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THE ICSID CASELOAD –
STATISTICS
(ISSUE 2014-2)
© 2014 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 2
The ICSID Caseload – Statistics
(Issue 2014-2)
This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload, historically
and for the Centre’s fiscal year 2014. It is based on cases registered or administered by ICSID as
of June 30, 2014.
As in the previous issues, this document illustrates: the number of cases registered under the
ICSID Convention and Additional Facility Rules; the number of other cases administered by the
ICSID Secretariat; the basis of consent to ICSID jurisdiction invoked in registered arbitration and
conciliation cases; the geographic distribution of ICSID cases by the State party to the dispute,
and the economic sectors involved in ICSID disputes. It also contains data on outcomes in ICSID
arbitration and conciliation proceedings, including further information on disputes decided by
arbitral tribunals, data on discontinued ICSID arbitration proceedings, and outcomes to date in
annulment proceedings under the ICSID Convention. The nationalities and geographic origins of
arbitrators, conciliators and ad hoc committee members appointed in ICSID cases are also
featured.
The Secretariat will continue to publish the ICSID Caseload – Statistics on a bi-annual basis, and
welcomes any comments or suggestions by email at ICSIDsecretariat@worldbank.org.
© 2014 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 3
TABLE OF CONTENTS
1
PART I - ALL CASES REGISTERED AND ADMINISTERED BY ICSID
1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of June 30, 2014 6
2. Cases Registered by ICSID 7
Chart 1: Total Number of ICSID Cases Registered, by Calendar Year 7
Chart 2: Number of Cases Registered under the ICSID Convention and Additional Facility Rules, by Calendar Year 8
Chart 3: Type of Cases Registered under the ICSID Convention and Additional Facility Rules 8
3. Non-ICSID Cases Administered by the ICSID Secretariat 9
Chart 4: Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years2
9
4. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases 10
Chart 5: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered under the ICSID Convention and
Additional Facility Rules 10
5. Geographic Distribution of All ICSID Cases by State Party Involved 11
Chart 6: Geographic Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, by State Party
Involved 11
6. Distribution of All ICSID Cases by Economic Sector 12
Chart 7: Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, by Economic Sector 12
7. ICSID Arbitration and Conciliation Proceedings – Outcomes 13
Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes 13
Chart 8a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings 14
Chart 8b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis 15
Chart 9: Conciliation Proceedings under the ICSID Convention – Outcomes 16
Chart 10: Conciliation Proceedings under the ICSID Convention – Commission Reports 16
8. Annulment Proceedings under the ICSID Convention – Outcomes 17
Chart 11: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade 17
9. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 18
Chart 12: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention
and Additional Facility Rules – Distribution of Appointments by Geographic Region 18
Chart 13: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention
and Additional Facility Rules – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by
Geographic Region 19
Chart 14: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under
the ICSID Convention and Additional Facility Rules 19
1
The data is based on ICSID statistics as of June 30, 2014.
2
The ICSID Fiscal Year covers the period July 1 to June 30.
© 2014 by International Centre for Settlement of Investment Disputes.
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PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 2014 (FY2014)
1. New Cases Registered by ICSID in FY2014 22
Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2014 22
2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2014 22
Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2014 22
3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2014 23
Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2014 under the ICSID
Convention and Additional Facility Rules 23
4. Geographic Distribution of New ICSID Cases Registered in FY2014, by State Party Involved 24
Chart 4: Geographic Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules,
by State Party Involved 24
Chart 5: Geographic Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules,
by State Party Involved – Further Details 25
5. Distribution of New ICSID Cases Registered in FY2014, by Economic Sector 26
Chart 6: Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules, by Economic
Sector 26
6. ICSID Arbitration Proceedings Concluded in FY2014 – Outcomes 27
Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2014 – Outcomes 27
Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2014 – Findings 28
Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules
in FY2014 – Basis 29
7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY2014 30
Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases Registered under the
ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region 30
Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases Registered under the
ICSID Convention and Additional Facility Rules – Distribution of Appointments by ICSID and by the Parties
(or Party-appointed Arbitrators) by Geographic Region 31
Chart 10: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases
Registered under the ICSID Convention and Additional Facility Rules 32
© 2014 by International Centre for Settlement of Investment Disputes.
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PART I
ALL CASES REGISTERED AND ADMINISTERED
BY ICSID
© 2014 by International Centre for Settlement of Investment Disputes.
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1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of June 30, 2014
© 2014 by International Centre for Settlement of Investment Disputes.
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2. Cases Registered by ICSID
Chart 1: Total Number of ICSID Cases Registered, by Calendar Year:
As of June 30, 2014, ICSID had registered 473 cases under the ICSID Convention and Additional Facility Rules.
