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THE ICSID CASELOAD — STATISTICSISSUE 2021-2
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The ICSID Caseload – Statistics
(Issue 2021-2)
This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload, historically and for the Fiscal Year 2021 (FY2021). It is based on cases registered or administered by ICSID as of June 30, 2021.
This report illustrates: the number of cases registered under the ICSID Convention and Additional Facility Rules; the number of cases administered by ICSID; the basis of consent invoked for ICSID jurisdiction; the geographic distribution of ICSID cases by the State party to the dispute;1 and the economic sectors involved in ICSID disputes.2 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, geographic origins and gender 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 [email protected].
The content of this publication may be reproduced for educational use only with copyright acknowledgement to the International Centre for Settlement of Investment Disputes.
1 The classification of the geographic regions is based on the World Bank’s regional system, available at https://www.worldbank.org/en/where-we-work, and also includes World Bank donor countries.
2 The economic sector classification is based on the World Bank’s sector codes, available at https://projects.worldbank.org/en/projects-operations/project-sector.
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Table of Contents
PART I ALL CASES REGISTERED AND ADMINISTERED BY ICSID
1. Map of the Contracting States and Other Signatories of the ICSID Convention as of June 30, 2021 6
2. Cases Registered by ICSID under the ICSID Convention and Additional Facility Rules 7
Chart 1: Total Number of ICSID Cases Registered, by Calendar Year 7
Chart 2: Number of ICSID Cases Registered, by Calendar Year 8
Chart 3: Type of ICSID Cases Registered 9
3. Cases Administered by the ICSID Secretariat under the ICSID Convention, the Additional Facility Rules and Other Rules 9
Chart 4: Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years 10
Chart 5: Total Cases Administered by the ICSID Secretariat, under ICSID and Non-ICSID Rules 10
4. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases 11
Chart 6: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered under the ICSID Convention and Additional Facility Rules 11
5. Geographic Distribution of All ICSID Cases, by State Party Involved 12
Chart 7: Geographic Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, by State Party Involved 12
6. Distribution of All ICSID Cases by Economic Sector 12
Chart 8: Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, by Economic Sector 12
7. ICSID Arbitration Proceedings – Outcomes 13
Chart 9: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes 13
Chart 9a: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Tribunal Rulings, Settlement & Discontinuances 13
Chart 9b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings 14
Chart 9c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis 14
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8. ICSID Conciliation Proceedings – Outcomes 15
Chart 10: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes 15
Chart 11: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules – Commission Reports 15
9. Annulment Proceedings under the ICSID Convention – Outcomes 16
Chart 12: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade 16
10. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 17
Chart 13: 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 17
Chart 14: 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 or Conciliators) by Geographic Region 17
Chart 15: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules 18
Chart 16: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Gender 20
Chart 17: 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 or Conciliators), by Gender 20
PART II CASES REGISTERED AND ADMINISTERED BY ICSID IN FY2021
1. New Cases Registered by ICSID in FY2021 22
Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2021 22
2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2021 22
Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2021 22
3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2021 23
Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2021 under the ICSID Convention and Additional Facility Rules 23
4. Geographic Distribution of New ICSID Cases Registered in FY2021, by State Party Involved 24
Chart 4: Geographic Distribution of New Cases Registered in FY2021 under the ICSID Convention and Additional Facility Rules, by State Party Involved 24
Chart 5: Geographic Distribution of New Cases Registered in FY2021 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details 24
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5. Distribution of New ICSID Cases Registered in FY2021, by Economic Sector 25
Chart 6: Distribution of New Cases Registered in FY2021 under the ICSID Convention and Additional Facility Rules, by Economic Sector 25
6. ICSID Arbitration Proceedings Concluded in FY2021 – Outcomes 26
Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2021 – Outcomes 26
Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2021 – Tribunal Rulings, Settlement & Discontinuances 26
Chart 7b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2021 – Findings 27
Chart 7c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in FY2021 – Basis 27
7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY2021 28
Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2021 in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region 28
Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2021 in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators or Conciliators) by Geographic Region 28
Chart 10: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2021 in Cases Registered under the ICSID Convention and Additional Facility Rules 29
Chart 11: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules in FY2021 – Distribution of Appointments by Gender 30
Chart 12: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules in FY2021 – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators or Conciliators), by Gender 30
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PART I ALL CASES REGISTERED AND ADMINISTERED
BY ICSID
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1. Map of the Contracting States and Other Signatories of the ICSID Convention as of June 30, 2021
Page | 7
2. Cases Registered by ICSID under the ICSID Convention and Additional Facility Rules
Chart 1: Total Number of ICSID Cases Registered, by Calendar Year
As of June 30, 2021, ICSID had registered 838 cases under the ICSID Convention and Additional Facility Rules.
