78248 THE ICSID CASELOAD – STATISTICS (ISSUE 2013-1) The ICSID Caseload – Statistics (Issue 2013-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload, historically and for the calendar year 2012. It is based on cases registered or administered by ICSID as of December 31, 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, 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 ICSIDsecretariat@worldbank.org. © 2013 by International Centre for Settlement of Investment Disputes. Page | 2 Content may be reproduced for educational use with acknowledgement. TABLE OF CONTENTS1 PART I - ALL CASES REGISTERED AND ADMINISTERED BY ICSID 1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of December 31, 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 Years 2 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: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules 20 1 The data is based on ICSID statistics as of December 31, 2012. 2 The ICSID Fiscal Year covers the period July 1 to June 30. © 2013 by International Centre for Settlement of Investment Disputes. Page | 3 Content may be reproduced for educational use with acknowledgement. PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN 2012 1. New Cases Registered by ICSID in 2012 22 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in 2012 22 2. Non-ICSID Cases Administered by the ICSID Secretariat in 2012 22 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in 2012 22 3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2012 23 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2012 under the ICSID Convention and Additional Facility Rules 23 4. Geographic Distribution of New ICSID Cases Registered in 2012, by State Party Involved 24 Chart 4: Geographic Distribution of New Cases Registered in 2012 under the ICSID Convention and Additional Facility Rules, by State Party Involved 24 Chart 5: Geographic Distribution of New Cases Registered in 2012 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details 25 5. Distribution of New ICSID Cases Registered in 2012, by Economic Sector 26 Chart 6: Distribution of New Cases Registered in 2012 under the ICSID Convention and Additional Facility Rules by Economic Sector 26 6. ICSID Arbitration Proceedings Concluded in 2012 – Outcomes 27 Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2012 – Outcomes 27 Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 2012 – Findings 28 Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in 2012 – Basis 29 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2012 30 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2012 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 2012 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: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2012 in Cases Registered under the ICSID Convention and Additional Facility Rules 32 © 2013 by International Centre for Settlement of Investment Disputes. Page | 4 Content may be reproduced for educational use with acknowledgement. PART I ALL CASES REGISTERED AND ADMINISTERED BY ICSID © 2013 by International Centre for Settlement of Investment Disputes. Page | 5 Content may be reproduced for educational use with acknowledgement. 1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of December 31, 2012 © 2013 by International Centre for Settlement of Investment Disputes. Page | 6 Content may be reproduced for educational use with acknowledgement. 2. Cases Registered by ICSID Chart 1: Total Number of ICSID Cases Registered by Calendar Year: 60 50 50 40 37 38 31 30 27 27 25 26 23 21 19 20 14 12 10 11 10 10 4 3 4 4 3 3 3 1 1 2 1 2 2 1 1 2 1 0 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 Cases Registered under the ICSID Convention and Additional Facility Rules As of December 31, 2012, ICSID had registered 419 cases under the ICSID Convention and Additional Facility Rules. © 2013 by International Centre for Settlement of Investment Disputes. Page | 7 Content may be reproduced for educational use with acknowledgement. Chart 2: Number of Cases Registered under the ICSID Convention and Additional Facility Rules by Calendar Year: 60 50 2 8 40 4 4 1 1 1 30 2 1 2 6 1 2 1 20 1 40 32 33 30 2 3 2 3 21 24 21 23 25 10 18 20 1 14 1 1 8 8 8 9 2 1 2 1 1 1 1 4 1 2 4 4 2 2 3 3 0 1 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 ICSID Convention Arbitration Cases ICSID Convention Conciliation Cases ICSID Additional Facility Arbitration Cases ICSID Additional Facility Conciliation Cases Chart 3: Type of Cases Registered under the ICSID Convention and Additional Facility Rules: ICSID Convention Conciliation Cases (7) 2% ICSID Convention ICSID Additional Facility Arbitration Cases Arbitration Cases (369) (41) 87% 10% ICSID Additional Facility Conciliation Cases (2) 1% © 2013 by International Centre for Settlement of Investment Disputes. Page | 8 Content may be reproduced for educational use with acknowledgement. 