9, 1, 2 pr. (mentioning as an example the fullo).
50
Cf. supra, pp. 953, 959, 976.
51
D. 9, 1, 1, 2. Thi s devel opment appears t o have occurred partl y by i nt erpret ati on,
partly by statute. The statute in question was the so-called lex Pesolania, which is referred
to in Paul. Sent. I, XV, 1 (". . . etiam lege Pesolani a de cane cavetur"); cf. Macqueron,
Festschrift Scheltema, pp. 136 sq.; contra: Jackson, (1978) 37 Cambridge LJ 129 sq. (who argues
that Cui acius' conj ect ure t hat t he t erm deri ves fro m a co mparati ve reference t o t he l ex
Solonia (Solon's law), which was later misunderstood or erroneously copied, is still
persuasive). Cf. also Voet, Commentariits ad Pandectas, Lib. IX, Tit. I, VI (lex Colonia); on
which see Gane, The Selective Voet, vol. II, (1955), p. 541; cf. also Gluck, vol. 10, pp. 279
sq.). Determination of the legal regime applicable to dogs, incidentally, always appears to
have presented certain difficulties. On the one hand, dogs "have been domesticated for ages:
I am not quite sure, but I believe we fi nd dogs associat ed with Neolithic man" (Boyce v.
Robertson 1912 TPD 381 at 383). Yet, on the other hand, they display a "certain propensity
towards ferocity" and are, therefore, "in some respects ferae naturae" (Boyce v. Robertson
1912 TPD 381 at 384). Cf, apart from the l ex Pesol ani a and the arti cl e by Macqueron
(dealing specifically with damage done by dogs), Williams, op. cit., note 23, pp. 137 sqq.,
343 sqq., 354 sqq.; ss. 3 and 9 of the English Animals Act 1971 and P.M. North, The Modern
Law of Animals (1972), pp. 184 sqq.
52
Paul. D. 9, 1, 4.
53
Fritz Litren, "Beitrage zur Lchrc von dcr Schadenszurechnung nach romischem und
bfirgcrlichem Rechte", (1907) 49 Jhjb 425 sqq.; Haymann, (1921) 42 ZSS 373 sqq.; Barry
Nicholas, "Liability for Animals in Roman Law", 1958 Acta juridica 187 sq.; Kerr Wylic,
Studi Riccobono, vol. IV, p. 477; Thomas, TRL, p. 383; Jackson, (1978) 37 Cambridge LJ
135 sq.; but cf. Robbe, (1932) 7 RISC, 348 sqq.; D.I.С Ashton-Cross. "Liability in Roman
Law tor Damage Caused by Animals", (1953) 11 Cambridge LJ 395 sqq.; idem, "Liability for
Animals in Roman Law", 1959 Cambridge LJ 189 sqq.; Van der Merwe, op. cit., note 39,
pp54 59 sqq.
_ Ulp. D. 9, 1, 1, 10. Cf. also lust. IV, 9 pr.
53
Servius/Ulp. D. 9, 1, 1, 4; Van der Merwc, op. cit., note 39, pp. 69 sqq.
5(4
Ulp. D. 9, 1, 1, 7.
57
Quintus M ucius/UIp. D. 9, 1, 1, 11.
58
U l p . D . 9 , 1 , 1 , 4 . C f . a l s o t he c a s e i n v o l v i n g t h e t w o l o a d e d c a r t s p u l l i n g u p t h e
Capitol me hill ( Alf. D . 9, 2, 52, 2; on whi ch cf . sup ra p. 9 82, n ote 200; c { . furthe r Ke r r
W yl i e , S t u d i R i c c o bo n o , v ol . I V , p p. 51 1 s qq .) . I f t he fi rs t c a rt h a d r ol l e d b a c k ( c r a she d i n t o
the se co nd o ne an d, as a re s ult, kn o cke d do w n a sl a ve ) , be c a use the m ule s h ad s hie d at
something, the actio de pauperie could be brought against their owner ("scd si mulae, quia
aliquid reformidassent ct mulioncs timore permoti, ne opprimerentur, plostrum
rcliquisscnt
. . . eum domino mularum [actioncm] esse"). But the action did not lie if the drivers had
been at fault (if, for example, they had tried to lift the back of the first cart in order to make
it easier for the mules to pull it up the hill, but had then suddenly, "sua sponte", let go), or
if the mulesjust could not take the weight, or if in trying to do so, they had slipped and fallen
and the (first) cart had then started to roll down the hill.
5y
Alf. D. 9, 1, 5.
m
61
Ulp. D. 9, 1, I, 7 in fine.
Ulp. D. 9, t, 1, 7.
f
'~ Cf., in particular, Van dcr Mcrwc, op. dt., note 39, pp. 72 sqq. Many authors take the
contra naturam requirement to be of post-classical origin; cf. Haymann, (1921) 42 ZSS 373
sqq.; Robbe, (1932) 7 RISC 343 sqq.; Kcrr Wylic, Studi Riccobono, vol. IV, pp. 461 sqq.;
Nicholas, 1958 Acta Juridica 187 sqq. But see, apart from Van der Merwe, Kaser, RPr I,
p. 634; idem, RPr II, p. 433.
63
This is how Colin Kolbcrt (Mommsen/Kriigcr/Watson, vol. I (1985) wrongly
translates the phrase. Cf. also, for example, Windschcid/Kipp, § 457, 3 and other
pandectists; Ashton-Cross, (1953) 11 Cambridge LJ 400.
But, for example, goring would be a behaviour contra naturam sui generis for horses,
kicking contra naturam sui generis for oxen; cf. Fr. Eiselc, "Civilistischc Kleinigkeiten",
(1886)
w
24JhJb4S2.
Cf. Servius/Ulp. D. 9, 1, 1, 4 ("cum commota fcritate nocuit quadrupes").
M
' The case of the dog biting a man who, when fleeing from a magistrate, rushes into a
tabema also fits in here (Paul. D. 9, 1, 2, 1, first alternative: ", . . non posse agi canis nomine
quidam putant"; cf. supra, note 47). Cf. also Proc./Ulp. D. 9, 2, 11 , 5 (someone irritates a
dog and thus causes it to bite another person); Ofilius/Ulp. D. 9, 2, 9, 3 (someone scares a
horse which, as a result, throws its rider into [he river).
If it was due to the fault of a third party that the animal had inflicted the injury (as in the
two last-mentioned cases) the injured person could bring an actio legis Aquiliae in factum
against that third party. Cf. also Ulp. D. 9. I. 1 , 5 , where it is held that a person who takes
a dog out on a lead will be liable if the dog breaks loose "aspentate sua" and does some harm
to someone else, provided it could have been better restrained or it should never have been
taken to that particular place. According to Ulpian, this action excludes the victim's right to
bring the actio de pauperie against the owner of the dog. This can, however, hardly have
been a general rule; cf. also Gliick, vol. 10, p. 274; Haymann, (1921) 42 ZSS 386 sq.; but see
Van der Merwe, op. cit., note 39, pp. 96 sq.
67
On the types of animals used in the Roman games cf. George Jennison, Animals for Show
and Pleasure in Ancient Rome (1937), pp. 42 sqq.
flH
On the "training of man-eaters", seejenmson, op. cit., note 67, pp. 194 sq. The schools
were for the training of the bestiarii (who had to fight the animals) as well as of the beasts
themselves (to turn them, where that was still necessary, into eager and ferocious fighters).
64
These were the animal contests or hunts with which the day in the circus usually
started. "They finished before midday, the afternoons were always devoted to the far more
important gladiatorial combats—the amusement of the cultured classes" ()ennison, op. cit.,
note 67, p. 176). Carcopino, pp. 26(1 sq., summarizes as follows: "There were some
relatively innocent [animal shows] to break the monotony of the massacre: . . . teams of
panthers obediently drawing chariots; lions releasing from their jaws a live hare they had
caught; tigers coming to lick the hand of the tamer who had just been lashing them;
elephants gravely kneeling before the imperial box or tracing Latin phrases in the sand with
their trunks. There were terrible spectacles, in which ferocious beasts fought duels to the
death: bear against buffalo, buffalo against elephant, elephant against rhinoceros. There were
disgusting ones in which the men, from the safe shelter of iron bars or from the height of
the imperial box — like Commodus later—let fly their arrows at animals roaring with baffled
rage, and flooded the arena with the blood of butchery. . . ." For a description of the
venationes given at the dedication of the Colosseum, see the Liber Spectaculorum of Martialis.
7(1
The term "Africanae bestiae", or simply, "Africanae", was normally used to refer to
leopards and other large cats. They did not necessarily come from Africa but could also have
been imported from the East. Cf. Jennison, op. cit., note 67, pp. 45 sq.
71
Livius, Ah urbe condita, XL1V, XVIII, 8.
72
Plinius, Historia naturalis. Lib. VIII, XX (53).
73
Plinius, Historia naturalis, Lib. VIII, XXIV (64). These games were given by an aedil by
the name of M. Scaurus and also incl uded, as a special highlight, the first hippopotamus
brought to Rome; it was exhibited with five crocodiles.
74
Cf. Jennison, op. cit., note 67, pp. 63 sq.
75
Suetonius, De vita Caesarum, Titus, VII, in fine. For further details on the animal shows
under the Empire, see Jennison, op. cit., not e 67, pp. 60 sqq., 83 sqq.
76
Some came from as far afield as Scotland (ursus Calcdonicus); cf. Jackson, (1978) 37
Cambridge LJ 134.
77
Described by Jennison. op. cit., note 67, pp. 174 sqq.
78
Plinius, Historia namraUs, Lib. XXXVI, IV (4) (40).
74
Cf. Paul. D. 47, 11, 11: "In drculatores, qui serpentes circumferunt ct proponunt, si cui
ob corum metum damnum datum cst, pro modo admissi actio dabitur"; cf. Ashton-Cross,
(1953) 11 Cambridge LJ W.
80
Epietetus, Dissertaticmes ab Arriani digestae. Lib. IV, I, 25.
Ml
For details, see Jennison, op. cit., note 67, pp. 126 sqq, "The Emperor Caracalla . . .
kept a number of lions which he took with hi m on his journeys, and one of them, called
Sci metar, ate and slept in the same room with him . . . [The Emperor] Elagabahis . . ., a
fantastic, effeminate, and vicious youth, is represented in the Historia Augusta as having a
taste for . . . employing (his animals) in childish amusements and very disagreeable practical
jokes" (pp. 132, 90). He used to let lions, leopards and bears (who had been deprived of their
teeth and claws) loose on his guests, at table or in their beds.
82
For details, see Jennison, op. cit., note 67, pp. 133 sqq.
83
Suetonius, De vita Caesarum, Nero, XXXI.
H4
On the double responsibility of the aediles, in this context, see Alan Watson, Law Making
in the Later Roman Republic (1974), p. 86.
85
Cf. the analysis by Jackson, (1978) 37 Cambridge LJ 128 sqq.