1
4
1 2 1 2 2 3 4
1
4
1 2 1
3 3 3
10 11 10
12
14
19
31
27 27
23
37
21
25 26
38
50
40
14
0
10
20
30
40
50
60
1972
1973
1974
1975
1976
1977
1978
1979
1980
1981
1982
1983
1984
1985
1986
1987
1988
1989
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
toJune30,2014
Cases Registered under the ICSID Convention and Additional Facility Rules
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Chart 2: Number of Cases Registered under the ICSID Convention and Additional Facility Rules, by Calendar Year:
Chart 3: Type of Cases Registered under the ICSID Convention and Additional Facility Rules:
1
4
1 2 1 2 1 2 4
1
4
1 2 1 2 3 3
8 8 8 9
14
18
30
21
24
21
32
20
23 25
33
40 38
13
1 1 1
1
1
1 1
2 3 2 3
1
6
2
2
4
1
2
1
4
8
2
1
2
0
10
20
30
40
50
60
1972
1973
1974
1975
1976
1977
1978
1979
1980
1981
1982
1983
1984
1985
1986
1987
1988
1989
1990
1991
1992
1993
1994
1995
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
toJune30,2014
ICSID Convention Arbitration Cases ICSID Convention Conciliation Cases
ICSID Additional Facility Arbitration Cases ICSID Additional Facility Conciliation Cases
ICSID Convention
Arbitration Cases
(420)
89%
ICSID Convention
Conciliation Cases
(7)
1.5%
ICSID Additional Facility
Arbitration Cases
(44)
9%
ICSID Additional Facility
Conciliation Cases
(2)
0.5%
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3. Non-ICSID Cases Administered by the ICSID Secretariat
Chart 4: Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years:
The ICSID Secretariat offers various levels of administrative and organizational support for non-ICSID
dispute settlement in State-State or investor-State proceedings. Among the State-State cases administered
in the past decade are the Southern Bluefin Tuna case (Australia and New Zealand v. Japan), an expert
determination proceeding under the Indus Waters Treaty of 1960, and an arbitration under the Softwood
Lumber Agreement of 2006 (United States v. Canada).
The Centre also frequently provides administrative assistance to investor-State arbitrations under the
UNCITRAL Rules or other ad hoc dispute settlement provisions. The Centre’s services in these proceedings
range from support with the organization of hearings to administrative services comparable to those
provided in ICSID cases. The Secretariat also acts as appointing authority, and decides proposals for
disqualification of arbitrators, upon request. In addition to administering UNCITRAL arbitrations, ICSID has
also assisted with the organization of hearings in arbitration proceedings conducted under the auspices of
the ICC, LCIA, PCA, and other institutions.
10
11
10
7
6
4
6
3
5
10
1
1
1
3
2
1
2
0
2
4
6
8
10
12
14
FY2005 FY2006 FY2007 FY2008 FY2009 FY2010 FY2011 FY2012 FY2013 FY2014
Investor-State UNCITRAL Arbitrations Other Cases
© 2014 by International Centre for Settlement of Investment Disputes.
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4. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases
Chart 5: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered under the ICSID Convention and
Additional Facility Rules:
ASEAN Agreement for the
Promotion and Protection
of Investments
0.5%
Bilateral Investment
Treaty (BIT)
63.0%
Dominican Republic-
United States-Central
America Free Trade
Agreement (DR-CAFTA)
1.0%
Investment Contract
between the Investor and
the Host-State
19.0%
Investment Law of the
Host-State
8.0%
North American Free
Trade Agreement (NAFTA)
3.0%
Agreement between the
United States of America
and the Sultanate of
Oman on the
Establishment of a Free
Trade Area
(Oman-U.S. FTA)
0.5%
Energy Charter Treaty
(ECT)
5.0%
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5. Geographic Distribution of All ICSID Cases, by State Party Involved
Chart 6: Geographic Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, by
State Party Involved*:
* The classification of the geographic regions above is based on the World Bank’s regional system, available at
http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries.
South America
27%
Central America &
the Carribean
6%
North America (Canada,
Mexico & U.S.)
5% Eastern Europe &
Central Asia
24%
Western Europe
3%
Sub-Saharan Africa
16%
Middle East & North Africa
11%South & East Asia &
the Pacific
8%
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6. Distribution of All ICSID Cases, by Economic Sector
Chart 7: Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, by Economic
Sector*:
* This sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf.
Finance
7%
Information &
Communication
6%
Agriculture, Fishing &
Forestry
4% Oil, Gas & Mining
26%
Electric Power &
Other Energy
13%
Water, Sanitation &
Flood Protection
6%
Construction
7%Tourism
4%
Other Industry
13%
Transportation
10%
Services &
Trade
4%
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7. ICSID Arbitration and Conciliation Proceedings – Outcomes
Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes:
Dispute decided by
Tribunal
65%
(see chart 8a)
Dispute settled or
proceeding otherwise
discontinued
35%
(see chart 8b)
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Chart 8a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings:
* Pursuant to ICSID Arbitration Rule 41(5) and Article 45(6) of the Arbitration (Additional Facility) Rules, as adopted by the ICSID Administrative Council in 2006, a
party may, at an early stage of the proceeding, file an objection that a claim is manifestly without legal merit. If the Tribunal decides that the claims are manifestly
without legal merit, it shall render an award to that effect.
