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Московский государственный юридический университет им. О.Е. Кутафина

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xiv

Preface

particular, court decisions) which are not readily available in European libraries. On the other hand, however, it was often exceedingly difficult to obtain more specialized European works, particularly modern Italian monographs and law reviews. I have, intermittently, been able to spend some time in Hamburg working in the library of the seminar for Roman law and comparative legal history; in a few urgent cases German colleagues have also helped by sending me photocopies. Although this considerably facilitated my task, there remain certain works which I have, unfortunately, not been able to consult, since even the inter-library loan services failed to locate them. I have sifted through and, where appropriate, included in the footnotes all the literature that was available to me by the end of 1988; in some instances it was also still possible to incorporate relevant contributions which appeared in 1989. This does not, regrettably, apply to vol. II of Helmut Coing's magisterial treatise Europa'isches Privatredit, nor to the third edition of Farlam and Hathaway, Contract, Cases, Materials, Commentary

(by G. Lubbe and Chr. Murray). Generally, references in the footnotes to older literature on Roman law have been confined to works which I regard as specifically significant. From them, the reader will always be able to trace further secondary sources. Apart from that he can, of course, as far as the literature up to 1975 is concerned, always consult the two volumes of Max Kaser's Rotnisches Prii'atrecht. I have not deemed it necessary to try to emulate the bibliographic comprehensiveness of these standard works which must, surely, be available to whoever wishes to embark on specialized research in Roman law. Only the more recent literature, which would otherwise be difficult to trace, has been referred to more comprehensively. Furthermore, since one common denominator of all future readers of this book will be their command of English, I have also endeavoured to draw their attention to all the secondary literature in that language that was available to me and that was not too outdated.

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

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Preface

chance to become, so to speak, a Kaser pupil of the second generation and to have been a student, later a junior colleague, of Professor Dr. Hans Hermann Seiler (Hamburg) and Professor Dr. Jens-Peter Meincke (Cologne) in their respective departments. Apart from that, I must confess that as a student Fritz Schulz' two books on Classical Roman Law and on the Principles of Roman Law made a particularly deep impression on me; they were written in a style which continues to attract me more than the balanced, detached and impersonal tone in which German scholarship usually presents itself. But then, I must also immediately say that my interest in Roman law has never been a purely antiquarian one; and the call to Cape Town provided me with an ideal opportunity of studying the history of the ius commune and the impact ot Roman law on modern legal systems. In that regard, I have drawn much inspiration from the work of Professors Feenstra and Coing.

In the second place, I should like to mention my colleagues and friends in Cape Town. Their hospitality and kindness have been a major source of strength and have largely contributed to these seven years spent on the slopes ot the Magic Mountain being so immensely rich and rewarding. 1 do not want to suggest for a minute that those years have always been easy. On the contrary: life as a law professor in a deeply polarized society, in which basic human rights and fundamental precepts of justice are infringed daily and almost as a matter of routine, is riddled with moral dilemmas. The teaching of law is demeaned if the idea of justice is flouted in practice; and not even a subject such as Roman law remains unaffected at a time when the traditional values upon which a university training is founded become caught up in a maelstrom ot partisanship and intolerance, of repression and opportunism, of violence and counterviolence. And yet, Cape Town still remains for me a very special place: "ille terrarum mihi praeter omn.es Angulus ridet." It is a smile that is both bewitchingly charming and distressingly sad.

Among the people I met in the Cape 1 have to mention one by name: Professor C.G. van der Merwe, my oldest South African friend and colleague at the University of Stellenbosch. From the time we first met, he and his family displayed a kind and generous hospitality towards me that one rarely, if ever, meets in Europe. It was he who encouraged me to accept the call to Cape Town in 1980 and who, some years later, also persuaded me to write the present book.

