the icsid caseload · 2020. 3. 16. · this document is intended to provide a profile of the icsid...

THE ICSID CASELOAD –

STATISTICS

© 2010 by International Centre for Settlement of Investment Disputes.

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The ICSID Caseload – Statistics

(Issue 2010-1)

This document is intended to provide a profile of the ICSID caseload, historically and for 2009. It is based on cases registered or administered by ICSID as of December 31, 2009. The analysis examines: (1) the number of cases registered under the ICSID Convention and Additional Facility Rules; (2) the number of other cases administered by ICSID; (3) the basis of consent to ICSID jurisdiction invoked in registered arbitration and conciliation cases; (4) the geographic distribution of ICSID cases by the State party to the dispute; (5) the economic sectors involved in ICSID disputes; (6) the outcomes in ICSID cases; and (7) the nationality and geographic origins of arbitrators, conciliators and ad hoc committee members appointed in ICSID cases.

The ICSID Secretariat will update this information on a bi-annual basis. Any comments or suggestions are welcome and should be addressed to the Secretariat by email to [email protected].



TABLE OF CONTENTS1

PART I

– ALL CASES REGISTERED AND ADMINISTERED BY ICSID

1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention 6

2. Cases Registered by ICSID 7 Chart 1: Total Number of ICSID Cases Registered by Year 7 Chart 2: Number of Cases Registered by Year under the ICSID Convention and Additional Facility Rules 8 Chart 3: Type of Proceeding Registered under the ICSID Convention and Additional Facility Rules 8

3. Non-ICSID Cases Administered by the ICSID Secretariat 9 Chart 4: Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years2 9

4. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases 10 Chart 5: Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases 10

5. Geographic Distribution of All ICSID Cases by State Party Involved 11 Chart 6: Geographic Distribution of All ICSID Cases by State Party Involved 11

6. Distribution of All ICSID Cases by Economic Sector 12 Chart 7: Distribution of All ICSID Cases by Economic Sector 12

7. ICSID Proceedings – Outcomes 13 Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes 13 Chart 9: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Awards 13 Chart 10: Conciliation Proceedings under the ICSID Convention – Outcomes 14 Chart 11: Conciliation Proceedings under the ICSID Convention – Commission Reports 14

8. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 15 Chart 12: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases – Distribution of Appointments by Geographic Region 15 Chart 13: 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 16 Chart 14: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 17

1 The data is based on ICSID statistics as of December 31, 2009. 2 The ICSID Fiscal Year covers the period July 1 to June 30.



PART II – CASES REGISTERED AND ADMINISTERED BY ICSID IN 2009

1. Cases Registered by ICSID in 2009 19 Chart 1: Number of Cases Registered under the ICSID Convention and Additional Facility Rules in 2009 19

2. Non-ICSID Cases Administered by the ICSID Secretariat in Fiscal Year 2009 19 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in Fiscal Year 20093 19

3. Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in 2009 20 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in 2009 20

4. Geographic Distribution of ICSID Cases Registered in 2009 by State Party Involved 21 Chart 4: Geographic Distribution of ICSID Cases Registered in 2009 by State Party Involved 21

5. Distribution of ICSID Cases Registered in 2009 by Economic Sector 22 Chart 5: Distribution of ICSID Cases Registered in 2009 by Economic Sector 22

6. ICSID Cases Concluded in 2009 – Outcomes 23 Chart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2009 – Outcomes 23 Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2009 – Awards 23

7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2009 24 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2009 – Distribution of Appointments by Geographic Region 24 Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2009 – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 25 Chart 10: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2009 26

3 The ICSID Fiscal Year covers the period July 1 to June 30.



PART I

ALL CASES REGISTERED AND ADMINISTERED BY ICSID



1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention



2. Cases Registered by ICSID

Chart 1: Total Number of ICSID Cases Registered by Year:

As of December 31, 2009, ICSID had registered 305 cases under the ICSID Convention and Additional Facility Rules.

1

4

12

12 2

34

1

4

12

13 3 3

1011

1012

14

19

31

27 27

23

37

21

25

0

5

10

15

20

25

30

35

40

1972

1973

1974

1975

1976

1977

1978

1979

1980

1981

1982

1983

1984

1985

1986

1987

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

Cases Registered under the ICSID Convention and Additional Facility Rules



Chart 2: Number of Cases Registered by Year under the ICSID Convention and Additional Facility Rules:

Chart 3: Type of Proceeding Registered under the ICSID Convention and Additional Facility Rules:

14

1 2 1 2 1 24

14

1 2 1 2 3 38 8 8 9

1418

30

2124

21

32

2023

1 11

1

1

1

2 3 2 3

1

6

2

2

4

1

2

0

5

10

15

20

25

30

35

40

1972

1973

1974

1975

1976

1977

1978

1979

1980

1981

1982

1983

1984

1985

1986

1987

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

ICSID Convention Arbitration Cases ICSID Convention Conciliation Cases ICSID Additional Facility Arbitration Cases

ICSID Convention Arbitration Cases

271(89%)

ICSID Convention Conciliation Cases

6(2%)

ICSID Additional Facility Arbitration Cases

28(9%)



3. Non-ICSID Cases Administered by the ICSID Secretariat

Chart 4: Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years:

The ICSID Secretariat 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 1960, and an arbitration under the Softwood Lumber Agreement of 2006 (United States v. Canada).

