IN THE MATTER OF
AN ARBITRATION UNDER THE RULES OF THE
UNITED NATIONS COMMISSION ON INTERNATIONAL TRADE LAW
Alicia Grace; Ampex Retirement Master Trust; Apple Oaks Partners, LLC; Brentwood Associates Private Equity Profit Sharing Plan; Cambria Ventures, LLC; Carlos Williamson-Nasi in his own right and on behalf of Axis Services, Axis Holding, Clue and F. 305952; Carolyn Grace Baring; Diana Grace Beard; Floradale Partners, LLC; Frederick Grace; Frederick J. Warren; Frederick J. Warren IRA; Gary Olson; Genevieve T. Irwin; Genevieve T. Irwin 2002 Trust; Gerald L. Parsky; Gerald L. Parsky IRA; John N. Irwin III; José Antonio Cañedo-White in his own right and on behalf of Axis Services, Axis Holding and F. 305952; Nicholas Grace; Oliver Grace III; ON5 Investments, LLC; Rainbow Fund, L.P.; Robert M. Witt; Robert M. Witt IRA; Vista Pros, LLC; Virginia Grace
Claimants
v.
The United Mexican States
Respondent
Tribunal
Prof. Diego P. Fernández Arroyo, President
Mr. Andrés Jana Linetzky, Arbitrator
Mr. Gabriel Bottini, Arbitrator
Secretary of the Tribunal
Ms. Celeste E. Salinas Quero
August 18, 2020
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1. On June 1, 2020, the Respondent filed its Statement of Defense.
2. On June 22, 2020, in accordance with § 5(i) of Procedural Order No. 3, the Respondent filed a redacted version of the Statement of Defense, along with a Transparency Schedule requesting the protection of certain information (“Annex A”).
3. On July 13, 2020, in accordance with § 5(iv) of Procedural Order No. 3, the Claimants objected to some of the redactions proposed by the Respondent in Annex A and proposed other redactions to the Statement of Defense in a separate Transparency Schedule (“Annex B”).
4. On July 27, 2020, in accordance with § 5(v) of Procedural Order No. 1, the Respondent objected to Claimants' proposed redactions.
5. On August 4, 2020, and on August 7, 2020, upon leave granted by the Tribunal, the Claimants, respectively, the Respondent, each filed a one-page submission on the requests for redactions.
6. This arbitration is subject to (i) the NAFTA, (ii) the 1976 UNCITRAL Arbitration Rules (the “Arbitration Rules”); (iii) the procedural rules set out in Procedural Order No. 1 and, with regard to confidentiality and issues relating to the disclosure of information to the public, also by Procedural Order No. 3.
7. Procedural Order No. 3 provides in relevant part that:
“4. Confidential information consists of:
(i) Confidential business information includes, but is not limited to: confidential business communications, trade secrets, confidential research, competitively sensitive technical, marketing, financial, or sales information, business plans, customer and supplier information, or any other information that, if disclosed, could cause significant business injury.
(ii) Information that is protected against being made available to the public under the NAFTA, including information that the
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Respondent may withhold in accordance with Article 2102 (Essential Security) and Article 2105 (Disclosure of Information);
(iii) Information that is protected against being made available to the public, in the case of information of the Respondent, under the law of the Respondent, and in the case of other information, under any law or rules determined by the Tribunal to be applicable to the disclosure of such information;
(iv) Information that is protected from disclosure by a legal obligation such as a non-disclosure agreement (or similar agreements preventing disclosure or protecting confidentiality) or confidentiality order entered by other courts (for example, protective orders); or
(v) Information the disclosure of which would impede law enforcement.”1
8. The Tribunal decides on the Parties' requests and objections as set out in the completed versions of the Transparency Schedules that are attached hereto as Annexes A (Respondent's Request for Protection of Information) and B (Claimants' Request for Protection of Information). These Annexes form an integral part of the present Procedural Order.
On behalf of the Tribunal
Signature
Profesor Diego P. Fernández Arroyo
Presiding Arbitrator
Date: August 18, 2020
Place of arbitration: Toronto, Canada