I should like to thank, furthermore, the University of Cape Town for providing me with a research grant and my colleagues at the University of Regensburg (as well as the Bavarian minister for science and culture) for granting me six months' sabbatical leave—only one semester after I had taken up my new duties at Regensburg—in order to complete this book. I gratefully acknowledge the help of Mrs Lisa Dummy who read the whole manuscript and suggested stylistic improvements and who also very kindly helped with the reading of the first set of proofs. The

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xvi

Preface

task of typing the manuscript—not always an easy one—was largely carried out by my former secretary at UCT, Mrs Margaret Schubert. Five of my former Roman law students at UCT came to Regensburg for some months as research assistants and contributed in various ways to the completion of the book. Diane Davis, inter alia, double-checked all quotations from the various parts of the Corpus Juris Civilis and from the Institutes of Gaius, as well as all references to extra-legal sources and to the medieval jurists. Bruce Cleaver and Anton Fagan checked the references to Anglo-American and South African cases and helped with the list of abbreviations. Above all, however, they rendered me an invaluable assistance by feeding all corrections and amendments to the original text into a computer which, at times, displayed a rather inordinate appetite for all kinds of textual delicacies: it irretrievably devoured them. John Butler and Deon de Klerk spotted further mistakes when they checked the various indexes; they also helped with the reading of the proofs, particularly those of the preliminary and end matter. Back in Cape Town, John Linnegar most meticulously edited the final version of my manuscript before it went into print, liaised with the printers and cleared up all loose ends on the proofs. For his assistance, too, I am very grateful.

Last, but not least, I should like to thank Richard Cooke, Simon Sephton and Madeline Lass of Juta & Co. most sincerely for their wholehearted co-operation and unfailing support throughout the various stages of the production of this book.

REINHARD ZIMMERMANN

Newlands, 10 October 1989

The favourable reception of this book has necessitated a second impression. I have taken the opportunity to eliminate a handful of printing mistakes. But the substance remains unchanged.

The book will now be published jointly by Juta & Co., С. Н. Beck and Kluwer. I am most grateful to Richard Cooke in Cape Town and Dr. Wilhelm Warth in Munich for their ready co-operation.

REINHARD ZIMMERMANN

Regensburg, September 1992

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	Summary of Contents
	Page
Preface.............................................................................................	vii
Table of Contents ...........................................................................	xix
List of Abbreviations .....................................................................	li
Principal Works Cited ...................................................................	lix

	PART I
INTRODUCTION —THE CONCEPT OF AN OBLIGATION
	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 III REAL
	OBLIGATIONS
6	Mutuum—Loan for Consumption ....................................		153
7	Commodaturn, Depositum,	Pignus — Loan for	Use,
	Deposit, Pledge....................................................................		188
	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

11Locatio conductio I — Mainly Lease ...................................

12Locatio conductio II—Contract of Employment, Contract

for Work ..............................................................................	384
13 Mandatum — Mandate.........................................................	413
	xvii

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xviii		Summary of Contents
Chapter		.	Page
14	Excursus; Negotiorum gestio ..............................................		433
15	Socictas—Partnership .........................................................		451
	PART V
	ARRANGEMENTS OUTSIDE THE CONTRACTUAL
	SCHEME OF CLASSICAL ROMAN LAW
16	Donatio...............................................................................		477
17	Pacta and Innominate Real Contracts ................................		508
	PART VI GENERAL PRINCIPLES
OF CONTRACTUAL LIABILITY
18	Formation of Contract ........................................................		546
19	Error—Mistake...................................................................		583
20	Interpretation of Contracts .................................................		621
21 Metus and Dolus — Duress and Fraud.................................			651
22	Invalidity and Reasons for Invalidity..................................		678
23	Condicio and Dies — Conditions and Time Clauses..........		716
24	Termination ot Obligations ................................................		748
25	Breach of Contract ..............................................................		783
	PART VII
OBLIGATIONS ARISING NEITHER FROM CONTRACT
	NOR FROM DELICT
26	Unjustified Enrichment ......................................................		834
	PART VIII THE LAW OF
	DELICTS
27	Delict in General .................................................................		902
28	Furtum—Theft....................................................................		922
29	Lex Aquilia I........................................................................		953
30	Lex Aquilia II ......................................................................		998
31	Actio iniuriarum—Infringements of Personality Rights		1050
32	Strict Liability......................................................................		1095
Index of Main Sources (including Table of Cases) .......................			1143
Subject Index ..................................................................................			1207

