Case Details

Koch Industries, Inc. and Koch Supply & Trading, LP v. Canada (ICSID Case No. ARB/20/52)

Subject of Dispute:

Emissions rights/allowances
Economic Sector:

Other Industry
Instrument(s) Invoked:

NAFTA (North American Free Trade Agreement), USMCA (United States-Mexico-Canada Agreement)
Applicable Rules:

ICSID Convention - Arbitration Rules

(a) Original Proceeding

Claimant(s)/Nationality(ies):

Koch Industries, Inc. (U.S.), Koch Supply & Trading, LP (U.S.)
Respondent(s):

Canada (Canadian)
Date Registered:

December 17, 2020
Date of Constitution of Tribunal:

April 27, 2021

Composition of Tribunal

President:

Eduardo ZULETA (Colombian) - Appointed by the Parties
Arbitrators:

Henri C. ÁLVAREZ (Canadian) - Appointed by the Claimant(s)
Andrea K. BJORKLUND (U.S.) - Appointed by the Respondent(s)

Party Representatives

Claimant(s):

Steptoe & Johnson, London, U.K.
Respondent(s):

Trade Law Bureau, Ottawa, Canada
Language(s) of Proceeding:

English
Status of Proceeding:

Pending
Latest Development:

April 14, 2023 - Each party files a statement of costs.

(a) Original Proceeding

Published Decisions

Notice of Intent

Request for Arbitration

Claimants’ Memorial on Jurisdiction and the Merits

Procedural Order No. 1

Confidentiality Order

Respondent’s Counter-Memorial on Jurisdiction and the Merits

Procedural Order No. 2

Claimants’ Reply Memorial on Jurisdiction and the Merits

Respondent’s Rejoinder Memorial on Jurisdiction and the Merits

Non-disputing Party Submission of the United States of America pursuant to NAFTA Article 1128

Respondent’s Response to the Non-Disputing Party Submission of the United States of America pursuant to NAFTA Article 1128

Claimants’ Response to the Non-Disputing Party Submission of the United States of America pursuant to NAFTA Article 1128

Procedural Order No. 3

Procedural Order No. 4

Claimants’ Post-Hearing Brief

Respondent’s Post-Hearing Brief

Available on the ICSID Website

Notice of Intent (February 20, 2020) English (Original)

Request for Arbitration (December 7, 2020) English (Original)

Claimants’ Memorial on Jurisdiction and the Merits (October 6, 2021) English (Original)

Procedural Order No. 1 (June 29, 2021) English (Original)

Confidentiality Order (October 7, 2021) English (Original)

Respondent’s Counter-Memorial on Jurisdiction and the Merits (February 17, 2022) English (Original)

Procedural Order No. 2 (April 12, 2022) English (Original)

Claimants’ Reply Memorial on Jurisdiction and the Merits (July 18, 2022) English (Original)

Respondent’s Rejoinder Memorial on Jurisdiction and the Merits (September 30, 2022) English (Original)

Non-disputing Party Submission of the United States of America pursuant to NAFTA Article 1128 (October 28, 2022) English (Original)

Respondent’s Response to the Non-Disputing Party Submission of the United States of America pursuant to NAFTA Article 1128 (November 11, 2022) English (Original)

Claimants’ Response to the Non-Disputing Party Submission of the United States of America pursuant to NAFTA Article 1128 (November 11, 2022) English (Original)

Procedural Order No. 3 (November 19, 2022) English (Original)

Procedural Order No. 4 (December 4, 2022) English (Original)

Claimants’ Post-Hearing Brief (January 19, 2023) English (Original)

Respondent’s Post-Hearing Brief (January 19, 2023) English (Original)

(a) Original Proceeding

Date	Development
December 17, 2020	The Secretary-General registers a request for the institution of arbitration proceedings.
January 4, 2021	Following appointment by the Claimants, Henri Álvarez (Canadian) accepts his appointment as arbitrator.
January 13, 2021	Following appointment by the Respondent, Andrea K. Bjorklund (U.S.) accepts her appointment as arbitrator.
April 27, 2021	Following appointment by agreement of the parties, Eduardo Zuleta (Colombian) accepts his appointment as presiding arbitrator.
April 27, 2021	The Tribunal is constituted in accordance with Article 37(2)(a) of the ICSID Convention. Its members are: Eduardo Zuleta (Colombian), President, appointed by agreement of the parties; Henri C. Álvarez (Canadian), appointed by the Claimants; and Andrea K. Bjorklund (U.S.), appointed by the Respondent.
June 24, 2021	The Tribunal holds a first session by video conference.
June 29, 2021	The Tribunal issues Procedural Order No. 1 concerning procedural matters.
October 6, 2021	The Claimants file a memorial on jurisdiction and the merits.
October 7, 2021	The Tribunal issues a procedural order concerning the confidentiality of documents.
February 17, 2022	The Respondent files a counter-memorial on jurisdiction and the merits.
April 1, 2022	Following exchanges between the parties, each party files a request for the Tribunal to decide on production of documents.
April 12, 2022	The Tribunal issues Procedural Order No. 2 concerning production of documents.
July 18, 2022	The Claimant files a reply on jurisdiction and the merits.
September 30, 2022	The Respondent files a rejoinder on jurisdiction and the merits.
October 28, 2022	The United States of America files a written submission as a non-disputing State Party pursuant to NAFTA Article 1128.
November 10, 2022	The Tribunal holds a pre-hearing organizational meeting with the parties by video conference.
November 11, 2022	Each party files observations on the non-disputing party’s written submission.
November 19, 2022	The Tribunal issues Procedural Order No. 3 concerning hearing organization.
December 4, 2022	The Tribunal issues Procedural Order No. 4 concerning hearing attendance by the non-disputing State party.
December 5, 2022 - December 8, 2022	The Tribunal holds a hearing on jurisdiction and the merits in Washington, D.C.
January 19, 2023	Each party files a post-hearing brief.
April 14, 2023	Each party files a statement of costs.