Provisional measures in international commercial arbitrationPDF电子书下载

Chapter 1 Introduction 1

1. Definition 4

2. Characteristics 6

3. Terminology 8

4. Types of Provisional Measures 10

4.1 Measures Related to Preservation of Evidence 11

4.2 Measures Related to Conduct of Arbitration and Relations between the Parties during Arbitral Proceedings 11

4.3 Measures Aimed to Facilitate Later Enforcement of Award 12

4.4 Interim Payment 12

5. Importance of Interim Protection of Rights 13

6. Aims of the Book 17

7. Methodology 17

Chapter 2 Evolution of Provisional Measures in International Commercial Arbitration 19

1. Arbitration Rules 22

1.1 Power of Organ or Head of a Trade Institution 23

1.1.1 1915 Plan 24

1.1.2 1922 Plan 25

1.2 Recognition of Arbitrators’ Power and of Concurrent Jurisdiction 26

1.2.1ICC Arbitration Rules 1923， 1927， 1931， and 1939 26

1.2.2 Further Developments in the 1940s and Onwards 29

1.2.2.1 AAA Commercial Arbitration Rules（1944 to 1997） 31

1.2.2.2 Copenhagen Rules 31

1.2.2.3 ICC Arbitration Rules （1955 to 1988） 32

1.2.2.4 UNECE Arbitration Rules1966 33

1.2.2.5 UNECAFE Arbitration Rules1966 34

2. International and National Legislations and Court Decisions 34

2.1 1920-1930s： Breaking of Judicial Mistrust towards Arbitration- Emergence of the Concepts of Court Assistance （Decrease in Rivalry towards Arbitration） and of Arbitral Power to Grant Provisional Measures 36

2.2 1950-1960s： Even Less Rivalry but Residue of Mistrust 38

2.3 1980s： The Tide Began to Turn - Trust to Integrity of Arbitrators and Arbitration 41

3. Conclusion 43

Chapter 3 Forum to Seek Provisional Measures 47

1. General Jurisdiction of Arbitrators to Grant Provisional Measures 49

1.1 Reasons in Support of Arbitral Jurisdiction 49

1.2 Sources of Arbitral Power 54

1.2.1 Parties’ Agreement and LexArbitri 54

1.2.2 Inherent， Implied or Other Powers 56

1.3 Amendment and Exclusion of the Power 59

1.4 Mandatory Rules of Applicable Law 60

2. Exclusive Arbitral Powers to Grant Provisional Measures 61

3. Exclusive Judicial Powers to Grant Provisional Measures 64

4. Concurrent Powers of Judicial Authorities and of Arbitrators 66

4.1 Reasons in Support of Concurrent Jurisdiction 68

4.2 Jurisdiction on the Merits and Compatibility of Request for Judicial Provisional Measure with Agreement to Arbitrate 75

4.3 Court Assistance to Foreign Arbitration 80

4.4 Relationship between Arbitral Jurisdiction and Courts’ Jurisdiction 83

4.4.1 Freedom of Choice Approach 86

4.4.2 Restricted-Access Approach： Complementary and Subsidiary Principles of Jurisdiction 88

4.4.2.1 Approach of National Laws 89

4.4.2.2 Approach of Arbitration Rules 92

4.4.2.2.1 Principle of Priority 93

4.4.2.2.2 Appropriate Circumstances 94

4.4.2.2.2.1 Urgency 95

4.4.2.2.2.2 Limits of the Tribunals’ Power 96

4.4.2.2.2.3 Paralysed Tribunal 97

4.4.3 Damages as Compensation for Judicial Provisional Measures Incompatible with Arbitration Agreement or Found to be Unjustified 97