Award deciding that the
claims are manifestly
without legal merit*
1%
Award declining
jurisdiction
25%
Award dismissing all
claims
28%
Award upholding claims in
part or in full
46%
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Chart 8b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility
Rules – Basis:
1
ICSID Arbitration Rule 44. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 50.
2
ICSID Arbitration Rule 43(2). No case concluded to date on the basis of Arbitration (Additional Facility) Rule 49(2).
3
In accordance with Article 44 of the ICSID Convention.
4
ICSID Administrative & Financial Regulation 14(3)(d).
5
ICSID Arbitration Rule 45. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 51.
6
ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1).
Proceeding discontinued
at the request of both
parties6
46%
Proceeding discontinued
at the request of one
party1
27%
Settlement agreement
embodied in an award at
parties' request2
17%
Proceeding discontinued
at the Initiative of the
Tribunal3
1%
Proceeding discontinued
for lack of payment of
the required advances4
8%
Proceeding discontinued
for failure of parties to
act5
1%
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Chart 9: Conciliation Proceedings under the ICSID Convention – Outcomes:
Chart 10: Conciliation Proceedings under the ICSID Convention – Commission Reports:
Conciliation
Commission Report
issued
71%
(see chart 10) Proceeding
Discontinued
29%
Report recording
failure of the Parties to
reach agreement
80%
Report recording
agreement of the
Parties
20%
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8. Annulment Proceedings under the ICSID Convention – Outcomes
Chart 11: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade:
4
9
18
96
62
0 1 0
13 11
0
3 1
8
10 0 1
5
9
0
20
40
60
80
100
120
1971-1980 1981-1990 1991-2000 2001-2010 2011 -
Number of Convention awards rendered Number of decisions rejecting the application for annulment
Number of decisions annulling the award in part or in full Number of annulment proceedings discontinued
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9. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases
Chart 12: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID
Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region*:
* The classification of the geographic regions above is based on the World Bank’s regional system, available at
http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart
reflects appointments made to Tribunals and ad hoc Committees constituted until June 30, 2014.
North America
(Canada, Mexico & U.S.)
21%
South America
11%
Central America &
the Caribbean
2%
Middle East &
North Africa
4%
Sub-Saharan Africa
2%
South & East Asia &
the Pacific
11%
Eastern Europe &
Central Asia
2%
Western Europe
47%
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Chart 13: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID
Convention and Additional Facility Rules – Distribution of Appointments by ICSID and by the Parties (or Party-appointed
Arbitrators) by Geographic Region*:
* The geographical classification is based on the World Bank’s regions, available at
http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart
reflects appointments made to Tribunals and ad hoc Committees constituted until June 30, 2014.
50 49
19 25 19
67
11
211
286
123
17
44
16
101
16
533
0
100
200
300
400
500
600
North America
(Canada, Mexico & U.S.)
South America Central America &
the Caribbean
Middle East &
North Africa
Sub-Saharan Africa South & East Asia &
the Pacific
Eastern Europe &
Central Asia
Western Europe
Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators)
Chart 14: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered
under the ICSID Convention and Additional Facility Rules:
167
163
140
96
91
80
57
52
49
46
40
38
34
34
30
26
25
23
20
19
13
13
13
13
12
11
11
11
10
10
9
9
9
9
9
8
8
8
8
7
7
7
7
7
6
6
6
6
6
5
5
5
4
4
4
4
4
4
3
3
3
3
3
2
2
2
2
2
2
2
2
2
2
2
2
2
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
0 20 40 60 80 100 120 140 160 180
United States of America
France
United Kingdom
Switzerland
Canada
Spain
Australia
Mexico
Germany
Chile
Italy
Belgium
Netherlands
New Zealand
Egypt, Arab Rep. of
Colombia
Argentina
Costa Rica
Sweden
France/Sweden/Bahrain
Austria
United Kingdom/France
Bulgaria
United States of America/Switzerland
Brazil
Argentina/Spain
Lebanon/France
Singapore
Canada/New Zealand
Philippines
Bangladesh
Canada/United Kingdom
Denmark
Greece
Uruguay
China
Slovak Republic
Switzerland/Brazil
Venezuela
Colombia/France
Ecuador
Morocco
Senegal
Thailand
Finland
India
Malaysia
Pakistan
Peru
Guyana
Iran, Islamic Rep. of/France
Somalia
Algeria
Cyprus
Germany/Austria
Guatemala
Iran, Islamic Rep. of
Nigeria
Honduras
Israel
Jamaica
Switzerland/Ireland
Togo
Barbados
Benin
Czech Republic
Gabon
Ghana
Jordan
Korea, Rep. of
Lebanon
Madagascar
Malawi
Portugal
Serbia
United States of America/France
Argentina/United States of America
United Kingdom/Ghana
Cameroon
Canada/Lebanon
Canada/Switzerland
Central African Republic
Chile/United States of America
Croatia
Dominica
France/Mauritius
Japan
Luxembourg
Norway
Slovenia
South Africa
Sri Lanka
Sudan
United States of America/Canada
StateofNationality
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Number of Appointments
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PART II
CASES REGISTERED AND ADMINISTERED
BY ICSID IN FISCAL YEAR 2014 (FY2014)
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1. New Cases Registered by ICSID in FY2014
Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2014:
2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2014
Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2014:
38
2
0
5
10
15
20
25
30
35
40
ICSID Convention Arbitration Cases
ICSID Additional Facility Arbitration Cases
10
2
0
1
2
3
4
5
6
7
8
9
10
11
Investor-State UNCITRAL Arbitrations Other Cases
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3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in
FY2014
Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2014 under the ICSID
Convention and Additional Facility Rules:
Bilateral Investment
Treaty (BIT)
49%
Investment Contract
between the Investor and
the Host-State
18%
Investment Law of the
Host-State
11%
Energy Charter Treaty
(ECT)
22%
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4. Geographic Distribution of New ICSID Cases Registered in FY2014, by State Party
Involved
Chart 4: Geographic Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility
Rules, by State Party Involved*:
* The classification of the geographic regions above is based on the World Bank’s regional system, available at
http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries.
