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THE ICSID CASELOAD STATISTICS (ISSUE 2014-1)

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Page 1: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

THE ICSID CASELOAD –

STATISTICS (ISSUE 2014-1)

Page 2: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 2

The ICSID Caseload – Statistics

(Issue 2014-1)

This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload, historically and for the calendar year 2013. It is based on cases registered or administered by ICSID as of December 31, 2013.

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 [email protected].

Page 3: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 3

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, 2013 6

2. Cases Registered by ICSID 7 Chart 1: Total Number of ICSID Cases Registered, by Calendar Year 7 Chart 2: Number of Cases Registered under the ICSID Convention and Additional Facility Rules, by Calendar Year 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 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 Cases Registered under the ICSID Convention and Additional Facility Rules 10

5. Geographic Distribution of All ICSID Cases, by State Party Involved 11 Chart 6: Geographic Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, by State Party Involved 11

6. Distribution of All ICSID Cases by Economic Sector 12 Chart 7: Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules, 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 8a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings 14 Chart 8b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis 15 Chart 9: Conciliation Proceedings under the ICSID Convention – Outcomes 16 Chart 10: Conciliation Proceedings under the ICSID Convention – Commission Reports 16

8. Annulment Proceedings under the ICSID Convention – Outcomes 17 Chart 11: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade 17

9. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 18 Chart 12: 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 18 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 ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 19 Chart 14: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules 20

1 The data is based on ICSID statistics as of December 31, 2013. 2 The ICSID Fiscal Year covers the period July 1 to June 30.

Page 4: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 4

PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN 2013

1. New Cases Registered by ICSID in 2013 22 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in 2013 22

2. Non-ICSID Cases Administered by the ICSID Secretariat in 2013 22 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in 2013 22

3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2013 23 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2013 under the ICSID Convention and Additional Facility Rules 23

4. Geographic Distribution of New ICSID Cases Registered in 2013, by State Party Involved 24 Chart 4: Geographic Distribution of New Cases Registered in 2013 under the ICSID Convention and Additional Facility Rules, by State Party Involved 24 Chart 5: Geographic Distribution of New Cases Registered in 2013 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details 25

5. Distribution of New ICSID Cases Registered in 2013, by Economic Sector 26 Chart 6: Distribution of New Cases Registered in 2013 under the ICSID Convention and Additional Facility Rules, by Economic Sector 26

6. ICSID Arbitration Proceedings Concluded in 2013 – Outcomes 27 Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2013 – Outcomes 27 Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 2013 – Findings 28 Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in 2013 – Basis 29

7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2013 30 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2013 in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region 30 Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2013 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 31 Chart 10: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2013 in Cases Registered under the ICSID Convention and Additional Facility Rules 32

Page 5: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 5

PART I

ALL CASES REGISTERED AND ADMINISTERED BY ICSID

Page 6: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 6

1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of December 31, 2013

Page 7: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

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2. Cases Registered by ICSID

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

As of December 31, 2013, ICSID had registered 459 cases under the ICSID Convention and Additional Facility Rules.

1 4

1 2 1 2 2 3 4 1

4 1 2 1

3 3 3

10 11 10 12

14

19

31

27 27 23

37

21

25 26

38

50

40

0

10

20

30

40

50

60

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

2011

2012

2013

Cases Registered under the ICSID Convention and Additional Facility Rules

Page 8: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 8

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

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

1 4 1 2 1 2 1 2 4 1 4 1 2 1 2 3 3 8 8 8 9

14 18

30

21 24 21

32

20 23 25 33

40 38

1 1 1

1

1

1 1

2 3 2 3

1 6

2 2

4

1 2

1

4

8 2

2

0

10

20

30

40

50

60

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

2011

2012

2013

ICSID Convention Arbitration Cases ICSID Convention Conciliation Cases

ICSID Additional Facility Arbitration Cases ICSID Additional Facility Conciliation Cases

ICSID Convention Arbitration Cases

407 (89%)

ICSID Convention Conciliation Cases

7 (1.5%)

ICSID Additional Facility Arbitration Cases

43 (9%)

ICSID Additional Facility Conciliation Cases

2 (0.5%)

Page 9: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 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 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.