1
Dogs probably had to be brought under the actio dc pauperie by way of a special statute
(cf. supra, note 51); they remained excluded from the ambit of the first chapter of the lex
Aquilia (Gai. D. 9, 2, 2, 2). The same text reveals the interpretive difficulties that were
experienced with regard to pigs. It is likely that for the same reason pigs (and that means also
boars) were not originally taken to be included among the quadrupedes in terms of the acti o
de pauperie.
Jcnnison, op. cit., note 67, pp. 44 sq. One of the first foreign animals seen in a Roman
circus was possibly the ostrich from Africa.
HM
On the meaning of the term "panthera", sec Jcnnison, op. cit., note 67, pp. 183 sqq.
H9
Ulp. D. 21, 1, 40; cf. also Inst. IV, 9, 1 (leaving out the wolf and panther); Paul. D. 21, 1,
41 ("aliudve quod noceret animal"). According to Ashton-Cross, (1953) 11 Cambridge LJ,
application of this edict was even extended to domestic animals. Contra: Nicholas, 1958 Acta
Juridica 186 sq.; Van der Merwe, op. cit., note 39, p. 142.
1
"fA]i unt aedil es: ' ne quis cane m, verre m vel mi norem aprum, l upum, ursu m,
pantheram, leonem, . . . qua vulgo iter fiet, ita habuisse velit, ut cuiquam noccre damnumve
dare possit" (Ul p. D. 21, 1, 40 and 42; Lend, EP, p. 566).
91
Cf. Paul. D. 21, 1, 41 (". . . sive soluta sint, sive alligata, ut contineri vinculis . . .").
92
Nicholas, 1958 Acta Juridica 186; Van der Merwc, op. cit., note 39, p. 143.
93
Nicholas, 1958 Acta Juridica 185; Van der Merwe, op. cit., note 39, p. 143; but cf.
Ashton-Cross, (1953) 11 Cambridge LJ 395 sqq.
94
But cf. Lenel, EP, p. 566.
95
Ulp. D. 21, 1, 42; Inst. IV, 9. 1. For further details on the edictum de feris, cf. Van der
Merwe, op. cit., note 39, pp. 142 sqq.; Jackson, (1978) 37 Cambridge Lj 132 sqq.
*' Cf. Paul. Sent. I, XV, 3.
911
Cf. also Van der Merwe, op. cit., note ЗУ, р. 145.
Ulp. D. 39, 5, 14. 3.
99
Kerr Wylie, Studi Riccobono, vol. IV, p. 475; A. Fliniaux, "Une vieille action du droit
romain. L' 'actio de pastu'", in: Melanges de droit remain dedies ii Georges Cornit, vol. I, pp. 252
sqq., 280 sqq.; cf. also Jackson, (1978) 37 Cambridge LJ 137, who suggests that culpa may
have
10
been sufficient.
" Cf. C.G. van der Merwe, "Die actio de pastu", (1973) 36 THRHR 107 sqq.; Kaser,
RPr
101
I, pp. 162 (n. 67), 633 (n. 29); d. also Van Zyi v. Van Biljoti 1987 (2) SA 372 (O) at 401.
Ulp. D. 19, 5, 14, 3: "Si glans ex arborc tua in meum fundum cadat eamque ego
immisso pecore depascam: Aristo scribit поп sibi occurrere legitimam actionem, qua experiri
possim: nam neque ex lege duodceim tabularum dc pastu pecoris (quia non in tuo pascitur)
ncquc
1112
de pauperie neque de damni iniuriae agi posse: in factum itaque erit agendum."
Paul. Sent. I, XV, 1; С 3, 35, 6.
1113
C{. supra, for example, pp. 903 sq.
104
С 3, 35, 6.
105
The defendant did, for example, not have the option of noxal surrender; in case of
denial the amount of condemnation "crescit in duplum" (cf. supra, p. 974).
ки por further discussion, see Fliniaux, Melanges Cornil, vol. I, pp. 247 sqq.; Van der
Merwc, op. cit., note 39, pp. 121 sqq.; idem, (1973) 36 THRHR 105 sqq.; Jackson, (1978)
37 Cambridge LJ 127 sq., 136 sqq.
107
Fo r de t a i l s , se e V a n de r M e r we , o p. ci t ., n ot e 3 9 , pp . 1 30 s q q., 13 5 s qq .; i de m , ( 19 7 3)
3 6 T H R H R 1 0 5 s q q . , 1 1 0 s q q . ; Va n Z y t v . V a n B i l j o n 1 9 8 7 ( 2 ) S A 3 7 2 ( O ) a t 3 8 1 s q q . ( a
decision running over 40 pages and comprehensively covering all available historical sources,
contemporary literature and South African precedents; cf. also the case note by J. Neethling,
(1988) 51 THRHR 547 sqq.). In the 19th century the actio de pastu was in danger of being
ousted by the (English) common-law remedy of "cattle trespass": De Blanche v. Zietsman
( 1 8 8 0) 1 N L R 1 8 5; W e s t h u y z e n v . Lo i t e r ( 1 8 98) 1 9 N L R 1 6 2 ; d . a l s o Th o m so n v . S c h i e t e k a t
( 189 3) 10 SC 46 .
108
Th o m so n v . S c h i e t e k a t ( 1 8 9 3) 1 0 SC 4 6; Va n Zy l v . Ko t ze 19 6 1 ( 4) S A 2 1 4 ( T ) .
109
Voe t, Comm entarius ad Pandec tas, Li b. IX , Tit . I, II; Crous v .Jaf fe Bro s. 1921 OPD 2; cf.
also Struve, Syntagma, Exerc. XIV, Lib. IX, Tit. I, I I I (". . . ut si columba e in alteriu s
gra nariis fru mentu m a bsumscrint").
110
Vermaak v. Du Plessis 1974 (4) SA 353 (O).
111
Heron v. Skinner 1971 (1) SA 399 (RAD).
112
Lib. IX, Tit. I, I.
1 15
Cf., for example, Struve, Syntagma, Exerc. XIV, Lib. IX, Tit. I, III; cf. also Van Zyl v.
Kotze 1961 (4) SA 214 (T); Constant v. Umw 1951 (4) SA 143 (C) at 148B; Vermaak v, Du
Plessis 1974 (4) SA 353 (O); Van Zyl v, Van Biljon 1987 (2) SA 372 (O) at 381 sqq. The main
point to be decided in the latter case was whether or not vis maior constitutes a defence
against the actio de pastu. The court held that it docs, provided "the animal [was] directly
motivated to act by vis maior". If, on the other hand, the vis maior merely made available
to the animals an access to the other person's land (in casu defendant's cattle had gained
access to plaintiff's maize field due to the fact that the boundary fence had been struck down
by lightning), "and the animals then made use of that access from their own volition to graze
on the damaged land, the damage would have been caused by their own independent
conduct . . . and the owner of the animals would be strictly liable for the damage done". It
is hardly convincing, however, to derive this distinction (as M.T. Steyn J does) from "the
decisive effect of the principle of causality" (all quotations from the translation of the
hcadnote on pp. 373 sq.).
The "licentia pignorandi" derives trom Germanic customary law; for details, cf. Leyser,
Meditationes ad Pandectas, Spec. CXI; Stryk, Usus mademus pandectarum. Lib. IX, Tit. I, §§
15sqq.;Gluck, vol. 10, pp. 302 sqq.; Van der Merwe, (1973)76 THRHR 112 sqq. The
custom was recognized in Anglo-Saxon law, too, and has become part of the English
common law ("distress damage feasant", defined by Williams, op. cit., note 23, p. XLVII,
as "a process of self-help whereby chattels that are doing damage to or (perhaps)
encumbering land or depasturing chattels may be taken and retained by way of security until
compensation is paid". On its history (". . . for many centuries . . . a history of
attenuation — almost of decay") and all details of its application, see Williams, op. cit., note
23, pp. 7 sqq.; c(. also Fleming, Tons, pp. 80 sq. A person who distrains animals has to
impound them as soon as reasonably possible (see Williams, pp. 90 sqq.).
"5 Le Roux v. Pick (1879) 9 Buch 29 (cf. О'СаЦафап v, Chaplin 1927 AD 310 at 325 and
3671.
lif>
Cowell v. Friedman & Co. (1888) 5 HCG 22 at 38; Chandler v. The Middetburg Municipality
1924 TPD 450 at 465 and 467; О'СаИафап v. Chaplin 1927 AD 310 (passim); Bristow v.
Lycetl 1971 (4) SA 223 (RAD) at 229.
117
О'СаИафап v. Chaplin 1927 AD 310 at 371.
11H
Commentarius in Pandectas, Lib. XXI, Tit. I, ad L. Hi cuim. 40.
119
O'Callaghan v. Chaplin 1927 AD 310 at 346.
Van Damhouder, Praxis rerum criminalium. Cap. CXLII, 9; cf. also O'Callaghan v.
Chaplin
lA
1927 AD 310 at 342 (per Kotze JA).
1927 AD 310 at 330 (per Innes CJ).
122
Le Roux v. Pick (1879) 9 Buch 29 at 41; O'Callaghan v. Chaplin 1927 AD 310 at 377 (per
Wessels JA). But see also Robertson v. Boyce 1912 AD 367 at 382; O'Cailaghan v. Chaplin 1927
AD 310 at 314 (per Innes CJ). For further details of the application of the edictum de feris in
South African law, see Van der Merwe, op. cit., note 39, pp. 153 sqq.; but cf. also N.J. van
der121
Merwc/P.J.J. Olivier, Die onregmatige daad in die Suid-Afrikaanse reg (5th ed., 1985), p. 495.
In Germany the edictum de feris was abrogated by § 367, n. 11 StGB
(Windscheid/Kipp, § 457, 3); cf. also already Gliick, vol. 10, p. 272 (arguing that it had been
replaced by art. 136 Constitutio Criminalis Carolina). The continued existence of the actio
dc pastu was in dispute (Windscheid/Kipp, loc. cit.; Rudolf Bienenfeld, Die Haftungeti ohne
Verschulden (1933), p. 45); it was not taken over into the BOB (cf. "Motive", in: Muydan,
vol. II, p. 452).
X2A
Cf. art. 1385 code civil (on which see Watson, Failures, pp. 4 sqq., 17 sq.), § 1320
ABGB, art. 356 OR, § 833 BGB.
12:1
In some of the earlier South African decisions liability of the owner was based on the
English sdenter doctrine (on which see infra, p. 1136 sq.); cf., in particular, Botha v.
Raubetiheimer 1918 EDL 200 (". . . however vicious a stallion may be by common
knowledge, as there was no evidence to show that it is in the habit of kicking mares or is
likely to do so, and as it was not shown that the defendant had knowledge of such vicious
propensity on the part of his stallion, absolution from the instance should have been
granted"); cf. further the cases referred to in Bealty v. Donelly (1876) 6 Buch 51. Contra:
Storey v. Stanner (1882) 1 HCG 40 at 41; Cowell \>. Friedman & Co. (1888) 5 HCG 22 at 50;
O'Callaghan v. Chaplin 1927 AD 310 at 378. For some time, however, the notion has
lingered on that the owner had to have been at fault: Spires v. Scheepers 3 EDC 173 at 176;
Parker v. Reed (1904) 21 SC 496; Sephton v. Benson 1911 CPD 502; Chandler v. The MiddetbuTg
Municipality 1924 TPD 450; cf. also still O'Callaqkati v. Chaplin 1927 AD 310 at 375 sqq. (per
Wessels JA). Contra: O'Callaghan v. Chaplin 1927 AD 310 (with a very comprehensive
discussion of the question by Innes CJ at pp. 313 sqq., and Kotzc JA at pp. 334 sqq.).