South America
7%
Central America &
the Carribean
7%
North America (Canada,
Mexico & U.S.)
3%
Eastern Europe &
Central Asia
25% Western Europe
20%
Sub-Saharan Africa
20%
Middle East &
North Africa
15%
South & East Asia &
the Pacific
3%
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Chart 5: Geographic Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility
Rules, by State Party Involved - Further Details*:
* The classification of the geographic regions above is based on the World Bank’s regional system, available at
http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries.
3
Case involves State as Claimant.
Bosnia and
Herzegovina, 1
Bulgaria, 1
Croatia, 1 Cameroon, 1 France, 1
Cyprus, 1 Gambia, 2 Italy, 1
Hungary, 2
Spain, 6
Egypt, 4Madagascar, 1
Montenegro, 1 Mali, 1
Ukraine, 1 Nigeria, 1 Costa Rica, 1 Peru, 1
3
Uzbekistan, 2 Sudan, 1 Jordan, 1 El Salvador, 1 Venezuela, 2
Uganda, 1 Tunisia, 1 Panama, 1
Papua New
Guinea, 1 Mexico, 1
Eastern Europe &
Central Asia
Sub-Saharan
Africa
Western
Europe
Middle East &
North Africa
Central
America &
the Caribbean
South America
South & East
Asia &
the Pacific
North America
(Canada,
Mexico & U.S.)
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5. Distribution of New ICSID Cases Registered in FY2014, by Economic Sector
Chart 6: Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules, by
Economic Sector*:
* The sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf.
Finance
5%
Information &
Communication
5%
Oil, Gas & Mining
35%
Electric Power & Other
Energy
30%
Water, Sanitation &
Flood Protection
3%
Construction
5%
Other Industry
17%
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6. ICSID Arbitration Proceedings Concluded in FY2014 – Outcomes
Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2014 –
Outcomes:
Dispute decided by
Tribunal
84%
(see chart 7a)
Dispute settled or
proceeding otherwise
discontinued
16%
(see chart 7b)
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Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2014 –
Findings:
Award declining
jurisdiction
48%
Award dismissing all claims
24%
Award upholding claims in
part or in full
28%
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Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility
Rules in FY2014 – Basis:
1
ICSID Arbitration Rule 44. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 50.
2
ICSID Arbitration Rule 43(2). No case concluded to date on the basis of Arbitration (Additional Facility) Rule 49(2).
3
ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1).
Proceeding discontinued
at the request of both
parties3
50%
Proceeding discontinued
at the request of one
party1
25%
Settlement agreement
embodied in an award at
parties' request2
25%
© 2014 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 30
7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in
FY2014
Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases Registered under the
ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region*:
* The classification of the geographic regions above is based on the World Bank’s regional system, available at
http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart
reflects appointments made to Tribunals and ad hoc Committees constituted in FY2014.
North America
(Canada, Mexico & U.S.)
18%
South America
12%
Central America &
the Caribbean
2%
Middle East &
North Africa
3%
Sub-Saharan Africa
2%
South & East Asia
& the Pacific
11%
Eastern Europe &
Central Asia
2%
Western Europe
50%
© 2014 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 31
Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases Registered under the
ICSID Convention and Additional Facility Rules – Distribution of Appointments by ICSID and by the Parties (or Party-
appointed Arbitrators) by Geographic Region*:
* The classification of the geographic regions above is based on the World Bank’s regional system, available at
http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart
reflects appointments made to Tribunals and ad hoc Committees constituted in FY2014.
