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Chapter 1 Introduction1

1. Definition4

2. Characteristics6

3. Terminology8

4. Types of Provisional Measures10

4.1 Measures Related to Preservation of Evidence11

4.2 Measures Related to Conduct of Arbitration and Relations between the Parties during Arbitral Proceedings11

4.3 Measures Aimed to Facilitate Later Enforcement of Award12

4.4 Interim Payment12

5. Importance of Interim Protection of Rights13

6. Aims of the Book17

7. Methodology17

Chapter 2 Evolution of Provisional Measures in International Commercial Arbitration19

1. Arbitration Rules22

1.1 Power of Organ or Head of a Trade Institution23

1.1.1 1915 Plan24

1.1.2 1922 Plan25

1.2 Recognition of Arbitrators’ Power and of Concurrent Jurisdiction26

1.2.1ICC Arbitration Rules 1923， 1927， 1931， and 193926

1.2.2 Further Developments in the 1940s and Onwards29

1.2.2.1 AAA Commercial Arbitration Rules（1944 to 1997）31

1.2.2.2 Copenhagen Rules31

1.2.2.3 ICC Arbitration Rules （1955 to 1988）32

1.2.2.4 UNECE Arbitration Rules196633

1.2.2.5 UNECAFE Arbitration Rules196634

2. International and National Legislations and Court Decisions34

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 Measures36

2.2 1950-1960s： Even Less Rivalry but Residue of Mistrust38

2.3 1980s： The Tide Began to Turn - Trust to Integrity of Arbitrators and Arbitration41

3. Conclusion43

Chapter 3 Forum to Seek Provisional Measures47

1. General Jurisdiction of Arbitrators to Grant Provisional Measures49

1.1 Reasons in Support of Arbitral Jurisdiction49

1.2 Sources of Arbitral Power54

1.2.1 Parties’ Agreement and LexArbitri54

1.2.2 Inherent， Implied or Other Powers56

1.3 Amendment and Exclusion of the Power59

1.4 Mandatory Rules of Applicable Law60

2. Exclusive Arbitral Powers to Grant Provisional Measures61

3. Exclusive Judicial Powers to Grant Provisional Measures64

4. Concurrent Powers of Judicial Authorities and of Arbitrators66

4.1 Reasons in Support of Concurrent Jurisdiction68

4.2 Jurisdiction on the Merits and Compatibility of Request for Judicial Provisional Measure with Agreement to Arbitrate75

4.3 Court Assistance to Foreign Arbitration80

4.4 Relationship between Arbitral Jurisdiction and Courts’ Jurisdiction83

4.4.1 Freedom of Choice Approach86

4.4.2 Restricted-Access Approach： Complementary and Subsidiary Principles of Jurisdiction88

4.4.2.1 Approach of National Laws89

4.4.2.2 Approach of Arbitration Rules92

4.4.2.2.1 Principle of Priority93

4.4.2.2.2 Appropriate Circumstances94

4.4.2.2.2.1 Urgency95

4.4.2.2.2.2 Limits of the Tribunals’ Power96

4.4.2.2.2.3 Paralysed Tribunal97

4.4.3 Damages as Compensation for Judicial Provisional Measures Incompatible with Arbitration Agreement or Found to be Unjustified97

