THE ICSID CASELOAD STATISTICS (ISSUE )

Transcription

1 THE ICSID CASELOAD STATISTICS (ISSUE 0-)

2 The ICSID Caseload Statistics (Issue 0-) This issue of the ICSID Caseload Statistics updates the profile of the ICSID caseload, historically and for the calendar year 0. It is based on cases registered or administered by ICSID as of December, 0. 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 at ICSIDsecretariat@worldbank.org. 0 by International Centre for Settlement of Investment Disputes. Page

3 TABLE OF CONTENTS PART I - ALL CASES REGISTERED AND ADMINISTERED BY ICSID. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of December, 0 6. Cases Registered by ICSID 7 Chart : Total Number of ICSID Cases Registered, by Calendar Year 7 Chart : Number of Cases Registered under the ICSID Convention and Additional Facility Rules, by Calendar Year 8 Chart : Type of Cases Registered under the ICSID Convention and Additional Facility Rules 8. Non-ICSID Cases Administered by the ICSID Secretariat 9 Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years 9. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases 0 Chart 5: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered under the ICSID Convention and Additional Facility Rules 0 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 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 7. ICSID Arbitration and Conciliation Proceedings Outcomes Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules Outcomes Chart 8a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules Findings Chart 8b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules Basis 5 Chart 9: Conciliation Proceedings under the ICSID Convention Outcomes 6 Chart 0: Conciliation Proceedings under the ICSID Convention Commission Reports 6 8. Annulment Proceedings under the ICSID Convention Outcomes 7 Chart : Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade 7 9. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 8 Chart : 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 8 Chart : 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 9 Chart : State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules 0 The data is based on ICSID statistics as of December, 0. The ICSID Fiscal Year covers the period July to June 0. 0 by International Centre for Settlement of Investment Disputes. Page

4 PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN 0. New Cases Registered by ICSID in 0 Chart : Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in 0. Non-ICSID Cases Administered by the ICSID Secretariat in 0 Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat in 0. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 0 Chart : Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 0 under the ICSID Convention and Additional Facility Rules. Geographic Distribution of New ICSID Cases Registered in 0, by State Party Involved Chart : Geographic Distribution of New Cases Registered in 0 under the ICSID Convention and Additional Facility Rules, by State Party Involved Chart 5: Geographic Distribution of New Cases Registered in 0 under the ICSID Convention and Additional Facility Rules, by State Party Involved Further Details 5 5. Distribution of New ICSID Cases Registered in 0, by Economic Sector 6 Chart 6: Distribution of New Cases Registered in 0 under the ICSID Convention and Additional Facility Rules, by Economic Sector 6 6. ICSID Arbitration Proceedings Concluded in 0 Outcomes 7 Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 0 Outcomes 7 Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 0 Findings 8 Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in 0 Basis 9 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 0 0 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 0 in Cases Registered under the ICSID Convention and Additional Facility Rules Distribution of Appointments by Geographic Region 0 Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 0 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 Chart 0: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in 0 in Cases Registered under the ICSID Convention and Additional Facility Rules 0 by International Centre for Settlement of Investment Disputes. Page

5 PART I ALL CASES REGISTERED AND ADMINISTERED BY ICSID 0 by International Centre for Settlement of Investment Disputes. Page 5

6 . Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of December, 0 0 by International Centre for Settlement of Investment Disputes. Page 6

7 Cases Registered by ICSID Chart : Total Number of ICSID Cases Registered, by Calendar Year: Cases Registered under the ICSID Convention and Additional Facility Rules As of December, 0, ICSID had registered 59 cases under the ICSID Convention and Additional Facility Rules. 0 by International Centre for Settlement of Investment Disputes. Page 7

8 Chart : Number of Cases Registered under the ICSID Convention and Additional Facility Rules by Calendar Year: ICSID Convention Arbitration Cases ICSID Additional Facility Arbitration Cases ICSID Convention Conciliation Cases ICSID Additional Facility Conciliation Cases Chart : Type of Cases Registered under the ICSID Convention and Additional Facility Rules: ICSID Convention Arbitration Cases 07 (89%) ICSID Convention Conciliation Cases 7 (.5%) ICSID Additional Facility Arbitration Cases (9%) ICSID Additional Facility Conciliation Cases (0.5%) 0 by International Centre for Settlement of Investment Disputes. Page 8

