THE ICSID CASELOAD - World Bankdocuments.worldbank.org/curated/en/...Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 16 Chart 14: Nationality

THE ICSID CASELOAD –

STATISTICS

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© 2010 by International Centre for Settlement of Investment Disputes.

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

The ICSID Caseload – Statistics

(Issue 2010-2)

This document is intended to provide an updated profile of the ICSID caseload, historically and for the Centre’s Fiscal Year 2010, covering the period from July 1, 2009 to June 30, 2010. It is based on cases registered or administered by ICSID as of June 30, 2010. The ICSID Secretariat will continue to update this information on a bi-annual basis.

Akin to the inaugural issue (2010-1), the analysis examines: (1) the number of cases registered under the ICSID Convention and Additional Facility Rules; (2) the number of other cases administered by ICSID; (3) the basis of consent to ICSID jurisdiction invoked in registered arbitration and conciliation cases; (4) the geographic distribution of ICSID cases by the State party to the dispute; (5) the economic sectors involved in ICSID disputes; (6) the outcomes in ICSID arbitration and conciliation proceedings; and (7) the nationality and geographic origins of arbitrators, conciliators and ad hoc committee members appointed in ICSID proceedings.

The Secretariat would like to take this opportunity to thank government officials, practitioners, arbitrators and academics for their feedback following the first issue of this publication.

The Secretariat continues to welcome any comments or suggestions, which should be addressed to the Secretariat by email to [email protected].



TABLE OF CONTENTS1

PART I - ALL CASES REGISTERED AND ADMINISTERED BY ICSID

1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of June 30, 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 Proceeding Registered under the ICSID Convention and Additional Facility Rules 8

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

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

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

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

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

8. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 15 Chart 12: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases – Distribution of Appointments by Geographic Region 15 Chart 13: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 16 Chart 14: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 17

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



PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 2010 (FY2010)3

1. Cases Registered by ICSID in FY2010 19

Chart 1: Number of Cases Registered under the ICSID Convention and Additional Facility Rules in FY2010 19

2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2010 19 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2010 19

3. Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in FY2010 20 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in FY2010 20

4. Geographic Distribution of ICSID Cases Registered in FY2010 by State Party Involved 21 Chart 4: Geographic Distribution of ICSID Cases Registered in FY2010 by State Party Involved 21

5. Distribution of ICSID Cases Registered in FY2010 by Economic Sector 22 Chart 5: Distribution of ICSID Cases Registered in FY2010 by Economic Sector 22

6. ICSID Arbitration Proceedings Concluded in FY2010 – Outcomes 23 Chart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2010 – Outcomes 23 Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2010 – Awards 23

7. Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY2010 24 Chart 8: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY2010 – Distribution of Appointments by Geographic Region 24 Chart 9: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY2010 – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 25 Chart 10: Nationality of Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY2010 26

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



PART I

ALL CASES REGISTERED AND ADMINISTERED BY ICSID



1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of June 30, 2010



2. Cases Registered by ICSID

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

As of June 30, 2010, ICSID had registered 319 cases under the ICSID Convention and Additional Facility Rules.

1

4

12

12 2

34

1

4

12

13 3 3

1011

1012

14

19

31

27 27

23

37

21

25

14

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

up to

June

30,

201

0

Cases Registered under the ICSID Convention and Additional Facility Rules



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

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

14

1 2 1 2 1 2 41

41 2 1 2 3 3

8 8 8 914

18

30

2124

21

32

2023

14

1 1 1

1

1

1

2 3 2 3

1

6

2

2

4

1

2

0

5

10

15

20

25

30

35

40

1972

1973

1974

1975

1976

1977

1978

1979

1980

1981

1982

1983

1984

1985

1986

1987

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

up to

June

30,

201

0

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

ICSID Convention Arbitration Cases

285(89%)

ICSID Convention Conciliation Cases

6(2%)

ICSID Additional Facility Arbitration Cases

28 (9%)



3. Non-ICSID Cases Administered by the ICSID Secretariat

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

The ICSID Secretariat provides various levels of administrative support for non-ICSID dispute settlement in State-State or investor-State proceedings. The Centre also frequently acts as an appointing authority for arbitrator appointments, and decides proposals for disqualification of an arbitrator in proceedings conducted under the UNCITRAL arbitration rules.

Among the cases the Centre administered in the past decade are the Southern Bluefin Tuna case (Australia and New Zealand v. Japan), an expert determination proceeding under the Indus Waters Treaty of 1960, and an arbitration under the Softwood Lumber Agreement of 2006 (United States v. Canada).

4 3 3 3

10 11 10

7 64

2

11

1

0

2

4

6

8

10

12

14

FY2001 FY2002 FY2003 FY2004 FY2005 FY2006 FY2007 FY2008 FY2009 FY2010

UNCITRAL Cases Other Cases



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

ASEAN Agreement for the Promotion and Protection

of Investments1%

Bilateral Investment Treaty (BIT)

63%

Dominican Republic-United States-Central American Free Trade

Agreement (DR-CAFTA)

1%

Investment Contract between the Investor and

the Host-State22%

Investment Law of the Host-State

5%

North American Free Trade Agreement (NAFTA)

4%

Energy Charter Treaty (ECT)

