THE ICSID CASELOAD STATISTICS

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1 THE ICSID CASELOAD STATISTICS

2 The ICSID Caseload Statistics (Issue 0-) This new issue of the ICSID Caseload Statistics provides an updated profile of the ICSID caseload, historically and for the Centre's fiscal year 0. It is based on cases registered or administered by ICSID as of June 0, 0. As in the previous issue, this document examines: 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; the economic sectors involved in ICSID disputes; the outcomes in ICSID arbitration and conciliation proceedings, (including further information on disputes decided by arbitral tribunals); the nationality and geographic origins of arbitrators, conciliators and ad hoc committee members appointed in ICSID proceedings, and outcomes in annulment proceedings under the ICSID Convention. 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 June 0, 0. Cases Registered by ICSID 7 Chart : Total Number of ICSID Cases Registered by Calendar Year 7 Chart : Number of Cases Registered by Calendar Year under the ICSID Convention and Additional Facility Rules 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 Registered ICSID Cases 0 5. Geographic Distribution of All ICSID Cases by State Party Involved Chart : Geographic Distribution of All ICSID Cases by State Party Involved. 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: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules Outcomes Chart 0: Conciliation Proceedings under the ICSID Convention Outcomes Chart : Conciliation Proceedings under the ICSID Convention Commission Reports 8. Annulment Proceedings under the ICSID Convention Outcomes 5 Chart : Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade 5 9. 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 7 Chart 5: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 8 The data is based on ICSID statistics as of June 0, 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 FISCAL YEAR 0 (FY0). New Cases Registered by ICSID in FY0 0 Chart : Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY0 0. Non-ICSID Cases Administered by the ICSID Secretariat in FY0 0 Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY0 0. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY0 Chart : Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY0. Geographic Distribution of New ICSID Cases Registered in FY0 by State Party Involved Chart : Geographic Distribution of New ICSID Cases Registered in FY0 by State Party Involved 5. Distribution of New ICSID Cases Registered in FY0 by Economic Sector Chart 5: Distribution of New ICSID Cases Registered in FY0 by Economic Sector. ICSID Arbitration Proceedings Concluded in FY0 Outcomes Chart : Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY0 Outcomes Chart 7: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY0 Outcomes 7. Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY0 5 Chart 8: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY0 Distribution of Appointments by Geographic Region 5 Chart 9: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY0 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 FY0 7 The ICSID Fiscal Year covers the period July to June 0. 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 June 0, 0 0 by International Centre for Settlement of Investment Disputes. Page

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 up to June 0, 0 As of June 0, 0, ICSID had registered 5 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 by Calendar 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, 0 Chart : Type of Cases Registered under the ICSID Convention and Additional Facility Rules: ICSID Convention Arbitration Cases (89%) ICSID Convention Conciliation Cases (%) ICSID Additional Facility Arbitration Cases (9%) 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: FY00 FY00 FY00 FY005 FY00 FY007 FY008 FY009 FY00 FY0 UNCITRAL Cases Other Cases 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 90, and an arbitration under the Softwood Lumber Agreement of 00 (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

. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases Chart 5: Basis of Consent Invoked to Establish ICSID Jurisdiction

of Investments % Investment Law of the Host-State % Bilateral Investment Treaty (BIT) % Investment Contract between the Investor and the Host-State %

10 . Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases Chart 5: 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) % Investment Contract between the Investor and the Host-State % Dominican Republic- United States-Central America Free Trade Agreement (DR-CAFTA) % 0 by International Centre for Settlement of Investment Disputes. Page 0

5. Geographic Distribution of All ICSID Cases by State Party Involved Chart : Geographic Distribution of All ICSID Cases by State Party Involved*: Central America & the

) 5% Eastern Europe & Central Asia % South America 0% Western Europe % Sub-Saharan Africa % South & East Asia & the Pacific 9% Middle East & North Africa 0% * The

11 5. Geographic Distribution of All ICSID Cases by State Party Involved Chart : Geographic Distribution of All ICSID Cases by State Party Involved*: Central America & the Caribbean 7% North America (Canada, Mexico & U.S.) 5% Eastern Europe & Central Asia % South America 0% Western Europe % Sub-Saharan Africa % South & East Asia & the Pacific 9% 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

Industry 0% Tourism 5% Construction 7% Water, Sanitation & Flood Protection 7% * This sector classification is based on the World Bank s sector

12 . Distribution of All ICSID Cases by Economic Sector Chart 7: Distribution of All ICSID Cases by Economic Sector*: Information & Communication % Agriculture, Fishing & Forestry 5% Oil, Gas & Mining 5% Finance 7% Services & Trade % Electric Power & Other Energy % Transportation % Other Industry 0% Tourism 5% Construction 7% Water, Sanitation & Flood Protection 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

7. ICSID Arbitration and Conciliation Proceedings Outcomes Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules Outcomes: Dispute decided by Tribunal % Dispute

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 % Dispute settled or proceeding otherwise discontinued 9% Chart 9: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules Outcomes: Award declining jurisdiction % Award dismissing all claims % Award deciding that the claims are manifestly without legal merit %* Award upholding claims in part or in full % * Pursuant to ICSID Arbitration Rule (5) and Article 5() of the Arbitration (Additional Facility) Rules, as adopted by the ICSID Administrative Council in 00, 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

Chart 0: Conciliation Proceedings under the ICSID Convention Outcomes: Conciliation Commission Report issued 7% Proceeding Discontinued % Chart : Conciliation Proceedings under the ICSID Convention

14 Chart 0: Conciliation Proceedings under the ICSID Convention Outcomes: Conciliation Commission Report issued 7% Proceeding Discontinued % Chart : Conciliation Proceedings under the ICSID Convention Commission Reports: Report recording failure of the parties to reach agreement 75% Report recording agreement of the parties 5% 0 by International Centre for Settlement of Investment Disputes. Page

15 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 5

9. 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

South America 0% 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 http://web.