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: 14 12 1 1 10 8 3 1 6 11 10 10 4 2 7 1 6 6 2 4 3 3 3 0 FY2004 FY2005 FY2006 FY2007 FY2008 FY2009 FY2010 FY2011 FY2012 July 1 - Dec. 31, 2012 Investor-State UNCITRAL Arbitrations Other Cases 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. © 2013 by International Centre for Settlement of Investment Disputes. Page | 9 Content may be reproduced for educational use with acknowledgement. 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: Agreement between the ASEAN Agreement for the United States of America Promotion and Protection and the Sultanate of of Investments Oman on the Energy Charter Treaty 1% Establishment of a Free (ECT) Trade Area 4% (Oman-U.S. FTA) 1% North American Free Trade Agreement (NAFTA) 4% Investment Law of the Host-State Bilateral Investment 6% Treaty (BIT) 63% Investment Contract between the Investor and the Host-State 20% Dominican Republic- United States-Central America Free Trade Agreement (DR-CAFTA) 1% © 2013 by International Centre for Settlement of Investment Disputes. Page | 10 Content may be reproduced for educational use with acknowledgement. 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*: North America (Canada, Mexico & U.S.) 5% Central America & the Carribean Eastern Europe & 6% Central Asia 23% Western Europe 1% South America 30% Sub-Saharan Africa 16% Middle East & South & East Asia & North Africa the Pacific 10% 9% * 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. © 2013 by International Centre for Settlement of Investment Disputes. Page | 11 Content may be reproduced for educational use with acknowledgement. 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*: Agriculture, Fishing & Forestry 5% Oil, Gas & Mining Information & 25% Communication 6% Finance 7% Services & Trade 4% Electric Power & Other Energy 12% Transportation 11% Water, Sanitation & Flood Protection 6% Other Industry Construction 13% 7% Tourism 4% * This sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf. © 2013 by International Centre for Settlement of Investment Disputes. Page | 12 Content may be reproduced for educational use with acknowledgement. 7. ICSID Arbitration and Conciliation Proceedings – Outcomes Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes: Dispute decided by Tribunal Dispute settled or 62% proceeding otherwise (see chart 8a) discontinued 38% (see chart 8b) © 2013 by International Centre for Settlement of Investment Disputes. Page | 13 Content may be reproduced for educational use with acknowledgement. Chart 8a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings: Award dismissing all claims Award declining 28% jurisdiction 23% Award deciding that the claims are manifestly without legal merit* 1% Award upholding claims in part or in full 48% * 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. © 2013 by International Centre for Settlement of Investment Disputes. Page | 14 Content may be reproduced for educational use with acknowledgement. Chart 8b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis: Settlement agreement Proceeding discontinued embodied in an award at at the request of one parties' request2 party1 16% 27% Proceeding discontinued at the Initiative of the Tribunal3 1% Proceeding discontinued for lack of payment of the required advances4 9% Proceeding discontinued for failure of parties to act5 Proceeding discontinued 1% at the request of both parties6 46% 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). © 2013 by International Centre for Settlement of Investment Disputes. Page | 15 Content may be reproduced for educational use with acknowledgement. Chart 9: Conciliation Proceedings under the ICSID Convention – Outcomes: Conciliation Commission Report Proceeding issued Discontinued 67% 33% (see chart 10) Chart 10: Conciliation Proceedings under the ICSID Convention – Commission Reports: Report recording Report recording agreement of the failure of the Parties to Parties reach agreement 25% 75% © 2013 by International Centre for Settlement of Investment Disputes. Page | 16 Content may be reproduced for educational use with acknowledgement. 8. Annulment Proceedings under the ICSID Convention – Outcomes Chart 11: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade: 120 100 96 80 60 34 40 18 20 13 9 8 4 5 4 6 1 3 1 1 1 0 0 0 0 0 0 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 © 2013 by International Centre for Settlement of Investment Disputes. Page | 17 Content may be reproduced for educational use with acknowledgement. 