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Range of application

Stipulationes poenae were employed in Roman law in conjunction with all sorts of transactions.[553] [554] [555] They were used to secure the observance of obligations arising from sale, hire or partnership agreements,[556] the enforcement of settlements or the repayment of a loan; their field of application extended to the law of property, to family law[557] and to succession.[558] In three types of transactions, however, penalty stipula­tions found a particularly prominent expression: compromissa, stipulationes duplae and cautiones vadimonium sisti.

The first two have been or will be discussed at other places,[559] the cautio relates to the law of procedure: "Cum autem in ius vocatus fuerit adversarius, neque eo die finiri potuerit negotium, vadimonium ei faciendum est, id est, ut promittat se certo die sisti."[560] Where the proceedings in iure could not be concluded within one day, the praetor permitted the plaintiff to fix the time when the defendant had to reappear in court.[561] The defendant then had to make a promise in something like the following terms: "[T]e sisti in certo loco: si non steteris, quinquaginta aureas dari spondes?"[562] The penalty would usually be fixed at half the amount in dispute.[563] Whether we are dealing here with an independent or accessory conventional penalty is not entirely clear.[564] It is in keeping with the practical relevance of stipulationes poenae that the Roman lawyers went to great pains to find the most suitable and expedient form of drafting them. Thus Labeo recommends the following versions, according to whether a duty to do or to refrain from doing something is involved:

"Si ut aliquid fiat stipulemur, et usitatius ct elegantius esse Labeo ait sic subici poenam: 'si ita factum non erit': at cum quid ne fiat stipulemur, tunc hoc modo: 'si adversus ca factum erif: et cum alia fieri, alia non fieri coniuncte stipulemur, sic comprehendum: 'si non feceris, si quid adversus ea feceris'."[565]

Forfeiture of the penalty would then be decided accordingly: where the stipulatio poenae aimed at securing forbearance ("Si in Capitolium ascenderis, centum mihi dari spondes?"), the penalty became exactable in case of contravention; where the penalty was used to exert pressure to act ("Si intra biennium Capitolium non ascenderis, centum mihi dari spondes?" ), forfeiture occurred in case of failure to do the act.

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Source: Zimmermann R.. The Law of Obligations. Roman Foundations of the Civilian Tradition. Juta & Co, Ltd,1992. — 1241 p.. 1992

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