IN THE MATTER OF AN ARBITRATION UNDER THE ARBITRATION RULES OF
THE UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW 1976
AND
PURSUANT TO THE AGREEMENT BETWEEN THE GOVERNMENT OF THE
REPUBLIC OF INDIA AND THE REPUBLIC OF MOZAMBIQUE FOR THE
RECIPROCAL PROMOTION AND PROTECTION OF INVESTMENT
BETWEEN
| PATEL ENGINEERING LIMITED | Claimant |
| and | |
| THE REPUBLIC OF MOZAMBIQUE | Respondent |
9 AUGUST 2021
[Page 2]
| Date | Number | Description |
|---|---|---|
| March 2011 | C-4a | Preliminary Study to Assess Potential Port Locations in Zambezia to Connect the Moatize Coal Mines by Rail |
| Undated | C-196 | Mozambique Coal Export Spreadsheet prepared by Kishan Daga |
| 2013 | C-197 | Map of Mozambique's Rail Corridors |
| 11 February 2011 | C-198 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga of PEL regarding meeting |
| 15 February 2011 | C-199 | Email from Kishan Daga of PEL to Rupen Patel of PEL regarding meeting with the Minister of Planning and Development |
| 26 February 2011 | C-200 | Email from Isaias Muhate of the MTC to Kishan Daga of PEL attaching work plan and fee proposal |
| 13 March 2011 | C-201 | Email exchange between Kishan Daga of PEL and Ashish Patel of PEL attaching draft of the MOI |
| 18 April 2011 | C-202 | Email from Arquimedes Nhacule of Aries to Kishan Daga of PEL attaching Portuguese translation of the MOI |
| 3 May 2011 | C-203 | Email from Judite Mula of Aries to Kishan Daga of PEL attaching the Portuguese version of the MOI |
| 6 May 2011 | C-204 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Fausto Mabota of Aries copying Kishan Daga of PEL attaching the Portuguese version of the MOI |
| 7 May 2011 | C-205 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga and Ashish Patel of PEL, attaching photo of the signing ceremony |
| 7 May 2011 | C-206 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga and Ashish Patel of PEL, attaching photo of the signing ceremony |
| 7 May 2011 | C-207 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga and Ashish Patel of PEL, attaching photo of the signing ceremony |
| 7 May 2011 | C-208 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga and Ashish Patel of PEL, attaching photo of the signing ceremony |
| 7 May 2011 | C-209 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga and Ashish Patel of PEL, attaching photo of the signing ceremony |
| 7 May 2011 | C-210 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga and Ashish Patel of PEL, attaching photo of the signing ceremony |
| 7 May 2011 | C-211 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga and Ashish Patel of PEL, attaching photo of the signing ceremony |
| 7 May 2011 | C-212 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga and Ashish Patel of PEL, attaching photo of the signing ceremony |
| 7 May 2011 | C-213 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga and Ashish Patel of PEL, attaching photo of the signing ceremony |
| 7 May 2011 | C-214 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga and Ashish Patel of PEL, attaching photo of the signing ceremony |
| 7 May 2011 | C-215 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga and Ashish Patel of PEL, attaching photo of the signing ceremony |
| 7 May 2011 | C-216 | Email from Rafique Jusob of Mozambique's Investment Promotion Centre to Kishan Daga and Ashish Patel of PEL, attaching photo of the signing ceremony |
| 9 May 2011 | C-217 | Email from canon scan to Charan Singh and Kishan Daga of PEL attaching scan of the MOI in English |
| 9 May 2011 | C-218 | Email from canon scan to Charan Singh and Kishan Daga of PEL attaching scan of the MOI in Portuguese |
| 20 December 2013 | C-219 | Letter from Kishan Daga of PEL to Gabriel Muthisse of the MTC regarding Macuse Rail and Port Project |
| 24 March 2011 | C-220 | Email from Ashish Patel of PEL to Kishan Daga of PEL regarding the MOI |
| 18 April 2011 | C-221 | Email exchange between Kishan Daga of PEL and Ashish Patel of PEL regarding the MOI |
| 14 April 2011 | C-222 | Email from Isaias Muhate of the MTC to Kishan Daga of PEL attaching draft of the MOI |