3 2 3
1 2
6
1
18
24
15
0
3
1
11
2
56
0
10
20
30
40
50
60
North America
(Canada, Mexico &
U.S.)
South America Central America &
the Caribbean
Middle East &
North Africa
Sub-Saharan Africa South & East Asia
& the Pacific
Eastern Europe &
Central Asia
Western Europe
Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators)
© 2014 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 32
Chart 10: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases
Registered under the ICSID Convention and Additional Facility Rules:
24
14
12
11
7
6
5
5
4
4
4
4
4
3
3
3
3
3
2
2
2
2
2
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
0 5 10 15 20 25 30
France
United States of America
United Kingdom
Spain
Australia
Switzerland
Canada
Germany
Argentina
United Kingdom/France
Colombia
Mexico
United States of America/Switzerland
Austria
Belgium
Chile
Singapore
Switzerland/Brazil
Bulgaria
China
France/Sweden/Bahrain
Guatemala
New Zealand
Argentina/Spain
Argentina/United States of America
Bangladesh
United Kingdom/Ghana
Canada/Lebanon
Chile/United States of America
Costa Rica
Netherlands
Iran, Islamic Rep. of/France
Italy
Korea, Rep.of
France/Lebanon
Malaysia
Morocco
Nigeria
Slovak Republic
Somalia
Sweden
Switzerland/Ireland
Number of Appointments
StateofNationality

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Icsid web stats 2014 2 (english)

  • 1. THE ICSID CASELOAD – STATISTICS (ISSUE 2014-2)
  • 2. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 2 The ICSID Caseload – Statistics (Issue 2014-2) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload, historically and for the Centre’s fiscal year 2014. It is based on cases registered or administered by ICSID as of June 30, 2014. As in the previous issues, this document illustrates: the number of cases registered under the ICSID Convention and Additional Facility Rules; the number of other cases administered by the ICSID Secretariat; the basis of consent to ICSID jurisdiction invoked in registered arbitration and conciliation cases; the geographic distribution of ICSID cases by the State party to the dispute, and the economic sectors involved in ICSID disputes. It also contains data on outcomes in ICSID arbitration and conciliation proceedings, including further information on disputes decided by arbitral tribunals, data on discontinued ICSID arbitration proceedings, and outcomes to date in annulment proceedings under the ICSID Convention. The nationalities and geographic origins of arbitrators, conciliators and ad hoc committee members appointed in ICSID cases are also featured. The Secretariat will continue to publish the ICSID Caseload – Statistics on a bi-annual basis, and welcomes any comments or suggestions by email at ICSIDsecretariat@worldbank.org.
  • 3. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 3 TABLE OF CONTENTS 1 PART I - ALL CASES REGISTERED AND ADMINISTERED BY ICSID 1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of June 30, 2014 6 2. Cases Registered by ICSID 7 Chart 1: Total Number of ICSID Cases Registered, by Calendar Year 7 Chart 2: Number of Cases Registered under the ICSID Convention and Additional Facility Rules, by Calendar Year 8 Chart 3: Type of Cases Registered under the ICSID Convention and Additional Facility Rules 8 3. Non-ICSID Cases Administered by the ICSID Secretariat 9 Chart 4: Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years2 9 4. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases 10 Chart 5: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered under the ICSID Convention and Additional Facility Rules 10 5. Geographic Distribution of All ICSID Cases by State Party Involved 11 Chart 6: Geographic Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, by State Party Involved 11 6. Distribution of All ICSID Cases by Economic Sector 12 Chart 7: Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, by Economic Sector 12 7. ICSID Arbitration and Conciliation Proceedings – Outcomes 13 Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes 13 Chart 8a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings 14 Chart 8b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis 15 Chart 9: Conciliation Proceedings under the ICSID Convention – Outcomes 16 Chart 10: Conciliation Proceedings under the ICSID Convention – Commission Reports 16 8. Annulment Proceedings under the ICSID Convention – Outcomes 17 Chart 11: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade 17 9. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 18 Chart 12: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region 18 Chart 13: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 19 Chart 14: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules 19 1 The data is based on ICSID statistics as of June 30, 2014. 2 The ICSID Fiscal Year covers the period July 1 to June 30.
