THE ICSID CASELOAD STATISTICS

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1 Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized THE ICSID CASELOAD STATISTICS Public Disclosure Authorized

2 The ICSID Caseload Statistics (Issue 00-) This document is intended to provide an updated profile of the ICSID caseload, historically and for the Centre s Fiscal Year 00, covering the period from July, 009 to June 0, 00. It is based on cases registered or administered by ICSID as of June 0, 00. The ICSID Secretariat will continue to update this information on a bi-annual basis. Akin to the inaugural issue (00-), the analysis examines: () the number of cases registered under the ICSID Convention and Additional Facility Rules; () the number of other cases administered by ICSID; () 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; () the economic sectors involved in ICSID disputes; (6) the outcomes in ICSID arbitration and conciliation proceedings; and (7) the nationality and geographic origins of arbitrators, conciliators and ad hoc committee members appointed in ICSID proceedings. The Secretariat would like to take this opportunity to thank government officials, practitioners, arbitrators and academics for their feedback following the first issue of this publication. The Secretariat continues to welcome any comments or suggestions, which should be addressed to the Secretariat by to ICSIDsecretariat@worldbank.org. 00 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 June 0, Cases Registered by ICSID 7 Chart : Total Number of ICSID Cases Registered by Year 7 Chart : Number of Cases Registered by Year under the ICSID Convention and Additional Facility Rules 8 Chart : Type of Proceeding 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 : Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases 0. Geographic Distribution of All ICSID Cases by State Party Involved Chart 6: Geographic Distribution of All ICSID Cases by State Party Involved 6. Distribution of All ICSID Cases by Economic Sector Chart 7: Distribution of All ICSID Cases by Economic Sector 7. ICSID Arbitration and Conciliation Proceedings Outcomes Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules Outcomes Chart 9: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules Awards Chart 0: Conciliation Proceedings under the ICSID Convention Outcomes Chart : Conciliation Proceedings under the ICSID Convention Commission Reports 8. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Chart : Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Distribution of Appointments by Geographic Region Chart : Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 6 Chart : Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 7 The data is based on ICSID statistics as of June 0, 00. The ICSID Fiscal Year covers the period July to June by International Centre for Settlement of Investment Disputes. Page

4 PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 00 (FY00). Cases Registered by ICSID in FY00 9 Chart : Number of Cases Registered under the ICSID Convention and Additional Facility Rules in FY00 9. Non-ICSID Cases Administered by the ICSID Secretariat in FY00 9 Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY00 9. Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in FY00 0 Chart : Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in FY00 0. Geographic Distribution of ICSID Cases Registered in FY00 by State Party Involved Chart : Geographic Distribution of ICSID Cases Registered in FY00 by State Party Involved. Distribution of ICSID Cases Registered in FY00 by Economic Sector Chart : Distribution of ICSID Cases Registered in FY00 by Economic Sector 6. ICSID Arbitration Proceedings Concluded in FY00 Outcomes Chart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY00 Outcomes Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY00 Awards 7. Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY00 Chart 8: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY00 Distribution of Appointments by Geographic Region Chart 9: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY00 Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region Chart 0: Nationality of Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY00 6 The ICSID Fiscal Year covers the period July to June by International Centre for Settlement of Investment Disputes. Page

5 PART I ALL CASES REGISTERED AND ADMINISTERED BY ICSID 00 by International Centre for Settlement of Investment Disputes. Page

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

7 . Cases Registered by ICSID Chart : Total Number of ICSID Cases Registered by Year: Cases Registered under the ICSID Convention and Additional Facility Rules up to June 0, 00 As of June 0, 00, ICSID had registered 9 cases under the ICSID Convention and Additional Facility Rules. 00 by International Centre for Settlement of Investment Disputes. Page 7

8 Chart : Number of Cases Registered by Year under the ICSID Convention and Additional Facility Rules: ICSID Convention Arbitration Cases ICSID Convention Conciliation Cases ICSID Additional Facility Arbitration Cases up to June 0, 00 Chart : Type of Proceeding Registered under the ICSID Convention and Additional Facility Rules: ICSID Convention Arbitration Cases 8 (89%) ICSID Convention Conciliation Cases 6 (%) ICSID Additional Facility Arbitration Cases 8 (9%) 00 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: FY00 FY00 FY00 FY00 FY00 FY006 FY007 FY008 FY009 FY00 UNCITRAL Cases Other Cases The ICSID Secretariat provides various levels of administrative support for non-icsid dispute settlement in State-State or investor-state proceedings. The Centre also frequently acts as an appointing authority for arbitrator appointments, and decides proposals for disqualification of an arbitrator in proceedings conducted under the UNCITRAL arbitration rules. Among the cases the Centre 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). 00 by International Centre for Settlement of Investment Disputes. Page 9

10 . Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases Chart : Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases: Energy Charter Treaty (ECT) % North American Free Trade Agreement (NAFTA) % ASEAN Agreement for the Promotion and Protection of Investments % Investment Law of the Host-State % Bilateral Investment Treaty (BIT) 6% Investment Contract between the Investor and the Host-State % Dominican Republic- United States-Central American Free Trade Agreement (DR-CAFTA) % 00 by International Centre for Settlement of Investment Disputes. Page 0

11 . Geographic Distribution of All ICSID Cases by State Party Involved Chart 6: Geographic Distribution of All ICSID Cases by State Party Involved*: Central America & the Carribean 7% North America (Canada, Mexico & U.S.) 6% Eastern Europe & Central Asia % South America 0% Western Europe % Sub-Saharan Africa 6% South & East Asia & the Pacific 8% 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. 00 by International Centre for Settlement of Investment Disputes. Page