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			Table of Contents
				Page
Preface..........................................................................................				vii
Summary of Contents ................................................................				xvii
List of Abbreviations ..................................................................				li
Principal Works Cited.................................................................				lix
			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
	CHAPTER 2 — STIPULATIO ALTERI, REPRESENTATION,
			CESSION
I.	Stipulatio Alteri.................................................................			34
	1. Alteri stipulari nemo potest .........................................			34
		(a)	The rule .................................................................	34
		(b)	The interest requirement ......................................	35
		(c)	Origin ot the rule..................................................	37

xix

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xx				Table of Contents
	2. Strategics to evade the restriction				Page
	2. Strategics to evade the restriction				38
	3.	Changes in post-classical law	..........................................		39
	4.	The evolution of the modern contract in favour of a
		third party ..........................................................................			41
		(a) Alteri stipulari nemo potest: rule and exceptions			41
		(b)	The abandonment of the ................................. rule		42
		(c)			45
II.	Agency				45
	1.	Direct .................................representation: introduction			45
	2. No ...............general concept of agency in Roman law				47
	3.	Acting ............for (and through) others in Roman law			49
		(a)	Indirect representation and other substitute
		(b) ..........................................................................			49
			The paterfamilias acting through his dependants		51
		(c) ...................................................................			53
	4. The ...........................erosion of the rule against agency				54
	5. The ...........evolution of the modern concept of agency				56
III.	Cession ........................................................................................				58
	1.	Nomina ................................................ossibus inhaerent			58
	2. The . . . .use of novation and procuratio in rem suam				60
	3.	Post-classical developments,	Corpus Juris	and ius
		commune.............................................................................			62
	4.	The .....................................................turning of the tide			64
			C HAPTER 3 — STIPULATIO
	1.	The ....................................................classical stipulation			68
	2.	Evaluation ......................................of the oral formality			69
	3.	Relaxation .................................of the word formalism			72
		(a) ...............................................The words to be used			72
		(b) ................................................................			73
		(c) ..Correspondence between question and answer			73
	4. Excursus: ..........................utile per inutile поп vitiatur				75
		(a) ..............................Partial invalidity in Roman law			75
		(b) ....................	Generalization of Ulp . D . 45, 1, 1, 5		76
		(c) .................................................................			77
	5.	The ..........................atrophy of the classical stipulation			78
		(a)	(with evidentiary func
		(b) .............................................................................			78
			Gradual conversion of the stipulation	into a
		.........................................................			80
	6.	The ...........................importance of form and formality			82
		(a) ..........................................	Form as the oldest norm		82
		(b) ------	From "effective" form to "protective" form		84

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Table of Contents					xxi

		(c)			Page
			Formal requirements in modern contract law . . .		85
		(d)	Formalism or flexibility? ..........................................		87
	7.	The flexibility of the Roman		stipulation: range of
		application ...........................................................................			89
	8.	The framing of the stipulation.........................................			91
		(a)	Abstract or causal? ....................................................		91
		(b) The exceptio non numeratac pecuniac ..................			93
			C HAPTER 4 — STIPULATIO POENAE
	1.	The functions of penalty clauses		.....................................	95
		(a)	Assessment of damages ............................................		95
		(b)	"In terrorem " function .............................................		96
		(c) Indirect enforcement of unenforceable acts ...........			97
	2.	Non-genuine conventional penalty clauses ...................			98
	3.	Genuine conventional penalty clauses ...........................			100
	4.	Range of application .........................................................			103
	5.	Forfeiture of the penalty ...................................................			104
		(a) If no time has been set for performance ...............			104
		(h)	"Si per debitorem stetit . .	."..................................	105
	6.	The problem of excessive penalty clauses.....................			106
		(a) The dangers of conventional penalties...................			106
		(b) The approach of modern European legal systems			107
		(c) lus commune and South African law ....................			108
	7.	Semel commissa poena non evanescit ...........................			110
		(a)	The Celsinian interpretation ....................................		110
		(b)	Praetorian intervention ............................................		112
			CHAPTER 5 — SURETYSHIP
I.	Introduction .............................................................................				114
	1.	The contract of suretyship ...............................................			114
	2. Real security and personal security .................................				115
II.	Sponsio, Fidepromissio and Fideiussio............................				117
	1.	Sponsio................................................................................			117
	2.	The limitations of sponsio ...............................................			118
	3. Fidepromissio and the transition to fideiussio ..............				120
III. The Accessoriness of Suretyship in Rom an Law ..........					121
	1.	Limited accessoriness of fideiussio ..................................			121
		(a)	". . .nee plus in accessione [est]"...........................		121
		(b)	The availability of the debtor's exceptions ...........		123
		(c)	Invalidity of the principal obligation.......................		124
	2.	Sponsio and fidepromissio ................................................			125