This decision has authoritively settled the matter in favour of strict liability. Two
very recent judicial utterances on the matter are Van Zyl p. Van Biljon 1987 (2) SA 372
(O) at 375 sqq. and Lawrence i'. Kondotet Inns (Ply.) Ltd.
132
Cf., for example, Struve, Syntagma, Exerc. XIV, Lib. IX, Tic. I, VIII; Van der Merwe,
op. c i t . , note 39, p. 33; cf. also Gliick, vol. 10, p. 290.
133
Windscheid/Kipp, § 457, 3; Biencnfeld, op. dr., note 123, p. 45.
134
On S axoni an l aw ( b ase d on I I , 40 Sa chse ns pi e ge l ) , se e We scnbe ck, Co w m e n ta riu s, Li b.
I X , T i t . I , 6; St r yk, U su s m o d e m u s p a nd e c ta ru m . Li b. I X , T i t . I , §§ 6 sqq. N o r di d a rt . 13 6 o f
the Constitutio Criminalis Carolina recognize the possibility of noxal surrender.
135
Cf., for example, Sande, Decisioties Frisicae, Lib. II, Tit. VII, V; Ulrich Hubcr, Hutwmia
Romana sive Centura CensuraeJurisJustinianaei (Francquerac, 1700), Lib. IV, Ulp. Lib. XVIII
ad Edict.; cf. further Van der Mcrwc, op. c i t. , note 39, pp. 36 sq.; O'CaUaghan v. Chaplin
1927 AD 310 at 342 sqq.; see also Wesenbeck, Cowmentarius, loc. cit.; Vinnius, Iristitutiones,
Lib. IV, T it. IX, 1 , n. 1 .
1V
' Conmientaritts ad Pandectas, Lib. IX, Tit. I, VIII; cf. further Grotius, Inhiding, HI,
XXXVIII, 10; Groenewegen, De legibus abrogatis, Inst. Lib. IV, Tit. IX, Princ, 5. But see
Grotius, Inteiding, III, XXXVIII, 13 recognizing an exception in cases where a dog has killed
somebody's swans or other birds ("Den eigenaar van ecn hond die iemands zwaenen ofte
andere vogelen hecft dood ghebcten, is ghehouden zulcks te beteren, zonder te moghen
volsta en met overgewing va n de hond").
n7
Zi m mcr ma n n, RHR, pp. 4 sqq.
138
O'Caltaghan v. Chaplin 1927 AD 310 at 360; d. also Le Roux v. Fkk (1879) 9 Buch 29 at
40 ("I am a fraid a suitor would scarcely think that, moribus hujus scculi, a judge wa s
acting in accordance with the highest principles of equity in deciding that a Kafir dog was
all the compensation he could obtain for the loss of a valuable breeding bird that had been
bitten to dea th by that dog").
1W
O'Callavhan v, Chaplin 1927 AD 310 at 322.
140
Ibid. '
141
Cf., for example, Cluck, vol. 10. pp. 292 sq.
142
Lautcrbach, Collegium theoretico-practictim, Lib. IX, Tit. I, IX sq. Cf. further Voet,
Commetitarius ad Pandectas, Lib. IX, Tit. I, IV; Van Leeuwen, Censura Forensis, Pars I, Lib. V,
Cap. XXXI, 3.
143
But cf. Gluck, vol. 10, pp. 271 sq.: a pe rson who docs not take spe cific care whe n
e n c o u n t e ri n g a w i l d a ni m a l c a n on l y b l a me hi m se l f i f h e i s a t t a c k e d. A pe r so n a p p r o a c h i n g
a domestic animal, on the other hand, can normally expect not to be attacked by it.
Occasionally, the question was discussed whether the actio de pauperie utilis could also be
granted if a lunatic had caused the damage. After all, the furiosus could, arguably, be
regarded as an "animal . . . quod sensu caret" (UIp. D, 9, 1, 1, 3); and in D. 9, 2, 5, 2 Ulpian
himself makes a comparative reference to the case of "si quadrupes damnum dederit" when
discussing the situation of "si furiosus damnum dederit". For further discussion, see Stryk,
Ustts modernus patidectamm, Lib. IX, Tit. I, §§ 1 sq.; Gliick, vol. 10, pp. 294 sqq.
144
O' Ca l laqhan v . Chap lin 1927 AD 310 at 337 and 370; Sou th A fri can Rail way s & Ha rbou rs
v . E d wa rd s 1 9 3 0 A D 3 a t 9 s q .
14 :1
Coo sen v . Re eders 1926 TPD 436 at 439 ( whe re bee s arc cl assi fie d as "ani mal s of vi ci ous
prope nsi t ie s") ; Kl i'm v . Bo sho ff \ 93l CPD 188. Cf. al so Bean y v . Done l ly ( 1876) 6 Buch 51 at 52
fconcerning monkeys).
l4fp
Coweli v. Friedman & Co. (1888) 5 HCG 12 at 44.
147
Syntagma, Excrc. XIV, Lib. IX, Tit. I, IX. It is also the main reason why in modern
South African law application of the actio de pauperie is, as a rule, restricted to domestic
animals: Van der Mcrwe, op. cit., note 39, p. 65. Other authors, who were in fact prepared
to apply pauperian principles to damage done by wild animals tended to do this on the basis
of an actio utilis; the contra naturam requirement, however, according to them, was
confined to die actio de pauperie directa. Cf., for example, Lautcrbach, Collegium
theoretico-practiatm. Lib, IX, Tit. I, VII, X.
148
Boyce v. Robertson 1912 TPD 381 at 383.
144
Haymann, (1921) 42 ZSS 366; Kerr Wylie. Studi Riccobono. vol. IV, pp. 464, 477; Nicholas,
1958 Actajuridica 187; Va n der Merwe, op. cit.. note 39, pp. 81 sq.
1511
Cf. further F. Litten, "Uber das 'contra naturam "sui generis ............ , (1905) 28 ZSS 494
sqq. ; idem, (1907) 49 Jhjb 422 sqq.
15
' Van der Merwe, (1979) 42 THRHR 17.
152
Voet, Commentarius ad Pandectcts, Lib. IX, Tit. I, IV.
153
For det ails, see Van der Merwe, op. cit., not e 39, pp. 84 sqq.
154
Gl. Put ant ad D. 9, 1, 2.
1 lS
" In quatuor Institutionum Libros Commentaria (Venctiis, 1582), Rub. Si quadrupes
paupcriem fecisse dicatur (ad lust. IV, 9), 3. The example discussed is the following: ". . .
si habcbam pratum clausum, cuius clausuram bos tuus, vcl taums rupit per lasciviam, vel
ferocitate, et herbam, vel bladum depastus est. hoc casu non esset deneganda hacc actio de
pauperie." Absentc lascivia and ferocitaic, however, the actio de pauperie did not lie: "Quid
ergo si animalia tua . . . depasta fuerunt glandem meam, vel prata, vel blada mea, quaeritur
an agere possim . . .? glossa dicit, quod potest agi actione de pauperie. . . . Sed hoc non
videtur verum . . . quia haec actio non datur, nisi quando animal delinquit contra naturam
sui generis."
'* 1962 (1) SA 231 (T) at 237: "As die landdros se bevinding dat die twee honde
gesamentlik al die hoenders doodgebyt het, korrek is, dan was bcide honde nie besig om op
'n natuurlike wyse hongcr te stil nie—hulle was besig met 'n baldadige slagting wat as contra
naturam aangemerk moet word."
157
For a detailed analysis, see Van der Merwe, op. cit., note 39, pp. 89 sqq., 91 sqq.; cf.
also idem, (1979) 42 THRHR 17 sqq.
bH
Le Raux v. Pick (1879) 9 Buch 29 at 33; Cowelt v. Friedman & Co. (1888) 5 HCG 22 at
40;Boycev. Robertson 1912 TPD 381 at 384; Solomon v. De Waal 1972 (1) SA 575 (A) at 582E.
l5v
O'Calla^han v. Chaplin 1927 AD 310 at 314; South African Railways & Harbours v,
Edwards 1930 AD 3 at 6, 10 and 12; Solomon v. De Waal 1972 (1) SA 575 (A) at 582E; Lawrence
v. Kondotel Inns (Ply.) Lid. 1989 (1) SA 44 (D) at 51 sq.
160
On the defences available against the actio de pauperie (vis maior, culpable conduct on
the part of the injured or of a third party, provocation by another animal, unlawful presence
of the injured person at the place of injury) cf. Va n dcr Merwe, op. cit., note 39, pp. 10 0
sqq., 105 sqq.
So, too, as far as South Africa is concerned, Van der Merwe, (1979) 42 THRHR 26.
162
Cf. the discussion in "Motive", in: Mugdan, vol. II, p. 452.
163
Cf, in particular, art. 1385 code civil; and see §§ 1560 sq. Saxonian Civil Code (which,
howe ver, retained the alternative of noxae deditio).
lf 4
' Cf., in particular, § 1320 ABGB, art. 65 OR (both operating, however, with a reversal of
the burden of proof: it is up to the keeper of the animal to show that he exercised the
necessary care in supervising the animal); § 73 I 6 PrALR, but see also §§ 70—72 (detailing
instances of strict liability).
165
Cf. § 734 E I (read with "Motive", in: Mugdan, vol. II, pp. 452 sqq.: liability based on
fault); § 756 E II (read with "Protokolle", in: Mugdan, vol. II, pp. 1123 sqq.: reversal of onus
of proof of fault, as far as domestic animals are concerned; strict liability with regard to all
other animals); § 817 Reichstagsvorlage (read with "Bericht der XII. Kom mission des
Reichstagcs", in: Mugdan, vol. II, pp. 1301, 1403 sqq.).
166
§ 833, 2 BGB.
167
For details as to who may avail himself of the benefit of exculpation and as to which
animals may be classified as domestic, see Hans-Joachim Mertens, in: Miinchener Komtnentar,
vol. Ill, 2 (2nd cd., 1986). § 833, nn. 28 sqq.
168
RGZ 141, 406 (407) ("сон keinem verniinftigen Wollen geleitetejsj willkiirliche[s]
Verhalten"); BGH, 1971 Nette Juristische Wochenschrift 509.
lfl ;
' BGHZ 67, 129 sqq. (dealing with the case of a roaming dog covering the plaintiff's
pure bred c how bitch).
170
OLG Munchen, 1976 Versicherungsrecht 334.