9 . Non-ICSID Cases Administered by the ICSID Secretariat Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years: FY005 FY006 FY007 FY008 FY009 FY00 FY0 FY0 FY0 July - Dec., Investor-State UNCITRAL Arbitrations Other Cases 0 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 960, and an arbitration under the Softwood Lumber Agreement of 006 (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. 0 by International Centre for Settlement of Investment Disputes. Page 9

10 . 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: 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% ASEAN Agreement for the Promotion and Protection of Investments 0.5% North American Free Trade Agreement (NAFTA).0% Investment Law of the Host-State 8.0% Bilateral Investment Treaty (BIT) 6.0% Investment Contract between the Investor and the Host-State 9.0% Dominican Republic- United States-Central America Free Trade Agreement (DR-CAFTA).0% 0 by International Centre for Settlement of Investment Disputes. Page 0

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*: Central America & the Carribean 7% North America (Canada, Mexico & U.S.) 5% Eastern Europe & Central Asia % Western Europe % South America 7% Sub-Saharan Africa 6% South & East Asia & the Pacific 8% Middle East & North Africa % * The classification of the geographic regions above is based on the World Bank s regional system, available at and also includes World Bank donor countries. 0 by International Centre for Settlement of Investment Disputes. 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*: Information & Communication 6% Agriculture, Fishing & Forestry % Oil, Gas & Mining 6% Finance 7% Services & Trade % Electric Power & Other Energy % Transportation 0% Water, Sanitation & Flood Protection 6% Other Industry % Tourism % Construction 7% * This sector classification is based on the World Bank s sector codes, available at 0 by International Centre for Settlement of Investment Disputes. 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 6% (see chart 8a) Dispute settled or proceeding otherwise discontinued 6% (see chart 8b) 0 by International Centre for Settlement of Investment Disputes. Page

14 Chart 8a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules Findings: Award declining jurisdiction 5% Award dismissing all claims 8% Award deciding that the claims are manifestly without legal merit %* Award upholding claims in part or in full 6% * Pursuant to ICSID Arbitration Rule (5) and Article 5(6) of the Arbitration (Additional Facility) Rules, as adopted by the ICSID Administrative Council in 006, a party may, at an early stage of the proceeding, file an objection that a claim is manifestly without merit. If the Tribunal decides that the claims are manifestly without legal merit, it shall render an award to that effect. 0 by International Centre for Settlement of Investment Disputes. Page

15 Chart 8b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules Basis: Proceeding discontinued at the request of one party 7% Settlement agreement embodied in an award at parties' request 6% Proceeding discontinued at the Initiative of the Tribunal % Proceeding discontinued for lack of payment of the required advances 8% Proceeding discontinued at the request of both parties 6 7% Proceeding discontinued for failure of parties to act 5 % ICSID Arbitration Rule. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 50. ICSID Arbitration Rule (). No case concluded to date on the basis of Arbitration (Additional Facility) Rule 9(). In accordance with Article of the ICSID Convention. ICSID Administrative & Financial Regulation ()(d). 5 ICSID Arbitration Rule 5. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 5. 6 ICSID Arbitration Rule () and Arbitration (Additional Facility) Rule 9(). 0 by International Centre for Settlement of Investment Disputes. Page 5

16 Chart 9: Conciliation Proceedings under the ICSID Convention Outcomes: Conciliation Commission Report issued 7% (see chart 0) Proceeding Discontinued 9% Chart 0: Conciliation Proceedings under the ICSID Convention Commission Reports: Report recording failure of the Parties to reach agreement 80% Report recording agreement of the Parties 0% 0 by International Centre for Settlement of Investment Disputes. Page 6