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xxii	Table of (Contents
		Page
IV. Idem Debitum .......................................................................		125
1.	The classical principle of "Konsumptiouskonkurrefiz". .	125
2.	From "Konsumptiotiskonkurrenz" to "Solutioiiskonkur-
	retiz" ....................................................................................	126
3.	Correality and solidarity ..................................................	128

V.The Triplet of Privileges available to the

	Fideiussor.................................................................................			129
	1.	Bencficium excussionis vel ordinis ................................		129
	2.	Bcneficium divisionis .......................................................		131
	3.	Beneficium cedendarum actionum ..................................		132
		(a) The problem ot the surety's right of recourse
			against the main debtor ............................................	132
		(b) The construction of the beneficium cedendarum
			actionum ......................................................................	134
		(c) The recourse of the surety against his co-sureties		136
VI.	Special Types of Suretyship Transactions .....................			137
	1.	Promissio mdemnitatis 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. The Impact of Fideiussio on Modern Legal
	Systems.....................................................................................			142
	1.	Roman-Dutch law .............................................................		142
	2.	German law and the English common law ..................		144
VIII. Women as Sureties ...............................................................				145
	1.	The senatus consultum Vellaeanum ................................		145
	2.	The policy of the senatus consultum ..............................		146
	3.	The interpretation of the senatus consultum by the
		Roman lawyers ...................................................................		148
		(a)	Protection of the woman .........................................	148
		(b)	Protection of the creditor .........................................	150
		(c)	Policy conflict.............................................................	150
	4.	Justinian's contribution .....................................................		151
	5.	The position in modern law .............................................		152
			CHAPTER 6 — MUTUUM
I.	The Roman Contract of Mutuum ...................................			153
	1.	The nature of mutuum .....................................................		153
	2. Mutuum and stipulatio .....................................................			154

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Table of Contents			xxiii
			Page
3. The consensual element of mutuum ...............................			156
	(a)	Consensus and rci interventio .................................	156
	(b)	Ex meo tuum facere..................................................	158
	(c)	Towards a loan by agreement .................................	160
	(d)	Contractus mohatrae.................................................	161
4. On the "reality" of real contracts....................................			163
II. The History of the Interest Rates and Usury ..................			166
1. Policies of the Roman Republic........................................			166
2.	Maximum rates from the end of the Republic until
	Justinian ...............................................................................		168
3.	The canonical prohibition on usury in the Middle
	Ages	......................................................................................	170
4.	A clash between theory and practice? .............................		172
5.	Usura non est lucrum, scd merces .................................		174
6.	The flexible rule of the BGB ...........................................		175
III. Special Types of Loan ...........................................................			177
1.	Loans to sons in power ....................................................		177
	(a)	The senatus consultum Macedonianum and its
		policy ...........................................................................	177
	(b)	The application of the senatus consultum by the
		Roman jurists .............................................................	179
2.	Loans to merchants involved in overseas trade............		181
	(a) Pecunia traiecticia as a form of marine insurance		181
	(h) Greek custom and Roman practice ........................		183
3.	Loans to professional sportsmen .....................................		186
C H A P T E R 7 — C OM M ODATUM, DEPOSITUM, PIGNUS
I. Com modatum .........................................................................			188
1.	Commodatum and mutuum ............................................		188
2.	History and gratuitous nature of commodatum ............		189
3.	Gratis habitare ....................................................................		191
4.	The liability of the borrower...........................................		192
	(a)	The diligentissimus 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 commodati contraria .......................................		200
	(a)	Commodatum as imperfectly bilateral contract	200
	(b)	Reimbursement of expenses .....................................	201
	(c)	Recovery of damages................................................	202
6.	Loan for use today ............................................................		203

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