4.4.3.1 Damages Arising From Judicial Provisional Measures Incompatible with Arbitration Agreement99

4.4.3.2 Damages Arising From Judicial Provisional Measures Compatible with Arbitration Agreement101

4.4.4 Exclusion Agreements102

4.5 Conflict of Jurisdictions105

5. Conclusion108

Chapter 4 Emergency Arbitral Provisional Measures： Complementary Mechanisms113

1. Emergency Provisional Measures Available from Head or Organ of Institution118

2. Emergency Arbitral Provisional Measure Procedure120

2.1 Terminology123

2.2 Integration with Arbitration Rules124

2.3 Jurisdictional Relationship with Arbitral and Judicial Proceedings125

2.3.1 Relationship to Judicial or Other Arbitral Proceedings125

2.3.1.1 Relationship to Judicial Authorities126

2.3.1.2 Relationship with Other Arbitral Proceedings128

2.3.2 Relationship with Arbitral Proceedings Initiated under Arbitration Rules of the same Arbitration Institution128

2.4 Request for Measure and Answer130

2.4.1 Request130

2.4.2 Answer132

2.5 Appointment and Challenge of the Emergency Arbitrator132

2.6 Proceedings135

2.7 Requirements to Grant Emergency Measures137

2.8 Form of Emergency Arbitrator’s Decision140

2.9 Modification or Revocation of the Decision141

2.10 Types of Emergency the Measures142

2.11 Effect of the Decision143

2.12 Recourse to the Decision143

2.13 Compliance with the Decision and Consequences of Non-compliance144

2.14 Confidentiality147

2.15 Liability of Emergency Arbitrator148

2.16 Costs of Emergency Measure Proceedings149

2.17 Ex Parte Requests for Emergency Measures150

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

4. Alternative Solutions to Complementary Mechanisms155

5. Conclusion155

Chapter 5 Arbitral Provisional Measures159

1. Initiation of the Proceedings for Arbitral Provisional Measures166

1.1 Who Initiates the Proceedings： A Party or the Tribunal167

1.2 What Should a Request Contain？168

2. Priority of Proceedings on Request for Provisional Measures169

3. Requirements to Grant a Measure170

3.1 Positive Requirements174

3.1.1 Prima Facie Establishment of Jurisdiction175

3.1.2 Prima Facie Establishment of Case177

3.1.3 Urgency178

3.1.4 Imminent Danger， Serious or Substantial Prejudice180

3.1.5 Proportionality182

3.2 Negative Requirements182

3.2.1 If an Examination of the Merits of the Case is Required， the Tribunal may Refrain from Granting the Measure Requested183

3.2.2 No Grant of Final Relief184

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 Out186

3.2.5 When the Measure Requested is not capable of Preventing the Alleged Harm187

3.2.6 Request Must not be Moot187

3.3 Security for Damages187

3.4 An Undertaking189

4. Form of a Measure190

4.1 Award or Order？192

4.2 Decision on the Form195

4.3 Provisional Measures in Case of Extreme Urgency after the Appointment of Arbitrators197

5. Duration of Provisional Measure199

6. Revision Reconsideration Modification or Revocation200

7. Types of Measures204

7.1 Measures Concerning Preservation of Evidence207

7.2 Injunctions208

7.3 Security for Payment213

7.4 Security for Costs214

7.5 Provisional Payment218

8. Ex Parte Measures220

8.1 Right to be Heard as an Objection to Arbitral Power to Grant Ex Parte Provisional Measures222

8.2 Observance of the Principle of Impartiality as an Objection to Arbitral Power to Grant Ex Parte Provisional Measures224

8.3 Certain Other Considerations on Ex Parte Arbitral Measures226

9. Costs Regarding Provisional Measure Proceedings228

10. Damages as Compensation for Arbitral Provisional Measures Found to be Unjustified or Disobeyed230

11. Conclusion231

Chapter 6 Weight and enforceability of Arbitral Provisional Measures237

1. Sanctions for Non-Compliance241

1.1 Adverse Inference242

1.2 Damages and Costs243

2. Varying Need for Enforceability244

3. Enforcement of Arbitral Provisional Measures246

3.1 Enforcement at the Seat of Arbitration247

3.1.1 Direct Enforcement of Arbitral Provisional Measures as if it were a Decision of a Court248

3.1.2 Executory Assistance from National Judicial Authorities248

3.1.3 Transposition of Arbitral Order into Court Order255

3.1.4 Enforcing Separate Court Order Based on Arbitral Provisional Measures255

3.2 Enforcement Abroad257

3.2.1 Enforcement through National Laws258

3.2.2 Enforcement through Treaties259

3.3 UNCITRAL’s Endeavours265

4. Conclusion269

Conclusion273

Annex277

Bibliography291

Subject Index321