14 1 2 1 2 2 3 4
14
1 2 1 3 3 3
10 11101214
19
3127 27
23
37
212526
38
50
4038
52485356
39
58
35
0
10
20
30
40
50
60
70
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
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2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
2016
2017
2018
2019
2020
to J
une
30, 2
021
Cases Registered under the ICSID Convention and Additional Facility Rules
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Chart 2: Number of ICSID Cases Registered, by Calendar Year
14
1 2 1 21 2
41
41 2 1
23 3 8 8 8 9 14 18 30 21 24 21 32 20 23 25 33 40 38 35 50 42 49 49 35 54 351 1 1
1
1
1 1
1
1
1
1
2 3 23
1
6 22
4
12 1
48 2 3
25
46
3
3
2
0
10
20
30
40
50
60
70
1972
1973
1974
1975
1976
1977
1978
1979
1980
1981
1982
1983
1984
1985
1986
1987
1988
1989
1990
1991
1992
1993
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1997
1998
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2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
2016
2017
2018
2019
2020
to J
une
30, 2
021
ICSID Convention Arbitration Cases ICSID Convention Conciliation CasesICSID Additional Facility Arbitration Cases ICSID Additional Facility Conciliation Cases
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Chart 3: Type of ICSID Cases Registered
3. Cases Administered by the ICSID Secretariat under the ICSID Convention, the Additional Facility Rules and Other Rules
The ICSID Secretariat offers administrative support and facilities in State-State and investor-State proceedings conducted under non-ICSID rules. Among the State-State cases administered by ICSID 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).
The Centre also frequently provides administrative assistance to investor-State arbitrations under the UNCITRAL Arbitration 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 comprehensive 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, SCC, and other institutions.
For further information, please visit the Centre’s website or contact the Secretariat.
756(90.2%)
11(1.3%)
69(8.2%)
2(0.3%)
ICSID Convention Arbitration Cases
ICSID Convention Conciliation Cases
ICSID Additional Facility Arbitration Cases
ICSID Additional Facility Conciliation Cases
Page | 10
Chart 4: Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years
Chart 5: Total Cases Administered by the ICSID Secretariat, under ICSID and Non-ICSID Rules
3 510 9 7 9 8
1216 14
21
21
2
5 6
5
55
0
5
10
15
20
25
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 FY2018 FY2019 FY2020 FY2021
Investor-State UNCITRAL Arbitrations Other Cases
172 195 209 243 247 258 279 306 303 332
56
12
10 914
1417 21
19
0
50
100
150
200
250
300
350
400
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017 FY2018 FY2019 FY2020 FY2021
Non-ICSID Cases Administered by the Secretariat (Investor-State UNCITRAL arbitrations and other cases)ICSID Cases Administered by the Secretariat
Page | 11
4. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases
Chart 6: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered under the ICSID Convention and Additional Facility Rules
* This category includes the Agreement on Promotion and Reciprocal Protection of Investments in the Member States of the Eurasian Economic Community; 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-El Salvador, Guatemala and Honduras Free Trade Agreement; Colombia-Mexico Free Trade Agreement; Oman-U.S. Free Trade Agreement; Establishment and Consular Convention between Switzerland and Italy; Peru-Singapore Free Trade Agreement; Treaty on the Eurasian Economic Union; U.S.-Colombia Trade Promotion Agreement; U.S.-Mexico-Canada Agreement; U.S.-Morocco Free Trade Agreement; U.S.-Panama Trade Promotion Agreement; and the U.S.-Peru Trade Promotion Agreement.
