THE ICSID CASELOAD – STATISTICS (ISSUE 2016-2) The ICSID Caseload – Statistics (Issue 2016-2) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload, historically and for the Centre’s Fiscal Year 2016 (FY2016). It is based on cases registered or administered by ICSID as of June 30, 2016. 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. © 2016 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, 2016 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 and Additional Facility Rules – Outcomes 16 Chart 10: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules – 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 20 1 The data is based on ICSID statistics as of June 30, 2016. 2 The ICSID Fiscal Year covers the period July 1 to June 30. © 2016 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 2016 1. New Cases Registered by ICSID in FY2016 22 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2016 22 2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2016 22 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2016 22 3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2016 23 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2016 under the ICSID Convention and Additional Facility Rules 23 4. Geographic Distribution of New ICSID Cases Registered in FY2016, by State Party Involved 24 Chart 4: Geographic Distribution of New Cases Registered in FY2016 under the ICSID Convention and Additional Facility Rules, by State Party Involved 24 Chart 5: Geographic Distribution of New Cases Registered in FY2016 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details 25 5. Distribution of New ICSID Cases Registered in FY2016, by Economic Sector 26 Chart 6: Distribution of New Cases Registered in FY2016 under the ICSID Convention and Additional Facility Rules, by Economic Sector 26 6. ICSID Arbitration Proceedings Concluded in FY2016 – Outcomes 27 Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2016 – Outcomes 27 Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2016 – Findings 28 Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in FY2016 – Basis 29 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY2016 30 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2016 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 FY2016 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 FY2016 in Cases Registered under the ICSID Convention and Additional Facility Rules 32 © 2016 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 © 2016 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, 2016 © 2016 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 52 50 50 40 40 37 38 38 31 30 27 27 25 26 23 21 21 19 20 14 12 10 11 10 10 4 4 4 1 1 2 1 2 2 3 1 1 2 1 3 3 3 0 to June 30, 2016 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 2014 2015 Cases Registered under the ICSID Convention and Additional Facility Rules As of June 30, 2016, ICSID had registered 570 cases under the ICSID Convention and Additional Facility Rules. © 2016 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 2 50 2 8 40 2 4 3 4 1 1 1 30 2 1 2 6 1 2 50 1 2 20 1 40 38 35 1 32 33 30 2 3 2 3 21 24 21 23 25 10 18 20 18 1 14 1 1 9 8 8 8 4 2 2 2 4 4 2 2 3 3 0 1 1 1 1 1 1 1 to June 30, 2016 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 2014 2015 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 ICSID Convention 8 Arbitration Cases (1.4%) 510 ICSID Additional Facility (89.5%) Arbitration Cases 50 (8.8%) ICSID Additional Facility Conciliation Cases 2 (0.3%) © 2016 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 2 1 10 1 8 2 3 1 6 1 10 10 9 4 2 7 7 6 6 5 2 4 3 0 FY2007 FY2008 FY2009 FY2010 FY2011 FY2012 FY2013 FY2014 FY2015 FY2016 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. © 2016 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: Canada-Peru Free Trade Agreement Central America-Panama (Canada-Peru FTA) Free Trade Agreement 0.2% 0.2% Oman-U.S. Free Trade Agreement (Oman-U.S. FTA) ASEAN Agreement for the 0.2% Promotion and Protection of Investments Energy Charter Treaty 0.2% (ECT) 9.2% North American Free Trade Agreement Bilateral Investment Treaty (NAFTA) (BIT) 2.8% 60.0% Investment Law of the Host-State 9.6% Investment Contract between the Investor and the Host-State 16.8% Domenican Republic-United States-Central America Free Trade Agreement (DR-CAFTA) 0.8% © 2016 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*: Eastern Europe & North America Central Asia (Canada, Mexico & U.S.) 25% 4% Central America & the Caribbean 6% Western Europe 7% South America 24% Sub-Saharan Africa 16% Middle East & North Africa South & East Asia & 10% 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. © 2016 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 Oil, Gas & Mining 4% 26% Information & Communication 6% Finance 7% Services & Trade 3% Electric