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Procedural Issues in International Investment Arbitration by Commission, Jeffery; Moloo, Rahim

Appendices, Appendix 5C Non-Disputing State Party Participation in ICSID and UNCITRAL Arbitrations

From: Procedural Issues in International Investment Arbitration

Jeffery Commission, Rahim Moloo

From: Investment Claims (http://oxia.ouplaw.com). (c) Oxford University Press, 2015. All Rights Reserved.  Subscriber: null; date: 23 October 2019

(p. 296) (p. 297) Appendix 5C  Non-Disputing State Party Participation in ICSID and UNCITRAL Arbitrations

Case Name (in alphabetical order)

Treaty

Date of Submission

Non-Disputing State Party

Issues Addressed

ADF Group Inc. v. United States of America, ICSID Case No. ARB (AF)/00/1

NAFTA

18 January 2002

Canada

FTC Interpretation | NAFTA Article 1105 (Minimum Standard of Treatment)

18 January 2002

Mexico

NAFTA Article 1131 (Governing Law) | Government Procurement Measures | NAFTA Article 1105 (Minimum Standard of Treatment)

19 July 2002

Canada

FTC Interpretation | NAFTA Article 1105 (Minimum Standard of Treatment) | Pope and Talbot v. Canada Award

22 July 2002

Mexico

NAFTA Article 1105 (Minimum Standard of Treatment) | FTC Interpretation | Pope and Talbot v. Canada Award

Adel A Hamadi Al Tamimi v. Sultanate of Oman, ICSID Case No. ARB/11/33

US-Oman FTA

22 September 2014

United States

Burden to Establish the Content of Customary International Law | Minimum Standard of Treatment | US-Oman FTA Article 10.21 (Governing Law)

Apotex Holdings Inc. and Apotex Inc. v. United States of America, ICSID Case No. ARB(AF)/12/1

NAFTA

08 February 2013

Mexico

NAFTA Article 1139 (Definition of “investment”)

David Aven et al. v. Republic of Costa Rica, UNCITRAL ICSID Case No. UNCT/15/3

CAFTA-DR

05 December 2016

US

CAFTA-DR Article 10.5 (Minimum Standard of Treatment) | CAFTA-DR Article 10.7 (Expropriation and Compensation) | CAFTA-DR Article 10.11 (Investment and Environment) | Relationship between Chapters Ten and Seventeen

Bayview Irrigation District et al. v. United Mexican States, ICSID Case No. ARB(AF)/05/1

NAFTA

27 November 2006

United States

NAFTA Article 1101 (Scope and Coverage) | NAFTA Article 1102 (National Treatment) | NAFTA Article 1105 (Minimum Standard of Treatment)

Bear Creek Mining Corporation v. Republic of Peru, ICSID Case No. ARB/14/21

Peru-Canada FTA

09 June 2016

Canada

Peru-Canada FTA Article 812 (Expropriation) | Peru-Canada FTA Article 805 (Minimum Standard of Treatment)

Bilcon of Delaware et al v. Government of Canada, UNCITRAL, PCA Case No. 2009-04

NAFTA

19 April 2013

United States

NAFTA Article 1105 (Minimum Standard of Treatment) | NAFTA Article 1102 (National Treatment) | NAFTA Article 1116(2) (Limitations Period)

Canadian Cattlemen for Fair Trade v. United States, UNCITRAL

NAFTA

01 March 2007

Mexico

NAFTA Article 1101 (Scope and Coverage) | NAFTA Article 1102 (National Treatment)

Chemtura Corporation v. Canada, UNCITRAL

NAFTA

31 July 2009

Mexico

NAFTA Article 1105 (Minimum Standard of Treatment) | NAFTA Article 1103 (MFN)

31 July 2009

United States

NAFTA Article 1105 (Minimum Standard of Treatment) | NAFTA Article 1103 (MFN)

Commerce Group Corp. and San Sebastian Gold Mines, Inc. v. The Republic of El Salvador, ICSID Case No. ARB/09/17