60%15%
9%
8%4%3%
1%
Bilateral Investment Treaty
Investment Contract between the Investor and the Host-State
Energy Charter Treaty
Investment Law of the Host-State
Other Treaties*
North American Free Trade Agreement
Dominican Republic-United States-Central America Free TradeAgreement
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5. Geographic Distribution of All ICSID Cases, by State Party Involved
Chart 7: 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 8: Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, by Economic Sector
26%
22%15%
11%
8%
7%
6%5%
Eastern Europe & Central AsiaSouth AmericaSub-Saharan AfricaMiddle East & North AfricaWestern EuropeSouth & East Asia & the PacificCentral America & the CaribbeanNorth America (Canada, Mexico & U.S.)
25%
17%
12%9%
8%
7%
7%
4%4%4%3% Oil, Gas & Mining
Electric Power & Other EnergyOther IndustryConstructionTransportationFinanceInformation & CommunicationWater, Sanitation & Flood ProtectionAgriculture, Fishing & ForestryTourismServices & Trade
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7. ICSID Arbitration Proceedings – Outcomes
Chart 9: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes
Chart 9a: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Tribunal Rulings, Settlement & Discontinuances
31%
19%
15%
1%
17%
9%
4%
2.5%1%0.5%
Award upholding claims in part or in full
Award dismissing all claims
Award declining jurisdiction
Award deciding that the claims are manifestly without legal merit
Proceeding discontinued at the request of both parties [1]
Proceeding discontinued at the request of one party [2]
Settlement agreement embodied in an award at parties' request [3]
Proceeding discontinued for lack of payment of the requiredadvances [4]Proceeding discontinued for failure of parties to act [5]
Proceeding discontinued at the Initiative of the Tribunal [6]
66%34%
Dispute decided by Tribunal(see charts 9a and 9b)
Dispute settled or proceeding otherwise discontinued(see charts 9a and 9c)
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Chart 9b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings
Chart 9c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis
____________________________________________________________________________
[1] ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1). [2] ICSID Arbitration Rule 44. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 50. [3] ICSID Arbitration Rule 43(2) and Arbitration (Additional Facility) Rule 49(2). [4] ICSID Administrative & Financial Regulation 14(3)(d). [5] ICSID Arbitration Rule 45 and Arbitration (Additional Facility) Rule 51. [6] In accordance with Article 44 of the ICSID Convention.
47%
30%
22%
1%
Award upholding claims in part or in full
Award dismissing all claims
Award declining jurisdiction
Award deciding that the claims are manifestlywithout legal merit
51%
24%
13%
8%
3%1%
Proceeding discontinued at the request of both parties [1]
Proceeding discontinued at the request of one party [2]
Settlement agreement embodied in an award at parties'request [3]Proceeding discontinued for lack of payment of the requiredadvances [4]Proceeding discontinued for failure of parties to act [5]
Proceeding discontinued at the Initiative of the Tribunal [6]
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8. ICSID Conciliation Proceedings – Outcomes
Chart 10: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes
Chart 11: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules – Commission Reports
87%
13%
Report recording failure of the Parties to reach agreement
Report recording agreement of the Parties
80%
20%
Conciliation Commission Report issued (see chart 11)
Proceeding Discontinued
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9. Annulment Proceedings under the ICSID Convention – Outcomes
Chart 12: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade
4 918
96
225
151
13
56
33 18 7 11 5
25
20
50
100
150
200
250
1971-1980 1981-1990 1991-2000 2001-2010 2011 -2020 2021 -
Number of Convention awards rendered
Number of decisions rejecting the application for annulment
Number of decisions annulling the award in part or in full
Number of annulment proceedings discontinued
Page | 17
10. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases
Chart 13: 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
Chart 14: 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 or Conciliators) by Geographic Region
47%
20%
11%
11%
4%
3%2% 2%
Western Europe
North America (Canada, Mexico & U.S.)
South America
South & East Asia & the Pacific
Middle East & North Africa
Eastern Europe & Central Asia
Central America & the Caribbean
Sub-Saharan Africa
365
103 95 14345 19 49 38
1007
494
242176
68 56 23 300
200
400
600
800
1000
1200
WesternEurope
North America(Canada,
Mexico & U.S.)
