Curriculum Vitae - BARRY APPLETON

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1 Page 1 Curriculum Vitae - BARRY APPLETON 77 Bloor St West, Suite 1800 Toronto, Ontario M5S 1M2 (416) barry.appleton@nyls.edu EDUCATION 1991 University of Cambridge (LL.M.,1991) with specialization in International Law. LL.M. Thesis: The International Law of Self-Defense under the UN Charter (Supervisor: Sir Derek Bowett, Whewell Professor of International Law,) 1989 Queen s University (J.D., 1989) Recipient of Reuben Wells Leonard Prize in International Economic Law 1985 University of Toronto (B.A. Honours in International Relations, 1985) LAW PRACTICE ADMISSIONS PROFESSIONAL EXPERIENCE New York State, 1991; Ontario, 1992; U.S. Court of International Trade, 1994 (renewed in 2016); District of Columbia, Adjunct Professor of Law, New York Law School, 185 W. Broadway, New York, NY Managing Partner, Appleton & Associates International Lawyers LP Toronto and Washington, DC (Washington, DC ) (partner with predecessor firm in ) Appleton & Associates International Lawyers is an international arbitration boutique practice. The firm works exclusively on international investment treaty and commercial arbitration, mediation, international economic law practice (such as the WTO) and domestic remedies related arbitration, such as applications for the preservation of evidence, deposition, document production, arbitration award confirmation, vacatur or enforcement.

2 Page 2 Barry Appleton is ranked in the top tier of experienced global investment treaty arbitration lawyers. He has acted as Advisor to sub-national governments on World Trade Organization, NAFTA and international economic law issues and as Arbitration Mr. Appleton has acted as lead counsel is some of most frequently cited international investment treaty arbitration decisions. He acted as counsel for the Claimant under ICSID, ICSID Additional Facility and UNCITRAL Arbitration Rules in the following: Ethyl Corporation v. Canada, (NAFTA UNCITRAL) Signa S.A. v. Canada (NAFTA UNCITRAL) S.D. Myers v. Canada (NAFTA UNCITRAL) Pope & Talbot v. Canada, (NAFTA UNCITRAL) Noble Ventures v. Romania, (ICSID) MCI Power et al. v. Ecuador, (ICSID panel and Annulment) EDF Services v Romania (ICSID) Continental Casualty Company v. Argentina (ICSID panel and Annulment) United Parcel Service of America v. Canada. (NAFTA UNCITRAL Tribunal) Merrill & Ring Forestry L.P. v. Canada (NAFTA UNCITRAL Tribunal) Quadrant Pacific Growth Fund et al. v. Costa Rica (ICSID Additional Facility) St. Marys VCNA, LLC v. Canada (NAFTA UNCITRAL Tribunal) Bilcon of Delaware et al. v. Canada (NAFTA UNCITRAL Tribunal) MCI Power et al. v. Ecuador Annulment (ICSID Ad-hoc Annulment Committee) Mesa Power v. Canada (NAFTA UNCITRAL Tribunal) Trustees of the Gabourel Family Trust et al. v. Republic of Honduras (UNCITRAL) Tennant Energy LLC v. Canada (NAFTA UNCITRAL Tribunal) ELA USA Inc v. the Republic of Estonia (UNCITRAL) Barry Appleton is actively involved in a number of global arbitration related professional bodies including: Vice Chair, International Arbitration Committee, American Bar Association Section on International Law Co-Chair, Investment Treaty Working Group, International Arbitration Committee, American Bar Association Section on International Law. (2016 ) Delegate, American Arbitration Association to the UNCITRAL Arbitration Rules Working Group negotiations held at the United Nations General Assembly in New York and the UNCITRAL Headquarters in Vienna (meetings held twice a year during ). Appleton & Associates International Lawyers is a founding supporter of the Ondemand legal and professional assistance for investment-related negotiations and dispute settlement for the LDC Program established by the United Nations Office

