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THE ICSID CASELOAD –

STATISTICS (ISSUE 2012-2)

© 2012 by International Centre for Settlement of Investment Disputes.

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The ICSID Caseload – Statistics

(Issue 2012-2)

This issue of the ICSID Caseload – Statistics provides an updated profile of the ICSID caseload, historically and for the Centre’s fiscal year 2012. It is based on cases registered or administered by ICSID as of June 30, 2012.

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; the economic sectors involved in ICSID disputes; the outcomes in ICSID arbitration and conciliation proceedings (including further information on disputes decided by arbitral tribunals); the nationality and geographic origins of arbitrators, conciliators and ad hoc committee members appointed in ICSID proceedings; and outcomes to date in annulment proceedings under the ICSID Convention.

The Secretariat will continue to publish the ICSID Caseload – Statistics on a bi-annual basis reflecting new information as it becomes available. ICSID welcomes any comments or suggestions by email at [email protected].

mailto:[email protected]�



TABLE OF CONTENTS1

PART I -

ALL CASES REGISTERED AND ADMINISTERED BY ICSID

1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of June 30, 2012 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 9: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Outcomes 13 Chart 10: Conciliation Proceedings under the ICSID Convention – Outcomes 14 Chart 11: Conciliation Proceedings under the ICSID Convention – Commission Reports 14

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

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

1 The data is based on ICSID statistics as of June 30, 2012. 2 The ICSID Fiscal Year covers the period July 1 to June 30.



PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 2012 (FY2012)

1. New Cases Registered by ICSID in FY2012 20 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2012 20

2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2012 20 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2012 20

3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2012 21 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2012 under the ICSID Convention and Additional Facility Rules 21

4. Geographic Distribution of New ICSID Cases Registered in FY2012, by State Party Involved 22 Chart 4: Geographic Distribution of New Cases Registered in FY2012 under the ICSID Convention and Additional Facility Rules by State Party Involved 22

5. Distribution of New ICSID Cases Registered in FY2012, by Economic Sector 23 Chart 5: Distribution of New Cases Registered in FY2012 under the ICSID Convention and Additional Facility Rules by Economic Sector 23

6. ICSID Arbitration Proceedings Concluded in FY2012– Outcomes 24 Chart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2012 – Outcomes 24 Chart 7: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2012 – Outcomes 24

7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY2012 25 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2012 in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region 25 Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2012 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 26 Chart 10: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2012 in Cases Registered under the ICSID Convention and Additional Facility Rules 27



PART I

ALL CASES REGISTERED AND ADMINISTERED BY ICSID



1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of June 30, 2012



2. Cases Registered by ICSID

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

As of June 30, 2012, ICSID had registered 390 cases under the ICSID Convention and Additional Facility Rules.

1

4

1 2 1 2 2 3 4

1

4

1 2 13 3 3

10 11 1012

14

19

31

27 27

23

37

21

25 26

38

21

0

5

10

15

20

25

30

35

40

1972

1973

1974

1975

1976

1977

1978

1979

1980

1981

1982

1983

1984

1985

1986

1987

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

2011

to Ju

ne 3

0, 2

012

Cases Registered under the ICSID Convention and Additional Facility Rules



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:

14

1 2 1 2 1 2 41

41 2 1 2 3 3

8 8 8 914

18

30

2124

21

32

2023 25

33

15

1 1 1

1

1

1 1

2 3 2 3

1

6

2

2

4

1

21

4

4

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

2010

2011

to Ju

ne 3

0, 2

012

ICSID Convention Arbitration Cases ICSID Convention Conciliation Cases

ICSID Additional Facility Arbitration Cases ICSID Additional Facility Conciliation Cases

ICSID Convention Arbitration Cases

344(88%)

ICSID Convention Conciliation Cases

7(2%)

ICSID Additional Facility Arbitration Cases

37(9%)

ICSID Additional Facility Conciliation Cases

2(1%)



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.

3 3

10 11 10

7 64

6

3

11

13

2

0

2

4

6

8

10

12

14

FY2003 FY2004 FY2005 FY2006 FY2007 FY2008 FY2009 FY2010 FY2011 FY2012

Investor-State UNCITRAL Arbitrations 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 Cases Registered under the ICSID Convention and Additional Facility Rules:

ASEAN Agreement for the Promotion and Protection

of Investments1%

Bilateral Investment Treaty (BIT)

63%

Dominican Republic-United States-Central America Free Trade

Agreement (DR-CAFTA)1%

Investment Contract between the Investor and

the Host-State20%

Investment Law of the Host-State

6%

North American Free Trade Agreement

(NAFTA)4%

Agreement between the United States of America

and the Sultanate of Oman on the

Establishment of a Free Trade Area

(Oman-U.S. FTA)1%

Energy Charter Treaty (ECT)

4%



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 America29%

Central America & the Carribean

7%

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

5%

Eastern Europe & Central Asia

23%

Western Europe1%

Sub-Saharan Africa16%

Middle East & North Africa

10%South & East Asia &

the Pacific9%



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.

Finance7%

Information & Communication

6%

Agriculture, Fishing & Forestry

5% Oil, Gas & Mining25%

Electric Power & Other Energy

13%

Water, Sanitation & Flood Protection

6%

Construction7%

Tourism4%

Other Industry12%

Transportation11%

Services & Trade

4%



7. ICSID Arbitration and Conciliation Proceedings – Outcomes

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

Chart 9: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Outcomes:

* Pursuant to ICSID Arbitration Rule 41(5) and Article 45(6) of the Arbitration (Additional Facility) Rules, as adopted by the ICSID Administrative Council in 2006, a party may at an early stage of the proceeding file an objection that a claim is manifestly without merit. If the Tribunal decides that the claims are manifestly without legal merit, it shall render an award to that effect.