4 4 3 3 3

10 11 10

7 6

1 2

11

1

0

2

4

6

8

10

12

14

FY 2000 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009

UNCITRAL Cases Other Cases



4. 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:

ASEAN Agreement for the Promotion and Protection

of Investments1%

Bilateral Investment Treaty (BIT)

62%

Dominican Republic-United States-Central American Free Trade

Agreement (DR-CAFTA)

1%

Investment Contract between the Investor and

the Host-State22%

Investment Law of the Host-State

5%

North American Free Trade Agreement (NAFTA)

4%

Energy Charter Treaty (ECT)

5%



5. Geographic Distribution of All ICSID Cases by State Party Involved

Chart 6: Geographic Distribution of All ICSID Cases by State Party Involved*:

* The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries.

South America30%

Central America & the Carribean

7%

North America (Canada, Mexico & U.S.)

6%

Eastern Europe & Central Asia

22%

Western Europe1%

Sub-Saharan Africa16%

Middle East & North Africa

10%

South & East Asia & the Pacific

8%



6. Distribution of All ICSID Cases by Economic Sector

Chart 7: Distribution of All ICSID Cases by Economic Sector*:

* This sector classification is based on the World Bank’s sector codes, which are available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf.

Finance8%

Information & Communication

6%

Agriculture, Fishing & Forestry

4%Oil, Gas & Mining

25%

Electric Power & Other Energy

13%

Water, Sanitation & Flood Protection

8%

Construction7%Tourism

5%

Other Industry10%

Transportation11%

Services & Trade

3%



7. ICSID 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:

Award rendered by Tribunal

66%

Proceeding Discontinued

34%

Award declining ICSID jurisdiction

21%

Award on the merits69%

Award embodying the parties' settlement

agreement10%



Chart 10: Conciliation Proceedings under the ICSID Convention – Outcomes:

Chart 11: Conciliation Proceedings under the ICSID Convention – Commission Reports:

Conciliation Commission Report

issued67%

Proceeding Discontinued

33%

Report recording failure of the parties to

reach agreement75%

Report recording agreement of the

parties25%



8. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases

Chart 12: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases – Distribution of Appointments by Geographic Region*:


North America (Canada, Mexico, U.S.)

23%

South America10%

Central America & Caribbean

2%


6%



8% Eastern Europe & Central Asia

1%

Western Europe48%



Chart 13: 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*:

* The geographical classification is based on the World Bank’s regions as set forth at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. Chart updated in August 2010.

34 289

2211

38

8

140

195

67

1334

12

41

7

344

0

50

100

150

200

250

300

350

400


South America Central America & the Caribbean


Sub-Saharan Africa South & East Asia & the Pacific


Western Europe

Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators)



Chart 14: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases *:

*Chart updated in August 2010.

120106

9474

7046

3533

3130

272525

241515

1312

1110

98888

7777

666

55555

444444

33333

222222222222

111111111111

0 20 40 60 80 100 120 140

U.S.FrenchBritish

CanadianSwiss

SpanishMexican

AustralianItalian

GermanEgyptian

ChileanDutch

BelgianArgentine

SwedishNew Zealand

Costa RicanColombian

BrazilianDanishGreek

Lebanese/FrenchUruguayan

VenezuelanEcuadorian

PhilippineSenegalese

ThaiPeruvian

SingaporeanSlovak

AustrianBritish/French

BulgarianGuyanese

IndianAlgerian

BangladeshiCypriotIranian

MoroccanSwiss/Brazilian

HonduranIsraeli

JamaicanNigerianTogolese

BarbadianBeninese

CzechFinnish

GaboneseGhanaianJordanianLebaneseMalagasyPakistani

PortugueseSwiss/Irish

Central AfricanCroatian

DominicaGuatemalan

Iranian/FrenchLuxembourg

MalaysianNorwegian

SerbianSouth African

Sri LankanSudanese

Number of Appointments

Nat

iona

lity

of A

ppoi

ntee



PART II

CASES REGISTERED AND ADMINISTERED BY ICSID IN 2009



1. Cases Registered by ICSID in 2009

Chart 1: Number of Cases Registered under the ICSID Convention and Additional Facility Rules in 2009:

2. Non-ICSID Cases Administered by the ICSID Secretariat in Fiscal Year 2009

Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in Fiscal Year 2009:

23

2

0

5

10

15

20

25

ICSID Convention Arbitration Cases

ICSID Additional Facility Arbitration Cases

6

1

0

1

2

3

4

5

6

7

UNCITRAL Cases Other Cases



3. Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in 2009

Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in 2009:

Bilateral Investment Treaty (BIT)

64%

Dominican Republic-United States-Central American Free Trade

Agreement (DR-CAFTA)

7%

Investment Contract between the Investor and

the Host-State18%

Investment Law of the Host-State

4%

Energy Charter Treaty (ECT)

7%



4. Geographic Distribution of ICSID Cases Registered in 2009 by State Party Involved

Chart 4: Geographic Distribution of ICSID Cases Registered in 2009 by State Party Involved*:


South America16%

Central America & the Carribean

20%

North America (Canada, Mexico, U.S.)

