THE ICSID CASELOAD STATISTICS (ISSUE 08-)
The ICSID Caseload Statistics (Issue 08-) This issue of the ICSID Caseload Statistics updates the profile of the ICSID caseload, historically and for the Centre s Fiscal Year 08 (FY08). It is based on cases registered or administered by ICSID as of June 0, 08. 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. 08 by International Centre for Settlement of Investment Disputes. Page
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, 08 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 4: Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years 9 4. 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: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules Tribunal Rulings, Settlement & Discontinuances 4 Chart 8b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules Findings 4 Chart 8c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules Basis 6 Chart 9: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules Outcomes 7 Chart 0: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules Commission Reports 7 8. Annulment Proceedings under the ICSID Convention Outcomes 8 Chart : Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade 8 9. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 9 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 9 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 0 Chart 4: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules The data is based on ICSID statistics as of June 0, 08. The ICSID Fiscal Year covers the period July to June 0. 08 by International Centre for Settlement of Investment Disputes. Page
PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 08 (FY08). New Cases Registered by ICSID in FY08 4 Chart : Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY08 4. Non-ICSID Cases Administered by the ICSID Secretariat in FY08 4 Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY08 4. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY08 5 Chart : Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY08 under the ICSID Convention and Additional Facility Rules 5 4. Geographic Distribution of New ICSID Cases Registered in FY08, by State Party Involved 6 Chart 4: Geographic Distribution of New Cases Registered in FY08 under the ICSID Convention and Additional Facility Rules, by State Party Involved 6 Chart 5: Geographic Distribution of New Cases Registered in FY08 under the ICSID Convention and Additional Facility Rules, by State Party Involved Further Details 7 5. Distribution of New ICSID Cases Registered in FY08, by Economic Sector 8 Chart 6: Distribution of New Cases Registered in FY08 under the ICSID Convention and Additional Facility Rules, by Economic Sector 8 6. ICSID Arbitration Proceedings Concluded in FY08 Outcomes 9 Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY08 Outcomes 9 Chart 7a: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY08 Tribunal Rulings, Settlement & Discontinuances 0 Chart 7b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY08 Findings Chart 7c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in FY08 Basis 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY08 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY08 in Cases Registered under the ICSID Convention and Additional Facility Rules Distribution of Appointments by Geographic Region Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY08 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 4 Chart 0: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY08 in Cases Registered under the ICSID Convention and Additional Facility Rules 5 08 by International Centre for Settlement of Investment Disputes. Page 4
PART I ALL CASES REGISTERED AND ADMINISTERED BY ICSID 08 by International Centre for Settlement of Investment Disputes. Page 5
. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of June 0, 08 08 by International Centre for Settlement of Investment Disputes. Page 6
97 97 974 975 976 977 978 979 980 98 98 98 984 985 986 987 988 989 990 99 99 99 994 995 996 997 998 999 000 00 00 00 004 005 006 007 008 009 00 0 0 0 04 05 06 07 to June 0, 08. Cases Registered by ICSID Chart : Total Number of ICSID Cases Registered, by Calendar Year: 60 50 50 5 48 5 40 7 8 40 8 0 0 0 0 7 7 5 6 6 9 4 0 0 4 4 4 Cases Registered under the ICSID Convention and Additional Facility Rules As of June 0, 08, ICSID had registered 676 cases under the ICSID Convention and Additional Facility Rules. 08 by International Centre for Settlement of Investment Disputes. Page 7