171
OLG Schleswig, 1983 Versicherungsrecht 470.
172
For a critic al e valuation cf. M e rte ns, op. cit., note 167, § 833, nn. 13 sqq.; Erwin
Deutsch, "Die Haftung des Tierhalters", 1987 juristische Schulung 675 sq.
173
Cf., for example, OLG Diisseidorf, 1976 Neue Juristische Wochenschrift 2137;
Kammergericht, 1986 Versicherungsrecht 820; but see BGH, 1986 Versicherungsrecht 1206.
174
OLG Frankfurt, 1983 Vershhenmgsredit 1040.
175
Cf. further Rolf KnCitel, "Ticrhalterhaftung gegeniiber dem Vertragspartner?", 1978
Neue Juristische Wochenschrift 297 sqq. (dealing with the liability of the keeper of the animal
towards his contractual partner); Elkc Herrma nn, "Die Einsc hra nkung der Tierhalterhaf-
tung nac h § 833 S. 1 BGB in der m oderne n Judikatur und Literatur", 1980 Juristische
Rundschau 489 sqq.; Deutsch, 1987 juristische Schulung ЫЬ sqq.
176
Erwin De utsc h, "Gefa hrdungshaftung fur la borgez uc htete Mikroorga nisme n", 1976
Neue Juristische Wochenschrift 1137 sqq.; Mertens, op. cit., note 167, § 833, n. 10. But cf. also
Bie ne nfcld, op. cit., note 123. p. 210.
177
For details, see Kaser, RPr I, pp. 161 sqq., 630 sqq.; von Lubtow, Lex Aquitia, pp. 41
sqq.; Gian Luigi Falchi, Ricerche sulla legittimazione passiva delle azioni nossali (1976);
Ha ns-Peter Be n6br, "Zur Haftung fur Skla ve ndelikte ", (1980) 9 7 ZSS 273 sqq.; Ha ns
Ankum, (1981) 32 Iura 233 sqq.; Honsell/Mayer-Maly/Selb, pp. 381 sqq. Cf. also
La wson/Markesinis, pp. 160 sqq. a nd supra, pp. 916 sq.
178
Cf., as far as the development in France is concerned, Watson, Failures, pp. 6 sq.
]7 }
' Kascr. RPr II, p. 430.
IH0
Inst. IV, 8, 7: ". . . quis enim patitur filium suum et maximc filiam in noxam alii dare, ut
paene per corpus pater magis quam filius periclitetur, cum in filiabus etiam pudicitiae
favor
181
hoc benc excludit?"
On the decline (or "humanization") of patria potcsras in post-classical Roman law in
general, see Kascr, RPr II, pp. 202 sqq.; cf. also (humanity) Schulz. Principles, pp. 189 sqq.,
1981H2sqq.
Cf. Groenewegen, De legihus abrogatis, Inst. Lib. I, Tit. VIII, 3: ". . . servitus paulatim
ab usu recessit, ejusque tiomen hodie apud nos cxolcvit" (he also points out, however, that
"servos habere Christianis nefas non [estj, si niodo hcrili in servos potcstate non abutantur,
sed eos secundum Christianam levitatcm mansuetudmem tractent . . ."). Cf also Going,
PP- 205 sq.
Lauterbach, Collegium theoretko-practkum. Lib. IX, Tit. IV, IX. But cf, also, in the
present context, Stryk, Usus modernus pandectarum, Lib. IX, Tit. IV, § 2: "Cum tamen hue
usque post Budam in Ungaria occupatam frequentissima fuennt turcarum mancipia servitiis
christianorum adhibita, nullus dubito, si aliquis horum delictum privatum commisisset,
actioni noxali adhuc locum fore, ut hujus mancipi dominus, vel damnum resareiat, vel
turcam noxac dedat, nam nee hie ultra corpus ipsorum nequitia dominis darnnosa csse
debet."
184
181
Stryk, Usus modernus pandectarum. Lib. IX, Tit. IV, § 2.
Stryk, Usus modernus pandectarum. Lib. IX, Tit. IV, § 5; cf. also, particularly clearly,
Leyser, Meditationes ad Pandectas, Spec. CXIII, I; Gluck, vol. 10, pp. 417 sq.
"*' III, XXXVIII, 8.
1M7
Cf. II, 32 Sachsenspiegel; Stryk, Usus modernus pandectarum, Lib. IX, Tit. IV, § 4. On
the liability of the master in early German law in general cf. T.B. Barlow, The South African
Law of Vicarious Liability in Delict and a Comparison of the Principles of Other Legal Systems (1939),
pp. 25 sqq.
Cf., for instance, Voct, Commentarius ad Pandectas, Lib. IX, Tit. IV, X; Groenewegen,
De leqibus abrogatis. Digest. Lib. XV, Tit. I, 1; Van Lecuwen, Ccnsura Forensis, Pars I, Lib.
II, Cap. XII, 1
1Й
'' For a detailed analysis, sec now the authoritative study by Rolf Knutel, "Die Haftung
fur Hilfspersonen itn romischen Recht", (1983) 100 ZSS 340 sqq.
''"' On which, in general, cf. Geoffrey MacCormack, (1971) 18 R1DA 525 sqq.
191
Ulp. D. 9, 2. 27, 9; cf. also Ulp. Coll. XII, VII, 7. On this text, see Bruce W. Frier,
"Tenant's Liability for Damage to Landlord's Property", (1978) 95 ZSS 256 sqq.; Knutel,
(1983) 100 ZSS 399 sqq. The culpa in eligendo has in the past often been regarded as
spurious; cf. Wolfgang Kunkel, "Diligentia", (1925) 45 ZSS 329 sqq.
(b) Custodia
Then there were the cases where the debtor was responsible for
custodia; 194 and custodia, as a matter of course, covered theft by
servants of the debtor and, at least according to Marcellus and Ulpian,
also damnum iniuria ab alio datum. 195 Closely related was the strict
liability of nautae, caupones and stabularii based on "receptum", 196
where, too, it did not matter whether the destruction, loss or damage
of the customer's property had come about as a result of the sea
carrier's, innkeeper's or stablekeeper's own fault, of the fault of their
employees or of some other incident that could not be regarded as vis
maior. Most significantly, perhaps, there was the famous fragment
"Qui columnam transportandam", 197 where a conductor operis was
held responsible for his own fault as well as for that of his employees.
Again, we are dealing here with vicarious liability stricto sensu, albeit
in a contractual context.
(c) Delictual and quasi-delktual remedies
If we turn our attention to delictual and quasi-delictual remedies, we
find a similarly casuistic approach. In late classical jurisprudence an
actio legis Aquiliae in factum was occasionally granted against a person
whose servants had damaged someone else's property. According to
general principles of Aquilian liability, the master had to have been at
fault (usually, again, in the form of culpa in eligendo). This appears to
be confirmed by Proc./Ulp. D. 9, 2, 27, 11, where it is stated: ". . . si
192
Iul. D. 13, 6, 20: "Argcntum com m odatum si tam idoneo servo meo tradidisscm ad te
perferendum, ut non debuerit quis aestimare futurum, ut a quibusda m malis hominibus
deciperctur, tuum, non meum detrime ntum erit, si id mali homines interccpissent." Cf.
M ac Cormac k, (1971) 18 RIDA 531 sq.; Knutel, (1983) 100 ZSS 381 sqq.
m
D, 19, 2, 11 pr.;cf. Ма уег-Maly, Locatio condmtio, pp. 200 sq.; Mac Cormack, (1971)
18 RIDA 540 sq.; Frier, (1978) 95 ZSS 258 sqq.; Knutel, (1983) 100 ZSS 401 sqq.
194
Cf., in ge neral, Fritz Schulz, "Die Haitung fur das Verschulden der Angestellcen im
klassischen romtschen Rccht", (1911) 38 GrimhZ 9 sqq.
195
D. 19, 2, 41; cf. Kn utel, (198 3) 100 ZSS 411 sqq. Ge nerally on c ustodia cf. supra,
pp. 193 sqq. The prevailing opinion, according to whic h custodia was an objective (strict)
liability, has repeatedly bee n challenge d, m ost recently by Re ne Roba ye, L' obligation de
garde. Essai sur la responsablite contraauclie en droit remain (1988).
196
Cf. supra, pp. 514 sqq.; also Schulz, (1911) 38 GrtinhZ 41 sqq.
147
Gai. D. 19, 2, 25, 7; on which sec supra, pp. 399 sqq.
198
Substantially genuine; cf. MacCormack, (1971) 18 RIDA 536 sqq.; Knutel, (1983) 100
ZSS 392 sqq., 396 sqq. But see also Frier, (1978) 95 ZSS 261 sq. and also Ulp. Coll. XII,
144
Cf. supra, pp. 16 sq.
3 211
""Ulp. D. 9, 3, 1, 4. p
The pr aetor merely said "Undo i n eu m locu m, quo
vulgo iter fict vel in quo consistctur, deiectum vel effusum quid erit . . .": Ulp. D. 9, 3, 1
pr.; and see Paul. D. 9, 3, 6, 2: "Habitator suam suorumque culpam praestare debet."
2(12
MacCormack, (1971) 18 RIDA 547 sq. "Thejustification made by thejurists is related to
the fact that the habitator not the dominus is the person made liable. The habitator is liable
because he is the person in charge of the household and is therefore in a position to take the
measures necessary to . . . organiz[e] his household in such a way as to prevent things being
thrown or poured out"; Kaser, RPr II, p. 428.
203
Сf., for example, Wittmann, Korperverletzung, p. 64.
204
Supra, pp. 16 sq.
205
Gai. D. 44, 7, 5, 6.
21)6
Cf. further the liability of publicani for the acts of slaves which they had used in order to
collect taxes: Ulp. D. 39, 4, 1, 6; Gai. D. 39, 4, 2; Ulp. D. 39, 4, 3 pr.; MacCormack,
(1971) 18 RIDA 551; Barlow, op. cit., note 187, pp. 21 sq.
207
Commentarius ad Pandectas, Lib. IX, Tit. IV, X.
208
Barlow, op. cit., note 187, pp. 73 sqq.
209
Van der Keessel, Praeleaiones iuris hodierni, ad Gr. 3, 1, 34 (vol. IV, p. 25); cf. also Van
der Linden in his notes on Voet, Commentarius ad Pandectas, in: Gane, The Selective Voet, vol.
II, 2p. 607; for further details, see Barlow, op. cit., note 187, pp. 61 sqq.
° For an analysis, cf. Barlow, op. cit., note 187, pp. 84 sqq. ("A study of the cases on
the subject before the hearing ofMkize v. Martens in May 1914, indicates that the courts have
failed to make any deep study of a very complex question, yet in Mkize v. Martens, the
Appellate Division regarded the matter as definitely settled by precedent, and held that there
was no need to go into the old authorities": p. 91). The decision of Mkize v. Martens is
reported in 1914 AD 382.
n
*212 But cf. Estate Van der Byl v. Swanepoel 1927 AD 141 at 153 sq. (per Kotze JA).
(1874) 4 Buch 96 at 114.