Dispute decided by Tribunal

62%

Dispute settled or proceeding otherwise

discontinued38%

Award deciding that the claims are

manifestly without legal merit

1%*

Award declining jurisdiction

22%

Award dismissing all claims29%

Award upholding claims in part or in full

48%



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

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

Conciliation Commission Report

issued67%

Proceeding Discontinued

33%

Report recording failure of the Parties to

reach agreement75%

Report recording agreement of the

Parties25%



8. Annulment Proceedings under the ICSID Convention – Outcomes

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

49

18

96

23

0 1 0

134

0 3 18

00 0 15 6

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



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

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 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, 2012.


22%

South America10%

Central America & the Caribbean

2%


5%


South & East Asia & the Pacific

10% Eastern Europe & Central Asia

2%

Western Europe47%



Chart 14: 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 June 30, 2012.

45 4112 24 14

51

10

174

244

94

1441

13

78

12

427

0

50

100

150

200

250

300

350

400

450

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

156123

11690

8361

4343

4236

353131

2927

2518

1616

1511

9999

888888

777777

666

5555

4444444

333333

222222222222

1111111111111

0 20 40 60 80 100 120 140 160 180

U.S.FrenchBritish

CanadianSwiss

SpanishGermanMexican

AustralianItalian

ChileanBelgian

EgyptianDutch

New ZealandArgentine

ColombianCosta Rican

SwedishFrench/Swedish/Bahraini

BrazilianBulgarian

DanishGreek

PhilippineBangladeshi

British/FrenchLebanese/French

New Zealand/CanadianUruguayan

VenezuelanAustrian

Colombian/FrenchEcuadorianSenegalese

SlovakThai

IndianPeruvian

SingaporeanChineseFinnish

GuyaneseMoroccan

AlgerianCypriotIranian

Iranian/FrenchMalaysian

PakistaniSwiss/Brazilian

HonduranIsraeli

JamaicanLebaneseNigerianTogolese

BarbadianBeninese

CzechGaboneseGhanaianJordanianMalagasyMalawian

PortugueseSerbianSomali

Swiss/IrishBrazilian/French

CameroonianCentral African

CroatianDominica

GuatemalanLuxembourg

NorwegianMauritian/French

SloveniaSouth African

Sri LankanSudanese

Number of Appointments

Nat

iona

lity

of A

ppoi

ntee



PART II

CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 2012 (FY2012)



1. New Cases Registered by ICSID in FY2012

Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2012:

2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2012

Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2012:

31

15

2

0

5

10

15

20

25

30

35

ICSID Convention Arbitration Cases

ICSID Convention Conciliation Cases

ICSID Additional Facility Arbitration Cases

ICSID Additional Facility Conciliation Cases

3

2

0

1

2

3

4

Investor-State UNCITRAL Arbitrations Other Cases



3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2012

Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2012 under the ICSID Convention and Additional Facility Rules:

Bilateral Investment Treaty (BIT)

68%

Investment Contract between the Investor

and the Host-State12%

Investment Law of the Host-State

7%

North American Free Trade Agreement

(NAFTA)5%

Energy Charter Treaty (ECT)

5%

Agreement between the United States of America

and the Sultanate of Oman on the

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

FTA)3%



4. Geographic Distribution of New ICSID Cases Registered in FY2012, by State Party Involved

Chart 4: Geographic Distribution of New Cases Registered in FY2012 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 America21%

Central America & the Carribean

5%

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

8%


31%

Western Europe2%



10%South & East Asia &

the Pacific8%



5. Distribution of New ICSID Cases Registered in FY2012, by Economic Sector

Chart 5: Distribution of New Cases Registered in FY2012 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.

Information & Communication

10%

Oil, Gas & Mining25%

Electric Power & Other Energy

8%

Water, Sanitation & Flood Protection

3%Construction

8%Tourism

3%

Other Industry25%

Transportation15%

Services & Trade

3%



6. ICSID Arbitration Proceedings Concluded in FY2012 – Outcomes

Chart 6: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2012 – Outcomes:

Chart 7: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2012 – Outcomes:

Dispute decided by Tribunal

68%

Dispute settled or proceeding otherwise

discontinued32%

Award declining jurisdiction

20%

Award dismissing all claims20%

Award upholding claims in part or in full

60%



7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY2012

Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2012 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 FY2012.


23%

South America13%

Central America & the Caribbean

2%Middle East & North Africa

3%


South & East Asia & the Pacific

15%


2%

Western Europe40%



Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2012 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 FY2012.

7 6

2 2 1

8

1

13

23

11

2 1

12

2

40

0

5

10

15

20

25

30

35

40

45


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 10: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2012 in Cases Registered under the ICSID Convention and Additional Facility Rules:

19

12

9

8

7

6

6

5

5

5

4

4

4

3

3

3

3

2

2

2

2

2

1

1

1

1

1

1

1

1

1

1

1

1

1

1

1

0 5 10 15 20

U.S.

French

British

Spanish

Canadian

Colombian

Swiss

Australian

Chinese

German

Belgian

Mexican

New Zealand

Argentine

Bulgarian

Chilean

Colombian/French

New Zealand/Canadian

Costa Rican

Dutch

Italian

Philippine

Austrian

Brazilian

Brazilian/French

British/French

Cameroonian

Egyptian

Finnish

Greek

Iranian/French

Lebanese/French

Mauritian/French

Moroccan

Pakistani

Somali

Swedish

Number of Appointments

Nat

iona

lity

of A

ppoi

ntee

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