12 6. Distribution of All ICSID Cases by Economic Sector Chart 7: Distribution of All ICSID Cases by Economic Sector*: Information & Communication 6% Agriculture, Fishing & Forestry % Oil, Gas & Mining 6% Finance 7% Services & Trade % Electric Power & Other Energy % Transportation % Other Industry 0% Tourism % Construction 7% Water, Sanitation & Flood Protection 7% * This sector classification is based on the World Bank s sector codes, which are available at 00 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: Award rendered by Tribunal 67% Proceeding Discontinued % Chart 9: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules Awards: Award on the merits 70% Award embodying the parties' settlement agreement 9% Award declining ICSID jurisdiction % 00 by International Centre for Settlement of Investment Disputes. Page

14 Chart 0: Conciliation Proceedings under the ICSID Convention Outcomes: Conciliation Commission Report issued 67% Proceeding Discontinued % Chart : Conciliation Proceedings under the ICSID Convention Commission Reports: Report recording failure of the parties to reach agreement 7% Report recording agreement of the parties % 00 by International Centre for Settlement of Investment Disputes. Page

15 8. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Chart : Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Distribution of Appointments by Geographic Region*: Middle East & North Africa 6% Sub-Saharan Africa % South & East Asia & the Pacific 8% Eastern Europe & Central Asia % Central America & the Caribbean % South America 9% Western Europe 8% 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. 00 by International Centre for Settlement of Investment Disputes. Page

16 Chart : Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region*: 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) * The geographical classification is based on the World Bank s regions as set forth at and also includes World Bank donor countries. 00 by International Centre for Settlement of Investment Disputes. Page 6

17 Chart : Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases: Nationality of Appointee Sudanese Sri Lankan South African Norwegian Malaysian Luxembourg Guatemalan Dominica Croatian Central African Swiss/Irish Serbian Portuguese Malagasy Lebanese Jordanian Iranian/French Ghanaian Gabonese Czech Beninese Barbadian Togolese Pakistani Nigerian Jamaican Israeli Honduran Finnish Swiss/Brazilian Moroccan Iranian Cypriot Algerian Indian Guyanese Bulgarian British/French Austrian Singaporean Peruvian Bangladeshi Thai Slovak Senegalese Philippine Ecuadorian Venezuelan Uruguayan Lebanese/French Greek Danish Brazilian Colombian Costa Rican Swedish Argentine New Zealand Belgian Dutch Chilean Egyptian German Italian Australian Mexican Spanish Swiss Canadian British French U.S Number of Appointments 00 by International Centre for Settlement of Investment Disputes. Page 7

18 PART II CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 00 (FY00) 00 by International Centre for Settlement of Investment Disputes. Page 8

19 . Cases Registered by ICSID in FY00 Chart : Number of Cases Registered under the ICSID Convention and Additional Facility Rules in FY00: ICSID Convention Arbitration Cases ICSID Additional Facility Arbitration Cases. Non-ICSID Cases Administered by the ICSID Secretariat in FY00 Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY00: 0 UNCITRAL Cases 00 by International Centre for Settlement of Investment Disputes. Page 9

20 . Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in FY00 Chart : Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in FY00: Investment Law of the Host-State 0% Bilateral Investment Treaty (BIT) 66% Investment Contract between the Investor and the Host-State % Dominican Republic- United States-Central American Free Trade Agreement (DR-CAFTA) % 00 by International Centre for Settlement of Investment Disputes. Page 0

21 . Geographic Distribution of ICSID Cases Registered in FY00 by State Party Involved Chart : Geographic Distribution of ICSID Cases Registered in FY00 by State Party Involved*: Central America & the Carribean % North America (Canada, Mexico, U.S.) % Eastern Europe & Central Asia % South America 0% Sub-Saharan Africa % South & East Asia & the Pacific 7% 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. 00 by International Centre for Settlement of Investment Disputes. Page

22 . Distribution of ICSID Cases Registered in FY00 by Economic Sector Chart : Distribution of ICSID Cases Registered in FY00 by Economic Sector*: Information & Communication % Agriculture, Fishing & Forestry % Services & Trade 7% Transportation % Oil, Gas & Mining 7% Other Industry % Electric Power & Other Energy 7% Tourism 7% Construction % Water, Sanitation & Flood Protection % * The sector classification is based on the World Bank s sector codes, which are available at 00 by International Centre for Settlement of Investment Disputes. Page

23 6. ICSID Arbitration Proceedings Concluded in FY00 Outcomes Chart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY00 Outcomes: Award rendered by Tribunal 87% Proceeding Discontinued % Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY00 Awards: Award on the merits 67% Award embodying the parties' settlement agreement 9% Award declining ICSID jurisdiction % 00 by International Centre for Settlement of Investment Disputes. Page

24 7. Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY00 Chart 8: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY00 Distribution of Appointments by Geographic Region*: South America % Central America & the Caribbean % Middle East & North Africa 8% North America (Canada, Mexico & U.S.) % South & East Asia & the Pacific % Eastern Europe & Central Asia % Western Europe % * 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. 00 by International Centre for Settlement of Investment Disputes. Page

25 Chart 9: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY00 Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region*: North America (Canada, Mexico & U.S.) South America Central America & the Caribbean Middle East & North Africa South & East Asia & the Pacific 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. 00 by International Centre for Settlement of Investment Disputes. Page

26 Chart 0: Nationality of Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY00: Swedish Serbian Moroccan Mexican Malaysian Jamaican Iranian/French Finnish Bulgarian British/French Australian Nationality of Appointee Argentine Chilean Slovak Pakistani Costa Rican Colombian Belgian Spanish Italian Bangladeshi New Zealand Egyptian Swiss Canadian 7 7 French 0 British U.S Number of Appointments 00 by International Centre for Settlement of Investment Disputes. Page 6