213
Ulp. D. 19, 2, 25, 7.
214
Cf. Van den Heever, Aquilian Damages, pp. IV sqq. ("[I]n a highly industrialised
country [such as England] . . . it may be expedient that the employer's responsibility for
damage caused by his workmen or machinery should be co-extensive with these artificial
extensions of his own activities and personality. . . . (But] in a young and undeveloped
country such as South Africa was at the time, application of the principle of unlimited
liability was calculated to stifle initiative and entrench monopoly"). Paul Boberg comments:
"This is no doubt very true, but it can have no application today, when we pride ourselves
on being the most highly developed and industrialized state in Africa. Certainly we are now
as industrialized as was nineteenth-century England. The adoption of this doctrine has thus
enabled our law to move with the times and to reflect the social requirements of the age in
which we l ive": "Oak Tree or Acorn? Conflicting Approaches t o Our Law of Delict ",
(1966) 83 SALJ 170.
21r>
For details, see Barlow, op. cit., note 187, pp. 95 sqq., 120 sqq.
216
Lewis v. Salisbury Gold Mining Co. (1894) 1 OR 1 sqq. {"the best [judgment] ever
delivered in this country on the question of vicarious liability": Barlow, op. cit., note 187,
p. 907).
217
Traite des obligations, nn. 121, 456.
218
On the origin of this provision (Do mat and Pothier), cf, most re cently, Watson,
Failures, pp. 6 sq., 15 sqq.; on its application cf. Zweigert/Kotz, pp. 380 sqq.;
Lawson/Markesinis, pp. 167 sqq. The (strict) vicarious liability of the employer is based,
traditionally, on the principle of "Ex qua persona quis lucrum capit, cius factum praestare
debet" (Ulp. D. 50, 17, 149); cf. Knutel (1983) 100 ZSS 441 sqq. On the justification of
vicarious liability in English law cf P.S. Atiyah, Vicarious Liability in the Law of Torts (1967),
pp. 15 sqq., 22 sqq.
219
Cf, for e xa m ple, Windscheid/Kipp, § 401, n. 5.
2211
Cf supra, pp. 1034 sq.
221
For details of the development cf. Hans Hermann Seiler, "Die deliktische
Gehilfenhaftung in historischer Sicht", 1967 juristmzeitung 525 sqq.; Gunther Niethammer,
Entwicklung der Haftung fur Gehitfenhandein unter besonderer Berucksichtigung der dogmengeschicht-
Hchen Grundlagen der deliktischett Gehilfenhaftung in der neueren Privatrechtsgeschichte thesis
(unpublished Dr. iur. thesis, Munchen, 1973), pp. 7 sqq., 78 sqq.; Ogorek, Gejcihrdungshaf-
tung, pp. 68 sqq. Cf. also "Motive", in: Mugdan, vol. II, p. 16 ("one of the most disputed
questions of modern German co mmon law").
222
This was justified (and thus reconciled with the general culpa principle) on the basis
that a person concluding a contract undertakes that, whatever he has promised, shall be
carried out diligently, no matter by whom; thus, if he chooses to employ another person in
performing his obligation, he is liable for that person's fault. Cf Enneccerus, Verhandlungen
des 17. deutschen Jumtentages, vol. II (1885), pp. 102 sqq., and also "Motive", in: Mugdan,
vol. II, p. 16.
223
Seiler, 1967 Juristenzeitutig 527 sqq.
224
"Protokolle", in: Mugdan, vol. II, p. 1094.
225
Seiler, 1967 Juristemeitung 528.
226
§ 831 BGB thus reads: "A person who employs another to do any work, is bound to
co mp ens ate for any d a ma ge wh ich th e o ther un la wfull y caus es t o a thir d p arty in th e
performan ce of this work. Th e duty to co mpensat e does not arise if the e mplo yer has
exercised the necessary care in the selection of the employee, and, where he has to supply
apparatus or equipment or to supervise the work, has also exercised ordinary care as regards
such supply or supervision, or if the damage would have arisen notwithstanding the exercise
of such care."
227
For an overview, from a comparative point of view, cf. Zweigert/Kotz, pp. 374 sqq.;
B.S. Markesinis, A Comparative Introduction to the German Law of Tort (1986), pp. 349 sqq.
(for the most important cases—in translation see—pp. 391 sqq.).
228
Cf. also the observation in Zweigert/Kotz/Weir, p. 299: "The English jurist Pollock
stated that the strict liability of a master for the torts of his servants, such as exists at
Common Law, was justified by the consideration that if it did not exist a 'huge expansion
of implied, i.e. fictitious contracts, to no great advantage of either law or conscience, would
ensue'; the development of German law has vindicated this prediction to the hilt"; cf. also
the speculation by Sir Frederick Pollock in (1916) 32 LQR 227 ("Denial of the 'superior's'
responsibility in tort would surely have led to a luxuriant and perplexed growth of contracts
implied in law, for which the substance of justice would have been no better from any point
of view, and the science of law much the worse").
229
Cf. supra, pp. 16 sqq. For a list of further instances of liability without fault, see
Bienenfeld, op. cit., note 123, pp. 13 sqq., 45 sqq,
230
De leg ibus abro gatis, Inst. Lib. IV, T it. V, Princ; cf. also, for ex a mple, Vinniu s,
Itistitutiones, Lib. IV, Tit. V, pr., 2 sq.; Lauterbach, Collegium theoretico-practimm, Lib. L,
Tit. XIII, III. Writers in earlier centuries tended to be puzzled as to why a medical doctor,
who operated badly or gave his patient the wrong medicine, was liable under the lex Aquilia
("Imperitia quoque culpae adnumeratur, veluti si medicus ideo servum tuum occiderit, quod
eum male secuerit aut perperam ei medicamentum dederit": Inst. IV, III, 7) whereas ajudge
was held responsible, for his lack of skill, merely quasi ex delicto. Donellus, Cotnmentarii,
Lib. XV, Cap. XLIII, XIII, proposed to resolve the discrepancy by classifying the liability
of the iudex qui litem suam fecit as (genuinely) delictual, Franciscus Hotomanus,
Commetitarius in quatuor liberos Itistitutionum (Lugduni, 1588), Lib. IV, Tit. Ill, III, the other way
round, by treating the imperitia liability of the medicus as another instance of an
obligatio quasi ex delicto. For further details, see Hochstein, Obiigatioties, pp. 38 sqq.,
64 sqq.
Vinnius, Instituttones, Lib. IV, Tit. V, pr., 1, and many others. The possibility of an
appellatio had already led Bartolus as well as the humanists to suggest qualifications and
restrictions of the liability of the iudex qui litcm suam fecit; cf. Hochstein, Obligationes,
pp. 44 sqq., 67 sqq.; as far as the usus modcrnus is concerned, cf. pp. 80 sqq.; cf. also Coing,
p. 517. The iudex always remained liable for dolus; cf, today, § 839 II BGB (and the
exception contained in § 839 III BGB), on which see "Motive", in: Mugdan, vol. II,
pp. 460 sq.
The parallel to the liability of medici, incidentally, continued to be stressed (despite the
fact that no "appeal" was available as an alternative remedy against a botched-up operation);
cf, for example, Lauterbach, Collegium theoretico-practicum. Lib. L, Tit. XIII, III: "Hodie,
sicut nee Medicorum errata, ita nee Judicantium imperitiam in jus vocari . . ."; lack of skill
in doctors was scarcely ever brought to court and hence the somewhat cynical saying that for
them it is permitted to kill with impunity. Cf. supra, p. 1028, note 198 and also Watson,
Failures, pp. 65 sq.
232
Ulp. D. 9, 3, 5, 6; Ulp. D. 9, 3, 5, 11. Cf. also Bowden v. Rudman 1964 (4) SA 686 (N)
at 691E-F: ". . . it is clear that the object was to prevent harm being done by anything that
might fall, and that the law did not wait till the harm was done but provided punishment if
the harm were possible."
233
Justus Henning Boehmer, Doctrina de actionibus (Halae Magdeburgicae, 1789), Sect. II,
Cap. XI, § XVIII; Gluck, vol. 10, pp. 411 sq.; cf. also Windschcid/Kipp, § 457, n. 4. The
actio dc posito vel suspenso was, however, carried forward into Roman-Dutch law—cf.
Grotius, Inleiding, III, XXXVIII, 5 sqq.; Voct, Commetitarius ad Pandectas, Lib. IX, Tit. HI,
VI—and has even been discussed (though not applied) in the South African case of Bowden
v. Rudman 1964 (4) SA 686 (N) at 690E sqq. In this case Caney J argued that the action had
lost its penal character and was available only to recover damages for injury actually done
(i.e. where the things lodged or hung had fallen down). But what, under these
circumstances, is its relationship to the actio de deiectis vel effusis? Cf. Voet, loc. cit., on the
one hand, Bowden v, Rudman 1964 (4) SA 686 (N) at 692D-E ("The situation is analogous
to that of the thing thrown out or poured out upon a passer-by") on the other. In Bowden
v. Rudman, incidentally, the actio de posito vel suspenso was held not to be applicable to the
case of a gate opened outwards across the pavement. In the headnote (p. 686) this action is
confused with the actio de effusis vel deiectis.
234
Ul p. D. 4, 9, 7, I; Ulp. D. 47, 5, 1, 2.
235
Groenewegcn. De legibus abrogatis. Digest. Lib. IV, Tit. IX, 1. ult. § 1; Voet,
Commentarius ad Pandectas, Lib. IV, Tit. IX, X.
236
Thus, for example, the actio quasi ex delicto was limited to theft or damage caused by
employees. Liability under the receptum was much wider; it also covered, for example, theft
committed or damage caused by other guests or passengers; cf. Ulp. D. 4, 9, 1, 8; Gai. D.
4, 9, 2; Po mp. / Ul p. D. 4, 9, 3 pr. For furt her det ail s, see Gl ii ck, vol. 6, pp. 140 sqq.;
Т.Е. Donges, The Liability for Safe Carriage of Goods in Roman-Dutch Law (1928), pp. 24 sqq.
237
§ 1318 ABGB, On the survival of the actio de deiectis vel effusis in a generalized form
(art. 1384 code civil, last alternative) cf. infra, p. 1142.
238
Gane, The Selective Voet, vol. II, p. 595 (who remarks with classic understatement that
the Digest title 9, 3 "cannot be said to have been of leading i mport ance in South African
law"); N.J. van der Merwe, P.J.J. Olivier, Die onreqmatiqe daad in die Suid-Aftikaanse reg (5th
ed., 1985), p. 496.
239
It does, of course, no longer lie for duplum (as it did in Roman law: Inst. IV, 5, 1).
240
Stryk, Usus modernuspandectarum, Lib. IX, Tit. Ill, §§ 1 sqq.; Gluck, vol. 10, pp. 409 sqq.
241
Windsc heid/Kipp, § 457, 1; Bie ne nfeld, op. cit, note 123, pp. 45 sq.