3 Page 3 of the High Representative for the LDCs, LLDCs, and SIDS (UN-OHRLLS) in collaboration with International Development Law Organization (IDLO). (September 2017). Counsel on Third Party Amicus submissions to the World Trade Organization Arbitration Counsel in American Arbitration Association / ICDR and UNCITRAL arbitrations. Experience in mediation, conciliation and other ADR modalities. Barry Appleton has acted as counsel in: UNCITRAL Model Law and FAA Judicial Review matters, ancillary arbitration remedy and Arbitral Award Confirmation Hearings before District Courts in the District of Columbia, New Jersey, Florida, and California. Appearances on international trade matters before the Courts of Montana and the Court of Appeals for the 9 th Circuit Policy Officer and Advisor, Office of Federal-Provincial Relations and Constitutional Affairs, Ontario Ministry of Intergovernmental Affairs, Toronto ( ; Trade Advisor to Ontario Cabinet Committee on North American Free Trade) A. TEACHING EXPERIENCE: 1. LAW SCHOOL COURSES International Arbitration Law New York Law School. Spring 2018 (scheduled for Spring 2019) Transnational Law Law 606- University of Michigan Law School. Taught with Prof. Robert Howse, - Fall 2003 International Law Seminars - One or two seminars per year in International Arbitration Course taught by Prof. Andreas Lowenfeld at New York University Faculty of Law from 1997 until 2009 (13 years). Numerous sessional seminars and guest lectures on International Arbitration and Public International law topics at New York University Faculty of Law with Professor Robert Howse from 2010 to 2016.

4 Page 4 2. LAW SCHOOL SEMINARS (PARTIAL LIST) Dispute Resolution for International Economic Law Issues. University of Toronto Faculty of Law, February 15, Potential for Reform of the Investor-State Dispute Settlement System. Allard School of Law, University of British Columbia, January 16, International Investment Law and Arbitration. Working Group on International Trade and Investment, European University Institute, Graduate, Florence, Italy, May 22, WTO Doha Roundtable, Fordham Law School, Nov.16, 2011 State Responsibility in International Arbitration. February 9, 2010, New York University Faculty of Law. Practical Approaches for Selecting Arbitrators and Conducting Arbitrations, New York University Faculty of Law, Seminar with Prof. Andreas F. Lowenfeld, October 11, International Investment Law and Financial Services. University of Michigan Faculty of law, April 11, Ex-Parte Interim Relief in International Arbitration American Arbitration Association, International Arbitration Committee, May 16, National Treatment and Expropriation in Investment Treaty Arbitration. New York University Faculty of Law. Guest Lecture for Prof. Andreas F. Lowenfeld, October B. RESEARCH AND PUBLICATIONS Primary areas of interest include International Trade and Investment Law, International Treaty Arbitration, Commercial Arbitration, International Public Law, and International Dispute Settlement. 1. BOOKS NAFTA: Legal Text and Interpretative Materials (3 volumes). West Publishing, NAFTA: Text and Selected Materials. West Publishing, Separate publication included in NAFTA: Legal Text and Interpretative Materials) Navigating NAFTA: A Concise User s Guide to the North American Free Trade Agreement. Lawyers Cooperative Publishing & Carswell Publishing Limited, 1994.

5 Page 5 2. DISCUSSION PAPERS The European Union s proposed Investment Court (Barry Appleton & Sean Stephenson. Eds). Investment Treaty Working Group, International Arbitration Committee of the ABA Section of International Law, October LEGAL REPORTERS AND SERVICES Editor-in-Chief, Appleton s Investor-State Reports. Thomson/West Publishing (Westlaw service). General Editor, Investor-State Reports Digest. Thomson/West Publishing (Westlaw service). Editor-in-Chief, Investment Treaty Service. Westlaw Service. Editor-in-Chief, Appleton s International Investment Law, and Arbitration News. Thomson/West Publishing ( ). Westlaw Service. 4. CHAPTERS, MONOGRAPHS, AND ARTICLES Time and Tide Wait for No One: The Curious Consideration of Time in International Investment Treaty Law (with Robert Howse). Chapter International Law and Time: Narratives and Techniques (Hart Publishing). Publication forthcoming Comparing ICSID and Ad Hoc Treaty Arbitration: Will Changes in ICSID Senior Management Spur Changes. II(2) Global Arbitration Review, April 14, 2007 Is there a new International Commercial Rule of Law Consensus? Richmond School of Law, Conference on The Rule of Law. April 12, International Agreements and National Health Plans in Market Limits in Health Reform: Public Success, Private Failure. (D. Drache & T. Sullivan eds.) Routledge Press: New York, 2006 Deliberations on the NAFTA Decade: Confronting Facts and Fiction in light of Recent NAFTA Decisions, in Investor Protection in the NAFTA and Beyond: Private Interest and the Public Purpose. C.D. Howe Institute, 2006.