CAFTA-DR

20 October 2010

Costa Rica

CAFTA-DR Article 10.18 (Conditions and limitations on consent of the parties) | CAFTA-DR Article 10.20.4 and 10.20.5 (preliminary objections)

01 November 2010

Nicaragua

CAFTA-DR Article 10.18 (Conditions and limitations on consent of the parties)

Detroit International Bridge Company v. Canada, UNCITRAL, PCA Case No. 2012-25

NAFTA

14 February 2014

Mexico

NAFTA Article 1121(1)(b) (Waiver Requirement)

14 February 2014

United States

NAFTA Articles 1116(1) and 1117(1) (Arbitrable Disputes) | NAFTA Articles 1116(2) and 1117(2) (Limitations Period) | NAFTA Article 1121(1)(b) (Waiver Requirement)

Eli Lilly and Company v. Canada, UNCITRAL, ICSID Case No. UNCT/14/2

NAFTA

18 March 2016

United States

NAFTA Articles 1116 and 1117 (Limitations Period) | Article 1105 (Minimum Standard of Treatment) | NAFTA Article 1110 (Expropriation) | NAFTA Article 1709

18 March 2016

Mexico

NAFTA Articles 1116 and 1117 (limitations period) | Article 1105 (Minimum Standard of Treatment) | NAFTA Article 1110 (Expropriation)

08 June 2016

United States

Article 1105 (Minimum Standard of Treatment) | Relationship Between NAFTA Chapters 11 and 17

Ethyl Corp. v. Canada, UNCITRAL

NAFTA

11 March 1998

Mexico

N/A

Marvin Roy Feldman Karpa v. United Mexican States, ICSID Case No. ARB(AF)/99/1

NAFTA

06 October 2000

Canada

NAFTA Articles 1121 and 1122 | NAFTA Article 1119 (Notice of Intent to Submit a Claim to Arbitration) | NAFTA Articles 1116 (Claim by an Investor of a Party on Its Own Behalf) and 1117 (Claim by an Investor of a Party on Behalf of an Enterprise)

06 October 2000

United States

NAFTA Article 1117 (Claim by an Investor of a Party on Behalf of an Enterprise)

28 June 2001

Canada

NAFTA Article 1110 (Expropriation) | NAFTA Article 1139 (Definition of “investment”) | Article 2103 (taxation) | NAFTA Article 1131 (Governing law)

Fireman’s Fund Insurance Co. v. United Mexican States, ICSID Case No. ARB(AF)/02/1

NAFTA

27 February 2003

Canada

NAFTA Chapter 14 (Financial Services) | NAFTA Article 1416 (Definition of “financial institution”)

27 February 2003

United States

NAFTA Article 1416 (Definition of “financial institution”)

GAMI Investments Inc. v. United Mexican States, UNCITRAL

NAFTA

30 June 2003

United States

Standing of Minority Non-Controlling Shareholders | NAFTA Articles 1116 (Claim by an Investor of a Party on Its Own Behalf) and 1117 (Claim by an Investor of a Party on Behalf of an Enterprise) | NAFTA Article 1139 (Definitions)

Grand River Enterprises Six Nations Ltd. v. United States, UNCITRAL

NAFTA

19 January 2009

Canada

NAFTA Article 1105 (Minimum Standard of Treatment)

International Thunderbird Gaming Corp. v. United Mexican States, UNCITRAL

NAFTA

21 May 2004

Canada

NAFTA Article 1102 (National Treatment) | Burden of Proof

21 May 2004

United States

NAFTA Articles 1116 and 1117 | NAFTA Articles 1105 and 1110

KBR, Inc. v. United Mexican States, UNCITRAL, ICSID Case No. UNCT/14/1

NAFTA

30 July 2014

Canada

NAFTA Article 1121 (Conditions Precedent) | NAFTA Article 1122 (Consent to Arbitration)