4%


28%

Western Europe4%



16%South & East Asia & the Pacific

8%



5. Distribution of ICSID Cases Registered in 2009 by Economic Sector

Chart 5: Distribution of ICSID Cases Registered in 2009 by Economic Sector*:

* The sector classification is based on the World Bank’s sector codes, which are available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf.

Finance8%

Information & Communication

4% Agriculture, Fishing & Forestry8%

Oil, Gas & Mining

24%

Electric Power & Other Energy

16%Water, Sanitation &

Flood Protection4%

Construction 4%

Tourism8%

Other Industry8%

Transportation16%



6. ICSID Cases Concluded in 2009 – Outcomes

Chart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2009 – Outcomes:

Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2009 – Awards:

Award rendered by Tribunal

72% Proceeding Discontinued

28%

Award declining ICSID jurisdiction

33%

Award on the merits56%

Award embodying the parties' settlement

agreement11%



7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2009

Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2009 – Distribution of Appointments by Geographic Region*:

* The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. Chart updated in August 2010.


20%

South America11%

Central America & the Caribbean

4%Middle East & North Africa

8% Sub-Saharan Africa1%


12%


3%

Western Europe41%



Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2009 – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region*:

* The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. Chart updated in August 2010.

43 3

4

1

6

2

12

17

8

1

4

0

6

1

31

0

5

10

15

20

25

30

35


South America Central America & the Caribbean


Sub-Saharan Africa South & East Asia & the Pacific


Western Europe

Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators)



Chart 10: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2009*:

* Chart updated in August 2010.

13

12

8

8

6

5

5

4

4

3

3

3

3

2

2

2

2

2

2

2

1

1

1

1

1

1

1

1

1

1

1

1

0 2 4 6 8 10 12 14

U.S.

French

British

Canadian

Swiss

Australian

Egyptian

Argentine

Swedish

Belgian

British/French

Costa Rican

New Zealand

Bangladeshi

Chilean

Colombian

Guyanese

Italian

Slovak

Spanish

Brazilian

Bulgarian

Dutch

German

Iranian/French

Jamaican

Lebanese/French

Malaysian

Moroccan

Nigerian

Pakistani

Swiss/Irish

Number of Appointments

Nat

iona

lity

of A

ppoi

ntee

PART IAll Cases Registered and Administeredby ICSID1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention2. Cases Registered by ICSIDChart 1: Total Number of ICSID Cases Registered by Year:Chart 2: Number of Cases Registered by Year under the ICSID Convention and Additional Facility Rules:Chart 3: Type of Proceeding Registered under the ICSID Convention and Additional Facility Rules:

3. Non-ICSID Cases Administered by the ICSID SecretariatChart 4: Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years:

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

5. Geographic Distribution of All ICSID Cases by State Party InvolvedChart 6: Geographic Distribution of All ICSID Cases by State Party Involved*:

6. Distribution of All ICSID Cases by Economic SectorChart 7: Distribution of All ICSID Cases by Economic Sector*:

7. ICSID Proceedings – OutcomesChart 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 10: Conciliation Proceedings under the ICSID Convention – Outcomes:/Chart 11: Conciliation Proceedings under the ICSID Convention – Commission Reports:

8. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID CasesChart 12: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases – Distribution of Appointments by Geographic Region*:Chart 13: 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*:

PART IICases Registered and Administeredby ICSID in 20091. Cases Registered by ICSID in 2009Chart 1: Number of Cases Registered under the ICSID Convention and Additional Facility Rules in 2009:

2. Non-ICSID Cases Administered by the ICSID Secretariat in Fiscal Year 2009Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in Fiscal Year 2009:

3. Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in 2009Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in 2009:

4. Geographic Distribution of ICSID Cases Registered in 2009 by State Party InvolvedChart 4: Geographic Distribution of ICSID Cases Registered in 2009 by State Party Involved*:

5. Distribution of ICSID Cases Registered in 2009 by Economic SectorChart 5: Distribution of ICSID Cases Registered in 2009 by Economic Sector*:

6. ICSID Cases Concluded in 2009 – OutcomesChart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2009 – Outcomes:Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2009 – Awards:

7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2009Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2009 – Distribution of Appointments by Geographic Region*:Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2009 – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region*:Chart 10: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2009*:

the icsid caseload · 2020. 3. 16. · this document is intended to provide a profile of the icsid...

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