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© 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 2014-2)
This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload, historically and for the Centre’s fiscal year 2014. It is based on cases registered or administered by ICSID as of June 30, 2014.
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].
© 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 June 30, 2014 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 19
1 The data is based on ICSID statistics as of June 30, 2014. 2 The ICSID Fiscal Year covers the period July 1 to June 30.
© 2014 by International Centre for Settlement of Investment Disputes.
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PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 2014 (FY2014)
1. New Cases Registered by ICSID in FY2014 22 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2014 22
2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2014 22 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2014 22
3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2014 23 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules 23
4. Geographic Distribution of New ICSID Cases Registered in FY2014, by State Party Involved 24 Chart 4: Geographic Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules, by State Party Involved 24 Chart 5: Geographic Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details 25
5. Distribution of New ICSID Cases Registered in FY2014, by Economic Sector 26 Chart 6: Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules, by Economic Sector 26
6. ICSID Arbitration Proceedings Concluded in FY2014 – Outcomes 27 Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2014 – Outcomes 27 Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2014 – Findings 28 Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in FY2014 – Basis 29
7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY2014 30 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 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 FY2014 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 FY2014 in Cases Registered under the ICSID Convention and Additional Facility Rules 32
© 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
© 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 June 30, 2014
© 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 June 30, 2014, ICSID had registered 473 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
14
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
to Ju
ne 3
0, 2
014
Cases Registered under the ICSID Convention and Additional Facility Rules
© 2014 by International Centre for Settlement of Investment Disputes.
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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
13 1 1 1
1
1
1 1
2 3 2 3
1 6
2 2
4
1 2
1
4
8 2
1
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
to Ju
ne 3
0, 2
014
ICSID Convention Arbitration Cases ICSID Convention Conciliation Cases
ICSID Additional Facility Arbitration Cases ICSID Additional Facility Conciliation Cases
ICSID Convention Arbitration Cases
(420) 89%
ICSID Convention Conciliation Cases
(7) 1.5%
ICSID Additional Facility Arbitration Cases
(44) 9%
ICSID Additional Facility Conciliation Cases
(2) 0.5%
© 2014 by International Centre for Settlement of Investment Disputes.
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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
10
1 1
1 3
2
1
2
0
2
4
6
8
10
12
14
FY2005 FY2006 FY2007 FY2008 FY2009 FY2010 FY2011 FY2012 FY2013 FY2014
Investor-State UNCITRAL Arbitrations Other Cases
© 2014 by International Centre for Settlement of Investment Disputes.
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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%
© 2014 by International Centre for Settlement of Investment Disputes.
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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
6%
North America (Canada, Mexico & U.S.)
5% Eastern Europe & Central Asia
24%
Western Europe 3%
Sub-Saharan Africa 16%
Middle East & North Africa 11% South & East Asia &
the Pacific 8%
© 2014 by International Centre for Settlement of Investment Disputes.
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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%
© 2014 by International Centre for Settlement of Investment Disputes.
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7. ICSID Arbitration and Conciliation Proceedings – Outcomes
Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes:
Dispute decided by Tribunal
65% (see chart 8a)
Dispute settled or proceeding otherwise
discontinued 35%
(see chart 8b)
© 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 legal 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%
© 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 46%
Proceeding discontinued at the request of one
party1 27%
Settlement agreement embodied in an award at
parties' request2 17%
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%
© 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%
© 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
62
0 1 0
13 11
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
© 2014 by International Centre for Settlement of Investment Disputes.
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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 June 30, 2014.
North America (Canada, Mexico & U.S.)
21%
South America 11%
Central America & the Caribbean
2%
Middle East & North Africa
4%
Sub-Saharan Africa 2%
South & East Asia & the Pacific
11% Eastern Europe &
Central Asia 2%
Western Europe 47%
© 2014 by International Centre for Settlement of Investment Disputes.
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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, 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 June 30, 2014.
50 49 19 25 19
67
11
211
286
123
17 44
16
101
16
533
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)
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:
167 163
140 96
91 80
57 52
49 46
40 38
34 34
30 26
25 23
20 19
13 13 13 13
12 11 11 11
10 10
9 9 9 9 9
8 8 8 8
7 7 7 7 7
6 6 6 6 6
5 5 5
4 4 4 4 4 4
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 1 1
0 20 40 60 80 100 120 140 160 180
United States of AmericaFrance
United KingdomSwitzerland
CanadaSpain
AustraliaMexico
GermanyChileItaly
BelgiumNetherlands
New ZealandEgypt, Arab Rep. of
ColombiaArgentinaCosta Rica
SwedenFrance/Sweden/Bahrain
AustriaUnited Kingdom/France
BulgariaUnited States of America/Switzerland
BrazilArgentina/SpainLebanon/France
SingaporeCanada/New Zealand
PhilippinesBangladesh
Canada/United KingdomDenmark
GreeceUruguay
ChinaSlovak Republic
Switzerland/BrazilVenezuela
Colombia/FranceEcuador
MoroccoSenegal
ThailandFinland
IndiaMalaysiaPakistan
PeruGuyana
Iran, Islamic Rep. of/FranceSomaliaAlgeriaCyprus
Germany/AustriaGuatemala
Iran, Islamic Rep. ofNigeria
HondurasIsrael
JamaicaSwitzerland/Ireland
TogoBarbados
BeninCzech Republic
GabonGhanaJordan
Korea, Rep. ofLebanon
MadagascarMalawi
PortugalSerbia
United States of America/FranceArgentina/United States of America
United Kingdom/GhanaCameroon
Canada/LebanonCanada/Switzerland
Central African RepublicChile/United States of America
CroatiaDominica
France/MauritiusJapan
LuxembourgNorway
SloveniaSouth Africa
Sri LankaSudan
United States of America/Canada
Stat
e of
Nat
iona
lity
Page | 20
© 2014 by International Centre for Settlement of Investment Disputes. Content may be reproduced for educational use with acknowledgement.