30 July 2014

United States

NAFTA Article 1121 (Conditions Precedent)

Loewen Group Inc. v. United States, ICSID Case No. ARB(AF)/98/3

NAFTA

16 October 2000

Mexico

NAFTA Article 1121 (Conditions Precedent) | Meaning of the term “measure” | Article 1117 (Claim by an Investor of a Party on Behalf of an Enterprise) | Azinian and Metalclad Awards

09 November 2001

Mexico

NAFTA Article 1131 (Governing Law) | Tribunal role in review of judicial acts and domestic law | NAFTA Article 1121 (Conditions Precedent) | NAFTA Article 1102 (National Treatment) | NAFTA Article 1105 (Minimum Standard of Treatment)

19 November 2001

Canada

NAFTA Articles 1102 (National Treatment) | NAFTA Article 1103 (MFN) | NAFTA Article 1105 (Minimum Standard of Treatment)

27 June 2002

Canada

Sources of International Law | International Conventions | Interaction Between Convention and Custom | International Custom

02 July 2002

Mexico

NAFTA Articles 1116 (Claim by an Investor of a Party on Its Own Behalf) and 1117 (Claim by an Investor of a Party on Behalf of an Enterprise)

Lone Pine Resources Inc. v. Government of Canada, ICSID Case No. UNCT/15/2

NAFTA

16 August 2017

Mexico

NAFTA Article 1101 (“Relating to” Requirement), 1105 (Minimum Standard of Treatment), and 1110 (Expropriation and Compensation)

16 August 2017

USA

NAFTA Article 1139 (Defintion of Investment), 1101 (“Relating to” Requirement), 1105 (Minimum Standard of Treatment), and 1110 (Expropriation and Compensation)

Merrill & Ring Forestry LP v. Canada, ICSID Case No. UNCT/07/1

NAFTA

14 July 2008

United States

NAFTA Articles 1116 (Claim by an Investor of a Party on Its Own Behalf) and 1117 (Claim by an Investor of a Party on Behalf of an Enterprise)

02 April 2009

Mexico

Endorsement of US Article 1128 submission dated 14 July 2008 | Feldman Award

Mercer International, Inc. v. Canada, ICSID Case No. ARBAF/12/3

NAFTA

08 May 2015

United States

NAFTA Article 1503(2) (Delegation of Authority to State Enterprises) | NAFTA Articles 1116(2) and 1117(2) (Limitations Period) | NAFTA Article 1108 (Reservations and Exceptions) | NAFTA Articles 1102 (National Treatment) and 1103 (Most-Favored-Nation) | NAFTA Article 1105 (Minimum Standard of Treatment)

08 May 2015

Mexico

NAFTA Article 1108 (Reservations and Exceptions) | NAFTA Article 1503(2) (Delegation of Authority to State Enterprises) | NAFTA Articles 1102 (National Treatment) and 1103 (Most-Favored-Nation) | NAFTA Article 1105 (Minimum Standard of Treatment)

Mesa Power Group, LLC v. Canada, UNCITRAL, PCA Case No. 2012-17

NAFTA

25 July 2014

Mexico

NAFTA Article 1120 | NAFTA Article 1108 | NAFTA Article 1503(2) | NAFTA Article 1103 (MFN)

25 July 2014

United States

NAFTA Article 1120 (Conditions Precedent) | NAFTA Article 1105 (Minimum Standard of Treatment) | NAFTA Article 1102 (National Treatment) | NAFTA Article 1108 (Reservations and Exceptions) | NAFTA Article 1131 (Governing Law)

12 June 2015

Mexico

NAFTA Article 1102 (National Treatment) | NAFTA Article 1105 (Minimum Standard of Treatment) | Bilcon Award

12 June 2015

United States

NAFTA Article 1102 (National Treatment) | NAFTA Article 1105 (Minimum Standard of Treatment) | Bilcon Award