10 11 10

7 6 4

6

3 5 5

1 1

1 3

2

1 2

0

2

4

6

8

10

12

14

FY2005 FY2006 FY2007 FY2008 FY2009 FY2010 FY2011 FY2012 FY2013 July 1 -Dec. 31,

2013Investor-State UNCITRAL Arbitrations Other Cases

Page 10: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 10

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:

ASEAN Agreement for the Promotion and Protection

of Investments 0.5%

Bilateral Investment Treaty (BIT)

63.0%

Dominican Republic-United States-Central America Free Trade

Agreement (DR-CAFTA) 1.0%

Investment Contract between the Investor and

the Host-State 19.0%

Investment Law of the Host-State

8.0%

North American Free Trade Agreement

(NAFTA) 3.0%

Agreement between the United States of America

and the Sultanate of Oman on the

Establishment of a Free Trade Area (Oman-U.S.

FTA) 0.5%

Energy Charter Treaty (ECT) 5.0%

Page 11: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 11

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*:

* 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 America 27%

Central America & the Carribean

7%

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

5% Eastern Europe & Central Asia

24%

Western Europe 2%

Sub-Saharan Africa 16%

Middle East & North Africa

11% South & East Asia &

the Pacific 8%

Page 12: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 12

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*:

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

Finance 7%

Information & Communication

6%

Agriculture, Fishing & Forestry

4% Oil, Gas & Mining 26%

Electric Power & Other Energy

13%

Water, Sanitation & Flood Protection

6%

Construction 7%

Tourism 4%

Other Industry 13%

Transportation 10%

Services & Trade

4%

Page 13: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 13

7. ICSID Arbitration and Conciliation Proceedings – Outcomes

Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes:

Dispute decided by Tribunal

64% (see chart 8a)

Dispute settled or proceeding otherwise

discontinued 36%

(see chart 8b)

Page 14: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

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Chart 8a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings:

* 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.

Award deciding that the claims are manifestly without legal merit

1%*

Award declining jurisdiction

25%

Award dismissing all claims 28%

Award upholding claims in part or in full

46%

Page 15: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

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Chart 8b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis:

1 ICSID Arbitration Rule 44. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 50. 2 ICSID Arbitration Rule 43(2). No case concluded to date on the basis of Arbitration (Additional Facility) Rule 49(2). 3 In accordance with Article 44 of the ICSID Convention. 4 ICSID Administrative & Financial Regulation 14(3)(d). 5 ICSID Arbitration Rule 45. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 51. 6 ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1).

Proceeding discontinued at the request of both

parties6 47%

Proceeding discontinued at the request of one

party1 27%

Settlement agreement embodied in an award at

parties' request2 16%

Proceeding discontinued at the Initiative of the

Tribunal3 1%

Proceeding discontinued for lack of payment of

the required advances4 8%

Proceeding discontinued for failure of parties to

act5 1%

Page 16: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

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Chart 9: Conciliation Proceedings under the ICSID Convention – Outcomes:

Chart 10: Conciliation Proceedings under the ICSID Convention – Commission Reports:

Conciliation Commission Report

issued 71%

(see chart 10) Proceeding Discontinued

29%

Report recording failure of the Parties to

reach agreement 80%

Report recording agreement of the

Parties 20%

Page 17: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

© 2014 by International Centre for Settlement of Investment Disputes.

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8. Annulment Proceedings under the ICSID Convention – Outcomes

Chart 11: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade:

4 9

18

96

53

0 1 0

13 8

0 3 1 8

1 0 0 1 5

9

0

20

40

60

80

100

120

1971-1980 1981-1990 1991-2000 2001-2010 2011 -

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 18: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

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

Chart 12: 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*:

* 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. The chart reflects appointments made to Tribunals and ad hoc Committees constituted until December 31, 2013.