17 8. Annulment Proceedings under the ICSID Convention Outcomes Chart : Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade: Number of Convention awards rendered Number of decisions annulling the award in part or in full Number of decisions rejecting the application for annulment Number of annulment proceedings discontinued 0 by International Centre for Settlement of Investment Disputes. Page 7

18 9. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Chart : 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*: Central America & the Caribbean % Middle East & North Africa % Sub-Saharan Africa % South & East Asia & the Pacific 0% Eastern Europe & Central Asia % South America % Western Europe 7% North America (Canada, Mexico & U.S.) % * The classification of the geographic regions above is based on the World Bank s regional system, available at and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted until December, 0. 0 by International Centre for Settlement of Investment Disputes. Page 8

19 Chart : 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*: North America (Canada, Mexico & U.S.) 5 South America 6 7 Central America & the Caribbean Appointments by ICSID 5 7 Middle East & North Africa 6 Sub-Saharan Africa 6 9 South & East Asia & the Pacific Appointments by the Parties (or Party-appointed Arbitrators) 0 Eastern Europe & Central Asia Western Europe * The geographical classification is based on the World Bank s regions as set forth at and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted until December, 0. 0 by International Centre for Settlement of Investment Disputes. Page 9

20 State of Nationality of Appointee Chart : State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules: United States of America/Canada United Kingdom/Ghana Sudan Sri Lanka South Africa Slovenia Norway Luxembourg Korea, Rep. of Japan France/Mauritius Dominica Croatia Central African Republic Canada/Switzerland Cameroon United States of America/France Serbia Portugal Malawi Madagascar Lebanon Jordan Guatemala Ghana Gabon Czech Republic Benin Barbados Togo Switzerland/Ireland Nigeria Jamaica Israel Honduras Somalia Iran, Islamic Rep. of Germany/Austria Cyprus Algeria Iran, Islamic Rep. of/france Guyana Switzerland/Brazil Peru Pakistan Malaysia India Finland Thailand Slovak Republic Senegal Morocco Ecuador Colombia/France China Venezuela Bangladesh Uruguay Greece Denmark Singapore Philippines Lebanon/France Canada/New Zealand United States of America/Switzerland Bulgaria Austria United Kingdom/France Brazil France/Sweden/Bahrain Sweden Costa Rica Colombia Egypt, Arab Rep. of New Zealand Argentina Netherlands Belgium Italy Germany Chile Mexico Australia Spain Switzerland Canada United Kingdom France United States of America Number of Appointments 0 by International Centre for Settlement of Investment Disputes. Page 0

21 PART II CASES REGISTERED AND ADMINISTERED BY ICSID IN 0 0 by International Centre for Settlement of Investment Disputes. Page

22 . New Cases Registered by ICSID in 0 Chart : Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in 0: ICSID Convention Arbitration Cases ICSID Additional Facility Arbitration Cases. Non-ICSID Cases Administered by the ICSID Secretariat in 0 Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat in 0: Investor-State UNCITRAL Arbitrations Other Cases 0 by International Centre for Settlement of Investment Disputes. Page

23 . Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 0 Chart : Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 0 under the ICSID Convention and Additional Facility Rules: Energy Charter Treaty (ECT) % Bilateral Investment Treaty (BIT) 57% Investment Law of the Host-State 7% Investment Contract between the Investor and the Host-State % 0 by International Centre for Settlement of Investment Disputes. Page

24 . Geographic Distribution of New ICSID Cases Registered in 0, by State Party Involved Chart : Geographic Distribution of New Cases Registered in 0 under the ICSID Convention and Additional Facility Rules, by State Party Involved*: Eastern Europe & Central Asia % Western Europe % North America (Canada, Mexico & U.S.) % Sub-Saharan Africa 5% Central America & the Carribean 7% South America 5% South & East Asia & the Pacific 5% Middle East & North Africa 0% * The classification of the geographic regions above is based on the World Bank s regional system, available at and also includes World Bank donor countries. 0 by International Centre for Settlement of Investment Disputes. Page