24
~ §§ 729 sqq. E 1; cf. "Motive", in: Mugdan, vol. II, pp. 448 sq. and the discussion by
Joseph Unger, "Die actio de dejectis et effusis im deutschen Entwurfe", (1891) 30 Jhjb 226
sqq.
ш
"Protokolle ", in: M ugd an, vol. II, p. 1123.
244
For a detailed discussion, sec Hochstein, Obligationes, pp. 35 sqq., 48 sqq., 71 sqq.,
94 sgq., 129 sqq.; cf. also Going, pp. 395 sq.
24э
Uirich Zasius, as quoted and analysed by Hochstein, Obligationes, pp. 50 sqq., cf. also
pp. 73 sq.
24
''Grotius, luleiding, HI. XXXVIII, 1.
247
Donellus, Commetttarii, Lib. XV, Cap. XLIII, V.
24K
Vinnius, Instiiutiones, Lib. IV, Tit. V.
249
Cf. supra, p. 19, note 107.
250
Cf. supra, p. 19, note 108; Lautcrbacb, Collegium tkeoretica-practicum. Lib. XLVII, Tit.
I, VIII; Coing, p. 395. But what was the position of the actio legis Aquiliac in this scheme
of things? According to Lautcrbach, loc. dt., it had to be classified as an obligatio ex delicto
fvero) despite the fact that it was available in cases of dolus and culpa.
251
Cf. Grotius, Melding, III. XXXVIII, 10; Van Leeuwen, Censura Forensis, Pars I, Lib.
V, Cap. XXXI, 2; for a detailed analysis cf. Hochstein, Obligationes, pp. 86 sqq.; cf. also Van
der Merwe, op. cit., note 39, pp. 27 sq.
252
Cf. supra, pp. 1034 sq.
253
Cf. supra, p. 20.
254
Or were not brought in line with the principle of "no liability without fault" too; cf.,
for example, as far as the actio de pauperie is concerned, Van dcr Linden in his annotations
on Voet, as translated by Gane, The Selective Voet, vol. II (1955), pp. 533 sq.; Parker v. Reed
(1904) 21 SC 496 at 501 sq.; O'Catlaghan v. Chaplin 1927 AD 310 at 375 sqq. (per Wesscls
JA); cf. also Van dcr Merwc, op. cit., note 39, pp. 29 sqq.; on the actio dc deicctis vcl effusis
cf., tor example, Voet, Contmentarius ad Pandectas, Lib. IX, Tit. Ill, I (". . . cum culpa ipsius
поп in dejectione consistat, scd in eo poties, quod aut malignos, aut ncgligcntes intra domus
suae vel coenaculi septa receperit, quosjure suo repellerc poterat, quorumque ideo culpam
tenetur praescare"). Cf. further Justus Wilbclm Hedemann, Die Fortschritle des
Zivilrechts im XIX. Jahrhundert vol. I (1910), pp. 86 sq.; Biencnfeld, op. cit., note 123, pp. 100
sqq.; Hans-Peter Benohr, "Zur ausservertraglichcn Haftung im gemeinen Recht", in:
Festschrift fur Max Kaser (1976), p. 705.
255
"Motive", in: Mugdan, vol. II, pp. 449; cf. also p. 453.
256
SecBienenfeld, op. cit., note 123, pp. 23 sqq.; Ogorek, Gefi'hrdungshaftung, pp. 48 sqq.
and, as a part i cul arl y bl at ant exampl e, the cursory reference t o obligati ones ex varii s
causarum figuris by Savigny, Obliqationenrecht, vol. II, pp. 330 sq.
257
§ 833, 1 BGB.
258
Cf. supra, pp. 1034 sq.
259
Cf. the criticism by Lorcnz von Stein, Zur Eisenbahnrechts-Bildung (1872), p. 15.
260
For some modern figures, see Andre Tune, "Introduction", in: International
Encyclopedia of Comparative Law, vol. XI, 1 (1983), nn. 1, 72 ("The accident age"). According
to him, in the United States alone 115 000 persons die every year as a result of accidents,
more than 11 million suffer temporary disablement, and more than 5 million others suffer
some kind of inj ury. During the Second Worl d War, the t oll of i ndust rial accidents was
nearly as heavy as the toll of war itself in countries such as the United Kingdom and the
United States. For more facts and figures, see P.S. Atiyah, Accidents, Compensation and the
Law (3rd ed., 1980), pp. 18 sqq.; on motor accidents, see also Andre Tune, "Traffic Accident
Compensation: Law and Proposals", in: International Encyclopedia of Comparative Law vol.
XI, 14 (1983), n. 1.
261
For a notorious definition of a railwa y e nterprise (in no fe wer tha n 111 words, a ll
crammed into a single sentence) cf. RGZ 1, 247 (252). On the eve of the opening of the first
Prussian railway line a pastor in Berlin implored his congregation to keep away, for the sake
of their eternal salvation, from these "infernal dra gons". On the hostility a nd opposition
whic h railwa ys and m otorcars at first arouse d in Engla nd, see JR. Spe ncer, "M otor-Cars
a nd the Rule in Ryla nds v. Fletc he r: A Cha pter of Accide nts in the History of La w a nd
M otoring", (1983) 42 Cambridge LJ 69 sqq. So m e (from a m ode rn pe rspective) rather
amusing highlights of the campaign against the use of these dangerous machines: in 1932 the
proprietor of the Stockton and Darlington Railway was prosecuted for the crime of public
nuisance because the locomotives scared horses; when the first traction engines appeared on
the roads. Parliament reacted by requiring a man with a red flag to walk in front
(Locomotive Act of 1865); and cars at first were occasionally pelted with stones; enraged
farmers even fired shotguns at them.
262
For an account of some 19th-century railway accidents, see Gustav Lehmann,
Korperverletzungen und Todtungen aufdeutschen Eisenbahnen (1869). 7th December 1835
(from Nurnberg to Furth).
264
30th October 1838 (from Berlin to Potsdam; the length of this railway line was a mere
3,52(l5miles).
§ 25 Gesetz iibcr die Eisenbahn-Untcrnehmungen, 3rd November 1838. It has recently
been discovered that the "father" of this piece of legislation (and that is, of the modern form
of strict liability) was none other than Friedrich Carl von Savigny, (in his capacity as member
of the council of state in Prussia): cf. the documents presented by Theodor Baums, "Die
Einfuhrung der Gefa'hrdungshaftung durch F.C. von Savigny", (1987} 104 ZSS (GA) 277
sqq. Thus, in spite of the fact that he made short shrift with the obligationes ex variis
causarum figuris in his Obligalionenrecht (cf. supra, note 256), it would be wrong to argue
that Savigny was insensitive or indifferent towards the challenges of the industrial age. In his
Obligationenrecht he intended to develop general concepts and principles (cf. vol. II, p. 4); and
for this specific purpose the individual instances of quasi-delictual liability did not appear to
him266
to be of any significance.
On the development of the railway law in the 19th century, see Justus Wilhelm
Hedemann, Die Fortschritte des Zivilrechts itn XIX. Jahrhundert, vol. I (1910), pp. 88 sqq.;
Ogorck, Gefahrdungshaftutig, pp. 61 sqq.; Michael R. Will, Quelten erhohter Gefahr (1980), pp. 2
sqq.;67 cf also Bienenfeld, op. cit., note 123, pp. 460 sqq.
~ Reichs-Haftpflichtgesetz, 7th June 1871; on the origin of which, see Ogorek,
Gefahrdungshaftung, pp. 98 sqq.
2(>H
Strict liability for damage to property was introduced only in 1940 by means of the
Sachschadenhaftpjlich Igesetz.
2<w
§ 1 Rekhs-Haftpfikhtgesetz; cf. today § 1 Hafipflkhtgeselz.
2711
§ 2 Rekhs-Haftpftkhtgesetz; cf. today § 3 Hafipftkhtgesetz.
27i
Cf. the famous phrase, coined by Holmes, The Common Law, p. 50: "fS]ound policy
lets losses lie where they fall, except where a special reason can be shown for interference."
27
' On the development cf. Hedcmann, op. cit., note 266, pp. 90 sqq.; Ogorek,
Gefa'hrdungshaftung, pp. 113 sqq. For Switzerland cf. the recent study by Herbert Bracher,
"Die Entwicklung dor Fabrikbaftpflicht in der Schweiz und ihrc Ablosung durch Kranken-
und Unfallvcrsicherung", (1986) 8 ZNR 157 sqq.
273
M. A. Millner, Negligence in Modern Law (1967), pp. 234 sq.; cf. also Benohr, Festschrift
Kaser, pp. 694 sqq.
274
"Bericht der XII. Kommission des Reichstages", in: Mugdan, vol. II, p. 1300. Cf. also
Gottlieb Planck, as quoted by Tune, op. cit., note 260, vol. XI, 1, n. 83: "It is not the task
of a Civil Code to intervene here."
275
For examples, see Josef Esser, "Die Zweispurigkeit unseres Haftpfiichtrechts", 1953
Jtiristenzeituni; 129 sqq.; Will, op. cit., note 266, pp. 41 sqq.
27(1
At p. 312.
277
For pertinent case law (comparative) cf. Dieter Giesen, International Medical Malpractice
Law (1988), pp. 139 sq.
278
Cf. Gi esen, op. cit., note 277, pp. 142 sqq., 519.
274
As far as German law is concerned, cf. Dieter Giesen, Wandlttnyen des Arzthaftungsrechts
(2nd ed., 1983), pp. 90 sqq.
2Ш
BGHZ 51, 91 sqq. — the famous "fowl pest" case. The plaintiff, who ran a chicken
farm, had her chi ckens inoculated against fowl pest by a veterinary surgeon who used
vaccine produced by the defendants. A few days later fowl pest broke out, as a result of
whi ch more than 4 000 chickens died. For a translation of this landmark decision into
English, cf. Markesinis, op. cit., note 227. pp. 245 sqq. On products liability in German Law
in general, sec Ernst von Cammerer, "Products Liability", in: Ins privatum gentium, Festschrift
fur Max Rheinstein, vol. II (1969), pp. 659 sqq.; Zweigert/Kotz, pp. 431 sqq.; Markesinis, op.
cit., note 227, pp. 50 sqq.; Mertens, op. cit., note 167, § 823, nn. 279 sqq.
The law relating to products liability is about to be unified, on the basis of a regime of
strict liability, within the European community: cL the Richtlinie des Rates vom 25.7.1985 гиг
Angleichung der Rechts- und Verwahttngsi'orschrifieti der Mitgliedsstaaten tiber die Haftung fur
fehlerhafte Produkte (85/374/EWG); for Germany cf., most recently, Hans Claudius Taschner,
1988 Neue Juristisclte Wochenschrift 1432 sqq.; further (comparative) Dieter Giesen,
"Produkthaftung im Umbruch", \9S9 Juristenzeitung 517 sqq.