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

7%

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

6%

Eastern Europe & Central Asia

22%

Western Europe1%

Sub-Saharan Africa16%

Middle East & North Africa10%

South & East Asia & the Pacific

8%



6. Distribution of All ICSID Cases by Economic Sector

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

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

Finance7%

Information & Communication

6%

Agriculture, Fishing & Forestry

4%Oil, Gas & Mining

26%

Electric Power & Other Energy

13%

Water, Sanitation & Flood Protection

7%

Construction7%Tourism

5%

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: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Awards:

Award rendered by Tribunal

67%Proceeding

Discontinued33%

Award declining ICSID jurisdiction

21%

Award on the merits70%

Award embodying the parties' settlement

agreement9%



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

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

Conciliation Commission Report

issued67%

Proceeding Discontinued

33%

Report recording failure of the parties to

reach agreement75%

Report recording agreement of the

parties25%



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

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



23%

South America9%

Central America & the Caribbean

2%

Middle East & North Africa

6%



8% Eastern Europe & Central Asia

2%

Western Europe48%



Chart 13: Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region*:

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

36 289

22 1138

8

143

204

67

1336

12

47

9

357

0

50

100

150

200

250

300

350

400

North America (Canada, Mexico &

U.S.)

South America Central America & the Caribbean


Sub-Saharan Africa South & East Asia & the Pacific


Western Europe

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



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

127110

10077

7347

3633

3230

282525

2416

1515

1211

109

8888

77777

666

55555

44444

3333333

222222222222

1111111111

0 20 40 60 80 100 120 140

U.S.FrenchBritish

CanadianSwiss

SpanishMexican

AustralianItalian

GermanEgyptian

ChileanDutch

BelgianNew Zealand

ArgentineSwedish

Costa RicanColombian

BrazilianDanishGreek

Lebanese/FrenchUruguayan

VenezuelanEcuadorian

PhilippineSenegalese

SlovakThai

BangladeshiPeruvian

SingaporeanAustrian

British/FrenchBulgarianGuyanese

IndianAlgerianCypriotIranian

MoroccanSwiss/Brazilian

FinnishHonduran

IsraeliJamaicanNigerianPakistaniTogolese

BarbadianBeninese

CzechGaboneseGhanaian

Iranian/FrenchJordanianLebaneseMalagasy

PortugueseSerbian

Swiss/IrishCentral African

CroatianDominica

GuatemalanLuxembourg

MalaysianNorwegian

South AfricanSri LankanSudanese

Number of Appointments

Nat

iona

lity

of A

ppoi

ntee



PART II

CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 2010 (FY2010)



1. Cases Registered by ICSID in FY2010

Chart 1: Number of Cases Registered under the ICSID Convention and Additional Facility Rules in FY2010:

2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2010

Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2010:

25

20

5

10

15

20

25

30

ICSID Convention Arbitration Cases

ICSID Additional Facility Arbitration Cases

4

0

1

2

3

4

5

UNCITRAL Cases



3. Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in FY2010

Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered in FY2010:

Bilateral Investment Treaty (BIT)

66%

Dominican Republic-United States-Central American Free Trade

Agreement (DR-CAFTA)

3%

Investment Contract between the Investor and

the Host-State21%

Investment Law of the Host-State

10%



4. Geographic Distribution of ICSID Cases Registered in FY2010 by State Party Involved

Chart 4: Geographic Distribution of ICSID Cases Registered in FY2010 by State Party Involved*:


South America30%

Central America & the Carribean

11%

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

4%


22%



11%South & East Asia &

the Pacific7%



5. Distribution of ICSID Cases Registered in FY2010 by Economic Sector

Chart 5: Distribution of ICSID Cases Registered in FY2010 by Economic Sector*:

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

Information & Communication

4%

Agriculture, Fishing & Forestry

4%

Oil, Gas & Mining37%

Electric Power & Other Energy

7%

Water, Sanitation & Flood Protection

4%Construction

4%

Tourism7%

Other Industry15%

Transportation11%

Services & Trade7%



6. ICSID Arbitration Proceedings Concluded in FY2010 – Outcomes

Chart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2010 – Outcomes:

Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2010 – Awards:

Award rendered by Tribunal

87% Proceeding Discontinued

13%

Award declining ICSID jurisdiction

24%

Award on the merits67%

Award embodying the parties' settlement

agreement9%



7. Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY2010

Chart 8: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY2010 – Distribution of Appointments by Geographic Region*:



25%

South America4%

Central America & the Caribbean

3% Middle East & North Africa

8%


13%


4%

Western Europe43%



Chart 9: Arbitrators and ad hoc Committee Members Appointed in ICSID Cases in FY2010 – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region*:


5

02 2

31

10

18

4

1

5

9

3

30

0

5

10

15

20

25

30

35


South America Central America & the Caribbean




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 FY2010:

15

12

10

7

7

5

5

3

3

3

2

2

2

2

2

1

1

1

1

1

1

1

1

1

1

1

1

1

0 5 10 15 20

U.S.

British

French

Canadian

Swiss

Egyptian

New Zealand

Bangladeshi

Italian

Spanish

Belgian

Colombian

Costa Rican

Pakistani

Slovak

Chilean

Argentine

Australian

British/French

Bulgarian

Finnish

Iranian/French

Jamaican

Malaysian

Mexican

Moroccan

Serbian

Swedish

Number of Appointments

Nat

iona

lity

of A

ppoi

ntee

Documents

THE ICSID CASELOAD - World Bankdocuments.worldbank.org/curated/en/...Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 16 Chart 14: Nationality