Metalclad Corporation v. The United Mexican States, ICSID Case No. ARB(AF)/97/1

NAFTA

28 July 1999

Canada

NAFTA Article 1110 (Expropriation)

09 November 1999

United States

NAFTA coverage of actions of local governments | NAFTA Articles 105 and 201(2) | NAFTA Article 1110 (Expropriation)

Methanex Corp. v. United States, UNCITRAL

NAFTA

10 November 2000

Canada

Comments on amicus applications from International Institute for Sustainable Development, Communities for a Better Environment, Bluewater Network of Earth Island Institute, and Center for International Environmental Law

10 November 2000

Mexico

Comments on amicus applications from International Institute for Sustainable Development, Communities for a Better Environment, Bluewater Network of Earth Island Institute, and Center for International Environmental Law

30 April 2001

Canada

NAFTA Article 1131 (Governing Law) | NAFTA Article 1101 | NAFTA Article 1105 (Minimum Standard of Treatment) | NAFTA Articles 1116 and 1117 | NAFTA Article 1121 (Conditions Precedent) | NAFTA Article 1139 (Definitions)

30 April 2001

Mexico

NAFTA Article 1101 (Scope and Coverage) | NAFTA Article 1105 (Minimum Standard of Treatment) | NAFTA Article 1139 (Definitions) | SD Myers, Metalclad, Pope & Talbot, Ethyl Awards

08 February 2002

Canada

FTC Interpretation | NAFTA Article 1105 (Minimum Standard of Treatment)

11 February 2002

Mexico

FTC Interpretation | NAFTA Article 1105 (Minimum Standard of Treatment)

30 January 2004

Canada

NAFTA Article 1102 (National Treatment) | NAFTA Article 1110 (Expropriation)

30 January 2004

Mexico

NAFTA Article 1131 (Governing Law) | NAFTA Article 1105 (Minimum Standard of Treatment) | NAFTA Article 1110 (Expropriation) | NAFTA Article 1102 (National Treatment) | NAFTA Article 1139 (definition of “investment”)

Mobil Investments Canada Inc. and Murphy Oil Corporation v. Canada, ICSID Case No. ARB(AF)/07/4

NAFTA

08 July 2010

Mexico

NAFTA Article 1106 (Performance Requirements) | NAFTA Annex I

08 July 2010

United States

NAFTA Article 1108 (Reservations and Exceptions) | NAFTA Annex I

21 January 2011

Mexico

NAFTA Annex I

21 January 2011

United States

NAFTA Annex I

Mondev International Ltd. v. United States, ICSID Case No. ARB(AF)/99/2

NAFTA

09 July 2001

Canada

NAFTA Article 1121 (Conditions Precedent) | NAFTA Article 1122 (Consent to Arbitration) | NAFTA Article 2203 (no retroactive application) | NAFTA Articles 1116 and 1117 (Prescription Period) | NAFTA Article 1119 (procedural requirements) | NAFTA Article 1102 (National treatment) | NAFTA Article 1105 (Minimum Standard of Treatment) | NAFTA Article 1110 (Expropriation)

19 July 2002

Canada

Pope & Talbot Damages Award

23 July 2002

Mexico

Pope & Talbot Damages Award

Pac Rim Cayman LLC v. Republic of El Salvador, ICSID Case No. ARB/09/12

CAFTA-DR

13 May 2011

Costa Rica

CAFTA-DR Article 10.12.2 (Denial of benefits) | Definitions of “investor from a Party” and “national”

20 May 2011

United States

CAFTA-DR Article 10.12.2 (Denial of benefits) | CAFTA-DR Article 18.2 (notification requirements)

Pope & Talbot Inc. v. Canada, UNCITRAL

NAFTA

02 December 1999

Mexico

NAFTA Article 1101 (Scope and Coverage)

07 April 2000

Mexico

NAFTA Article 1131 (Governing Law) | Sources of international law | Legal relationship between NAFTA and Softwood Lumber Agreement | NAFTA Article 1110 (Expropriation) | NAFTA Article 1102 (National Treatment) | NAFTA Article 1106 (Performance Requirements)