97 97 974 975 976 977 978 979 980 98 98 98 984 985 986 987 988 989 990 99 99 99 994 995 996 997 998 999 000 00 00 00 004 005 006 007 008 009 00 0 0 0 04 05 06 07 to June 0, 08 Chart : Number of Cases Registered under the ICSID Convention and Additional Facility Rules, by Calendar Year: 60 50 40 0 0 0 0 4 5 8 4 4 6 50 49 40 4 8 0 5 4 5 8 0 4 4 4 4 8 8 8 9 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 605 (89.5%) ICSID Convention Conciliation Cases 9 (.%) ICSID Additional Facility Arbitration Cases 60 (8.9%) ICSID Additional Facility Conciliation Cases (0.%) 08 by International Centre for Settlement of Investment Disputes. Page 8
. 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: 6 4 0 8 6 4 0 5 4 6 0 9 9 7 6 5 4 6 FY009 FY00 FY0 FY0 FY0 FY04 FY05 FY06 FY07 FY08 Investor-State UNCITRAL Arbitrations 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 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, free trade agreements and 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. 08 by International Centre for Settlement of Investment Disputes. Page 9
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: Energy Charter Treaty 9% Other Treaties* % North American Free Trade Agreement % Investment Law of the Host-State 9% Investment Contract between the Investor and the Host-State 6% Bilateral Investment Treaty 60% Dominican Republic-United States-Central America Free Trade Agreement % * Other Treaties refers to the Agreement on Promotion, Protection and Guarantee of Investments among Member States of the Organisation of the Islamic Conference; ASEAN Agreement for the Promotion and Protection of Investments; Canada-Colombia Free Trade Agreement; Canada-Peru Free Trade Agreement; Central America-Panama Free Trade Agreement; Chile-Colombia Free Trade Agreement; Colombia-Mexico Free Trade Agreement; U.S.-Panama Trade Promotion Agreement; Oman-U.S. Free Trade Agreement; U.S.-Colombia Trade Promotion Agreement; Treaty on the Eurasian Economic Union; and the Agreement on Promotion and Reciprocal Protection of Investments in the Member States of the Eurasian Economic Community. 08 by International Centre for Settlement of Investment Disputes. Page 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*: North America (Canada, Mexico & U.S.) 4% Eastern Europe & Central Asia 6% Central America & the Caribbean 6% Western Europe 8% South America % Sub-Saharan Africa 5% 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 http://web.worldbank.org/wbsite/external/countries/0,,pagepk:8069~thesitepk:697,00.html, and also includes World Bank donor countries. 08 by International Centre for Settlement of Investment Disputes. Page
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 4% Oil, Gas & Mining 4% Finance 7% Services & Trade % Transportation 9% Electric Power & Other Energy 7% Other Industry % Tourism 4% Construction 8% Water, Sanitation & Flood Protection 5% * This sector classification is based on the World Bank s sector codes, available at http://siteresources.worldbank.org/projects/resources/sectorcodeslists.pdf. 08 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 64% (see charts 8a and 8b) Dispute settled or proceeding otherwise discontinued 6% (see charts 8a and 8c) 08 by International Centre for Settlement of Investment Disputes. Page
Chart 8a: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules Tribunal Rulings, Settlement & Discontinuances: Award upholding claims in part or in full 0.6% Proceeding discontinued at the request of both parties 6.8% Award dismissing all claims 7% Award declining jurisdiction 6.% Award deciding that the claims are manifestly without legal merit 0.6% Proceeding discontinued for failure of parties to act.% Proceeding discontinued at the request of one party 9.% Settlement agreement embodied in an award at parties' request 5% Proceeding discontinued at the initiative of the Tribunal 0.% Proceeding discontinued for lack of payment of the required advances.% Dispute decided by Tribunal (64%) Dispute settled or proceeding otherwise discontinued (6%) 08 by International Centre for Settlement of Investment Disputes. Page 4
Cart 8b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules Findings: Award declining jurisdiction 5% Award dismissing all claims 6% Award deciding that the claims are manifestly without legal merit* % Award upholding claims in part or in full 48% * Pursuant to ICSID Arbitration Rule 4(5) and Article 45(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. 08 by International Centre for Settlement of Investment Disputes. Page 5