| 21 March 2011 | C-223 | Email from Rahul Mundada of PEL to Kishan Daga of PEL attaching draft of the MOI |
| 5 April 2011 | C-224 | Email from Sandeep Shetty to Kishan Daga of PEL attaching draft of the MOI |
| 5 April 2011 | C-225 | Email from Ashish Patel of PEL to Rupen Patel of PEL and Sandeep Shetty with copy to Kishan Daga of PEL attaching draft of the MOI |
| 9 May 2012 | C-226 | Chat between Kishan Daga of PEL and Arlanda Reis Cuamba of the MTC regarding presentation of the PFS |
| 17 May 2012 | C-227 | Email from Jafar Ruby of the MTC to Kishan Daga of PEL attaching the presentation to the CFM |
| 13 July 2012 | C-228 | Chat between Kishan Daga of PEL and Arlanda Reis Cuamba of the MTC regarding PEL's logo |
| 26 June 2012 | C-229 | Email from Arlanda Reis Cuamba of the MTC to Kishan Daga of PEL regarding meeting with Odebrecht |
| 1 August 2012 | C-230 | Memorandum for the Investment Council under the Framework of the Rio Tinto Project for the Development of an Integrated Transportation Corridor |
| 24 November 2012 | C-231 | Email exchange between Jose Manuel Caldeira of Sal & Caldeira to Kishan Daga of PEL regarding tender for railway and port in Macuse |
| 11 January 2013 | C-232 | Letter from Kishan Daga of PEL to Minister Zucula of the MTC regarding the meeting |
| 8 March 2013 | C-233 | Side Letter between PEL, SPI, and Grindrod |
| 15 July 2013 | C-234 | Technical Evaluation Report issued by the MTC Acquisition Management and Execution Office |
| 22 November 2012 | C-235 | Article "Mozambique Launches US$2 billion international tender for railroad project", Macauhub Rail-port News |
| 30 January 2013 | C-236 | MTC's Notice inviting to submit the expression of interest |
| 2 August 2018 | C-237 | Salim, SS. and Abdala, AAM. Application of Adobe® Photoshop® CC 2018 for identifying colour laser printer source of Xerox® brand, Egyptian Journal of Forensic Sciences, 8:46 2018 |
| 3 August 2012 | C-238 | Memorandum of Understanding between Patel and SPI |
| 7 August 2012 | C-239 | Email from Kishan Daga of PEL to Arlanda Reis Cuamba of the MTC regarding meeting with Odebrecht |
| 26 July 2013 | C-240 | Financial Evaluation Report issued by the MTC Acquisition Management and Execution Office |
| 29 July 2013 | C-241 | Letter from Kishan Daga of the PGS Consortium to the MTC expressing concerns over the MTC's handling of the tender |
| 6 August 2013 | C-242 | Letter from Kishan Daga of the PGS Consortium to Minister Zucula of the MTC lodging information request on tender process |
| 21 August 2013 | C-243 | Letter from Pedro August Ingles of the MTC to the PGS Consortium explaining complaints and appeals process |
| 2 September 2013 | C-244 | Letter from Kishan Daga of the PGS Consortium to the MTC regarding amendment of the typographical errors |
| 3 September 2013 | C-245 | Letter from Sal & Caldeira to President of Republic of Mozambique regarding tender for the concession of the Macuse railway and port project |
| 23 September 2013 | C-246 | Letter from Kishan Daga of PEL to Mr Gabriel Serafim Muthisse of the MTC regarding the MOI |
| 7 June 2011 | C-247 | M Riofrio, Why You Can't Print Counterfeit Money on Your Color Laser |
| 2 August 2021 | C-248 | Letter from Vinod Chandnani of PEL regarding Kishan Daga's mailbox |
| 25 March 2019 | C-249 | Article "Mozambique: Former minister sentenced to 14 months in prison over undue payments to IACM workers", Club of Mozambique |
| 24 April 2017 | C-250 | World Bank, Public-Private Partnerships Reference Guide, Version 3 |
| 30 March 2018 | C-251 | World Bank, Benchmarking Public-Private Partnership Procurement 2017 |
| 1 April 2018 | C-252 | World Bank, Procuring Infrastructure Public-Private Partnership Report |
| 7 October 2020 | C-253 | World Bank, Benchmarking Infrastructure Development Report |
| 1 August 2018 | C-254 | World Bank, Policy Guidelines for Managing Unsolicited Proposals for Infrastructure Projects – Volume 1: Main Findings and Recommendations |
