THE ICSID CASELOAD – STATISTICS (ISSUE 2017-1) The ICSID Caseload – Statistics (Issue 2017-1) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload, historically and for the calendar year 2016. It is based on cases registered or administered by ICSID as of December 31, 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. © 2017 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, 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: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Tribunal Rulings, Settlement & Discontinuances 14 Chart 8b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings 14 Chart 8c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis 16 Chart 9: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes 17 Chart 10: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules – Commission Reports 17 8. Annulment Proceedings under the ICSID Convention – Outcomes 18 Chart 11: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade 18 9. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 19 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 19 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 20 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 21 1 The data is based on ICSID statistics as of December 31, 2016. 2 The ICSID Fiscal Year covers the period July 1 to June 30. © 2017 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 2016 1. New Cases Registered by ICSID in 2016 23 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in 2016 23 2. Non-ICSID Cases Administered by the ICSID Secretariat in 2016 23 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in 2016 23 3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2016 24 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2016 under the ICSID Convention and Additional Facility Rules 24 4. Geographic Distribution of New ICSID Cases Registered in 2016, by State Party Involved 25 Chart 4: Geographic Distribution of New Cases Registered in 2016 under the ICSID Convention and Additional Facility Rules, by State Party Involved 25 Chart 5: Geographic Distribution of New Cases Registered in 2016 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details 26 5. Distribution of New ICSID Cases Registered in 2016, by Economic Sector 27 Chart 6: Distribution of New Cases Registered in 2016 under the ICSID Convention and Additional Facility Rules, by Economic Sector 27 6. ICSID Arbitration Proceedings Concluded in 2016 – Outcomes 28 Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2016 – Outcomes 28 Chart 7a: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2016 – Tribunal Rulings, Settlement & Discontinuances 29 Chart 7b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 2016 – Findings 30 Chart 7c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in 2016 – Basis 31 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2016 32 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2016 in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region 32 Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2016 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 33 Chart 10: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2016 in Cases Registered under the ICSID Convention and Additional Facility Rules 34 © 2017 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 © 2017 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, 2016 © 2017 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 48 40 40 37 38 38 31 30 27 27 25 26 23 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 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 2016 Cases Registered under the ICSID Convention and Additional Facility Rules As of December 31, 2016, ICSID had registered 597 cases under the ICSID Convention and Additional Facility Rules. © 2017 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 5 8 1 2 40 3 4 4 1 1 1 30 2 1 2 6 1 2 50 1 1 42 20 40 38 33 35 30 32 2 3 2 3 24 23 25 10 21 21 20 18 1 14 1 1 8 8 8 9 4 2 2 2 4 4 2 2 3 3 0 1 1 1 1 1 1 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 2013 2014 2015 2016 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 8 ICSID Convention (1.3%) Arbitration Cases 534 ICSID Additional Facility (89.5%) Arbitration Cases 53 (8.9%) ICSID Additional Facility Conciliation Cases 2 (0.3%) © 2017 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 10 1 8 2 3 1 1 6 1 10 9 4 2 7 7 7 6 6 5 2 4 3 0 FY2008 FY2009 FY2010 FY2011 FY2012 FY2013 FY2014 FY2015 FY2016 July 1 - Dec. 31, 2016 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. © 2017 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: Colombia-Mexico Free Trade U.S.