  • 4. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 4 PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 2014 (FY2014) 1. New Cases Registered by ICSID in FY2014 22 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2014 22 2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2014 22 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2014 22 3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2014 23 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules 23 4. Geographic Distribution of New ICSID Cases Registered in FY2014, by State Party Involved 24 Chart 4: Geographic Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules, by State Party Involved 24 Chart 5: Geographic Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details 25 5. Distribution of New ICSID Cases Registered in FY2014, by Economic Sector 26 Chart 6: Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules, by Economic Sector 26 6. ICSID Arbitration Proceedings Concluded in FY2014 – Outcomes 27 Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2014 – Outcomes 27 Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2014 – Findings 28 Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in FY2014 – Basis 29 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY2014 30 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region 30 Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 31 Chart 10: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases Registered under the ICSID Convention and Additional Facility Rules 32
  • 5. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 5 PART I ALL CASES REGISTERED AND ADMINISTERED BY ICSID
  • 6. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 6 1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of June 30, 2014
  • 7. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 7 2. Cases Registered by ICSID Chart 1: Total Number of ICSID Cases Registered, by Calendar Year: As of June 30, 2014, ICSID had registered 473 cases under the ICSID Convention and Additional Facility Rules. 1 4 1 2 1 2 2 3 4 1 4 1 2 1 3 3 3 10 11 10 12 14 19 31 27 27 23 37 21 25 26 38 50 40 14 0 10 20 30 40 50 60 1972 1973 1974 1975 1976 1977 1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 toJune30,2014 Cases Registered under the ICSID Convention and Additional Facility Rules
  • 8. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 8 Chart 2: Number of Cases Registered under the ICSID Convention and Additional Facility Rules, by Calendar Year: Chart 3: Type of Cases Registered under the ICSID Convention and Additional Facility Rules: 1 4 1 2 1 2 1 2 4 1 4 1 2 1 2 3 3 8 8 8 9 14 18 30 21 24 21 32 20 23 25 33 40 38 13 1 1 1 1 1 1 1 2 3 2 3 1 6 2 2 4 1 2 1 4 8 2 1 2 0 10 20 30 40 50 60 1972 1973 1974 1975 1976 1977 1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 toJune30,2014 ICSID Convention Arbitration Cases ICSID Convention Conciliation Cases ICSID Additional Facility Arbitration Cases ICSID Additional Facility Conciliation Cases ICSID Convention Arbitration Cases (420) 89% ICSID Convention Conciliation Cases (7) 1.5% ICSID Additional Facility Arbitration Cases (44) 9% ICSID Additional Facility Conciliation Cases (2) 0.5%
  • 9. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 9 3. Non-ICSID Cases Administered by the ICSID Secretariat Chart 4: Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years: The ICSID Secretariat offers various levels of administrative and organizational support for non-ICSID dispute settlement in State-State or investor-State proceedings. Among the State-State cases administered in the past decade are the Southern Bluefin Tuna case (Australia and New Zealand v. Japan), an expert determination proceeding under the Indus Waters Treaty of 1960, and an arbitration under the Softwood Lumber Agreement of 2006 (United States v. Canada). The Centre also frequently provides administrative assistance to investor-State arbitrations under the UNCITRAL Rules or other ad hoc dispute settlement provisions. The Centre’s services in these proceedings range from support with the organization of hearings to administrative services comparable to those provided in ICSID cases. The Secretariat also acts as appointing authority, and decides proposals for disqualification of arbitrators, upon request. In addition to administering UNCITRAL arbitrations, ICSID has also assisted with the organization of hearings in arbitration proceedings conducted under the auspices of the ICC, LCIA, PCA, and other institutions. 10 11 10 7 6 4 6 3 5 10 1 1 1 3 2 1 2 0 2 4 6 8 10 12 14 FY2005 FY2006 FY2007 FY2008 FY2009 FY2010 FY2011 FY2012 FY2013 FY2014 Investor-State UNCITRAL Arbitrations Other Cases
  • 10. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 10 4. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases Chart 5: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered under the ICSID Convention and Additional Facility Rules: ASEAN Agreement for the Promotion and Protection of Investments 0.5% Bilateral Investment Treaty (BIT) 63.0% Dominican Republic- United States-Central America Free Trade Agreement (DR-CAFTA) 1.0% Investment Contract between the Investor and the Host-State 19.0% Investment Law of the Host-State 8.0% North American Free Trade Agreement (NAFTA) 3.0% Agreement between the United States of America and the Sultanate of Oman on the Establishment of a Free Trade Area (Oman-U.S. FTA) 0.5% Energy Charter Treaty (ECT) 5.0%
  • 11. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 11 5. Geographic Distribution of All ICSID Cases, by State Party Involved Chart 6: Geographic Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, by State Party Involved*: * The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. South America 27% Central America & the Carribean 6% North America (Canada, Mexico & U.S.) 5% Eastern Europe & Central Asia 24% Western Europe 3% Sub-Saharan Africa 16% Middle East & North Africa 11%South & East Asia & the Pacific 8%