16 9. 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*: Sub-Saharan Africa % Middle East & North Africa 5% Central America & the Caribbean % South & East Asia & the Pacific 9% Eastern Europe & Central Asia % South America 0% 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. 0 by International Centre for Settlement of Investment Disputes. Page

17 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. 0 by International Centre for Settlement of Investment Disputes. Page 7

18 Chart 5: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases: Nationality of Appointee Sudanese Sri Lankan South African Somali Slovenia Norwegian Luxembourg Guatemalan Dominica Croatian Central African Swiss/Irish Serbian Portuguese Malawian Malagasy Lebanese Jordanian Ghanaian Gabonese Czech Colombian/French Beninese Barbadian Togolese Pakistani Nigerian Jamaican Israeli Iranian/French Honduran Swiss/Brazilian Moroccan Malaysian Iranian Finnish Cypriot Algerian Guyanese Singaporean Peruvian Indian Bulgarian Austrian Thai Slovak Senegalese Philippine Ecuadorian British/French Venezuelan Uruguayan Lebanese/French Greek Bangladeshi Danish Brazilian Costa Rican Colombian Swedish Argentine New Zealand Dutch Belgian Egyptian Chilean Italian Australian German Mexican Spanish Swiss Canadian British French U.S Number of Appointments 0 by International Centre for Settlement of Investment Disputes. Page 8

19 PART II CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 0 (FY0) 0 by International Centre for Settlement of Investment Disputes. Page 9

. New Cases Registered by ICSID in FY0 Chart : Number of New Cases Registered

ICSID Convention Arbitration Cases ICSID Additional Facility Arbitration Cases.

Non-ICSID Cases Administered by the ICSID Secretariat in FY0: 7 5 0 UNCITRAL

20 . New Cases Registered by ICSID in FY0 Chart : Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY0: ICSID Convention Arbitration Cases ICSID Additional Facility Arbitration Cases. Non-ICSID Cases Administered by the ICSID Secretariat in FY0 Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY0: UNCITRAL Cases Other Cases 0 by International Centre for Settlement of Investment Disputes. Page 0

. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY0 Chart : Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY0: Energy

21 . Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY0 Chart : Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY0: Energy Charter Treaty (ECT) 5% Investment Law of the Host-State % Bilateral Investment Treaty (BIT) 8% Investment Contract between the Investor and the Host-State % Dominican Republic- United States-Central America Free Trade Agreement (DR-CAFTA) % 0 by International Centre for Settlement of Investment Disputes. Page

. Geographic Distribution of New ICSID Cases Registered in FY0 by State Party Involved Chart : Geographic Distribution of New ICSID Cases Registered in FY0 by State

Asia & the Pacific % * The classification of the geographic regions above is based on the World Bank s regional system, available at http://web.worldbank.

22 . Geographic Distribution of New ICSID Cases Registered in FY0 by State Party Involved Chart : Geographic Distribution of New ICSID Cases Registered in FY0 by State Party Involved*: Central America & the Caribbean % Eastern Europe & Central Asia 5% Sub-Saharan Africa 9% South America 8% Middle East & North Africa 9% South & East Asia & the Pacific % * 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

Construction % Water, Sanitation & Flood Protection % Electric Power & Other Energy % * The sector classification is based on the World Bank s

23 5. Distribution of New ICSID Cases Registered in FY0 by Economic Sector Chart 5: Distribution of New ICSID Cases Registered in FY0 by Economic Sector*: Services & Trade 9% Finance % Agriculture, Fishing & Forestry % Transportation % Oil, Gas & Mining 8% Other Industry % Tourism % Construction % Water, Sanitation & Flood Protection % Electric Power & Other Energy % * The sector classification is based on the World Bank s sector codes, available at 0 by International Centre for Settlement of Investment Disputes. Page

24 . ICSID Arbitration Proceedings Concluded in FY0 Outcomes Chart : Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY0 Outcomes: Dispute decided by Tribunal % Dispute settled or proceeding otherwise discontinued 8% Chart 7: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY0 Outcomes: Award declining jurisdiction 9% Award dismissing all claims 5% Award deciding that the claims are manifestly without legal merit %* Award upholding claims in part or in full % * Pursuant to ICSID Arbitration Rule (5) and Article 5() of the Arbitration (Additional Facility) Rules, as adopted by the ICSID Administrative Council in 00, 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

7. Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY0 Chart 8: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY0 Distribution of Appointments

uth America % Central America & the Caribbean % Middle East & North Africa % Su

25 7. Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY0 Chart 8: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY0 Distribution of Appointments by Geographic Region*: South America % Central America & the Caribbean % Middle East & North Africa % Sub-Saharan Africa % North America (Canada, Mexico & U.S.) 0% 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. 0 by International Centre for Settlement of Investment Disputes. Page 5

26 Chart 9: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY0 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 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

27 Chart 0: Nationality of Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY0: Somali Slovenian Iranian/French Indian Finnish Bulgarian Austrian Malawian Italian Egyptian Dutch Costa Rican Nationality of Appointee Colombian/French British/French Bangladeshi Mexican Malaysian Colombian Belgian Swiss Australian Spanish New Zealand 7 Chilean 7 British 7 Argentine 7 German 8 U.S. 0 Canadian French Number of Appointments 0 by International Centre for Settlement of Investment Disputes. Page 7

THE ICSID CASELOAD STATISTICS

THE ICSID CASELOAD STATISTICS The ICSID Caseload Statistics (Issue 00-) This document is intended to provide a profile of the ICSID caseload, historically and for 009. It is based on cases registered or