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

22%

South America 11%

Central America & the Caribbean

2%

Middle East & North Africa

4%

Sub-Saharan Africa 2%

South & East Asia & the Pacific

10% Eastern Europe &

Central Asia 2%

Western Europe 47%

Page 19: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

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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 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. The chart reflects appointments made to Tribunals and ad hoc Committees constituted until December 31, 2013.

49 47 16 25 17

63

10

201

275

115

17 42

16

94

14

509

0

100

200

300

400

500

600

North America(Canada, Mexico &

U.S.)

South America Central America &the Caribbean

Middle East &North Africa

Sub-Saharan Africa South & East Asia &the Pacific

Eastern Europe &Central Asia

Western Europe

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

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Chart 14: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules:

163 155

133 97

93 74

52 50

45 45

40 36

34 33

32 31

24 22

20 17

12 12

11 11 11

10 10 10

9 9 9 9

8 8

7 7 7 7 7 7 7

6 6 6 6 6 6

5 5

4 4 4 4 4

3 3 3 3 3 3

2 2 2 2 2 2 2 2 2 2 2 2 2

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

0 20 40 60 80 100 120 140 160 180

United States of AmericaFrance

United KingdomCanada

SwitzerlandSpain

AustraliaMexico

ChileGermany

ItalyBelgium

NetherlandsArgentina

New ZealandEgypt, Arab Rep. of

ColombiaCosta Rica

SwedenFrance/Sweden/Bahrain

BrazilUnited Kingdom/France

AustriaBulgaria

United States of America/SwitzerlandCanada/New Zealand

PhilippinesSingaporeDenmark

GreeceLebanon/France

UruguayBangladeshVenezuela

ChinaColombia/France

EcuadorMorocco

SenegalSlovak Republic

ThailandFinland

IndiaMalaysiaPakistan

PeruSwitzerland/Brazil

GuyanaIran, Islamic Rep. of/France

AlgeriaCyprus

Germany/AustriaIran, Islamic Rep. of

SomaliaHonduras

IsraelJamaicaNigeria

Switzerland/IrelandTogo

BarbadosBenin

Czech RepublicGabonGhana

GuatemalaJordan

LebanonMadagascar

MalawiPortugal

SerbiaUnited States of America/France

CameroonCanada/Switzerland

Central African RepublicCroatia

DominicaFrance/Mauritius

JapanKorea, Rep. of

LuxembourgNorway

SloveniaSouth Africa

Sri LankaSudan

United Kingdom/GhanaUnited States of America/Canada

Number of Appointments

Stat

e of

Nat

iona

lity

of A

ppoi

ntee

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PART II

CASES REGISTERED AND ADMINISTERED BY ICSID IN 2013

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1. New Cases Registered by ICSID in 2013

Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in 2013:

2. Non-ICSID Cases Administered by the ICSID Secretariat in 2013

Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in 2013:

38

2 0

5

10

15

20

25

30

35

40

ICSID Convention Arbitration Cases

ICSID Additional Facility Arbitration Cases

7

2

0

1

2

3

4

5

6

7

8

Investor-State UNCITRAL Arbitrations Other Cases

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© 2014 by International Centre for Settlement of Investment Disputes.

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3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2013

Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2013 under the ICSID Convention and Additional Facility Rules:

Bilateral Investment Treaty (BIT)

57%

Investment Contract between the Investor and

the Host-State 14%

Investment Law of the Host-State

17%

Energy Charter Treaty (ECT) 12%

Page 24: THE ICSID CASELOADicsidfiles.worldbank.org/icsid/ICSIDBLOBS/CaseLoad... · (Issue 2014-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload,

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4. Geographic Distribution of New ICSID Cases Registered in 2013, by State Party Involved

Chart 4: Geographic Distribution of New Cases Registered in 2013 under the ICSID Convention and Additional Facility Rules, 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 America 5%

Central America & the Carribean

7%

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

2%

Eastern Europe & Central Asia

33% Western Europe

13%

Sub-Saharan Africa 15%

Middle East & North Africa

20% South & East Asia &

the Pacific 5%

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Chart 5: Geographic Distribution of New Cases Registered in 2013 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details*:

* 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.