| July 2017 | C-255 | World Bank, Policy Guidelines for Managing Unsolicited Proposals for Infrastructure Projects – Volume 2: Guidelines for the development of a Policy for Managing Unsolicited Proposals in Infrastructure Projects |
| 1 August 2018 | C-256 | World Bank, Policy Guidelines for Managing Unsolicited Proposals for Infrastructure Projects – Volume 3: Review of Experiences with Unsolicited Proposals in Infrastructure Projects |
| December 2020 | C-257 | Province of Alberta, Unsolicited Proposal Framework and Guidance |
| September 2018 | C-258 | Government of South Australia, Guidelines for the Assessment of Unsolicited Proposals |
| March 2018 | C-259 | Australian Capital Territory, The Partnership Alliance for Unsolicited Proposals |
| 16 March 2009 | C-260 | National Treasury, Republic of South Africa, National Treasury Practice Note No. 11 of 2008 / 2009 – Unsolicited Proposals |
| 18 November 2020 | C-261 | World Bank, Unsolicited Proposals |
| November 2010 | C-262 | European PPP Expertise Centre, Procurement of PPP and the use of Competitive Dialogue in Europe |
| 12 July 2011 | C-263 | Legally India, PPP Contracts Swiss Challenge Method and the Indian Law |
| 28 February 2020 | C-264 | Article "Mozambique: Embraer Bribe Comes to Trial", All Africa |
| 27 May 2021 | C-265 | Article "Mozambique: Appeals Court Order Release of Former Transport Minister", All Africa |
| 16 April 2013 | C-266 | Letter from Mr Jose Maria Morais, High Commissioner of Mozambique in India, to Ms Maria Gustava of the Ministry of Foreign Affairs and Cooperation of Mozambique with attachments |
| 5 June 2021 | C-267 | Email from Nathalie Allen of Addleshaw Goddard LLP to Juan Basombrio and Lincoln Loehrke of Dorsey &Whitney LLP regarding Document Inspection Protocol |
| 16 June 2021 | C-268 | Email from Nathalie Allen of Addleshaw Goddard LLP to Juan Basombrio and Lincoln Loehrke of Dorsey &Whitney LLP regarding Document Inspection Protocol |
| 29 June 2021 | C-269 | Letter from Sarah Vasani of Addleshaw Goddard LLP to the Tribunal, regarding the inspection protocol |
| 1 July 2021 | C-270 | Letter from Juan Basombrio of Dorsey & Whitney LLP to the Tribunal, regarding originals of the MOI |
| 4 May 2011 | C-271 | Email from Jose Manuel Caldeira to Kishan Daga and others attaching MOI |
| 12 April 2011 | C-272 | Email from Sandeep Shetty to Kishan Daga of PEL attaching draft of the MOI |
| 1998 | C-273 | Michel Kerf et al., Concessions for Infrastructure: a guide to their design and award (1998) (excerpt) |
| 2008 | C-274 | ASIAN DEVELOPMENT BANK, Public-Private Partnership Handbook (2008) (excerpt) |
| 2016 | C-275 | Zin Zawani et al., 'Malaysian experience with Public Private Partnerships (PPP) – managing unsolicited proposals', in Built Environment Project and Asset Management (2016) (excerpt) |
| 3 August 2021 | C-276 | Letter from Vinod Chandnani of PEL regarding PEL's digital transformation |
| 27 October 2018 | C-277 | Construction Times Award 2018 |
| 2017 | C-278 | Construction Times Award 2017 |
| 2011 | C-279 | ICI Outstanding Concrete Structure Award 2011 |
| 1994 | C-280 | Quality Construction Award 1994 |
| C-281 | Grindrod Website, History Page: http://www.grindrod.co.za/Pages/History | |
| C-282 | Port Maputo Website, Coal Terminal Page: https://www.portmaputo.com/terminal/coal-terminal/ | |
| C-283 | Grindrod Website, Grindrod Terminals Page: https://grindrod.co.za/Company/39/Grindrod-Terminals- | |
| 10 July 2018 | C-284 | China-Lusophone Brief Website, Chinese-funded Moatize-Macuse Logistics Corridor scheduled to launch in 2019: https://www.clbrief.com/major-infrastructure-project-coming-soon-with-chinese-engineering-and-financing/ |
| Undated | C-285 | Grindrod Limited, Geographic Profile |
| 2008-2021 | C-286 | Thomson Reuters Eikon, API 4 Richards Bay (CO-FOBRBY-SA) |
| 2008-2021 | C-287 | Bloomberg, Australia Coking Coal FOB Export Prices to India |
| December 2020 | C-288 | IEA, Coal 2020, Analysis and Forecast to 2025 |
| February 2021 | C-289 | IEA, India Energy Outlook 2021 |
| May 2019 | C-290 | Alok Shrivastava, Coal as a Market Driver for Port and Rail Infrastructure Development |
| 2017 | C-291 | CFM, Annual Statistical Information |
