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THE ICSID CASELOAD STATISTICS (ISSUE 2014-2)

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THE ICSID CASELOAD –

STATISTICS (ISSUE 2014-2)

© 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.

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

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.

Content may be reproduced for educational use with acknowledgement. Page | 7

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

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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.

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

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

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1983

1984

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1989

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1991

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1998

1999

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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.

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

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.

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%

© 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

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.

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%

© 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

65% (see chart 8a)

Dispute settled or proceeding otherwise

discontinued 35%

(see chart 8b)

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 14

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

© 2014 by International Centre for Settlement of Investment Disputes.

Content may be reproduced for educational use with acknowledgement. Page | 21

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

© 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 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%

© 2014 by International Centre for Settlement of Investment Disputes.

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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.

Content may be reproduced for educational use with acknowledgement. Page | 25

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.

Content may be reproduced for educational use with acknowledgement. Page | 30

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.

Content may be reproduced for educational use with acknowledgement. Page | 31

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

iona

lity