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*: South & East Asia & Sub-Saharan Africa the Pacific 2% 10% Eastern Europe & Middle East & Central Asia North Africa 2% 5% Central America & the Caribbean 2% South America 11% Western Europe 46% North America (Canada, Mexico & U.S.) 22% * The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted until December 31, 2012. © 2013 by International Centre for Settlement of Investment Disputes. Page | 18 Content may be reproduced for educational use with acknowledgement. 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*: 500 447 450 400 350 300 257 250 200 183 150 105 100 85 47 55 43 41 50 23 13 16 16 13 10 13 0 North America South America Central America & Middle East & Sub-Saharan Africa South & East Asia & Eastern Europe & Western Europe (Canada, Mexico & U.S.) the Caribbean North Africa the Pacific Central Asia Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators) * The geographical classification is based on the World Bank’s regions as set forth at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted until December 31, 2012. © 2013 by International Centre for Settlement of Investment Disputes. Page | 19 Content may be reproduced for educational use with acknowledgement. Chart 14: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules: Sudanese 1 Sri Lankan 1 South African 1 Slovenia 1 Norwegian 1 Mauritian/French 1 Luxembourg 1 Guatemalan 1 Dominica 1 Croatian 1 Central African 1 Cameroonian 1 Brazilian/French 1 U.S./French 2 Swiss/Irish 2 Serbian 2 Portuguese 2 Malawian 2 Malagasy 2 Jordanian 2 Ghanaian 2 Gabonese 2 Czech 2 Beninese 2 Barbadian 2 Togolese 3 Somali 3 Nigerian 3 Lebanese 3 Jamaican 3 Israeli 3 Honduran 3 German/Austrian 3 Swiss/Brazilian 4 Iranian/French 4 Iranian 4 Cypriot 4 Nationality of Appointee Algerian 4 Pakistani 5 Moroccan 5 Malaysian 5 Guyanese 5 Finnish 5 Chinese 5 Peruvian 6 Indian 6 Thai 7 Slovak 7 Singaporean 7 Senegalese 7 Ecuadorian 7 Colombian/French 7 Venezuelan 8 Uruguayan 8 Lebanese/French 8 British/French 8 Bangladeshi 8 Austrian 8 Philippine 9 Greek 9 Danish 9 New Zealand/Canadian 10 Bulgarian 10 Brazilian 11 French/Swedish/Bahraini 15 Swedish 17 Costa Rican 19 Colombian 20 New Zealand 29 Egyptian 31 Dutch 31 Argentine 31 Belgian 34 Italian 38 Chilean 40 German 43 Australian 46 Mexican 47 Spanish 64 Swiss 85 Canadian 95 British 123 French 128 U.S. 160 0 20 40 60 80 100 120 140 160 180 Number of Appointments © 2013 by International Centre for Settlement of Investment Disputes. Page | 20 Content may be reproduced for educational use with acknowledgement. PART II CASES REGISTERED AND ADMINISTERED BY ICSID IN 2012 © 2013 by International Centre for Settlement of Investment Disputes. Page | 21 Content may be reproduced for educational use with acknowledgement. 1. New Cases Registered by ICSID in 2012 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in 2012: 45 40 40 35 30 25 20 15 10 8 5 2 0 ICSID Convention Arbitration Cases ICSID Additional Facility Arbitration Cases ICSID Additional Facility Conciliation Cases 2. Non-ICSID Cases Administered by the ICSID Secretariat in 2012 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in 2012: 5 4 4 3 2 2 1 0 Investor-State UNCITRAL Arbitrations Other Cases © 2013 by International Centre for Settlement of Investment Disputes. Page | 22 Content may be reproduced for educational use with acknowledgement. 3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2012 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2012 under the ICSID Convention and Additional Facility Rules: Energy Charter Treaty (ECT) 4% North American Free Trade Agreement (NAFTA) 4% Bilateral Investment Investment Law of the Treaty (BIT) Host-State 67% 12% Investment Contract between the Investor and the Host-State 13% © 2013 by International Centre for Settlement of Investment Disputes. Page | 23 Content may be reproduced for educational use with acknowledgement. 4. Geographic Distribution of New ICSID Cases Registered in 2012, by State Party Involved Chart 4: Geographic Distribution of New Cases Registered in 2012 under the ICSID Convention and Additional Facility Rules, by State Party Involved*: North America Eastern Europe & (Canada, Mexico, U.S.) Central Asia 6% 26% Central America & the Carribean 4% Western Europe 6% South America 24% Sub-Saharan Africa 14% Middle East & North Africa South & East Asia & 10% the Pacific 10% * 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. © 2013 by International Centre for Settlement of Investment Disputes. Page | 24 Content may be reproduced for educational use with acknowledgement. Chart 5: Geographic Distribution of New Cases Registered in 2012 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details*: Bulgaria, 1 Argentina, 1 Croatia, 1 3 Peru, 2 Georgia, 1 Hungary, 3 Latvia, 1 Equatorial Macedonia, 1 Guinea, 3 Venezuela, 9 Montenegro, 1 Algeria, 2 Indonesia, 2 Romania, 1 Guinea, 2 Slovak Republic, 1 Korea, 1 Canada, 1 Belgium, 1 Egypt, 2 Turkmenistan, 1 South Sudan, 1 Laos PDR, 1 Mexico, 1 Costa Rica, 1 Germany, 1 Uzbekistan, 1 Uganda, 1 Tunisia, 1 Pakistan, 1 United States, 1 St. Lucia, 1 Spain, 1 South & East North America Central Eastern Europe & Sub-Saharan Middle East & Western South America Asia & the (Canada, America & Central Asia Africa North Africa Europe Pacific Mexico, U.S.) the Caribbean * 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 One case involves a state agency. © 2013 by International Centre for Settlement of Investment Disputes. Page | 25 Content may be reproduced for educational use with acknowledgement. 