25 Chart 5: Geographic Distribution of New Cases Registered in 0 under the ICSID Convention and Additional Facility Rules, by State Party Involved Further Details*: Bulgaria, Croatia, Cyprus, Hungary, Kazakhstan, Kyrgyz Republic, Burundi, Slovenia, Egypt, 6 Cameroon, France, Madagascar, Greece, Uzbekistan, Eastern Europe & Central Asia Mali, Costa Rica, Jordan, Nigeria, Spain, El Salvador, Peru, Pakistan, Tunisia, Uganda, Panama, Venezuela, Papua New Guinea, Mexico, Middle East & North Africa Sub-Saharan Africa Western Europe Central America & the Caribbean South America South & East Asia & the Pacific North America (Canada, Mexico & U.S.) * The classification of the geographic regions above is based on the World Bank s regional system, available at and also includes World Bank donor countries. 0 by International Centre for Settlement of Investment Disputes. Page 5

26 5. Distribution of New ICSID Cases Registered in 0, by Economic Sector Chart 6: Distribution of New Cases Registered in 0 under the ICSID Convention and Additional Facility Rules, by Economic Sector*: Services & Trade % Finance 5% Information & Communication % Agriculture, Fishing & Forestry % Transportation 8% Oil, Gas & Mining 7% Other Industry 0% Tourism % Construction 8% Water, Sanitation & Flood Protection % Electric Power & Other Energy 0% * The sector classification is based on the World Bank s sector codes, available at 0 by International Centre for Settlement of Investment Disputes. Page 6

27 6. ICSID Arbitration Proceedings Concluded in 0 Outcomes Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 0 Outcomes: Dispute decided by Tribunal 8% (see chart 7a) Dispute settled or proceeding otherwise discontinued 7% (see chart 7b) 0 by International Centre for Settlement of Investment Disputes. Page 7

28 Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 0 Findings: Award declining jurisdiction 0% Award dismissing all claims 0% Award upholding claims in part or in full 0% 0 by International Centre for Settlement of Investment Disputes. Page 8

29 Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in 0 Basis: Proceeding discontinued at the request of both parties 75% Settlement agreement embodied in an award at parties' request 5% ICSID Arbitration Rule () and Arbitration (Additional Facility) Rule 9(). ICSID Arbitration Rule (). No case concluded to date on the basis of Arbitration (Additional Facility) Rule 9(). 0 by International Centre for Settlement of Investment Disputes. Page 9

30 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 0 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 0 in Cases Registered under the ICSID Convention and Additional Facility Rules Distribution of Appointments by Geographic Region*: North America (Canada, Mexico & U.S.) % South America 0% Central America & the Caribbean % Middle East & North Africa % Sub-Saharan Africa % South & East Asia & the Pacific % Eastern Europe & Central Asia % Western Europe 56% * The classification of the geographic regions above is based on the World Bank s regional system, available at and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted in 0. 0 by International Centre for Settlement of Investment Disputes. Page 0

31 Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 0 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*: North America (Canada, Mexico & U.S.) 0 South America Central America & the Caribbean Middle East & North Africa 7 Sub-Saharan Africa South & East Asia & the Pacific 0 Eastern Europe & Central Asia Western Europe Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators) * The classification of the geographic regions above is based on the World Bank s regional system, available at and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted in 0. 0 by International Centre for Settlement of Investment Disputes. Page

32 State of Nationality of Appointee Chart 0: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in 0 in Cases Registered under the ICSID Convention and Additional Facility Rules: Uruguay Switzerland/Brazil Switzerland/Ireland Iran, Islamic Rep. of/france United Kingdom/Ghana Malaysia Korea, Rep.of Japan Guatemala Germany/Austria Finland Brazil Somalia Philippines Pakistan Bulgaria Morocco United States of America/Switzerland France/Sweden/Bahrain China Italy Germany Belgium Argentina Singapore Sweden Austria Netherlands New Zealand Mexico Costa Rica United Kingdom/France Colombia Canada Australia Chile Switzerland Spain United Kingdom United States of America France Number of Appointments 7 0 by International Centre for Settlement of Investment Disputes. Page