Strategies to evade the restriction
Furthermore, the awkward problem of the lack of interest could easily be avoided by the parties; they simply had to add a stipulatio poenae and to make forfeiture of the penalty dependent on non-performance by the promisor towards the third party: "ergo si quis stipuletur Titio dari, nihil agit, sed si addiderit de poena 'nisi dederis, tot aureos dare spondes?' tunc committitur stipulatio" (Inst.
Ill, 19, 19). It was one of the functions of stipulationes poenae to render unnecessary the assessment of what was owed as a consequence of a breach of the promise.[168] Irrespective of whether there was an interest or not, if what had been promised had not been given, the lump sum of "tot aureos" was forfeited:"[P]lane si velim hoc facere, poenam sripulari conveniet, ut, si ita factum non sit, ut comprehensum est, committetur stipulatio etiam ei, cuius nihil interest: poenam enim cum stipulatur quis, non illud inspicitur, quid intersit, sed quae sit quantitas quaeque condicio stipulationis" (Ulp. D. 45, 1, 38, 17).
In this way, a (non-genuine) contract in favour of a third party could be made indirectly enforceable. The penalty clause put the promisor under some pressure to honour his promise and, thus, the practical effects of the "alteri stipulari nemo potest" rule were less dramatic than would appear at first glance.[169] Also, the parties could avail themselves of the institution of a solutionis causa adiectus.[170] [171] [172] While a promise could not be made in favour of Titius, it could be made in favour of either me or Titius. A stipulation of the type "mihi aut Titio dari spondesne?" was valid; although, of course, no right to claim payment was being conferred on Titius, he was entitled to receive payment: "Titius nee petere nee novare nee acceptum facere potest, tantumque ei solvi potest" (Paul. D. 46, 3, 10). Thus, the situation here is similar to the one arising under a (non-genuine) penalty clause:30 performance only to me is "in stipulatione", performance to Titius is a datio merely "in exsolutione". If, on the other hand, the addition of Titius could not only be regarded as solutionis causa, but if (part-)performance to him was the object of the stipulation ("mihi et Titio decern dari spondesne?"), the stipulation, at least as far as this addition was concerned, could not be regarded as valid.31 The Sabinians, following a very formal "blue-pencil approach",[173] simply struck out what was invalid—i.e. the word "et Titio". The result was that, contrary to the obvious intention of the parties, the ten were owed to the stipulator. The Proculians, however, went beyond the strictly literal interpretation of the formal declaration and regarded "et Titio" not merely as an invalid part of the formula but as an invalid negotium. It would be strange, they argued, if the invalidity of the stipulation in favour of Titius were to have the effect of automatically increasing the amount owed to the stipulator. Thus they advocated upholding the stipulation in the stipulator's favour for five.[174] Furthermore, delegatio solvendi[175] and adstipulatio[176] served to compensate for the lack of, and to satisfy the need for, a contract in favour of third parties. 3.
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