5. Distribution of New ICSID Cases Registered in 2012, by Economic Sector Chart 6: Distribution of New Cases Registered in 2012 under the ICSID Convention and Additional Facility Rules by Economic Sector*: Information & Finance Communication 10% 10% Agriculture, Fishing & Transportation Forestry 4% 2% Other Industry 22% Oil, Gas & Mining 28% Tourism 2% Construction 8% Electric Power & Water, Sanitation & Other Energy Flood Protection 8% 6% * The sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf. © 2013 by International Centre for Settlement of Investment Disputes. Page | 26 Content may be reproduced for educational use with acknowledgement. 6. ICSID Arbitration Proceedings Concluded in 2012 – Outcomes Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2012 – Outcomes: Dispute decided by Tribunal 68% (see chart 7a) Dispute settled or proceeding otherwise discontinued 32% (see chart 7b) © 2013 by International Centre for Settlement of Investment Disputes. Page | 27 Content may be reproduced for educational use with acknowledgement. Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 2012 – Findings: Award dismissing all claims 11% Award declining jurisdiction 26% Award upholding claims in part or in full 63% © 2013 by International Centre for Settlement of Investment Disputes. Page | 28 Content may be reproduced for educational use with acknowledgement. Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in 2012 – Basis: Settlement agreement embodied in an award at parties' request2 Proceeding discontinued 11% for lack of payment of the required advances3 22% Proceeding discontinued at the request of one party1 22% Proceeding discontinued for failure of parties to act4 11% Proceeding discontinued at the request of both parties5 34% 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 Administrative & Financial Regulation 14(3)(d). 4 ICSID Arbitration Rule 45. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 51. 5 ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1). © 2013 by International Centre for Settlement of Investment Disputes. Page | 29 Content may be reproduced for educational use with acknowledgement. 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2012 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2012 in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region*: Central America & Middle East & South America the Caribbean North Africa 13% 3% 1% Sub-Saharan Africa North America 1% (Canada, Mexico & U.S.) 24% South & East Asia & the Pacific 14% Eastern Europe & Central Asia 2% Western Europe 42% * 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 2012. © 2013 by International Centre for Settlement of Investment Disputes. Page | 30 Content may be reproduced for educational use with acknowledgement. Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2012 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*: 45 42 40 35 30 28 25 20 16 14 15 11 10 8 5 4 5 3 3 2 2 1 0 North America South America Central America & Middle East & Sub-Saharan Africa South & East Asia & Eastern Europe & Western Europe (Canada, Mexico & the Caribbean North Africa the Pacific Central Asia U.S.) Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators) * 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 2012. © 2013 by International Centre for Settlement of Investment Disputes. Page | 31 Content may be reproduced for educational use with acknowledgement. Chart 10: Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2012 in Cases Registered under the ICSID Convention and Additional Facility Rules: Singaporean 1 Pakistani 1 Malaysian 1 Iranian/French 1 Greek 1 Finnish 1 Austrian 1 Swedish 2 Somali 2 Colombian/French 2 Chinese 2 Dutch 3 Colombian 3 Nationality of Appointee New Zealand/Canadian 3 Bulgarian 3 Italian 4 Belgian 4 New Zealand 5 Costa Rican 5 Swiss 6 Mexican 6 Australian 6 Argentine 6 Spanish 7 German 7 Chilean 7 Canadian 9 French 10 British 12 U.S. 18 0 5 10 15 20 Number of Appointments © 2013 by International Centre for Settlement of Investment Disputes. Page | 32 Content may be reproduced for educational use with acknowledgement.