- Panama Trade Canada-Peru Free Trade Central America-Panama Agreement Promotion Agreement Agreement Free Trade Agreement (Colombia-Mexico FTA) (U.S.-Panama TPA) (Canada-Peru FTA) 0.1% 0.1% 0.2% 0.1% Oman-U.S. Free Trade Canada - Colombia Free Agreement Trade Agreement (Oman-U.S. FTA) (Canada-Colombia FTA) 0.1% 0.1% ASEAN Agreement for the Promotion and Energy Charter Treaty Protection of Investments (ECT) 0.1% 9.5% North American Free Trade Agreement (NAFTA) 3.0% Investment Law of the Host-State 9.5% Bilateral Investment Treaty (BIT) Investment Contract 59.8% between the Investor and the Host-State 16.7% Dominican Republic-United States-Central America Free Trade Agreement (DR-CAFTA) 0.7% © 2017 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% 5% Central America & the Caribbean 6% Western Europe 7% South America 24% Sub-Saharan Africa 15% 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. © 2017 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 25% Information & Communication 6% Finance 7% Services & Trade 3% Electric Power & Other Energy 17% Transportation 9% Water, Sanitation & Flood Protection Other Industry 5% 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. © 2017 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 charts 8a and 8b) Dispute settled or proceeding otherwise discontinued 36% (see charts 8a and 8c) © 2017 by International Centre for Settlement of Investment Disputes. Page | 13 Content may be reproduced for educational use with acknowledgement. Chart 8a: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Tribunal Rulings, Settlement & Discontinuances: Award upholding claims in part or in full 29.1% Proceeding discontinued at the request of both parties 17.3% Proceeding discontinued at the request of one party 9.2% Award dismissing all claims 18.3% Settlement agreement embodied in an award at parties' request 5.4% Proceeding discontinued at the Initiative of the Award declining Tribunal jurisdiction 0.2% 16.1% Award deciding that the Proceeding discontinued Proceeding discontinued claims are manifestly for failure of parties to act for lack of payment of the without legal merit 1.0% required advances 0.5% 2.9% Dispute decided by Tribunal (64%) Dispute settled or proceeding otherwise discontinued (36%) © 2017 by International Centre for Settlement of Investment Disputes. Page | 14 Content may be reproduced for educational use with acknowledgement. Cart 8b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings: Award dismissing all claims Award declining 29% jurisdiction 25% Award deciding that the claims are manifestly without legal merit* 1% Award upholding claims in part or in full 45% * 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. © 2017 by International Centre for Settlement of Investment Disputes. Page | 15 Content may be reproduced for educational use with acknowledgement. Chart 8c: 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 25% 15% Proceeding discontinued at the Initiative of the Tribunal3 1% Proceeding discontinued for lack of payment of the required advances4 8% Proceeding discontinued for failure Proceeding of parties to act5 3% 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). © 2017 by International Centre for Settlement of Investment Disputes. Page | 16 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% © 2017 by International Centre for Settlement of Investment Disputes. Page | 17 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: 140 124 120 100 96 80 60 40 25 18 17 20 13 9 8 4 3 5 4 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 © 2017 by International Centre for Settlement of Investment Disputes. Page | 18 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 11% Eastern Europe & 2% 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 December 31, 2016. © 2017 by International Centre for Settlement of Investment Disputes. Page | 19 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*: 800 693 700 600 500 400 353 300 250 200 151 131 91 100 69 58 49 28 33 23 23 20 20 14 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 December 31, 2016. © 2017 by International Centre for Settlement of Investment Disputes. Page | 20 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 | 21 United Kingdom/Uganda 1 United Kingdom/Ghana 1 Sudan 1 Sri Lanka 1 Slovenia 1 Paraguay 1 Pakistan/United States of America 1 Norway 1 New Zealand/United Kingdom 1 Luxembourg 1 Lebanon/Chile 1 Japan 1 Israel/Switzerland 1 Ireland/United States of America 1 Dominica 1 Croatia 1 Content may be reproduced for educational use with acknowledgement. Chile/United States of America 1 © 2017 by International Centre for Settlement of Investment Disputes. Central African Republic 1 Canada/Switzerland 1 Cameroon 