South America South & EastAsia & the
Pacific
Middle East &North Africa
EasternEurope &
Central Asia
CentralAmerica & the
Caribbean
Sub-SaharanAfrica
Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators or Conciliators)
Page | 18
Chart 15: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules
Nationality/ Nationalities
As of June 30,
2021 France 287
United States of America 287
United Kingdom 253
Canada 160
Switzerland 149
Spain 134
Australia 109
Germany 108
Argentina 86
Mexico 81
Italy 79
Belgium 74
Chile 65
Netherlands 58
New Zealand 55
Colombia 51
Bulgaria 49
Egypt, Arab Rep. of 39
Costa Rica 37
Singapore 36
Sweden 33
France / Sweden 30
Austria 29
United Kingdom / France 25
Canada / New Zealand 24
Finland 21
Argentina / Spain 20
Brazil 19
Guatemala 16
Korea, Rep.of 16
Pakistan 16
China 15
Switzerland / Brazil 15
Canada / United Kingdom 14
Iran, Islamic Rep. of / France 14
Nationality/ Nationalities
As of June 30,
2021 Lebanon / France 14
Slovak Republic 14
France / Switzerland 13
Morocco 13
Peru 13
Australia / Ireland 12
Bangladesh 12
Malaysia 12
Germany / Austria 11
Greece 11
Nigeria 11
Philippines 11
Ireland / Germany 10
United States of America / Switzerland 10
Argentina / United States of America 9
Colombia / France 9
Denmark 9
Uruguay 9
Venezuela 9
Somalia 8
United Kingdom / Nigeria 8
Ecuador 7
Senegal 7
Thailand 7
Bahamas 6
Canada / Lebanon 6
India 6
Ireland / United States of America 6
Portugal 6
Switzerland / Ireland 6
United Kingdom / Italy 6
United States of America / United Kingdom 6
Guyana 5
Mexico / Germany 5
New Zealand / United Kingdom 5
Page | 19
Nationality/ Nationalities
As of June 30,
2021 Paraguay 5
United States of America / France 5
Algeria 4
Argentina / Portugal 4
Barbados 4
Cyprus 4
Iran, Islamic Rep. of 4
Lebanon / Chile 4
Peru / Switzerland 4
Burundi 3
Czech Republic 3
Honduras 3
Ireland 3
Israel 3
Jamaica 3
Jordan 3
Serbia 3
South Africa 3
Togo 3
Benin 2
Botswana 2
Cameroon 2
Chile / United States of America 2
France / Mauritius 2
France / Mauritius / United Kingdom 2
France / Syria 2
Gabon 2
Ghana 2
Italy / Chile / El Salvador 2
Japan 2
Lebanon 2
Madagascar 2
Malawi 2
Malta / South Africa 2
United Kingdom / Germany 2
United Kingdom / Pakistan 2
Nationality/ Nationalities
As of June 30,
2021 Algerian / French 1
Argentina / Brazil 1
Australia / Germany 1
Belgium / United Kingdom 1
Cabo Verde 1
Canada / Switzerland 1
Central African Republic 1
Croatia 1
Czechoslovakia 1
Dominica 1
Dominican Republic 1
El Salvador 1
France / Lebanon / Ecuador 1
France / New Zealand 1
Israel / Switzerland 1
Latvia 1
Luxembourg 1
Mexico / United States of America 1
Norway 1
Pakistan / United States of America 1
Romania 1
Slovenia 1
Sri Lanka 1
Sudan 1
Turkey 1
United Kingdom / Ghana 1
United Kingdom / Iran, Islamic Rep. Of 1
United Kingdom / Spain 1
United Kingdom / Uganda 1
United States of America / Bulgaria 1
United States of America / Canada 1
United States of America / Egypt 1
Uruguay / France 1
Venezuela / Saint Kitts and Nevis 1
Zambia 1
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Chart 16: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Gender
Chart 17: 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 or Conciliators), by Gender
87% 13% Men Women
762
614
316
136
739
38
158
5517
118
0
100
200
300
400
500
600
700
800
900
Claimant Respondent Parties jointly Co-arbitrators orconciliators
ICSID (Chairman /Secretary-General)
Men Women
Page | 21
PART II CASES REGISTERED AND ADMINISTERED
BY ICSID IN FY2021
Page | 22
1. New Cases Registered by ICSID in FY2021
Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2021
2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2021
Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2021
67
2 10
10
20
30
40
50
60
70
80
ICSID Convention Arbitration CasesICSID Additional Facility Arbitration CasesICSID Convention Conciliation Cases
14
5
0123456789
101112131415
Investor-State UNCITRAL Arbitrations Other Cases
Page | 23
3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2021
Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2021 under the ICSID Convention and Additional Facility Rules
63%8%
7%
4%
4%3%
3%3%
1%1%
1% 1% 1%
Bilateral Investment Treaty
Energy Charter Treaty
Investment Contract between the Investor and the Host-State
North American Free Trade Agreement
United States-Mexico-Canada Agreement
Investment Law of the Host-State
U.S.-Peru Trade Promotion Agreement
U.S.-Panama Trade Promotion Agreement
Canada-Peru Free Trade Agreement
Colombia - El Salvador, Guatemala and Honduras Free Trade Agreement
Establishment and Consular Convention between Switzerland and Italy
Dominican Republic-United States-Central America Free Trade Agreement
Chile-Colombia Free Trade Agreement
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4. Geographic Distribution of New ICSID Cases Registered in FY2021, by State Party Involved
Chart 4: Geographic Distribution of New Cases Registered in FY2021 under the ICSID Convention and Additional Facility Rules, by State Party Involved
Chart 5: Geographic Distribution of New Cases Registered in FY2021 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details
30%
14%
14%
10%
9%
9%
7%7%
Eastern Europe & Central AsiaSouth AmericaSub-Saharan AfricaWestern EuropeNorth America (Canada, Mexico & U.S.)Middle East & North AfricaSouth & East Asia & the PacificCentral America & the Caribbean
Venezuela, 1
Peru, 6
Colombia, 2
Chile, 1
United States, 2
Mexico, 3
Canada , 1
Panama, 2
Nicaragua, 1Guatemala, 1Costa Rica, 1
Uzbekistan, 1
Ukraine, 2
Turkme-nistan, 3
Turkey, 2
Serbia, 2
Romania, 1Kosovo, 1
Georgia, 2
Czech Rep., 1
Croatia, 2
Belarus, 1Armenia, 1
Albania, 2
The Netherlands, 2
Switzerland, 1Spain, 1Italy, 1
Germany, 1Denmark, 1
Tanzania, 3
South Sudan, 1
Nigeria, 2
Mauritania, 1Congo, Rep. of, 1Burkina Faso, 1
Benin, 1
UAE, 1Kuwait, 1
Iraq, 1
Egypt, 3
Papua New Guinea, 2
Mongolia, 1Korea, 1China, 1
0
5
10
15
20
25
Western Europe Eastern Europe &Central Asia
Middle East &North Africa
Sub-SaharanAfrica
South America North America(Canada, Mexico
& U.S.)
South & East Asia& the Pacific
Central America& the Caribbean
Page | 25
5. Distribution of New ICSID Cases Registered in FY2021, by Economic Sector
Chart 6: Distribution of New Cases Registered in FY2021 under the ICSID Convention and Additional Facility Rules, by Economic Sector
29%
16%
14%
11%
7%
7%
4%4%
3%3%
2%
Oil, Gas & Mining
Construction
Electric Power & Other Energy
Information & Communication
Other Industry
Transportation
Finance
Tourism
Services & Trade
Water, Sanitation & Flood Protection
Agriculture, Fishing & Forestry
Page | 26
6. ICSID Arbitration Proceedings Concluded in FY2021 – Outcomes
Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2021 – Outcomes
Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2021 – Tribunal Rulings, Settlement & Discontinuances
71%
29%
Dispute decided by Tribunal(see charts 7a and 7b)
Dispute settled or proceeding otherwise discontinued(see charts 7a and 7c)
34%
32%5%
22%
3%
2%2%
Award upholding claims in part or in full
Award dismissing all claims
Award declining jurisdiction
Proceeding discontinued at the request of both parties [1]
Settlement agreement embodied in an award at parties' request [2]
Proceeding discontinued for lack of payment of the required advances [3]
Proceeding discontinued for failure of parties to act [4]
Page | 27
Chart 7b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2021 – Findings
Chart 7c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in FY2021 – Basis
_________________________________________________________________________________________________________ [1] ICSID Arbitration Rule 43(1). No case concluded on the basis of Arbitration (Additional Facility) Rule 49(1). [2] ICSID Arbitration Rule 43(2). No case concluded on the basis of Arbitration (Additional Facility) Rule 49(2). [3] ICSID Administrative & Financial Regulation 14(3)(d). [4] ICSID Arbitration Rule 45. No case concluded on the basis of Arbitration (Additional Facility) Rule 51.