Number of Appointments
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PART II
CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 2014 (FY2014)
© 2014 by International Centre for Settlement of Investment Disputes.
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1. New Cases Registered by ICSID in FY2014
Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2014:
2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2014
Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2014:
38
2 0
5
10
15
20
25
30
35
40
ICSID Convention Arbitration Cases
ICSID Additional Facility Arbitration Cases
10
2
0123456789
1011
Investor-State UNCITRAL Arbitrations Other Cases
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3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2014
Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules:
Bilateral Investment Treaty (BIT)
49%
Investment Contract between the Investor and
the Host-State 18%
Investment Law of the Host-State
11%
Energy Charter Treaty (ECT) 22%
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4. Geographic Distribution of New ICSID Cases Registered in FY2014, by State Party Involved
Chart 4: Geographic Distribution of New Cases Registered in FY2014 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 7%
Central America & the Carribean
7%
North America (Canada, Mexico & U.S.)
3%
Eastern Europe & Central Asia
25% Western Europe 20%
Sub-Saharan Africa 20%
Middle East & North Africa
15%
South & East Asia & the Pacific
3%
© 2014 by International Centre for Settlement of Investment Disputes.
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Chart 5: Geographic Distribution of New Cases Registered in FY2014 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.
3 Case involves State as Claimant.
Bosnia and Herzegovina, 1
Bulgaria, 1
Croatia, 1 Cameroon, 1 France, 1
Cyprus, 1 Gambia, 2
Italy, 1
Hungary, 2
Spain, 6
Egypt, 4
Madagascar, 1
Montenegro, 1 Mali, 1
Ukraine, 1 Nigeria, 1 Costa Rica, 1 Peru, 13
Uzbekistan, 2
Sudan, 1 Jordan, 1 El Salvador, 1 Venezuela, 2
Uganda, 1 Tunisia, 1 Panama, 1
Papua New Guinea, 1 Mexico, 1
Eastern Europe & Central Asia
Sub-Saharan Africa
Western Europe
Middle East & North Africa
Central America &
the Caribbean South America
South & East Asia &
the Pacific
North America (Canada,
Mexico & U.S.)
© 2014 by International Centre for Settlement of Investment Disputes.
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5. Distribution of New ICSID Cases Registered in FY2014, by Economic Sector
Chart 6: Distribution of New Cases Registered in FY2014 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
5%
Oil, Gas & Mining 35%
Electric Power & Other Energy
30%
Water, Sanitation & Flood Protection
3%
Construction 5%
Other Industry 17%
© 2014 by International Centre for Settlement of Investment Disputes.
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6. ICSID Arbitration Proceedings Concluded in FY2014 – Outcomes
Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2014 – Outcomes:
Dispute decided by Tribunal
84% (see chart 7a)
Dispute settled or proceeding otherwise
discontinued 16%
(see chart 7b)
© 2014 by International Centre for Settlement of Investment Disputes.
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Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2014 – Findings:
Award declining jurisdiction
48%
Award dismissing all claims 24%
Award upholding claims in part or in full
28%
© 2014 by International Centre for Settlement of Investment Disputes.
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Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in FY2014 – 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 ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1).
Proceeding discontinued at the request of both
parties3 50%
Proceeding discontinued at the request of one
party1 25%
Settlement agreement embodied in an award at
parties' request2 25%
© 2014 by International Centre for Settlement of Investment Disputes.
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7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY2014
Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 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 FY2014.
North America (Canada, Mexico & U.S.)
18%
South America 12%
Central America & the Caribbean
2%
Middle East & North Africa
3%
Sub-Saharan Africa 2%
South & East Asia & the Pacific
11%
Eastern Europe & Central Asia
2%
Western Europe 50%
© 2014 by International Centre for Settlement of Investment Disputes.
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Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 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 FY2014.
3 2 3 1 2
6
1
18
24
15
0 3
1
11
2
56
0
10
20
30
40
50
60
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)
© 2014 by International Centre for Settlement of Investment Disputes.
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Chart 10: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2014 in Cases Registered under the ICSID Convention and Additional Facility Rules:
24 14
12 11
7 6
5 5
4 4 4 4 4
3 3 3 3 3
2 2 2 2 2
1 1 1 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
AustraliaSwitzerland
CanadaGermany
ArgentinaUnited Kingdom/France
ColombiaMexico
United States of America/SwitzerlandAustria
BelgiumChile
SingaporeSwitzerland/Brazil
BulgariaChina
France/Sweden/BahrainGuatemala
New ZealandArgentina/Spain
Argentina/United States of AmericaBangladesh
United Kingdom/GhanaCanada/Lebanon
Chile/United States of AmericaCosta Rica
NetherlandsIran, Islamic Rep. of/France
ItalyKorea, Rep.of
France/LebanonMalaysiaMorocco
NigeriaSlovak Republic
SomaliaSweden
Switzerland/Ireland
Number of Appointments
Stat
e of
Nat
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