  • 12. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 12 6. Distribution of All ICSID Cases, by Economic Sector Chart 7: Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, by Economic Sector*: * This sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf. Finance 7% Information & Communication 6% Agriculture, Fishing & Forestry 4% Oil, Gas & Mining 26% Electric Power & Other Energy 13% Water, Sanitation & Flood Protection 6% Construction 7%Tourism 4% Other Industry 13% Transportation 10% Services & Trade 4%
  • 13. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 13 7. ICSID Arbitration and Conciliation Proceedings – Outcomes Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes: Dispute decided by Tribunal 65% (see chart 8a) Dispute settled or proceeding otherwise discontinued 35% (see chart 8b)
  • 14. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 14 Chart 8a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings: * Pursuant to ICSID Arbitration Rule 41(5) and Article 45(6) of the Arbitration (Additional Facility) Rules, as adopted by the ICSID Administrative Council in 2006, a party may, at an early stage of the proceeding, file an objection that a claim is manifestly without legal merit. If the Tribunal decides that the claims are manifestly without legal merit, it shall render an award to that effect. Award deciding that the claims are manifestly without legal merit* 1% Award declining jurisdiction 25% Award dismissing all claims 28% Award upholding claims in part or in full 46%
  • 15. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 15 Chart 8b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis: 1 ICSID Arbitration Rule 44. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 50. 2 ICSID Arbitration Rule 43(2). No case concluded to date on the basis of Arbitration (Additional Facility) Rule 49(2). 3 In accordance with Article 44 of the ICSID Convention. 4 ICSID Administrative & Financial Regulation 14(3)(d). 5 ICSID Arbitration Rule 45. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 51. 6 ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1). Proceeding discontinued at the request of both parties6 46% Proceeding discontinued at the request of one party1 27% Settlement agreement embodied in an award at parties' request2 17% Proceeding discontinued at the Initiative of the Tribunal3 1% Proceeding discontinued for lack of payment of the required advances4 8% Proceeding discontinued for failure of parties to act5 1%
  • 16. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 16 Chart 9: Conciliation Proceedings under the ICSID Convention – Outcomes: Chart 10: Conciliation Proceedings under the ICSID Convention – Commission Reports: Conciliation Commission Report issued 71% (see chart 10) Proceeding Discontinued 29% Report recording failure of the Parties to reach agreement 80% Report recording agreement of the Parties 20%
  • 17. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 17 8. Annulment Proceedings under the ICSID Convention – Outcomes Chart 11: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade: 4 9 18 96 62 0 1 0 13 11 0 3 1 8 10 0 1 5 9 0 20 40 60 80 100 120 1971-1980 1981-1990 1991-2000 2001-2010 2011 - Number of Convention awards rendered Number of decisions rejecting the application for annulment Number of decisions annulling the award in part or in full Number of annulment proceedings discontinued
  • 18. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 18 9. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Chart 12: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region*: * The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted until June 30, 2014. North America (Canada, Mexico & U.S.) 21% South America 11% Central America & the Caribbean 2% Middle East & North Africa 4% Sub-Saharan Africa 2% South & East Asia & the Pacific 11% Eastern Europe & Central Asia 2% Western Europe 47%
  • 19. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 19 Chart 13: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region*: * The geographical classification is based on the World Bank’s regions, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted until June 30, 2014. 50 49 19 25 19 67 11 211 286 123 17 44 16 101 16 533 0 100 200 300 400 500 600 North America (Canada, Mexico & U.S.) South America Central America & the Caribbean Middle East & North Africa Sub-Saharan Africa South & East Asia & the Pacific Eastern Europe & Central Asia Western Europe Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators)
  • 20. Chart 14: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules: 167 163 140 96 91 80 57 52 49 46 40 38 34 34 30 26 25 23 20 19 13 13 13 13 12 11 11 11 10 10 9 9 9 9 9 8 8 8 8 7 7 7 7 7 6 6 6 6 6 5 5 5 4 4 4 4 4 4 3 3 3 3 3 2 2 2 2 2 2 2 2 2 2 2 2 2 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 0 20 40 60 80 100 120 140 160 180 United States of America France United Kingdom Switzerland Canada Spain Australia Mexico Germany Chile Italy Belgium Netherlands New Zealand Egypt, Arab Rep. of Colombia Argentina Costa Rica Sweden France/Sweden/Bahrain Austria United Kingdom/France Bulgaria United States of America/Switzerland Brazil Argentina/Spain Lebanon/France Singapore Canada/New Zealand Philippines Bangladesh Canada/United Kingdom Denmark Greece Uruguay China Slovak Republic Switzerland/Brazil Venezuela Colombia/France Ecuador Morocco Senegal Thailand Finland India Malaysia Pakistan Peru Guyana Iran, Islamic Rep. of/France Somalia Algeria Cyprus Germany/Austria Guatemala Iran, Islamic Rep. of Nigeria Honduras Israel Jamaica Switzerland/Ireland Togo Barbados Benin Czech Republic Gabon Ghana Jordan Korea, Rep. of Lebanon Madagascar Malawi Portugal Serbia United States of America/France Argentina/United States of America United Kingdom/Ghana Cameroon Canada/Lebanon Canada/Switzerland Central African Republic Chile/United States of America Croatia Dominica France/Mauritius Japan Luxembourg Norway Slovenia South Africa Sri Lanka Sudan United States of America/Canada StateofNationality Page | 20© 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Number of Appointments