75%
9%
8%
8%
Proceeding discontinued at the request of both parties [1]Settlement agreement embodied in an award at parties' request [2]Proceeding discontinued for lack of payment of the required advances [3]Proceeding discontinued for failure of parties to act [4]
48%
45%
7%
Award upholding claims in part or in full
Award dismissing all claims
Award declining jurisdiction
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7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY2021
Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2021 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 FY2021 in Cases
Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators or Conciliators) by Geographic Region
43%
18%
14%
11%
4%4%3%3%
Western EuropeNorth America (Canada, Mexico & U.S.)South AmericaSouth & East Asia & the PacificSub-Saharan AfricaEastern Europe & Central AsiaCentral America & the CaribbeanMiddle East & North Africa
23
510 15
5 26
2
75
37
23
94
71 4
01020304050607080
WesternEurope
NorthAmerica(Canada,Mexico &
U.S.)
SouthAmerica
South & EastAsia & the
Pacific
Sub-SaharanAfrica
EasternEurope &
Central Asia
CentralAmerica & the
Caribbean
Middle East &North Africa
Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators or Conciliators)
Page | 29
Chart 10: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2021 in Cases Registered under the ICSID Convention and Additional Facility Rules
Nationality/ Nationalities
As of June 30, 2021
United Kingdom 22 United States of America 21 France 17 Canada 11 Spain 10 Switzerland 9 Argentina 8 Singapore 8 Germany 7 Bulgaria 6 New Zealand 6 Argentina / Spain 5 Austria 5 Colombia 5 Costa Rica 5 Italy 5 Netherlands 5 Argentina / Portugal 4 Australia 4 Belgium 4 Australia / Ireland 3 Canada / New Zealand 3 Chile 3 Sweden 3 United Kingdom / Nigeria 3 Argentina / United States of America 2 Botswana 2 Burundi 2 Finland 2 France / Mauritius / United Kingdom 2 France / Sweden 2
Nationality/ Nationalities
As of June 30, 2021
Iran, Islamic Rep. of / France 2 Italy / Chile / El Salvador 2 Mexico 2 Mexico / Germany 2 Bahamas 1 Brazil / Switzerland 1 Canada / Lebanon 1 Canada / United Kingdom 1 Colombia / France 1 Egypt / United States of America 1 France / Switzerland 1 France / Syria 1 Germany / Austria 1 Guatemala 1 Ireland 1 Ireland / United States of America 1 Jordan 1 Korea, Rep. of 1 Latvia 1 New Zealand / United Kingdom 1 Nigeria 1 Paraguay 1 Slovak Republic 1 Switzerland / Brazil 1 Switzerland / United States of America 1
United Kingdom / Pakistan 1 United Kingdom / Spain 1 United States of America / Bulgaria 1 United States of America / United Kingdom 1
Venezuela / Saint Kitts and Nevis 1
Page | 30
Chart 11: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules in FY2021 – Distribution of Appointments by Gender
Chart 12: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules in FY2021 – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators or Conciliators), by Gender
69%
31%
Men Women
49
42
1411
42
9
16 15
4
26
0
10
20
30
40
50
60
Claimant Respondent Parties jointly Co-arbitrators orconciliators
ICSID (Chairman /Secretary-General)
Men Women
WWW.ICSID.WORLDBANK.ORG2
WWW.ICSID.WORLDBANK.ORG
ICSID is the world’s leading institution devoted to international investment dispute settlement. It has extensive experience in this field, having administered the majority of all international investment cases. States have agreed on ICSID as a forum for investor-State dispute settlement in most inter-national investment treaties and in numerous investment laws and contracts.
ICSID was established in 1966 by the Convention on the Settlement of Investment Disputes between States and Nationals of Other States (the ICSID Convention). The ICSID Convention is a multilater-al treaty formulated by the Executive Directors of the World Bank to further the Bank’s objective of promoting international investment. ICSID is an independent, depoliticized and effective dispute-set-tlement institution. Its availability to investors and States helps to promote international investment by providing confidence in the dispute resolution process. It is also available for State-State disputes under investment treaties and free trade agreements, and as an administrative registry.