Chart 8c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules Basis: Proceeding discontinued at the request of one party 5% Settlement agreement embodied in an award at parties' request 4% Proceeding discontinued at the Initiative of the Tribunal % Proceeding discontinued for lack of payment of the required advances 4 9% Proceeding discontinued for failure of parties to act 5 4% Proceeding discontinued at the request of both parties 6 47% ICSID Arbitration Rule 44. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 50. ICSID Arbitration Rule 4() and Arbitration (Additional Facility) Rule 49(). In accordance with Article 44 of the ICSID Convention. 4 ICSID Administrative & Financial Regulation 4()(d). 5 ICSID Arbitration Rule 45 and Arbitration (Additional Facility) Rule 5. 6 ICSID Arbitration Rule 4() and Arbitration (Additional Facility) Rule 49(). 08 by International Centre for Settlement of Investment Disputes. Page 6
Chart 9: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules Outcomes: Conciliation Commission Report issued 75% (see chart 0) Proceeding Discontinued 5% Chart 0: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules Commission Reports: Report recording failure of the Parties to reach agreement 8% Report recording agreement of the Parties 7% 08 by International Centre for Settlement of Investment Disputes. Page 7
8. Annulment Proceedings under the ICSID Convention Outcomes Chart : Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade: 80 60 58 40 0 00 96 80 60 40 0 0 0 4 8 9 0 0 0 0 0 8 5 5 97-980 98-990 99-000 00-00 0-8 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 08 by International Centre for Settlement of Investment Disputes. Page 8
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 % Sub-Saharan Africa % Middle East & North Africa 4% South & East Asia & the Pacific % Eastern Europe & Central Asia % South America % Western Europe 47% 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.worldbank.org/wbsite/external/countries/0,,pagepk:8069~thesitepk:697,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted until June 0, 08. 08 by International Centre for Settlement of Investment Disputes. Page 9
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*: 900 800 805 700 600 500 400 98 00 98 00 75 50 00 8 7 4 8 56 9 08 6 4 0 North America (Canada, Mexico & U.S.) South America Central America & the Caribbean Appointments by ICSID Middle East & North Africa Sub-Saharan Africa South & East Asia & the Pacific Appointments by the Parties (or Party-appointed Arbitrators) Eastern Europe & Central Asia Western Europe * The geographical classification is based on the World Bank s regions as set forth at http://web.worldbank.org/wbsite/external/countries/0,,pagepk:8069~thesitepk:697,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted until June 0, 08. 08 by International Centre for Settlement of Investment Disputes. Page 0
State of Nationality of Appointee 08 by International Centre for Settlement of Investment Disputes. Page Chart 4: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules: Australia/Germany Cabo Verde Cameroon Canada/Switzerland Central African Republic Chile/United States of America Croatia Czechoslovakia Dominica Dominican Republic France/Lebanon/Ecuador France/Syria Israel/Switzerland Luxembourg Norway Pakistan/United States of America Peru/Switzerland Slovenia Sri Lanka Sudan United Kingdom/Ghana United Kingdom/Italy United Kingdom/Pakistan United Kingdom/Uganda United States of America/Canada Zambia Benin France/Mauritius Gabon Ghana Ireland/United States of America Japan Jordan Lebanon Lebanon/Chile Madagascar Malawi South Africa United States of America/United Kingdom Bahamas Barbados Czech Republic Honduras Israel Jamaica New Zealand/United Kingdom Paraguay Portugal Serbia Togo United Kingdom/Nigeria Algeria Cyprus Iran, Islamic Rep. of Canada/Lebanon Guyana Switzerland/Ireland United States of America/France Argentina/United States of America 4 4 4 5 5 5 5 6 0 50 00 50 00 50 Number of Appointments
