the icsid caseload

THE ICSID CASELOAD –

STATISTICS

© 2011 by International Centre for Settlement of Investment Disputes.

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The ICSID Caseload – Statistics

(Issue 2011-1)

This new issue of the ICSID Caseload – Statistics provides an updated profile of the ICSID caseload, historically and for 2010. It is based on cases registered or administered by ICSID as of December 31, 2010.

As in previous issues, 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 (now including further information on disputes decided by arbitral tribunals); and the nationality and geographic origins of arbitrators, conciliators and ad hoc committee members appointed in ICSID proceedings. This issue also reviews 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 email at [email protected].

mailto:[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 as of December 31, 2010 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 Cases 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 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 Arbitration and Conciliation Proceedings – Outcomes 13 Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes 13 Chart 9: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Outcomes 13 Chart 10: Conciliation Proceedings under the ICSID Convention – Outcomes 14 Chart 11: Conciliation Proceedings under the ICSID Convention – Commission Reports 14

8. Annulment Proceedings under the ICSID Convention – Outcomes 15 Chart 12: Awards rendered and Outcomes in Annulment Proceedings under the ICSID Convention by Decade 15

9. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 16 Chart 13: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases – Distribution of Appointments by Geographic Region 16 Chart 14: 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 17 Chart 15: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 18

1 The data is based on ICSID statistics as of December 31, 2010. 2 The ICSID Fiscal Year covers the period July 1 to June 30.



PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN 2010

1. New Cases Registered by ICSID in 2010 20 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in 2010 20

2. Non-ICSID Cases Administered by the ICSID Secretariat in 2010 20 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in 2010 20

3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2010 21 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2010 21

4. Geographic Distribution of New ICSID Cases Registered in 2010 by State Party Involved 22 Chart 4: Geographic Distribution of New ICSID Cases Registered in 2010 by State Party Involved 22

5. Distribution of New ICSID Cases Registered in 2010 by Economic Sector 23 Chart 5: Distribution of New ICSID Cases Registered in 2010 by Economic Sector 23

6. ICSID Arbitration Proceedings Concluded in 2010 – Outcomes 24 Chart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2010 – Outcomes 24 Chart 7: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 2010 – Outcomes 24

7. Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in 2010 25 Chart 8: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in 2010 – Distribution of Appointments by Geographic Region 25 Chart 9: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in 2010 – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 26 Chart 10: Nationality of Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in 2010 27



PART I

ALL CASES REGISTERED AND ADMINISTERED BY ICSID



1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of December 31, 2010



2. Cases Registered by ICSID

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

As of December 31, 2010, ICSID had registered 331 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

2526

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

2010

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 Cases Registered under the ICSID Convention and Additional Facility Rules:

14

1 2 1 2 1 2 41

41 2 1 2 3 3

8 8 8 914

18

30

2124

21

32

2023 25

1 1 1

1

1

1

2 3 2 3

1

6

2

2

4

1

21

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

2010

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

ICSID Convention Arbitration Cases

296(89%)

ICSID Convention Conciliation Cases

6(2%)

ICSID Additional Facility Arbitration Cases

29(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 Fiscal Years:

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 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 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.

4 3 3 3

10 11 10

7 64 5

2

11

1 3

0

2

4

6

8

10

12

14

FY2001 FY2002 FY2003 FY2004 FY2005 FY2006 FY2007 FY2008 FY2009 FY2010 July 1 -Dec. 31,

2010UNCITRAL 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

6%

North American Free Trade Agreement (NAFTA)

4%

Energy Charter Treaty (ECT)

4%



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

8%

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

5%

Eastern Europe & Central Asia

22%

Western Europe1%

Sub-Saharan Africa17%

Middle East & North Africa

9%

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, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf.

Finance7%

Information & Communication

6%

Agriculture, Fishing & Forestry

5% Oil, Gas & Mining25%

Electric Power & Other Energy

14%

Water, Sanitation & Flood Protection

7%

Construction7%Tourism

4%

Other Industry10%

Transportation11%

Services & Trade

4%



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:

* Pursuant to ICSID Arbitration Rule 41(5) and Article 45(6) of the Arbitration (Additional Facility) Rules, as adopted by the ICSID Administrative Council in 2006, 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.

Dispute decided by Tribunal

61%

Dispute settled or proceeding otherwise

discontinued39%

Award deciding that the claims are

manifestly without legal merit

1% *

Award declining jurisdiction

23%

Award dismissing all claims31%

Award upholding claims in part or in full

45%



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. Annulment Proceedings under the ICSID Convention – Outcomes

Chart 12: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade:

49

18

96

0 1 1

13

0 3 08

0 0 15

0

20

40

60

80

100

120

1971-1980 1981-1990 1991-2000 2001-2010

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



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

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



23%

South America9%

Central America & the Caribbean

2%


6%



8% Eastern Europe & Central Asia

2%

Western Europe48%



Chart 14: 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.