2H1
Cf. also Lawson/Markesinis, p. 144 (". . . the confusion of the two concepts is not
only intellectually untidy; it has other disadvantages as well. . . ."). But cf. Hans G. Leser,
"Zu den Instrumentcn des Rechtsguterschutzes im Dclikts- und Gefahrdungshaftungs-
recht", (1983) \&3 Archivfur die civilistische Praxis 601 (no-fault liability represents the bottom
line on a sliding scale of liability law); cf. also Heinz Hubner, "Noch einmal:
Gefahrdungshaftung und Verantwortung", in: Festschrift jiir Wolfram Miiiler-Freienfels (1986),
pp. 329 sqq.
2H2
§ 7 Kraftfahrzeitygesetz, 3 May 1909 (today: Strassetiverkehrsgesetz—Road Traffic Act). 2Ю
§ 19 (today: § 33) Luftverkehrsgesetz—Air Traffic Act—1 August 1922.
284
§ 1 a Reichs-Haftpjiichlgesetz (today: § 2 Haftpflichtgesetz).
285
Atomgesetz—Atomic Energy Act—23 December 1959; cf. today §§ 25 sqq.
Atomgesetz, as promulgated on 15 July 1985.
286
§ 22 Wasserhaushahsgesetz—Water Maintenance Act —27 July 1957.
287
§ 84 Arzneimittelgesetz—Pharmaceutical Products Act —24 August 1976.
2HH
For an overview of the development, cf. Will, op. cit., note 266, pp. 2 sqq., 20 sqq., 27
sqq.; Zweigert/Kotz, pp. 399 sqq.
Will, op. cit., note 266, pp. 70 sqq. Cf., for example, RGZ 78, 171 sqq., a case
invol ving one of Count Zeppeli n's famous airships. The court refused to extend th e
provisions of the Imperial Law of Liability and the Road Traffic Act to cover this case even
though the operation of an airship involves, at least, the same degree of risk than that of
motorcars or railways.
240
For these and further examples, cf. Hein Kotz, "Gefahrdungshaftung", in: Gutachten
und Vorschlage zur (jberarbeittmg des Schuldrechts, vol. II (1981), pp. 1786 sq.
241
For details, see, again, Kotz, op. cit., note 290, pp. 1803 sq., 1825 sqq.
2 2
'' On the concept oC'Haiter" (custodian; normally, but not necessarily, the owner of the
car), cf. Adalbert Kunschert, in: Gcigel, Der Haftpjiichtprozess (19th ed., 1986), pp. 599 sqq.
_w § 7 ц Strassenverkehrsgesetz.
294
§ 1 II Hafipflichtgesetz. On the concept of vis maior, see Adolf Exner, "Der Begnff der
hoheren Gewalt (vis major), im romischen und hcutigen Verkchrsrecht", (1883) 10 GriinhZ
497 sqq.; Adamkiewiecz, "Die 'hohere Gcwalt" im Burgerlichen Gesetzbuch", (1915) 59
Beitrage zur Erlauterung des Deutschen Rechts 577 sqq.; Ulrike Stadtlcr, Schadensersatz im Falle
hoherer Gewalt (1986), pp. 13 sqq.
245
§ 8 a, 1 Strassenverkehrsgesetz.
296
§ 8 Strassenverkehrsgesetz.
297
298
§§ 9 sq. Haftpjiichtgesetz, § 12 Strassenverkehrsgesetz, § 37 Luftverkehrsgesetz.
Cf., in particular, Will, op. cit., note 266, pp. 243 sqq.; Kotz, op. cit., note 290,
pp.2991779 sqq.; but see also Hubner, Festschrift Mtiller-Freienfels, pp. 331 sqq.
Regarding modern South African law, see J.C. van der Walt, "Strict Liability in the
South African Law of Delict", (1968) 1 Cilsa 49 sqq.; idem, "Risiko-aanspreeklikheid:
Erkenning in die regspraak", 1984 TSAR 211 sqq.; Van der Merwe/Olivier, op. cit., note
238, pp. 485 sqq. On the old common-law (=ius commune) forms of strict liability still in
use today (actio de pauperie, actio de pastu, edictum de feris, actiones de deiectis vel effusis
and positi vel suspensi) cf. supra, pp. 1108 sqq., 1127 sq. Modern legislation was sparked off
by the criticism of the status quo expressed in Union Government v. Sykes 1913 AD 156
(". . . my sympathies are entirely with the plaintiff. The South African Railways are
administered by the Government, in the public interest, and it seems to me only fair that
private persons whose farms are injured by sparks from engines should be compensated at
the public expense. That, however, is a matter for the Legislature to deal with" (p. 185, per
Solomon JA). Thereupon § 70 Railways Act 22/1916 introduced a reversal of the onus of
proof in favour of the injured party. After dissatisfaction had been expressed in Ross v. S.A.
Railways (1938 OPD 128, per Krause J), the legislator finally made the railways strictly liable
for fire damage; cf., today, s. 65 South African Transport Services Act 65/1981. For other
individual instances of strict liability, cf. s. 26 Electricity Act 41/1987 (presumption of
negligence), s. 11 II Aviation Act 74/1962 and s. 41 Nuclear Energy Act 92/1982. There is,
however, no strict liability for road traffic accidents. The rule of Rylands v. Fletcher,
incidentally (on which see infra pp. 1138 sqq), has not become part of South African law; cf.
T.W. Price, "Is the rule in Rylands v. Fletcher part of Roman-Dutch law?", (1953) 70 SAL]
381 sqq., 395 sqq.; but cf. also Eastern Telegraph Co, v. Cape Town Tramways 1902 AC 382
at 393 sq. Today the question of whether a more broadly based principle of risk liability
should be recognized receives increasing attention. The matter has even been considered by
the300Law (Reform) Commission.
Fleming, Torts, p. 304; cf. also Atiyah, op. cit., note 260, pp. 157 sqq.
301
". . . one of the most firmly established legal principles throughout the common law
worl d": P. S. Atiyah, op. cit., not e 218, p. 12.
302 ? ? • gosaf] „ Sandford 2 Sal к eld 440; Turherville v. Stampe 1 Ld Raym 264; Anonymous
1 Ld Raym 739, and others; for details of the development cf. Barlow, op. cit., note 187,
pp. 36 sqq.; Holdsworth, vol. VIII, pp. 472 sqq.; John H. Wigmore, "Responsibility for
Tortious Acts: Its History" (1893-94) 7 Harvard LR 315 sqq., 383 sqq.; Oliver Wendell
Holmes, "The History of Agency", in: Select Essays in Anqlo-American Le%al History, vol. Ill
(1909), pp. 387 sqq.
3(13
Which came into England via the courts of Admiralty and as part of the lex Mercatoria; cf.
Holdsworth, vol. VIII, pp. 250 sqq. The first case in which the modern doctrine of
vicarious liability made its appearance in a common-law court (Boson v. Sandford; cf. supra,
note 302) involved an action by a shipper of goods against the captain of the ship.
3114
Holdsworth, vol. VIII, p. 476.
305
Cf. Barlow, op. cit., not e 187, p. 44.
306
For details, see P.S. Atiyah, op. cit., note 218, pp. 31 sqq., 171 sqq.; Fleming, Torts,
pp. 339 sqq.; cf. also Zweigert/Kotz, pp. 383 sqq.On the doctrine of common employment
("[t|hc most nefarious judicial ploy for reducing the charges on industry"; employers are
relieved of vicarious liability if the injury was caused by the negligence of a fellow servant),
cf. Fleming, Torts, p. 491; Atiyah, op. cit.. note 218, p. 415.
3117
But the owner was allowed to buy oflf the right of vengeance. Unlike in Roman law, he
had to pay the value of the animal and not the amount of damages suffered by the injured
person. Generally on the historical development of liability for damage done by animals in
English law, cf. Holmes, Common Law, pp. 17 sqq.; Williams, op. cit., note 23, pp. 7 sqq.,
265 sqq. For Scotland cf. Carey-Miller, 197'4 Juridical Review 1 sqq.
308
From "scienter retinuit" in the old form of the writ: see Williams, op. cit., note 23,
pp. 273 sqq., for details, see pp. 278 sqq.
309
". . . the courts were not prepared to hold that all the acts of ani mal s involved their
owners; t here had t o be some cul pabilit y i n t he owner hi msel f, and of t hi s culpabilit y
knowledge of the animal's past mischief was a rough practical test." On the history of the
scienter principle, see Williams, op. cit., note 23, pp. 273 sqq. (the quotation is taken from
p. 282).
310
Williams, op. cit., note 23, pp. 292 sqq. Cf. today s. 2 I of the Animals Act 1971 (strict
liability in respect of any damage caused by an animal which belongs to a dangerous species);
for details, see North, op. cit., note 51, pp. 21 sqq.
Fleming, Torts, p. 332. On the meaning of "dangerous species" in terms of the new
Act, see North, op. cit., note 51, pp. 34 sqq.
312
But under which circumstances can an animal be said to be of a "harmless species"?
Traditionally, the relevant test for classifying a species was whether the animals belonging to it
were "harmless to mankind"; whether or not it was in their nature to cause damage to property
did not matter. For details cf. Williams, op. cit., note 23, pp. 286 sqq. The rigid division of all
animals into dangerous and harmless species has often been criticized; "[s|uch a division", as the
New South Wales Law Reform Commission (cf. supra, p. 10%, note 12, quoted here according
to North, op. cit., note 51, p. 4) commented, "is not to be found in nature. The different species
of animals in fact present different degrees of danger to mankind and within each species the
danger presented is not constant but varies according to age, sex, time of the year and many other
matters; and individual animals within the one species differ". In spite of these criticisms, the
Animals Act 1971 still classes animals by species (cf. ss. 2, 6 II), although the line is now drawn
differently. For details, cf. North, op. cit., note 51, pp. 34 sq., 48 sqq.
313
As to details of the proof of scienter, see Williams, op. cit., note 23, pp. 299 sqq.; cf.
also North, op. cit., note 51, pp. 48 sqq. According to Salmond/Heuston, op. cit., note 22,
p. 317, it was uncertain, at common law, whether the animal's vicious tendency had to have
been contrary to the nature of animals of that class; contra naturam sui generis!
314
Cf. today s. 2 II Animals Act 1971.
315
North, op. cit., note 51, p. 92; for further details, see Williams, op. cit., note 23,
pp. 136 sqq.
316
For a detailed historical analysis, see Williams, op. cit., note 23, pp. 127 sqq. Today
s. 4 of the Animals Act 1971 applies {referring to "livestock"); on which, see North, op.
cit., note 51, pp. 91 sqq.
317
Tenant v. Goldwin 2 Ld Raym 1089 at 1092. The maxim "sic utere tuo ut neminem
laedas", incidentally, was referred to in a variety of different contexts. In 19th-century
decisions it was sometimes used to establish strict liability (cf. Rylands v. Fletcher [1861-73]
All ER 1 at 8), while at other times it was, interestingly, taken to entail liability for fault (cf.
Vaughan v. Menlove (1873) 3 Bing (NC) 468 at 476).
31H
For a historical analysis, see A.I. Ogus, "Vagaries in Liability For the Escape of Fire",
(1969) 27 Cambridge LJ 104 sqq.
