93622 THE ICSID CASELOAD – STATISTICS (ISSUE 2014-2) 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 ICSIDsecretariat@worldbank.org. © 2014 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 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 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: 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. Page | 3 Content may be reproduced for educational use with acknowledgement. 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. Page | 4 Content may be reproduced for educational use with acknowledgement. PART I ALL CASES REGISTERED AND ADMINISTERED BY ICSID © 2014 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 June 30, 2014 © 2014 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 40 37 38 31 30 27 27 25 26 23 21 19 20 14 14 12 10 11 10 10 4 3 4 4 3 3 3 1 1 2 1 2 2 1 1 2 1 0 to June 30, 2014 1972 1973 1974 1975 1976 1977 1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 Cases Registered under the ICSID Convention and Additional Facility Rules As of June 30, 2014, ICSID had registered 473 cases under the ICSID Convention and Additional Facility Rules. © 2014 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 2 4 4 1 1 1 30 2 1 2 6 1 2 1 20 1 40 38 32 33 1 30 2 3 2 3 21 24 21 23 25 10 18 20 1 14 13 1 1 8 8 8 9 4 2 2 2 4 4 2 2 3 3 0 1 1 1 1 1 1 1 to June 30, 2014 1972 1973 1974 1975 1976 1977 1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 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) ICSID Convention 1.5% Arbitration Cases (420) ICSID Additional Facility 89% Arbitration Cases (44) 9% ICSID Additional Facility Conciliation Cases (2) 0.5% © 2014 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 2 1 10 8 3 1 6 11 1 10 10 10 4 2 7 6 6 5 2 4 3 0 FY2005 FY2006 FY2007 FY2008 FY2009 FY2010 FY2011 FY2012 FY2013 FY2014 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. © 2014 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 United States of America and the Sultanate of Oman on the Energy Charter Treaty ASEAN Agreement for the Establishment of a Free (ECT) Promotion and Protection Trade Area 5.0% of Investments (Oman-U.S. FTA) 0.5% 0.5% North American Free Trade Agreement (NAFTA) 3.0% Investment Law of the Bilateral Investment Host-State Treaty (BIT) 8.0% 63.0% Investment Contract between the Investor and the Host-State 19.0% Dominican Republic- United States-Central America Free Trade Agreement (DR-CAFTA) 1.0% © 2014 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% Eastern Europe & Central Asia Central America & the Carribean 24% 6% Western Europe 3% South America 27% Sub-Saharan Africa 16% Middle East & North Africa South & East Asia & 11% the Pacific 8% * 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. © 2014 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 4% Oil, Gas & Mining Information & 26% Communication 6% Finance 7% Electric Power & Other Energy 13% Services & Trade 4% Transportation 10% Water, Sanitation & Flood Protection 6% Other Industry 13% Construction Tourism 7% 4% * This sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf. © 2014 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 65% (see chart 8a) Dispute settled or proceeding otherwise discontinued 35% (see chart 8b) © 2014 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 Award declining claims jurisdiction 28% 25% Award deciding that the claims are manifestly without legal merit* 1% Award upholding claims in part or in full 46% * 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. © 2014 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: Proceeding discontinued Settlement agreement at the request of one embodied in an award at party1 parties' request2 27% 17% Proceeding discontinued at the Initiative of the Tribunal3 1% Proceeding discontinued for lack of payment of the required advances4 8% Proceeding discontinued Proceeding discontinued at the request of both for failure of parties to parties6 act5 46% 1% 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). © 2014 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 issued 71% (see chart 10) Proceeding Discontinued 29% Chart 10: Conciliation Proceedings under the ICSID Convention – Commission Reports: Report recording failure of the Parties to reach agreement Report recording 80% agreement of the Parties 20% © 2014 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 96 100 80 62 60 40 18 20 9 13 8 11 9 4 3 5 0 0 0 1 0 0 1 1 1 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 © 2014 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 Eastern Europe & 2% 11% Central Asia Middle East & 2% North Africa 4% Central America & the Caribbean 2% South America 11% Western Europe 47% North America (Canada, Mexico & U.S.) 21% * 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. © 2014 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*: 600 533 500 400 286 300 211 200 123 101 100 67 50 49 44 19 17 25 19 16 16 11 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, 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. © 2014 by International Centre for Settlement of Investment Disputes. Page | 19 Content may be reproduced for educational use with acknowledgement. 