  • 21. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 21 PART II CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 2014 (FY2014)
  • 22. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 22 1. New Cases Registered by ICSID in FY2014 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2014: 2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2014 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2014: 38 2 0 5 10 15 20 25 30 35 40 ICSID Convention Arbitration Cases ICSID Additional Facility Arbitration Cases 10 2 0 1 2 3 4 5 6 7 8 9 10 11 Investor-State UNCITRAL Arbitrations Other Cases
  • 23. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 23 3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2014 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules: Bilateral Investment Treaty (BIT) 49% Investment Contract between the Investor and the Host-State 18% Investment Law of the Host-State 11% Energy Charter Treaty (ECT) 22%
  • 24. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 24 4. Geographic Distribution of New ICSID Cases Registered in FY2014, by State Party Involved Chart 4: Geographic Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules, by State Party Involved*: * The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. South America 7% Central America & the Carribean 7% North America (Canada, Mexico & U.S.) 3% Eastern Europe & Central Asia 25% Western Europe 20% Sub-Saharan Africa 20% Middle East & North Africa 15% South & East Asia & the Pacific 3%
  • 25. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 25 Chart 5: Geographic Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules, by State Party Involved - Further Details*: * The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. 3 Case involves State as Claimant. Bosnia and Herzegovina, 1 Bulgaria, 1 Croatia, 1 Cameroon, 1 France, 1 Cyprus, 1 Gambia, 2 Italy, 1 Hungary, 2 Spain, 6 Egypt, 4Madagascar, 1 Montenegro, 1 Mali, 1 Ukraine, 1 Nigeria, 1 Costa Rica, 1 Peru, 1 3 Uzbekistan, 2 Sudan, 1 Jordan, 1 El Salvador, 1 Venezuela, 2 Uganda, 1 Tunisia, 1 Panama, 1 Papua New Guinea, 1 Mexico, 1 Eastern Europe & Central Asia Sub-Saharan Africa Western Europe Middle East & North Africa Central America & the Caribbean South America South & East Asia & the Pacific North America (Canada, Mexico & U.S.)
  • 26. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 26 5. Distribution of New ICSID Cases Registered in FY2014, by Economic Sector Chart 6: Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules, by Economic Sector*: * The sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf. Finance 5% Information & Communication 5% Oil, Gas & Mining 35% Electric Power & Other Energy 30% Water, Sanitation & Flood Protection 3% Construction 5% Other Industry 17%
  • 27. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 27 6. ICSID Arbitration Proceedings Concluded in FY2014 – Outcomes Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2014 – Outcomes: Dispute decided by Tribunal 84% (see chart 7a) Dispute settled or proceeding otherwise discontinued 16% (see chart 7b)
  • 28. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 28 Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2014 – Findings: Award declining jurisdiction 48% Award dismissing all claims 24% Award upholding claims in part or in full 28%
  • 29. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 29 Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in FY2014 – Basis: 1 ICSID Arbitration Rule 44. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 50. 2 ICSID Arbitration Rule 43(2). No case concluded to date on the basis of Arbitration (Additional Facility) Rule 49(2). 3 ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1). Proceeding discontinued at the request of both parties3 50% Proceeding discontinued at the request of one party1 25% Settlement agreement embodied in an award at parties' request2 25%
  • 30. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 30 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY2014 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region*: * The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted in FY2014. North America (Canada, Mexico & U.S.) 18% South America 12% Central America & the Caribbean 2% Middle East & North Africa 3% Sub-Saharan Africa 2% South & East Asia & the Pacific 11% Eastern Europe & Central Asia 2% Western Europe 50%
  • 31. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 31 Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by ICSID and by the Parties (or Party- appointed Arbitrators) by Geographic Region*: * The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted in FY2014. 3 2 3 1 2 6 1 18 24 15 0 3 1 11 2 56 0 10 20 30 40 50 60 North America (Canada, Mexico & U.S.) South America Central America & the Caribbean Middle East & North Africa Sub-Saharan Africa South & East Asia & the Pacific Eastern Europe & Central Asia Western Europe Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators)
  • 32. © 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement. Page | 32 Chart 10: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases Registered under the ICSID Convention and Additional Facility Rules: 24 14 12 11 7 6 5 5 4 4 4 4 4 3 3 3 3 3 2 2 2 2 2 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 0 5 10 15 20 25 30 France United States of America United Kingdom Spain Australia Switzerland Canada Germany Argentina United Kingdom/France Colombia Mexico United States of America/Switzerland Austria Belgium Chile Singapore Switzerland/Brazil Bulgaria China France/Sweden/Bahrain Guatemala New Zealand Argentina/Spain Argentina/United States of America Bangladesh United Kingdom/Ghana Canada/Lebanon Chile/United States of America Costa Rica Netherlands Iran, Islamic Rep. of/France Italy Korea, Rep.of France/Lebanon Malaysia Morocco Nigeria Slovak Republic Somalia Sweden Switzerland/Ireland Number of Appointments StateofNationality