1 Cabo Verde 1 Australia/Germany 1 South Africa 2 Portugal 2 Malawi 2 Madagascar 2 Lebanon 2 Jordan 2 Ghana 2 Gabon 2 France/Mauritius 2 Czech Republic 2 Benin 2 Togo 3 Serbia 3 Jamaica 3 Israel 3 Ireland/Germany 3 Honduras 3 Canada/Lebanon 3 Barbados 3 Argentina/United States of America 3 United States of America/France 4 Switzerland/Ireland 4 Iran, Islamic Rep. of 4 Cyprus 4 Australia/Ireland 4 State of Nationality of Appointee Algeria 4 Nigeria 5 Guyana 5 Korea, Rep.of 6 India 6 Thailand 7 Somalia 7 Senegal 7 Peru 7 Germany/Austria 7 Ecuador 7 Iran, Islamic Rep. of/France 8 France/Switzerland 8 Colombia/France 8 Venezuela 9 Uruguay 9 Switzerland/Brazil 9 Slovak Republic 9 Guatemala 9 Greece 9 Denmark 9 Pakistan 10 Philippines 11 Morocco 11 Lebanon/France 11 China 11 Malaysia 12 Finland 12 Canada/United Kingdom 12 Bangladesh 12 Singapore 13 Brazil 13 Argentina/Spain 13 Canada/New Zealand 16 Austria 17 United States of America/Switzerland 18 United Kingdom/France 20 Bulgaria 21 France/Sweden/Bahrain 23 Sweden 26 Costa Rica 29 Egypt, Arab Rep. of 32 Colombia 36 Argentina 36 New Zealand 42 Netherlands 42 Belgium 49 Chile 52 Italy 53 Mexico 54 Germany 72 Australia 83 Spain 94 Switzerland 108 Canada 117 United Kingdom 176 United States of America 199 France 202 0 50 100 150 200 250 Number of Appointments PART II CASES REGISTERED AND ADMINISTERED BY ICSID IN 2016 © 2017 by International Centre for Settlement of Investment Disputes. Page | 22 Content may be reproduced for educational use with acknowledgement. 1. New Cases Registered by ICSID in 2016 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in 2016: 45 42 40 35 30 25 20 15 10 5 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 2016 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in 2016: 9 8 8 7 6 5 4 3 2 2 1 0 Investor-State UNCITRAL Arbitrations Other Cases © 2017 by International Centre for Settlement of Investment Disputes. Page | 23 Content may be reproduced for educational use with acknowledgement. 3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2016 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in 2016 under the ICSID Convention and Additional Facility Rules: Canada - Colombia Free U.S.- Panama Trade Trade Agreement Promotion Agreement (Canada-Colombia FTA) (U.S.-Panama TPA) 2% 4% Colombia-Mexico Free Trade Agreement (Colombia-Mexico FTA) 2% Energy Charter Treaty (ECT) 18% Bilateral Investment Treaty (BIT) 57% North American Free Trade Agreement (NAFTA) 4% Investment Law of the Host-State 9% Investment Contract between the Investor and the Host-State 4% © 2017 by International Centre for Settlement of Investment Disputes. Page | 24 Content may be reproduced for educational use with acknowledgement. 4. Geographic Distribution of New ICSID Cases Registered in 2016, by State Party Involved Chart 4: Geographic Distribution of New Cases Registered in 2016 under the ICSID Convention and Additional Facility Rules, by State Party Involved*: Eastern Europe & Central Asia 31% North America (Canada, Mexico & U.S.) 6% Central America & the Caribbean 6% Western Europe 15% South America 17% Sub-Saharan Africa 6% 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. © 2017 by International Centre for Settlement of Investment Disputes. Page | 25 Content may be reproduced for educational use with acknowledgement. Chart 5: Geographic Distribution of New Cases Registered in 2016 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details*: 16 Albania, 1 14 Bosnia and Herzegovina, 1 Bulgaria, 1 12 Croatia, 2 10 Hungary, 1 Kazakhstan, 1 8 Latvia, 1 Greece, 1 Lithuania, 1 Colombia, 3 6 Moldova, 1 Italy, 2 Krygyz Peru, 1 Republic, 1 4 Romania, 1 Egypt, 3 Uruguay, 1 Indonesia, 1 Serbia, 1 Côte d'Ivoire, 1 Canada, 1 Lao PDR, 1 2 Spain, 4 Turkmenistan, 1 Lebanon, 1 Ghana, 1 Venezuela, 3 Mexico, 1 Philippiines, 1 Panama, 3 Ukraine, 1 Oman, 1 Mauritius, 1 U.S., 1 Sri Lanka, 1 0 Western Europe Eastern Europe & Middle East & Sub-Saharan South America North America South & East Asia Central America Central Asia North Africa 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. © 2017 by International Centre for Settlement of Investment Disputes. Page | 26 Content may be reproduced for educational use with acknowledgement. 5. Distribution of New ICSID Cases Registered in 2016, by Economic Sector Chart 6: Distribution of New Cases Registered in 2016 under the ICSID Convention and Additional Facility Rules, by Economic Sector*: Information & Communication 8% Agriculture, Fishing & Finance Forestry Services & Trade 2% 6% 2% Transportation 6% Oil, Gas & Mining 21% Other Industry 13% Tourism 8% Construction 11% Electric Power & Other Energy 23% * The sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf. © 2017 by International Centre for Settlement of Investment Disputes. Page | 27 Content may be reproduced for educational use with acknowledgement. 