6 Page 6 Expropriation and the Methanex Claim. 1(9) Appleton s International Investment Law and Arbitration News, With A Little Help from my Friends: Assessing the Role for Friends of the Court Briefs in Investor-State Arbitration (with Asha Kaushal). 1(8) Appleton s International Investment Law and Arbitration News, A Close Look: An Analysis of Plama v. Bulgaria. 1(3) Appleton s International Investment Law and Arbitration News, MFN and International Investment Treaty Arbitration: Have We Lost Sight of the Forest Through the Trees? 1(2) Appleton s International Investment Law and Arbitration News, Has the Tide Turned against Investment Protection, Separating Fact from Fiction: International Investment Law issues, the NAFTA and the Regulatory State. C.D. Howe Institute Commentary, May 2, 2002 (publication October 2004). Regulatory Takings: The International Law Perspective. 11 N.Y.U. Envtl. L.J NAFTA Protects the Public. Op-Ed in the National Post, April 16, Canada is Encouraging Old-fashioned Trade Barriers. National Post, March 23, Expropriation and NAFTA: International Investment Agreements and the Public Domain: External Limits on Public Policy Choices, in Globalization and the Public Domain (York University Press). International Agreements and National Health Plans: NAFTA?, In Market Limits in Health Reform: Public Success, Private Failure. Drache & Sullivan (eds.). London: Routledge Publishing, Forestry and the MAI: Protecting Investors Rights. Atlantic Forestry Review, January The Impact of Trade Agreements on North American Financial Service Regulation. Paper presented at the Conference on Competition in the Financial Services Sector, The Canadian Institute, December 2, Expropriation and the North American Free Trade Agreement. Paper presented at the Annual Meeting of the Ontario Expropriation Association, October 17, 1997.

7 Page 7 Cross-Border Claims: Fast-Track Settlements Can Help Canadian Insurance Companies with NAFTA Investment Disputes. Canadian Insurance Statistics Magazine, 1996 Annual Review. NAFTA and Investment: An Economic Constitution? Canada Watch, April/May NAFTA Rules Make Free Trade Less Free for Small Business. Access Americas Magazine, and Trade and Commerce Magazine, Spring The NAFTA Investor-State Dispute Settlement Process. Ontario Business Journal, March NAFTA s Investor-State ADR Process: System Settles Disputes Between Individuals and Governments. The Lawyers Weekly, January 27, Bigger But Not Necessarily Better. Global Investment in Canada, November The Missing Link: Meech Lake, Free Trade, and Powers of Social Ordering, in Re- Forming Canada? The Meaning of the Meech Lake Accord and the Free Trade Agreement for the Canadian State. Whyte & Peach (eds.). 1 Dean s Conference on Law and Policy 39 (Kingston, Canada: Institute of Intergovernmental Relations, 1988). 4. SELECTED CONFERENCE PANELS Panelist, Addressing Corruption through International Arbitration. ABA Section of International Law Mid-Year Meeting, (October 24, 2017) Moderator, Assessing the proposed European Union Investment Court. ABA Section of International Law 2017 Europe Forum, Barcelona, Spain, June 12, Panelist, Global Administrative Law Practices. 12 th Annual National Forum on Administrative Law and Practice, Osgoode Hall Law School, November 29, Moderator, Investor-State Dispute Settlement in the Trans-Pacific Partnership. Symposium, New York University Journal of International Law and Politics, November 17, Panelist, Fix or Throw Out? Is it time to get rid of Investor-State Arbitration in the TPP? ABA Section of International Law, Mid-Year Meeting, Tokyo, Japan, October 20, 2016.

8 Page 8 Panelist, Arbitration Approaches for Transnational Energy Disputes - Mesa Power LLC 2016 Energy Bar Association Mid-Year Meeting, Washington DC, October 5, 2016 Panelist, New York University Faculty of Law Colloquium on Assessing the EU Investment Court as an Alternative Dispute Settlement Process, September 15, Panelist, The Effect of Diplomatic Protection on Investor-State Treaty-based Disputes. ABA Americas Forum, Miami, Florida, February 29, Panelist, The Trans-Pacific Partnership Substantive International Law Obligations and Dispute Settlement. Florida Bar Association 2016 International Litigation, Arbitration and Transaction Conference, February 26, Moderator, The Trans-Pacific Partnership (TPP). ABA Section of International Law TeleConference, December 3, Keynote Address. The Evolution of Investor-State Arbitration for Intellectual Property: From NAFTA to TPP. ABA Section of International Law Intellectual Property Committee Telecast, November 16, Keynote Presentation. The Awareness of Fairness: Are there Binding Ethical Standards for Investment Treaty Arbitrators? New York City International Economic Law Working Group, March 4, 2015 (Joint Presentation with Sean Stephenson). Moderator, Everybody Come Together Over Me: Systematic Integration and Vienna Convention Art. 31(3)(c). American Society of International Law Annual Meeting, Washington DC, April 11, Commentator, 2013 Technical Barriers to Trade (TBT) Cases at the World Trade Organization. European University Institute Conference on WTO Case Law, June 3, 2014 Panelist, New mechanisms to improve the process of investor-state arbitration. Investor- State Arbitration in a Multipolar World: Challenges, Alternatives, and Reform. American Society of International Law Annual Meeting, Washington DC, April 4, The Impact of International Trade Law on Suits against the Crown. 8th Annual Conference on Crown Liability, Osgoode Hall Law School Professional Development Centre. February 17, 2012.