Power & Transportation Other Energy 9% 17% Water, Sanitation & Flood Protection Other Industry 5% 12% 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. © 2016 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 64% (see chart 8a) Dispute settled or proceeding otherwise discontinued 36% (see chart 8b) © 2016 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 27% 26% 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 merit. If the Tribunal decides that the claims are manifestly without legal merit, it shall render an award to that effect. © 2016 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 Settlement agreement discontinued at the embodied in an award request of one party1 at parties' request2 26% 14% 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 3% Proceeding discontinued at the request of both parties6 48% 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) and 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 and Arbitration (Additional Facility) Rule 51. 6 ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1). © 2016 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 and Additional Facility Rules – Outcomes: Conciliation Commission Report issued 75% (see chart 10) Proceeding Discontinued 25% Chart 10: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules – Commission Reports: Report recording failure of the Parties to reach agreement 83% Report recording agreement of the Parties 17% © 2016 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: 120 103 100 96 80 60 40 23 18 20 13 15 9 8 4 3 5 3 0 0 0 1 0 0 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 © 2016 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 & the Pacific Sub-Saharan Africa 11% Eastern Europe & 2% Central Asia Middle East & 2% North Africa 4% Central America & the Caribbean 3% South America 10% 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, 2016. © 2016 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*: 700 666 600 500 400 342 300 242 200 138 123 100 86 63 56 49 27 32 20 22 18 14 22 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 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, 2016. © 2016 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 Page | 20 United Kingdom/Uganda 1 United Kingdom/Ghana 1 Sudan 1 Sri Lanka 1 South Africa 1 Slovenia 1 Paraguay 1 Pakistan/United States of America 1 Norway 1 Luxembourg 1 Lebanon/Chile 1 Japan 1 Israel/Switzerland 1 Ireland/United States of America 1 Dominica 1 Croatia Content may be reproduced for educational use with acknowledgement. 1 © 2016 by International Centre for Settlement of Investment Disputes. Chile/United States of America 1 Central African Republic 1 Canada/Switzerland 1 Cameroon 1 Cabo Verde 1 Argentina/United States of America 2 Portugal 2 Malawi 2 Madagascar 2 Lebanon 2 Jordan 2 Ghana 2 Gabon 2 France/Mauritius 2 Czech Republic 2 Canada/Lebanon 2 Benin 2 Togo 3 Serbia 3 Jamaica 3 Israel 3 Honduras 3 Barbados 3 Australia/Ireland 3 United States of America/France 4 Switzerland/Ireland 4 Nigeria 4 Iran, Islamic Rep. of 4 Cyprus 4 State of Nationality of Appointee Algeria 4 Korea, Rep.of 5 Guyana 5 India 6 France/Switzerland 6 Thailand 7 Somalia 7 Senegal 7 Peru 7 Germany/Austria 7 Ecuador 7 Switzerland/Brazil 8 Iran, Islamic Rep. of/France 8 Colombia/France 8 Venezuela 9 Uruguay 9 Slovak Republic 9 Pakistan 9 Guatemala 9 Greece 9 Denmark 9 Finland 10 Philippines 11 Morocco 11 Malaysia 11 Lebanon/France 11 China 11 Canada/United Kingdom 12 Brazil 12 Bangladesh 12 Argentina/Spain 12 Singapore 13 Canada/New Zealand 14 Austria 17 United States of America/Switzerland 18 United Kingdom/France 18 Bulgaria 20 France/Sweden/Bahrain 23 Sweden 24 Costa Rica 28 Argentina 31 Egypt, Arab Rep. of 32 Colombia 32 New Zealand 41 Netherlands 41 Belgium 47 Chile 50 Italy 51 Mexico 53 Germany 71 Australia 77 Spain 90 Switzerland 108 Canada 112 United Kingdom 169 United States of America 190 France 195 0 50 100 150 200 250 Number of Appointments PART II CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 2016 (FY2016) © 2016 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 FY2016 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2016: 45 40 40 35 30 25 20 15 10 4 5 1 0 ICSID Convention Arbitration Cases ICSID Convention Conciliation Cases ICSID Additional Facility Arbitration Cases 2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2016 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2016: 8 7 7 6 5 4 3 2 2 1 0 Investor-State UNCITRAL Arbitrations Other Cases © 2016 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 FY2016 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2016 under the ICSID Convention and Additional Facility Rules: Energy Charter Treaty (ECT) 31% Bilateral Investment Treaty (BIT) 51% North American Free Trade Agreement (NAFTA) 2% Investment