07 April 2000

United States

NAFTA Article 1102 (National Treatment) | NAFTA Article 1106 (Performance Requirements) | Expropriation

25 May 2000

Mexico

NAFTA Article 1102 (National Treatment) | NAFTA Article 1110 (Expropriation)

25 May 2000

United States

NAFTA Article 1102 (National Treatment) | NAFTA Article 1106 (Performance Requirements) | NAFTA Articles 1110 (Expropriation) and 2103

24 July 2000

United States

NAFTA Article 1120 (Submission of a Claim to Arbitration)

01 November 2000

United States

NAFTA Article 1105 (Minimum Standard of Treatment)

05 November 2000

Mexico

NAFTA Article 1105 (Minimum Standard of Treatment) | Minimum Standard of Treatment

01 December 2000

Mexico

NAFTA Article 1102 (National Treatment) | NAFTA Article 1105 (Minimum Standard of Treatment) | Metalclad Award

01 December 2000

United States

NAFTA Article 1105 (Minimum Standard of Treatment) | SD Myers v. Canada Partial Award

01 October 2001

Mexico

NAFTA Article 1105 (Minimum Standard of Treatment) | NAFTA Article 1103 (MFN)

02 October 2001

United States

NAFTA Article 1105 (Minimum Standard of Treatment)

06 November 2001

United States

NAFTA Articles 1116 (Claim by an Investor of a Party on Its Own Behalf) and 1117 (Claim by an Investor of a Party on Behalf of an Enterprise) | NAFTA Article 1135 (Final Award)

06 November 2001

Mexico

NAFTA Article 1131 (Governing Law) | NAFTA Article 1105 (Minimum Standard of Treatment) | Metalclad Award

03 December 2001

Mexico

NAFTA Article 1105 (Minimum Standard of Treatment) | NAFTA Article 1102 (National treatment)

03 December 2001

United States

Incorporation of US Article 1128 submission dated 26 October 2001 in Methanex v. Canada

Railroad Development Corporation v. Guatemala, ICSID Case No. ARB/07/23

CAFTA-DR

01 January 2012

El Salvador

CAFTA-DR Article 10.5 (Minimum Standard of Treatment)

01 January 2012

Honduras

CAFTA-DR Article 10.5 (Minimum Standard of Treatment)

31 January 2012

United States

CAFTA-DR Article 10.5 (Minimum Standard of Treatment)

The Renco Group, Inc. v. Republic of Peru, UNCITRAL, ICSID Case No. UNCT/13/1

US-Peru TPA

10 September 2014

United States

Expedited Review Mechanisms in U.S. International Investment Agreements | US-Peru TPA Articles 10.20.4 and 10.20.5

01 September 2015

United States

US-Peru TPA Article 10.18 (Waiver Requirement) | Relationship Between US-Peru TPA Articles 10.16 and 10.18 with Respect to Waiver

11 October 2015

United States

Applicability of the “Principle of Severability” to a Waiver Submitted in an Investor-State Arbitration

Resolute Forest Products, Inc. v. Government of Canada, UNCITRAL, PCA Case No. 2016-13

NAFTA

14 June 2017

United States

NAFTA Articles 1116(2) and 1117(2) (Limitations Period) | NAFTA Article 1101(1) (“Relating to” Requirement) | NAFTA Article 1102(3) (National Treatment by States/Provinces) | NAFTA Article 2103 (Taxation Measures)

14 June 2017

Mexico

NAFTA Articles 1116(2) and 1117(2) (Limitations Period) | NAFTA Article 1101(1) (“Relating to” Requirement) | NAFTA Article 1102(3) (National Treatment by States/Provinces) | NAFTA Article 2103 (Taxation Measures)