Bulgaria, 1

Croatia, 2

Cyprus, 1

Hungary, 2

Egypt, 6

Kazakhstan, 1

Kyrgyz Republic, 1 Burundi, 1

Slovenia, 1 Cameroon, 1 France, 1

Uzbekistan, 4

Madagascar, 1 Greece, 1

Mali, 1 Spain, 3

Costa Rica, 1

Jordan, 1 Nigeria, 1 El Salvador, 1 Peru, 1 Pakistan, 1

Tunisia, 1 Uganda, 1 Panama, 1 Venezuela, 1 Papua New Guinea, 1 Mexico, 1

Eastern Europe & Central Asia

Middle East & North Africa

Sub-Saharan Africa

Western Europe

Central America & the Caribbean South America South & East Asia

& the Pacific

North America (Canada, Mexico

& U.S.)

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5. Distribution of New ICSID Cases Registered in 2013, by Economic Sector

Chart 6: Distribution of New Cases Registered in 2013 under the ICSID Convention and Additional Facility Rules, 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.

Finance 5%

Information & Communication

2%

Agriculture, Fishing & Forestry

2%

Oil, Gas & Mining 27%

Electric Power & Other Energy

20%

Water, Sanitation & Flood Protection

2%

Construction 8%

Tourism 3%

Other Industry 20%

Transportation 8%

Services & Trade

3%

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6. ICSID Arbitration Proceedings Concluded in 2013 – Outcomes

Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2013 – Outcomes:

Dispute decided by Tribunal

83% (see chart 7a)

Dispute settled or proceeding otherwise

discontinued 17%

(see chart 7b)

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Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 2013 – Findings:

Award declining jurisdiction

40%

Award dismissing all claims 30%

Award upholding claims in part or in full

30%

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Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in 2013 – Basis:

1 ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1). 2 ICSID Arbitration Rule 43(2). No case concluded to date on the basis of Arbitration (Additional Facility) Rule 49(2).

Proceeding discontinued at the request of both

parties1 75%

Settlement agreement embodied in an award at

parties' request2 25%

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7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2013

Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2013 in Cases Registered under the ICSID Convention and Additional Facility Rules – 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. The chart reflects appointments made to Tribunals and ad hoc Committees constituted in 2013.

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

14%

South America 10%

Central America & the Caribbean

3%

Middle East & North Africa

2%

Sub-Saharan Africa 1%

South & East Asia & the Pacific

13%

Eastern Europe & Central Asia

1%

Western Europe 56%

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Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2013 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*:

* 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. The chart reflects appointments made to Tribunals and ad hoc Committees constituted in 2013.

2 4 3 2 1

7

0

18 18

10

1 1 1

11

1

62

0

10

20

30

40

50

60

70

North America(Canada, Mexico &

U.S.)

South America Central America &the Caribbean

Middle East &North Africa

Sub-Saharan Africa South & East Asia &the Pacific

Eastern Europe &Central Asia

Western Europe

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

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Chart 10: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2013 in Cases Registered under the ICSID Convention and Additional Facility Rules:

27 12

10 10

8 5 5

4 4 4

3 3 3 3 3 3 3

2 2 2 2 2 2 2 2

1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1

0 5 10 15 20 25 30

FranceUnited States of America

United KingdomSpain

SwitzerlandChile

AustraliaCanada

ColombiaUnited Kingdom/France

Costa RicaMexico

New ZealandNetherlands

AustriaSweden

SingaporeArgentina

BelgiumGermany

ItalyChina

France/Sweden/BahrainUnited States of America/Switzerland

MoroccoBulgariaPakistan

PhilippinesSomalia

BrazilFinland

Germany/AustriaGuatemala

JapanKorea, Rep.of

MalaysiaUnited Kingdom/Ghana

Iran, Islamic Rep. of/FranceSwitzerland/Ireland

Switzerland/BrazilUruguay

Number of Appointments

Stat

e of

Nat

iona

lity

of A

ppoi

ntee