Law of the Host- State 10% Investment Contract between the Investor and the Host-State 6% © 2016 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 FY2016, by State Party Involved Chart 4: Geographic Distribution of New Cases Registered in FY2016 under the ICSID Convention and Additional Facility Rules, by State Party Involved*: Eastern Europe & Central Asia 22% Western Europe 34% North America (Canada, Mexico & U.S.) 5% Central America & the Caribbean 2% South America Sub-Saharan Africa 11% 11% South & East Asia & the Pacific Middle East & North Africa 2% 13% * 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. © 2016 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 FY2016 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details*: 16 Austria, 1 14 12 Italy, 4 10 Albania, 1 Bulgaria, 1 8 Cyprus, 1 Hungary, 1 6 Kazakhstan, 1 Spain, 10 Lithuania, 1 Egypt, 3 Côte d'Ivoire, 1 4 Argentina, 2 Moldova, 1 Ghana, 1 Romania, 1 Libya, 1 Guinea, 1 Colombia, 1 2 Serbia, 1 Kenya, 1 Uruguay, 1 Canada, 1 Oman, 2 Ukraine, 1 Tanzania, 1 Venezuela, 1 Mexico, 1 Lao PDR, 1 Panama, 1 0 Western Europe Eastern Europe & Middle East & Sub-Saharan Africa South America North America South & East Asia & Central America & Central Asia North Africa (Canada, Mexico & the Pacific the Caribbean 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. © 2016 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 FY2016, by Economic Sector Chart 6: Distribution of New Cases Registered in FY2016 under the ICSID Convention and Additional Facility Rules, by Economic Sector*: Information & Communication Finance 7% Agriculture, Fishing & 7% Forestry 2% Transportation 7% Oil, Gas & Mining 20% Other Industry 11% Tourism 2% Construction 9% Electric Power & Other Energy 35% * The sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf. © 2016 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 FY2016 – Outcomes Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2016 – Outcomes: Dispute decided by Tribunal 66% (see chart 7a) Dispute settled or proceeding otherwise discontinued 34% (see chart 7b) © 2016 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 FY2016 – Findings: Award dismissing all claims Award declining 24% jurisdiction 20% Award upholding claims in part or in full 56% © 2016 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 FY2016 – Basis: Proceeding discontinued at the request of one party1 15% Proceeding discontinued Settlement agreement at the request of both embodied in an award at parties5 parties' request2 54% 15% Proceeding discontinued for lack of payment of the required advances3 8% Proceeding discontinued for failure of parties to act4 8% 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) and Arbitration (Additional Facility) Rule 49(2). 3 ICSID Administrative and Financial Regulations 14(3)(d). 4 ICSID Arbitration Rule 45 and Arbitration (Additional Facility) Rule 51. 5 ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1). © 2016 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 FY2016 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2016 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 4% Sub-Saharan Africa 5% 1% South America South & East Asia 8% & the Pacific 18% North America (Canada, Mexico & U.S.) 16% Eastern Europe & Central Asia 3% Western Europe 45% * 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 FY2016. © 2016 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 FY2016 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*: 80 70 70 60 50 40 30 26 22 20 19 13 11 10 6 6 5 4 4 4 4 1 2 0 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 FY2016. © 2016 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 FY2016 in Cases Registered under the ICSID Convention and Additional Facility Rules: United Kingdom/Uganda 1 United States of America/Switzerland 1 United Kingdom/France 1 Switzerland/Israel 1 Switzerland/Ireland 1 Somalia 1 Serbia 1 Peru 1 Paraguay 1 Lebanon/Chile 1 Ireland/United States of America 1 Iran, Islamic Rep. of/France 1 Germany/Austria 1 France/Sweden/Bahrain 1 Egypt 1 Colombia/France 1 Canada/Lebanon 1 Cabo Verde 1 Barbados 1 Argentina/United States of America 1 United States of America/France 2 State of Nationality of Appointee Sweden 2 Singapore 2 Netherlands 2 Korea, Rep.of 2 France/Switzerland 2 China 2 Chile 2 Canada/United Kingdom 2 Canada/New Zealand 2 Bangladesh 2 Australia/Ireland 2 Austria 2 Morocco 3 Malaysia 3 New Zealand 4 Guatemala 4 Finland 4 Colombia 4 Bulgaria 4 Belgium 4 Italy 5 Costa Rica 5 Argentina 5 Spain 6 Switzerland 7 United States of America 12 Canada 13 Germany 14 France 15 Australia 18 United Kingdom 21 0 5 10 15 20 25 Number of Appointments © 2016 by International Centre for Settlement of Investment Disputes. Page | 32 Content may be reproduced for educational use with acknowledgement.