State of Nationality of Appointee 08 by International Centre for Settlement of Investment Disputes. Page Australia/Ireland India Ecuador Ireland/Germany Senegal Thailand Colombia/France Nigeria Somalia Denmark Germany/Austria Greece Korea, Rep.of Uruguay Venezuela Switzerland/Brazil France/Switzerland Guatemala Iran, Islamic Rep. of/france Lebanon/France Peru Philippines Bangladesh Canada/United Kingdom Finland Malaysia Morocco Pakistan Slovak Republic China Argentina/Spain Brazil Singapore United States of America/Switzerland Canada/New Zealand Austria United Kingdom/France France/Sweden Sweden Costa Rica Egypt, Arab Rep. of Bulgaria Colombia Netherlands New Zealand Argentina Chile Belgium Mexico Italy Germany Australia Spain Switzerland Canada United Kingdom United States of America France 6 6 7 7 7 7 8 8 8 9 9 9 9 9 9 0 4 5 6 8 8 9 5 7 5 8 40 45 48 49 57 6 64 65 85 94 09 4 04 8 7 0 50 00 50 00 50 Number of Appointments
PART II CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 08 (FY08) 08 by International Centre for Settlement of Investment Disputes. Page
. New Cases Registered by ICSID in FY08 Chart : Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY08: 60 50 50 40 0 0 0 0 6 ICSID Convention Arbitration Cases ICSID Convention Conciliation Cases ICSID Additional Facility Arbitration Cases. Non-ICSID Cases Administered by the ICSID Secretariat in FY08 Chart : Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY08: 9 8 7 6 5 4 0 8 Investor-State UNCITRAL Arbitrations 6 Other Cases 08 by International Centre for Settlement of Investment Disputes. Page 4
. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY08 Chart : Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY08 under the ICSID Convention and Additional Facility Rules: U.S.-Colombia Trade Promotion Agreement % Eurasian Economic Union Treaty % Eurasian Investment Agreement % Canada-Colombia Free Trade Agreement % Bilateral Investment Treaty 60% Energy Charter Treaty 8% North American Free Trade Agreement % Investment Law of the Host-State 5% Investment Contract between the Investor and the Host-State 4% Dominican Republic-United States-Central America Free Trade Agreement % 08 by International Centre for Settlement of Investment Disputes. Page 5
4. Geographic Distribution of New ICSID Cases Registered in FY08, by State Party Involved Chart 4: Geographic Distribution of New Cases Registered in FY08 under the ICSID Convention and Additional Facility Rules, by State Party Involved*: Eastern Europe & Central Asia 40% Western Europe 4% North America (Canada, Mexico & U.S.) 4% Central America & the Caribbean % Sub-Saharan Africa 9% South America % South & East Asia & the Pacific 5% Middle East & North Africa 4% * 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:8069~thesitepk:697,00.html, and also includes World Bank donor countries. 08 by International Centre for Settlement of Investment Disputes. Page 6
Chart 5: Geographic Distribution of New Cases Registered in FY08 under the ICSID Convention and Additional Facility Rules, by State Party Involved Further Details*: 5 Armenia, Azerbaijan, 0 Belarus, Bulgaria, 5 Croatia, 4 Georgia, Hungary, 0 Kazakhstan, Kosovo, Côte d'ivoire, Gabon, Latvia, 5 Macedonia, FYR, Montenegro, Romania, Serbia, Algeria, Egypt, Kuwait, Gambia, 4 Madagascar, Colombia, 4 0 Italy, Spain, Western Europe Turkey, Turkmenistan, Uzbekistan, Eastern Europe & Central Asia Morocco, Saudi Arabia, Middle East & North Africa Mozambique, Rwanda, Tanzania, Togo, Peru, Venezuela, Mexico, Bangladesh Power Development Board, Papua New Guinea, Vietnam, Nicaragua, Sub-Saharan Africa South America North America South & East Asia & Central America & (Canada, Mexico & the Pacific the Caribbean U.S.) * 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:8069~thesitepk:697,00.html, and also includes World Bank donor countries. 08 by International Centre for Settlement of Investment Disputes. Page 7
5. Distribution of New ICSID Cases Registered in FY08, by Economic Sector Chart 6: Distribution of New Cases Registered in FY08 under the ICSID Convention and Additional Facility Rules, by Economic Sector*: Transportation % Services & Trade 5% Finance % Information & Communication 5% Agriculture, Fishing & Forestry 6% Other Industry % Oil, Gas & Mining % Tourism 7% Construction % Water, Sanitation & Flood Protection 4% Electric Power & Other Energy 6% * The sector classification is based on the World Bank s sector codes, available at http://siteresources.worldbank.org/projects/resources/sectorcodeslists.pdf. 08 by International Centre for Settlement of Investment Disputes. Page 8
6. ICSID Arbitration Proceedings Concluded in FY08 Outcomes Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY08 Outcomes: Dispute decided by Tribunal 65% (see charts 7a and 7b) Dispute settled or proceeding otherwise discontinued 5% (see charts 7a and 7c) 08 by International Centre for Settlement of Investment Disputes. Page 9
Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY08 Tribunal Rulings, Settlement & Discontinuances: Award upholding claims in part or in full 40.5% Proceeding discontinued at the request of both parties 9% Proceeding discontinued at the request of one party.7% Settlement agreement embodied in an award at parties' request.7% Award dismissing all claims 8.% Award declining jurisdiction 6.% Proceeding discontinued for failure of parties to act.7% Proceeding discontinued for lack of payment of the required advances 8.% Dispute decided by Tribunal (65%) Dispute settled or proceeding otherwise discontinued (5%) 08 by International Centre for Settlement of Investment Disputes. Page 0
Chart 7b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY08 Findings: Award declining jurisdiction 5% Award dismissing all claims % Award upholding claims in part or in full 6% * Pursuant to ICSID Arbitration Rule 4(5) and Article 45(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. 08 by International Centre for Settlement of Investment Disputes. Page
Chart 7c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in FY08 Basis: Proceeding discontinued at the request of one party 7% Settlement agreement embodied in an award at parties' request 8% Proceeding discontinued for lack of payment of the required advances % Proceeding discontinued for failure of parties to act 4 8% Proceeding discontinued at the request of both parties 5 54% ICSID Arbitration Rule 44. No case concluded on the basis of Arbitration (Additional Facility) Rule 50. ICSID Arbitration Rule 4(). No case concluded to date on the basis of Arbitration (Additional Facility) Rule 49(). ICSID Administrative & Financial Regulation 4()(d). 4 ICSID Arbitration Rule 45. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 5. 5 ICSID Arbitration Rule 4() and Arbitration (Additional Facility) Rule 49(). 08 by International Centre for Settlement of Investment Disputes. Page
7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY08 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY08 in Cases Registered under the ICSID Convention and Additional Facility Rules Distribution of Appointments by Geographic Region*: South America % Central America & the Caribbean % Middle East & North Africa % Sub-Saharan Africa % South & East Asia & the Pacific % North America (Canada, Mexico & U.S.) 5% Eastern Europe & Central Asia 6% Western Europe 46% * 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:8069~thesitepk:697,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted in FY08. 08 by International Centre for Settlement of Investment Disputes. Page
Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY08 in Cases Registered under the ICSID Convention and Additional Facility Rules Distribution of Appointments by ICSID and by the Parties (or Partyappointed Arbitrators) by Geographic Region*: 90 85 80 70 60 50 40 5 0 0 5 9 6 4 0 0 9 North America (Canada, Mexico & U.S.) South America 5 Central America & the Caribbean 6 Middle East & North Africa 6 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 http://web.worldbank.org/wbsite/external/countries/0,,pagepk:8069~thesitepk:697,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted in FY08. 08 by International Centre for Settlement of Investment Disputes. Page 4
State of Nationality of Appointee Chart 0: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY08 in Cases Registered under the ICSID Convention and Additional Facility Rules: Argentina/Spain Canada/Lebanon Czech Republic Dominican Republic France/Lebanon/Ecuador Germany/Austria Ireland/United States of America Japan Morocco Pakistan Peru/Switzerland Portugal Somalia Switzerland/Ireland United Kingdom/Italy United Kingdom/Pakistan United States of America/United Kingdom Australia/Ireland Bahamas Canada/New Zealand France/Sweden Guatemala Korea, Rep. of Netherlands New Zealand/United Kingdom Paraguay Argentina/United States of America Austria Brazil China Costa Rica Egypt France/Switzerland Iran, Islamic Rep. of/france Ireland/Germany Nigeria Slovak Republic United Kingdom/France United Kingdom/Nigeria Colombia Peru Chile New Zealand Singapore Australia Canada Germany Italy Mexico Spain Argentina Belgium Bulgaria Switzerland United Kingdom United States of America France 4 4 5 5 5 7 9 9 9 9 9 0 0 4 0 5 0 5 0 5 0 Number of Appointments 0 0 7 08 by International Centre for Settlement of Investment Disputes. Page 5