38 289

2211

41

8

155

215

70

1338

13

51

9

374

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 15: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases:

133123

10183

7550

3736

3432

3027

2525

2017

151212

109

8888

77777

6666

5555

44444

33333333

222222222222

1111111111

0 20 40 60 80 100 120 140

U.S.FrenchBritish

CanadianSwiss

SpanishMexicanGerman

AustralianItalian

EgyptianDutch

BelgianChilean

New ZealandArgentine

SwedishColombian

Costa RicanBrazilian

DanishGreek

Lebanese/FrenchUruguayan

VenezuelanEcuadorian

PhilippineSenegalese

SlovakThai

BangladeshiBritish/French

PeruvianSingaporean

AustrianBulgarianGuyanese

IndianAlgerianCypriotIranian

MoroccanSwiss/Brazilian

FinnishHonduran

IsraeliJamaican

MalaysianNigerianPakistaniTogolese

BarbadianBeninese

CzechGaboneseGhanaian

Iranian/FrenchJordanianLebaneseMalagasy

PortugueseSerbian

Swiss/IrishCentral African

CroatianDominica

GuatemalanLuxembourg

MalawianNorwegian

South AfricanSri LankanSudanese

Number of Appointments

Nat

iona

lity

of A

ppoi

ntee



PART II

CASES REGISTERED AND ADMINISTERED BY ICSID IN 2010



1. New Cases Registered by ICSID in 2010

Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in 2010:

2. Non-ICSID Cases Administered by the ICSID Secretariat in 2010

Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in 2010:

25

10

5

10

15

20

25

30

ICSID Convention Arbitration Cases

ICSID Additional Facility Arbitration Cases

6

3

0

1

2

3

4

5

6

7

UNCITRAL Cases Other Cases



3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2010

Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2010:

Bilateral Investment Treaty (BIT)

62%

Dominican Republic-United States-Central American Free Trade

Agreement (DR-CAFTA)4%

Investment Contract between the Investor and

the Host-State14%

Investment Law of the Host-State

17%

Energy Charter Treaty3%



4. Geographic Distribution of New ICSID Cases Registered in 2010 by State Party Involved

Chart 4: Geographic Distribution of New ICSID Cases Registered in 2010 by State Party Involved*:


South America31%

Central America & the Carribean

7%Eastern Europe &

Central Asia27%



8%



5. Distribution of New ICSID Cases Registered in 2010 by Economic Sector

Chart 5: Distribution of New ICSID Cases Registered in 2010 by Economic Sector*:

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

Finance4%

Information & Communication

4%

Agriculture, Fishing & Forestry

11%

Oil, Gas & Mining27%

Electric Power & Other Energy

15%Construction8%

Other Industry15%

Transportation8%

Services & Trade8%



6. ICSID Arbitration Proceedings Concluded in 2010 – Outcomes

Chart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2010 – Outcomes:

Chart 7: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 2010 – Outcomes:

* Pursuant to ICSID Arbitration Rule 41(5) and Article 45(6) of the Arbitration (Additional Facility) Rules, as adopted by the ICSID Administrative Council in 2006, 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.

Dispute decided by Tribunal

76%

Dispute settled or proceeding otherwise

discontinued24%

Award deciding that the claims are

manifestly without legal merit

10% *

Award declining jurisdiction

16%

Award dismissing all claims32%

Award upholding claims in part or in full

42%



7. Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in 2010

Chart 8: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in 2010 – Distribution of Appointments by Geographic Region*:



26%

South America3%


5%



14%


2%

Western Europe49%



Chart 9: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in 2010 – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region*:


4

0 0 0

3

0

15

20

34

1

10

2

30

0

5

10

15

20

25

30

35


South America Middle East & North Africa

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 and ad hoc Committee Members Appointed in ICSID Cases in 2010:

17

13

9

7

7

6

5

4

3

2

2

2

2

2

1

1

1

1

1

1

1

1

1

1

1

0 5 10 15 20

French

U.S.

Canadian

British

New Zealand

German

Swiss

Spanish

Egyptian

Argentine

Bangladeshi

Dutch

Malaysian

Mexican

Australian

Belgian

British/French

Colombian

Finnish

Iranian/French

Italian

Malawi

Pakistani

Serbian

Slovak

Number of Appointments

Nat

iona

lity

of A

ppoi

ntee

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