6. ICSID Arbitration Proceedings Concluded in 2016 – Outcomes Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2016 – Outcomes: Dispute decided by Tribunal 68% (see charts 7a and 7b) Dispute settled or proceeding otherwise discontinued 32% (see charts 7a and 7c) © 2017 by International Centre for Settlement of Investment Disputes. Page | 28 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 2016 – Tribunal Rulings, Settlement & Discontinuances: Award upholding claims in part or in full 30% Proceeding discontinued at the request of both parties 18% Proceeding discontinued Award dismissing all at the request of one claims party 27% 5% Settlement agreement embodied in an award at parties' request 5% Award declining Proceeding discontinued jurisdiction for lack of payment of 11% Proceeding discontinued the required advances for failure of parties to 2% act 2% Dispute decided by Tribunal (68%) Dispute settled or proceeding otherwise discontinued (32%) © 2017 by International Centre for Settlement of Investment Disputes. Page | 29 Content may be reproduced for educational use with acknowledgement. Chart 7b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 2016 – Findings: Award dismissing all claims 40% Award declining jurisdiction 17% Award upholding claims in part or in full 43% © 2017 by International Centre for Settlement of Investment Disputes. Page | 30 Content may be reproduced for educational use with acknowledgement. Chart 7c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in 2016 – Basis: Proceeding discontinued at the request of one party1 Settlement agreement 15% embodied in an award at parties' request2 14% Proceeding discontinued for lack of payment of the required advances3 7% Proceeding discontinued for failure of parties to act4 7% Proceeding discontinued at the request of both parties5 57% 1 ICSID Arbitration Rule 44. No case concluded on the basis of Arbitration (Additional Facility) Rule 50. 2 ICSID Arbitration Rule 43(2). No case concluded on the basis of Arbitration (Additional Facility) Rule 49(2). 3 ICSID Administrative and Financial Regulations 14(3)(d). 4 ICSID Arbitration Rule 45. No case concluded on the bais of rbitration (Additional Facility) Rule 51. 5 ICSID Arbitration Rule 43(1). No case concluded on the basis of Arbitration (Additional Facility) Rule 49(1). © 2017 by International Centre for Settlement of Investment Disputes. Page | 31 Content may be reproduced for educational use with acknowledgement. 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in 2016 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2016 in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region*: Central America & the Caribbean Middle East & 2% North Africa South America 2% 13% Sub-Saharan Africa 3% South & East Asia & North America the Pacific (Canada, Mexico & U.S.) 19% 18% Eastern Europe & Central Asia 1% 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 2016. © 2017 by International Centre for Settlement of Investment Disputes. Page | 32 Content may be reproduced for educational use with acknowledgement. Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2016 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 55 50 40 30 21 20 18 17 12 11 10 7 3 3 2 2 2 1 1 1 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 2016. © 2017 by International Centre for Settlement of Investment Disputes. Page | 33 Content may be reproduced for educational use with acknowledgement. Chart 10: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in 2016 in Cases Registered under the ICSID Convention and Additional Facility Rules: Zambia 1 United States of America/Switzerland 1 United Kingdom/Uganda 1 Switzerland/Brazil 1 Switzerland 1 South Africa 1 Singapore 1 Pakistan 1 Nigeria 1 New Zealand/United Kingdom 1 Netherlands 1 Mexico 1 Egypt 1 Brazil 1 Bangladesh 1 Austria 1 Australia/Ireland 1 Australia/Germany 1 State of Nationality of Appointee Argentina/Spain 1 Sweden 2 New Zealand 2 Korea, Rep.of 2 Finland 2 China 2 Canada/Lebanon 2 Bulgaria 2 Argentina/United States of America 2 United Kingdom/France 3 Malaysia 3 Italy 3 Ireland/Germany 3 France/Switzerland 3 Costa Rica 3 Canada/New Zealand 3 Belgium 3 Chile 4 Colombia 5 Spain 6 Germany 7 Argentina 7 Canada 10 United States of America 13 France 13 Australia 14 United Kingdom 18 0 5 10 15 20 Number of Appointments © 2017 by International Centre for Settlement of Investment Disputes. Page | 34 Content may be reproduced for educational use with acknowledgement.