9 Page 9 Commentator, New York University Investment Law Forum s EU Investment Policy Post- Lisbon: What a Future EU Investment Agreement Might Look Like and Other Contemporary Issues. New York University School of Law, Center for Transnational Litigation and Commercial Law February 7, Discussant, Transparency in Investment Related Arbitration, New York University Investment Law Forum New York University Faculty of Law, February 7, Keynote Address. Is the Party Over? What Canadians Need to Know About the new US Congress. Vancouver Board of Trade 22nd Annual Economic Outlook Forum on Canada-US Relations, January 13, The Contribution of Andreas F. Lowenfeld to the development of National Treatment in Alternative Dispute Resolution. NYU Faculty of Law, Conference recognizing Prof. Andreas Lowenfeld, April 16, Keynote Address. Regulatory Takings under International Law. NYU Environmental Law Journal Conference on Regulatory Takings, New York University, April 6, Panelist, Investment Disputes and NAFTA Chapter 11. Annual Meeting of the American Society of International Law, April 6, PARLIAMENTARY AND LEGISLATIVE SUBMISSIONS International Investment Law implications on Cross-Boundary Legislation. Appearance before Canadian Senate Standing Committee on Foreign Affairs on Bill C-6, December 14, Canada s Fresh Water and NAFTA. Water Summit, Submission, and Appearance before Special Parliamentary Committee, July 24, Expert Commentary on the Multilateral Agreement on Investment. Submission and Appearance before the Special Legislative Committee on the Multilateral Agreement on Investment of British Columbia, September 30 and October 1, Professional Sports and International Trade Agreements. Appearance before the Canadian Parliamentary Sub-Committee on the Study of Sport in Canada of the Standing Committee on Canadian Heritage May 12, The Multilateral Agreement on Investment and Canadian Social Policy. Submission and Appearance before the House of Commons Standing Committee on Health, December 2, 1997.

10 Page 10 The Multilateral Agreement on Investment and the Environment. Submission and Appearance before the House of Commons Standing Committee on Foreign Affairs and International Trade, Sub-Committee on International Investment, November 18, Ordre Public and International Law. Submission and Appearance before the House of Commons Standing Committee on Industry, March 4, The North American Free Trade Agreement and Investment. Submission and Appearance before the Senate Standing Committee on Energy, the Environmental and Natural Resources, February 19, The Export Exception and the WTO TRIPs Code. Submission and Appearance before the House of Commons Standing Committee on Foreign Affairs, The Parted Coronet: The Power of the Provinces and International Trading Agreements. Submission to the Ontario Cabinet Sub-Committee on Free Trade, November 17, MEDIA Mr. Appleton has appeared as a commentator on International Law and international arbitration issues on national, regional and local television, radio and print media in Canada, including appearances on CNN, Bloomberg TV, Law360, Al Jazeera TV, Canadian Broadcasting Corp (CBC), CTV, TV Ontario, Canada AM, Business News Network and Newsworld. 7. AWARDS AND DIRECTORSHIPS Various Listings in the Chamber s Guide for International Trade and Arbitration (2017), Who s Who of International Public Law. Global Arbitration Review GAR Global 100. World Economic Forum Young Global Leader (YGL) Fellowship "Global Leadership and Public Policy for the 21st Century". Kennedy School of Government. Executive Education Program, November Director, National Chamber Foundation, U.S. Chamber of Commerce, ( ). Honorary Representative and Special Correspondent in Washington, D, C, of the Vancouver Board of Trade, Young Global Leader, World Economic Forum in Global Leader for Tomorrow by the World Economic Forum in 2001.

11 Page PHILANTHROPIC INTERESTS Chairman, Appleton Charitable Foundation Trustee, Art Gallery of Ontario Foundation ( ). Chair, Inuit Art Foundation ( ) Member, Climate Change Philanthropists Action Network (CCPAN), London, UK National Director, GreenApple Canada Smart Transportation Ranking Report 9. MEMBERSHIPS New York International Economic Law Working Group American Bar Association, Section of International Law American Society of International Law