| 2019 | C-292 | CFM, Annual Statistical Information |
| 2015 | C-293 | USGS, 2015 Minerals Yearbook Mozambique [Advance Release] |
| 2021 | C-294 | AAR, All-Inclusive Index Less Fuel With Forecast Error Adjustment 4Q 2017 |
| December 2009 | C-295 | Bent Flybvjerg, Survival of the Unfittest, Why the Worst Infrastructure Gets Built and What We Can Do About It |
| 2017 | C-296 | Duff & Phelps, US Guide to Cost of Capital |
| 10 December 2020 | C-297 | Duff & Phelps, Duff & Phelps Recommended U.S. Equity Risk Premium Decreased from 6.0 to 5.5 |
| 2017 | C-298 | Damodaran, Equity Risk Premiums (ERP): Determinants, Estimation and Implications - The 2017 Edition, Stern School of Business |
| June 2021 | C-299 | Pablo Fernandez, Market Risk Premium and Risk Free Rate used for 88 countries in 2021 |
| 1996-2019 | C-300 | PRS, International Country Risk |
| 15 July 2021 | C-301 | Transnet SOC LTD Request for Proposal |
| 11 April 2015 | C-302 | Damodaran, Aswath, The Small Cap Premium: Where is the Beef? |
| 2009 | C-303 | Dimson E., Marsh P., Staunton M., Triumph of the Optimists |
| 29 October 2011 | C-304 | Crain, Michael A., A Literature Review of the Size Effect |
| June 2014 | C-305 | Advisory Research, The Value and Size Effects in Emerging Markets, Advisory Research |
| 22 January 2014 | C-306 | Bryan, Alex, Does the Small-Cap Premium Exist? Morningstar |
| 21 January 2021 | C-307 | Financial Times, Vale Takes First Step to Divest Coal Assets |
| 21 January 2021 | C-308 | Barclays, Vale, Moatize Cleanup Ahead of Sale |
| 1 June 2013 | C-309 | PwC, Worldwide Tax Summaries, Corporate Taxes 2013-14 |
| August 2015 - June 2021 | C-310 | Federal Reserve Economic Database (FRED), US Monthly Consumer Price Index for All Urban Consumers |
| 2021 | C-311 | US Department of the Treasury, Daily Treasury Yield Curve Rates |
| July 2021 | C-312 | Damodaran, Historical ERP by Month |
| 1 July 2021 | C-313 | Bloomberg, Unlevered Betas |
| July 2021 | C-314 | Damodaran, Country and Equity Risk Premiums |
| 16 February 2016 | C-315 | OECD, Recent Market Developments in the Global Steel Industry |
| 31 March 2008, 30 June 2008 | C-316 | Transnet Annual Financial Results |
| 2010 | C-317 | Transnet, Annual Report |
| 2012 | C-318 | Transnet, Annual Financial Statements |
| 2008-2021 | C-319 | Bloomberg, EBITDA Margins 2008-2012 |
| 2013 | C-320 | US Department of the Treasury, Daily Treasury Yield Curve Rates |
| June 2013 | C-321 | Pablo Fernandez, Market Risk Premium and Risk Free Rate Used for 51 Countries in 2013 |
| 20 March 2013 | C-322 | Duff & Phelps, Duff & Phelps Decreases U.S. Equity Risk Premium to 5.0%, Effective February 28 2013 |
| 2013 | C-323 | Bloomberg, Unlevered Betas |
| July 2013 | C-324 | Damodaran, Equity Risk Premiums, Looking Backwards and Forwards |
| 2013-2021 | C-325 | FRED, US Bank Prime Loan Rate |
| 24 January 2011 | C-326 | Letter from PEL to the NHAI regarding Letter of Award |
| 1 February 2011 | C-327 | Letter from PEL to the NHAI regarding bid security |
| 3 February 2011 | C-328 | Letter from PEL to the NHAI regarding Non-acceptance of Letter of Award |
| 24 February 2011 | C-329 | Show Cause Notice issued by the NHAI |
| 1 March 2011 | C-330 | Letter from PEL to the NHAI regarding Reply to Show Cause Notice |
| 27 January 2021 | C-331 | Email from Khody Detwiler to Nathalie Allen regarding an inquiry from Mozambique |
| 2012 | C-332 | IEA, Medium Term Coal Market Report |
| July 2013 | C-333 | EIA, International Energy Outlook 2013 |
| C-334 | Comparison of the UNCITRAL Jurisdictional Objections & Statement of Defence and the ICC Statement of Claim | |
| 19 May 2021 | C-335 | Mozambique's ICC Statement of Claim |
| 23 September 2020 | C-336 | Letter from Antonio Veloso of Pimenta e Associados to the MTC regarding access to information request |
| 2 October 2020 | C-337 | Letter from Antonio Manuel Mateus of the MTC to Pimenta e Associados regarding access to information request |
| 14 October 2020 | C-338 | Letter from Antonio Manuel Mateus of the MTC to Pimenta e Associados regarding access to information request |