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: United States of America/Canada 1 Sudan 1 Sri Lanka 1 South Africa 1 Slovenia 1 Norway 1 Luxembourg 1 Japan 1 France/Mauritius 1 Dominica 1 Croatia 1 Chile/United States of America 1 Central African Republic 1 Canada/Switzerland 1 Canada/Lebanon 1 Cameroon 1 United Kingdom/Ghana 1 Argentina/United States of America 1 United States of America/France 2 Serbia 2 Portugal 2 Malawi 2 Madagascar 2 Lebanon 2 Korea, Rep. of 2 Jordan 2 Ghana 2 Gabon 2 Czech Republic 2 Benin 2 Barbados 2 Togo 3 Switzerland/Ireland 3 Jamaica 3 Israel 3 Honduras 3 Nigeria 4 Iran, Islamic Rep. of 4 Guatemala 4 Germany/Austria 4 Cyprus 4 Algeria 4 Somalia 5 State of Nationality Iran, Islamic Rep. of/France 5 Guyana 5 Peru 6 Pakistan 6 Malaysia 6 India 6 Finland 6 Thailand 7 Senegal 7 Morocco 7 Ecuador 7 Colombia/France 7 Venezuela 8 Switzerland/Brazil 8 Slovak Republic 8 China 8 Uruguay 9 Greece 9 Denmark 9 Canada/United Kingdom 9 Bangladesh 9 Philippines 10 Canada/New Zealand 10 Singapore 11 Lebanon/France 11 Argentina/Spain 11 Brazil 12 United States of America/Switzerland 13 Bulgaria 13 United Kingdom/France 13 Austria 13 France/Sweden/Bahrain 19 Sweden 20 Costa Rica 23 Argentina 25 Colombia 26 Egypt, Arab Rep. of 30 New Zealand 34 Netherlands 34 Belgium 38 Italy 40 Chile 46 Germany 49 Mexico 52 Australia 57 Spain 80 Canada 91 Switzerland 96 United Kingdom 140 France 163 United States of America 167 0 20 40 60 80 100 120 140 160 180 Number of Appointments © 2014 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 FISCAL YEAR 2014 (FY2014) © 2014 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 FY2014 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2014: 40 38 35 30 25 20 15 10 5 2 0 ICSID Convention Arbitration Cases ICSID Additional Facility Arbitration Cases 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: 11 10 10 9 8 7 6 5 4 3 2 2 1 0 Investor-State UNCITRAL Arbitrations Other Cases © 2014 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 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% Energy Charter Treaty (ECT) 22% Investment Law of the Host-State 11% Investment Contract between the Investor and the Host-State 18% © 2014 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 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*: Eastern Europe & Central Asia 25% Western Europe 20% North America (Canada, Mexico & U.S.) 3% Sub-Saharan Africa Central America & 20% the Carribean 7% South America 7% South & East Asia & Middle East & the Pacific North Africa 3% 15% * 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. © 2014 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 FY2014 under the ICSID Convention and Additional Facility Rules, by State Party Involved - Further Details*: Bosnia and Herzegovina, 1 Bulgaria, 1 Croatia, 1 Cameroon, 1 France, 1 Cyprus, 1 Gambia, 2 Italy, 1 Hungary, 2 Madagascar, 1 Egypt, 4 Montenegro, 1 Mali, 1 Spain, 6 3 Ukraine, 1 Nigeria, 1 Costa Rica, 1 Peru, 1 Uzbekistan, 2 Sudan, 1 Jordan, 1 El Salvador, 1 Venezuela, 2 Papua New Uganda, 1 Tunisia, 1 Panama, 1 Guinea, 1 Mexico, 1 Central South & East North America Eastern Europe & Sub-Saharan Western Middle East & America & South America Asia & (Canada, Central Asia Africa Europe North Africa the Caribbean the Pacific Mexico & U.S.) * 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. © 2014 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 FY2014, by Economic Sector Chart 6: Distribution of New Cases Registered in FY2014 under the ICSID Convention and Additional Facility Rules, by Economic Sector*: Information & Finance Communication 5% 5% Other Industry 17% Oil, Gas & Mining 35% Construction 5% Water, Sanitation & Flood Protection 3% Electric Power & Other Energy 30% * The sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf. © 2014 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 FY2014 – Outcomes Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2014 – Outcomes: Dispute decided by Dispute settled or Tribunal proceeding otherwise 84% discontinued (see chart 7a) 16% (see chart 7b) © 2014 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 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. 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 FY2014 – Basis: Proceeding discontinued at the request of one party1 25% Settlement agreement embodied in an award at parties' request2 25% Proceeding discontinued at the request of both parties3 50% 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). © 2014 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 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*: Middle East & Central America & North Africa the Caribbean 3% 2% South America Sub-Saharan Africa 12% 2% South & East Asia & the Pacific North America 11% (Canada, Mexico & U.S.) 18% Eastern Europe & Central Asia 2% Western Europe 50% * 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. © 2014 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 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*: 60 56 50 40 30 24 20 18 15 11 10 6 3 2 3 3 2 2 0 1 1 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 FY2014. © 2014 by International Centre for Settlement of Investment Disputes. Page | 31 Content may be reproduced for educational use with acknowledgement. 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: Switzerland/Ireland 1 Sweden 1 Somalia 1 Slovak Republic 1 Nigeria 1 Morocco 1 Malaysia 1 France/Lebanon 1 Korea, Rep.of 1 Italy 1 Iran, Islamic Rep. of/France 1 Netherlands 1 Costa Rica 1 Chile/United States of America 1 Canada/Lebanon 1 United Kingdom/Ghana 1 Bangladesh 1 Argentina/United States of America 1 Argentina/Spain 1 New Zealand 2 State of Nationality Guatemala 2 France/Sweden/Bahrain 2 China 2 Bulgaria 2 Switzerland/Brazil 3 Singapore 3 Chile 3 Belgium 3 Austria 3 United States of America/Switzerland 4 Mexico 4 Colombia 4 United Kingdom/France 4 Argentina 4 Germany 5 Canada 5 Switzerland 6 Australia 7 Spain 11 United Kingdom 12 United States of America 14 France 24 0 5 10 15 20 25 30 Number of Appointments © 2014 by International Centre for Settlement of Investment Disputes. Page | 32 Content may be reproduced for educational use with acknowledgement.