4.4.3.1 Damages Arising From Judicial Provisional Measures Incompatible with Arbitration Agreement 99

4.4.3.2 Damages Arising From Judicial Provisional Measures Compatible with Arbitration Agreement 101

4.4.4 Exclusion Agreements 102

4.5 Conflict of Jurisdictions 105

5. Conclusion 108

Chapter 4 Emergency Arbitral Provisional Measures： Complementary Mechanisms 113

1. Emergency Provisional Measures Available from Head or Organ of Institution 118

2. Emergency Arbitral Provisional Measure Procedure 120

2.1 Terminology 123

2.2 Integration with Arbitration Rules 124

2.3 Jurisdictional Relationship with Arbitral and Judicial Proceedings 125

2.3.1 Relationship to Judicial or Other Arbitral Proceedings 125

2.3.1.1 Relationship to Judicial Authorities 126

2.3.1.2 Relationship with Other Arbitral Proceedings 128

2.3.2 Relationship with Arbitral Proceedings Initiated under Arbitration Rules of the same Arbitration Institution 128

2.4 Request for Measure and Answer 130

2.4.1 Request 130

2.4.2 Answer 132

2.5 Appointment and Challenge of the Emergency Arbitrator 132

2.6 Proceedings 135

2.7 Requirements to Grant Emergency Measures 137

2.8 Form of Emergency Arbitrator’s Decision 140

2.9 Modification or Revocation of the Decision 141

2.10 Types of Emergency the Measures 142

2.11 Effect of the Decision 143

2.12 Recourse to the Decision 143

2.13 Compliance with the Decision and Consequences of Non-compliance 144

2.14 Confidentiality 147

2.15 Liability of Emergency Arbitrator 148

2.16 Costs of Emergency Measure Proceedings 149

2.17 Ex Parte Requests for Emergency Measures 150

3. Complementary Mechanisms： Can they be Useful/Effective Anyway？ 151

4. Alternative Solutions to Complementary Mechanisms 155

5. Conclusion 155

Chapter 5 Arbitral Provisional Measures 159

1. Initiation of the Proceedings for Arbitral Provisional Measures 166

1.1 Who Initiates the Proceedings： A Party or the Tribunal 167

1.2 What Should a Request Contain？ 168

2. Priority of Proceedings on Request for Provisional Measures 169

3. Requirements to Grant a Measure 170

3.1 Positive Requirements 174

3.1.1 Prima Facie Establishment of Jurisdiction 175

3.1.2 Prima Facie Establishment of Case 177

3.1.3 Urgency 178

3.1.4 Imminent Danger， Serious or Substantial Prejudice 180

3.1.5 Proportionality 182

3.2 Negative Requirements 182

3.2.1 If an Examination of the Merits of the Case is Required， the Tribunal may Refrain from Granting the Measure Requested 183

3.2.2 No Grant of Final Relief 184

3.2.3 The Tribunal may not Grant a Provisional Measure if the Applicant does not Have “Clean Hands” 185

3.2.4 The tribunal may not Grant a Measure where Such Measure is not capable of being Carried Out 186

3.2.5 When the Measure Requested is not capable of Preventing the Alleged Harm 187

3.2.6 Request Must not be Moot 187

3.3 Security for Damages 187

3.4 An Undertaking 189

4. Form of a Measure 190

4.1 Award or Order？ 192

4.2 Decision on the Form 195

4.3 Provisional Measures in Case of Extreme Urgency after the Appointment of Arbitrators 197

5. Duration of Provisional Measure 199

6. Revision Reconsideration Modification or Revocation 200

7. Types of Measures 204

7.1 Measures Concerning Preservation of Evidence 207

7.2 Injunctions 208

7.3 Security for Payment 213

7.4 Security for Costs 214

7.5 Provisional Payment 218

8. Ex Parte Measures 220

8.1 Right to be Heard as an Objection to Arbitral Power to Grant Ex Parte Provisional Measures 222

8.2 Observance of the Principle of Impartiality as an Objection to Arbitral Power to Grant Ex Parte Provisional Measures 224

8.3 Certain Other Considerations on Ex Parte Arbitral Measures 226

9. Costs Regarding Provisional Measure Proceedings 228

10. Damages as Compensation for Arbitral Provisional Measures Found to be Unjustified or Disobeyed 230

11. Conclusion 231

Chapter 6 Weight and enforceability of Arbitral Provisional Measures 237

1. Sanctions for Non-Compliance 241

1.1 Adverse Inference 242

1.2 Damages and Costs 243

2. Varying Need for Enforceability 244

3. Enforcement of Arbitral Provisional Measures 246

3.1 Enforcement at the Seat of Arbitration 247

3.1.1 Direct Enforcement of Arbitral Provisional Measures as if it were a Decision of a Court 248

3.1.2 Executory Assistance from National Judicial Authorities 248

3.1.3 Transposition of Arbitral Order into Court Order 255

3.1.4 Enforcing Separate Court Order Based on Arbitral Provisional Measures 255

3.2 Enforcement Abroad 257

3.2.1 Enforcement through National Laws 258

3.2.2 Enforcement through Treaties 259

3.3 UNCITRAL’s Endeavours 265

4. Conclusion 269

Conclusion 273

Annex 277

Bibliography 291

Subject Index 321