319
Tenant v. Goldwin 2 Ld Raym 1089 at 1092; cf. also Turberuille v. Stamps 1 Ld Raym
264 ("if my servant throws dirt into the highway, I am indictabl e").
320
Cf. supra, pp. 910 sq.
321
Cf. supra, pp. 1034 sq.; but cf. also Sir Frederick Pollock, (1923) 39 LQR 167; on
which, in turn, see P.S. Atiyah, Pragmatism and Theory in English Law (1987), p. 179.
322
Fleming, Torts, p. 300.
323
On the antecedents of Ryiands v. Fletcher, cf. also Benning v. Wong (1969) 122 CLR 249
at 294 sqq. (High Court of Australia; per Windeyer J).
324
It was, as is often the case, not regarded by thejudges concerned as either very bold
or novel; cf. for example, Lord Cairns in [1861-73] All ER 1 at 12 sq.: "The principles on
which this case must be determined appear to me to be extremely simple"; "[t]hcse si mple
principles". Cf also the rather vivid description of what ha ppe ne d by John H. Wigm ore,
"Responsibility for Tortious Acts: Its History — III", (1894) 7 Harvard LR 454 ("Briefly,
[those scattered classes of cases] wandered about, unhoused and unshepherded, except for a
casual attention, in the pathless fields of jurisprude nce, until the y were met, some thirty
years ago, by the master-mind of Mr. Justice Blackburn, who guide d them to the safe fold
where they have since rested." But then he goes on to describe the principle enunciated by
Mr. Justice Blackburn as "epoc hal in its conseque nces").
32
* [1861-73] All ER 1 at 7. On its historical context cf. the study by A.W.B. Simpson,
"Legal Liability for Bursting Reservoirs: The Historical Context of Ryiands v. Fletcher", (1984)
13 Journal of Legal Studies 209 sqq.
326
According to Simpson, (1984) 13 Journal of Legal Studies 216 sqq., the decision in
Rylands v. Fletcher has to be seen in the context of two contemporary, major dam disasters;
"the case was about bursting reservoirs and about what, if anything, the law ought to do
about them. . . .[I|t is not i mprobable that the f. . .] unique features fof dams or reservoirs]
. . . received special examinational common law (in Rylands v. Fletcher]" (p. 216). Ironically,
as Simpson points out on pp. 251 sqq., Rylands v. Fletcher had hardly any impact on this
specific problem area, for it did not apply to public water reservoirs (that is, the vast majority
of large reservoirs).
327
Jones v. The Festinog Railway Company (1868) LR 3 QB 733.
328
National Telephone Co. v. Baker [1893] 2 Ch 186.
129
Batcheller v. Tunbridge Wells Gas Co. (1901) 84 LT 765.
330
Miles v. Forest Rock Granite Co. (1918) 35 TLR 500.
331
West p. Bristol Tramways Company [1908] 2 KB 14.
332
Shiffman v. The Grand Priory in the British Realm of the Venerable Order of the Hospital of
St. Ыш'[19361 1 All ER 557.
333
Crowhurst v. The Burial Board of the Parish of Amersham (1878) 4 Ex D 5.
334
Hoare and Company v, McAlpine |1923] 1 Ch 167. Cf. further, for example,
Attorney-General v. Corke [1933] Ch 89, where the owner of a disused brickfield had allowed
gypsies to camp on his land and was held liable to his neighbours for harm caused by their
unhygienic habits.
333
Fleming, Torts, p. 309.
336
Cf. Ryl ands v. Fl et cher [1861-73] All ER 1 at 12 sq., per Lord Cai rns (otherwise
confi rmi ng t he pri nci pl e enunci at ed by Bl ackburn J); but cf. also al ready Bl ackburn j
[1861-731 Л11 ER 1 at 7.
337
Read v.J. Lyons & Co. Ltd. [19471 AC 156 (HL).
33H
Take, for example, the case of Read v.J. Lyons & Co. Ltd. ([1947] AC (HL) 156), itself,
where the plaintiff was injured by an explosion occurring in the defendant's am munition
factory in which she was working. Why should it make a difference whether she was injured
within the confines of the factory or after she had just left its gates (Zweigert/Kotz, p. 421)?
'9 For a general evaluation of the rule of Rylands v. Fletcher in modern English law, cf.
Windeyer J, in Battling v. Wong (1969) 122 CLR 249 at 296 sqq.; Will, op. cit., note 266,
pp. 122 sqq.; Simpson, (1984) 13 Journal of Legal Studies 214 sqq.; Zweigert/Kotz, pp. 418
sqq.; Fleming, Torts, pp. 308 sqq. Cf. also Spencer, (1983) 42 Cambridge LJ 65 sqq. He argues
that, in some ways, the decision that the use of a motor-vehicle on the highway involves
fault rather than strict liability {Wing v. L.G.C.O. [1909] 2 KB 652), "is the most significant
event in the history of the law of tort this century".
3411
More particularly, there is no strict liability for motorcar accidents; this is severely
criticized, for instance, by Lord Denning, What Next in the Law (1982), p. 128; cf. also
Spencer, (1983) 42 Cambridge LJ 80 sqq. On the problems raised by traffic accidents in
general and on the ways in which different modern legal systems have responded (or failed
to respond) to them, see Tune, op. cit., note 260, vol. XI, 14, nn. 1 sqq.
341
For examples, see Fleming, Torts, p. 302; as far as Scots law is concerned, cf. Geoffrey
MacCormack, "Culpa in the Scots Law of Reparation", 1974 Juridical Review 13 sqq., 18.
342
[1939] 2 All ER 142.
343
Cf. also, as far as motorcar accidents are concerned, Spencer. (1983) 42 Cambridge LJ
80 ("Consequently, in cases where the plaintiff excited their compassion, the courts began
to twist the law of negligence to make a defendant liable for negligence when he was really
not negligent at all, to make his insurers pay"); cf.furthcr the (comparative) observations by
Lawson/Markesinis, pp. 142 sqq. They quote, inter alia, from an American study according
to which even a "good driver commits on average more than nine errors of four different
natures in five minutes of driving". This type of inevitable error, Lawson and Markesinis
conclude, "makes the moral and educational value of a fault-based system meaningless in so
far as it makes people responsible for 'faults' for which they cannot be reproached". See also
Tune, op. cit., note 260, vol. XI, I, nn. 72, 144 sqq. and, as far as Louisiana is concerned,
the green snake case, as discussed by Vernon V. Palmer, "In Quest of a Strict Liability under
the Code", (1982) 56 Tulane LR 1317 sqq.
344 "? v er s i nce that barrel of flour rolled out of that English warehouse window and fell
upon the usual hapless pedestrian, giving rise to Baron Pollock's remarks during argument
of Byrne v. Boadle (1863) 2 H & С 722 . . ., that Latin phrase—'res ipsa loquitur'—has been
beguiling, bewitching and bewildering the Anglo-American bench and bar": Stuart M.
Speiser. Res ipsa loquitur (1472) (a two-volume work of more than 1 000 pages), vol. I, p. III.
Cf. als-., most recently, in a special context and from a comparative point of view, Giescn,
op. cit., note 277, pp. 511 sqq., 515 sqq.
345
Fleming, Torts, p. 307.
146
Cf, for example, J.A. Jolowicz, "Liability for Accidents", (1968) 26 Cambridge LJ 50
sqq.; the report of the "Pearson Commission" on Civil Liability and Compensation for
Personal Injury (1978), Cmnd. 7054; J.A. Jolowicz, "Compensation for Personal Injury and
Fault", in: D.V. Allen, C.J. Bourn, J.H. Holyoak, Accident Compensation after Pearson (1979),
pp. 33 sqq.; Atiyah, op. cit., note 260, pp. 323 sqq., 443 sqq.; idem, "No Fault
Compensation: A Question That Will Not Go Away", (1980) 54 Tulane LR 271 sqq.
347
A comparative analysis of other legal systems that have left the numcrus clausus model
behind can be found in Will, op. cit., note 266, pp. 150 sqq.; a general theory of the inner
nature of strict liability based on the experiences of common law and civil law has recently
been presented by Vernon Palmer, (1988) 62 Tulane LR 1303 sqq. For an even more radical
departure from the fault principle, cf. the accident compensation scheme operating in New
Zealand; for a comparative discussion of which, see, for example, D.B. Hutchison,
"Accident Compensation: New Zealand Shows the Way", (1985) 48 THRHR 24 sqq.;
Giesen, op. cit., note 277, pp. 529 sqq., 532 sqq.; John G. Fleming. Jan Hcllner, Eike von
Hippel, Haftmiysersetzunq durch Versicherunqssclwtz (1980), pp. 11 sqq., 51 sqq.
i4f
On which c(. supra, pp. 906, 1034, 1036.
349
Court de Cassation, Ch. reun., 13.2.1930, Recueil Dalloz (1930), Premiere Partie,
pp. 57 sqq.
350
For an analysis of the development cf. Ulrich M. Hubner, Die Haftung des Gardien im
franzosischen Zivilrecht (1972); Will, op. cit., note 266, pp. 131 sqq.; Lawson/ Markesinis,
pp. 146 sqq. Zweigert/Kot z, pp. 407 sqq.; Andre Tune, ' "It is not wise to t ake t he Ci vil
Codes too seriousl y'. Traffic accident compensation i n France", i n: Essays i n Memory of
Professor F.H. Lawson (1986), pp. 71 sqq. On custodial liability in Louisiana (based on art.
2317 Louisiana Civil Code), see Pal mer, (1988) 62 Tulane LR 1334 sqq.
351
Accordi ng t o Tune, Essays Lawson, p. 72, art. 1384 is "by far the most frequently
applied of all the Civil Code provisions".
Jean Boulanger, "Notations sur le pouvoir createur de la jurisprudence civile", (1961)
59 Revue Irimestrielle de droit civil 431.
353
Cf, for example Tune, Essays Lawson, p. 72: "This sent ence . . . was a transition, a
mere elegance de style. It did not express any rule of law; it was not meant to be applied and
had no place in a code." This was, in fact, the view that prevailed in 19th-century French
legal science. So obscure was the true origin of the final clause of art. 1384 I code civil (and
so irresistible—in France as well —the ascendancy of the fault principle!) that reference to
liability for things under one's guard was denied any independent significance; in the course
of the 19th century the clause was taken to refer merely to the liabilities imposed by artt.
1385 and 1386 on the guardians of an animal and the owner of a building. Only towards the
end of the century did one begin to realize the true potential of the rule as a catalyst for a
broadly based risk liability.
354
Liv. II, Tit. VIII, Sect . II; cf . al so Yosi yuki Noda, "Jean Do mat et l e Code ci vil
francais", (1956) 3 Comparative Law Review (Japan Institute of Comparative Law) 31 sq.
Cf, also the analysis by Watson, Failures, pp. 4. sq., 14 sq., 27, who, however,
suggests an even more direct link between the actiones de deiectis vel effusis and de posito
vel suspenso, and art. 1384 code civil.
1143