S.D. Myers Inc. v. Canada, UNCITRAL

NAFTA

14 January 2000

Mexico

N/A

12 September 2001

Mexico

N/A

18 September 2001

United States

NAFTA Article 1139 (Definition of “investment”) | Relationship Between Articles 1116 and 1117 | Relationship Between Chapter Eleven and Other NAFTA Chapters

21-26 September 2001

Mexico

Oral submissions at second stage hearing

Spence International Investments, LLC, et al. v. Republic of Costa Rica, UNCITRAL, ICSID Case No. UNCT/13/2

CAFTA-DR

17 April 2015

El Salvador

CAFTA-DR Article 10.5 (Mininum Standard of Treatment) | CAFTA-DR Article 10.7 (Expropriation and Compensation) | CAFTA-DR Article 10.18 (Conditions and Limitations on Consent of Each Party) | CAFTA-DR Article 10.1 (Scope and Coverage)

17 April 2015

United States

CAFTA-DR Article 10.1 (Scope and Coverage) | CAFTA-DR Article 10.18 (Conditions and Limitations on Consent of Each Party) | CAFTA-DR Article 10.5 (Minimum Standard of Treatment) | CAFTA-DR Article 10.7 (Expropriation and Compensation)

TECO Guatemala Holdings, LLC v. Guatemala, ICSID Case No. ARB/10/23

CAFTA-DR

05 October 2012

Dominican Republic

CAFTA-DR Article 10.5 (Minimum Standard of Treatment)

05 October 2012

El Salvador

CAFTA-DR Article 10.5 (Minimum Standard of Treatment)

23 November 2012

United States

CAFTA-DR Article 10.5 (Minimum Standard of Treatment)

Undated

Honduras

CAFTA-DR Article 10.5 (Minimum Standard of Treatment)

United Parcel Service of America, Inc. v. Canada, UNCITRAL, ICSID Case No. UNCT/02/1

NAFTA

11 June 2001

Mexico

Comments on amicus applications from Council of Canadians and Canadian Union of Postal Workers

11 June 2001

United States

Comments on amicus applications from Council of Canadians and Canadian Union of Postal Workers

13 May 2002

Mexico

N/A

13 May 2002

United States

Relationship between NAFTA Chapters 15 and 11 | NAFTA Article 1105 (Minimum Standard of Treatment) | NAFTA Article 2103 (Exclusion of Taxation Measures)

23 August 2002

Mexico

Relationship between NAFTA Chapters 15 and 11 | Scope of NAFTA Articles 1502(3)(a) and 1503(2) | Pope & Talbot Damages Award

23 August 2002

United States

Relationship between NAFTA Chapters 15 and 11 | Delegated Governmental Authority | Relationship Between anticompetitve practices and NAFTA Articles 1102 and 1105 | Losses or Damages of US subsidiaries of US investors | Pope & Talbot Damages Award

20 October 2005

Mexico

NAFTA Articles 1116 and 1117 | NAFTA Article 1102 (National Treatment) | NAFTA Article 1005 (Minimum Standard of Treatment)

Waste Management, Inc. v. United Mexican States, ICSID Case No. ARB(AF)/98/2

NAFTA

17 December 1999

Canada

NAFTA Article 1121 (Conditions Precedent)

Waste Management, Inc. v. United Mexican States, ICSID Case No. ARB(AF)/00/3

NAFTA

19 March 2003

Canada

Breach of Contract | NAFTA Article 1105 (Minimum Standard of treatment) | NAFTA Article 1110 (Expropriation)

Windstream Energy LLC v. Government of Canada, UNCITRAL, PCA Case No. 2013-22

NAFTA

12 January 2016

Mexico

NAFTA Article 1105 (Minimum Standard of Treatment) | NAFTA Article 1110 (Expropriation)

United States

NAFTA Article 1110 (Expropriation) | NAFTA Article 1105 (Minimum Standard of Treatment) | Article 1108(7) (Procurement Exception) | NAFTA Article 1102 (National Treatment) | NAFTA Article 1103 (MFN)

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