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 [email protected].
© 2017 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 2
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
Chart 1: Total Number of ICSID Cases Registered, by Calendar Year
Chart 2: Number of Cases Registered under the ICSID Convention and Additional Facility Rules, by Calendar Year
Chart 3: Type of Cases Registered under the ICSID Convention and Additional Facility Rules
7
7
8
8
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 2
9
9
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
10
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
11
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
12
12
7.
ICSID Arbitration and Conciliation Proceedings – Outcomes
Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes
Chart 8a: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Tribunal Rulings, Settlement &
Discontinuances
Chart 8b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings
Chart 8c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis
Chart 9: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes
Chart 10: Conciliation Proceedings under the ICSID Convention and Additional Facility Rules – Commission Reports
13
13
Annulment Proceedings under the ICSID Convention – Outcomes
Chart 11: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade
18
18
5.
8.
9.
Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases
10
11
14
14
16
17
17
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
2
The data is based on ICSID statistics as of December 31, 2016.
The ICSID Fiscal Year covers the period July 1 to June 30.
© 2017 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 3
PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN 2016
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
23
23
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
23
23
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
24
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
Chart 5: Geographic Distribution of New Cases Registered in 2016 under the ICSID Convention and Additional Facility Rules,
by State Party Involved – Further Details
25
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
27
ICSID Arbitration Proceedings Concluded in 2016 – Outcomes
Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2016 – Outcomes
Chart 7a: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in 2016 – Tribunal Rulings,
Settlement & Discontinuances
Chart 7b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 2016 – Findings
Chart 7c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in 2016 –
Basis
28
28
4.
5.
6.
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
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
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
© 2017 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
24
25
26
27
29
30
31
32
32
33
34
Page | 4
PART I
ALL CASES REGISTERED AND ADMINISTERED
BY ICSID
© 2017 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 5
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.
Content may be reproduced for educational use with acknowledgement.
Page | 6
2. Cases Registered by ICSID
Chart 1: Total Number of ICSID Cases Registered, by Calendar Year:
60
52
50
50
40
38
37
48
40
38
31
30
27 27
23
19
20
12
10 11 10
10
1
4
1 2 1
4
2 2 3
1
4
1
25 26
21
14
2 1 3 3 3
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
0
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.
Content may be reproduced for educational use with acknowledgement.
Page | 7
Chart 2: Number of Cases Registered under the ICSID Convention and Additional Facility Rules by Calendar Year:
60
2
50
2
8
40
30
10
1
4
1
2
1
1
1
2
1
2
1
4
1
4
1
2
1
2
3
3
2
3
2
3
8
8
8
9
14
2
1
21
24
21
2
20
3
1
50
33
32
30
18
2
1
5
1
40 38
35
42
23 25
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
0
6
1
20
4
1
4
1
1
2
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
Arbitration Cases
534
(89.5%)
ICSID Convention
Conciliation Cases
8
(1.3%)
ICSID Additional Facility
Arbitration Cases
53
(8.9%)
ICSID Additional Facility
Conciliation Cases
2
(0.3%)
© 2017 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 8
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
1
1
6
4
2
3
1
7
2
10
9
2
6
6
4
7
7
FY2016
July 1 Dec. 31,
2016
5
3
0
FY2008
FY2009
FY2010
FY2011
FY2012
FY2013
Investor-State UNCITRAL Arbitrations
FY2014
FY2015
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.
Content may be reproduced for educational use with acknowledgement.
Page | 9
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
(Canada-Peru FTA)
0.1%
Central America-Panama
Free Trade Agreement
0.1%
Colombia-Mexico Free Trade
Agreement
(Colombia-Mexico FTA)
0.1%
U.S.- Panama Trade
Promotion Agreement
(U.S.-Panama TPA)
0.2%
Canada - Colombia Free
Trade Agreement
(Canada-Colombia FTA)
0.1%
Oman-U.S. Free Trade
Agreement
(Oman-U.S. FTA)
0.1%
ASEAN Agreement for the Promotion and
Protection of Investments
0.1%
Energy Charter Treaty
(ECT)
9.5%
North American Free Trade
Agreement
(NAFTA)
3.0%
Investment Law of the
Host-State
9.5%
Bilateral Investment Treaty
(BIT)
59.8%
Investment Contract
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.
Content may be reproduced for educational use with acknowledgement.
Page | 10
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
25%
Central America &
the Caribbean
6%
Western Europe
7%
South America
24%
Sub-Saharan Africa
15%
South & East Asia &
the Pacific
8%
Middle East & North Africa
10%
* The classification of the geographic regions above is based on the World Bank’s regional system, available at
http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries.
© 2017 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 11
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%
Other Industry
13%
Water, Sanitation &
Flood Protection
5%
Tourism
4%
Construction
7%
* 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.
Content may be reproduced for educational use with acknowledgement.
Page | 12
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.
Content may be reproduced for educational use with acknowledgement.
Page | 13
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%
Award declining
jurisdiction
16.1%
Proceeding discontinued at
the Initiative of the
Tribunal
0.2%
Award deciding that the
claims are manifestly
without legal merit
0.5%
Proceeding discontinued
for failure of parties to act
1.0%
Proceeding discontinued
for lack of payment of the
required advances
2.9%
Dispute decided by Tribunal (64%)
Dispute settled or proceeding otherwise discontinued (36%)
© 2017 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 14
Cart 8b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings:
Award dismissing all
claims
29%
Award declining
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.
Content may be reproduced for educational use with acknowledgement.
Page | 15
Chart 8c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility
Rules – Basis:
Proceeding
discontinued at the
request of one party1
25%
Settlement agreement
embodied in an award
at parties' request2
15%
Proceeding discontinued
at the Initiative of the
Tribunal3
1%
Proceeding
discontinued for lack of
payment of the
required advances4
8%
Proceeding
discontinued at the
request of both parties6
48%
1 ICSID
Proceeding
discontinued for failure
of parties to act5
3%
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.
Content may be reproduced for educational use with acknowledgement.
Page | 16
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.
Content may be reproduced for educational use with acknowledgement.
Page | 17
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
96
100
80
60
40
25
18
20
4
0
9
0
0
1971-1980
0
1
3
0
1981-1990
13
0
1
17
8
1
1991-2000
5
2001-2010
4
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.
Content may be reproduced for educational use with acknowledgement.
Page | 18
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*:
Sub-Saharan Africa
2%
Middle East &
North Africa
4%
Central America &
the Caribbean
2%
South & East Asia &
the Pacific
11%
Eastern Europe &
Central Asia
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.
Content may be reproduced for educational use with acknowledgement.
Page | 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*:
800
693
700
600
500
400
353
300
250
200
100
151
69
131
91
58
28
0
North America
(Canada, Mexico &
U.S.)
South America
33
20
Central America &
the Caribbean
Appointments by ICSID
49
Middle East &
North Africa
23
20
Sub-Saharan Africa
14
South & East Asia &
the Pacific
23
Eastern Europe &
Central Asia
Western Europe
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.
Content may be reproduced for educational use with acknowledgement.
Page | 20
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
2
2
2
2
2
2
2
2
2
2
2
3
3
3
3
3
3
3
3
3
4
4
4
4
4
4
5
5
6
6
7
7
7
7
7
7
8
8
8
9
9
9
9
9
9
9
10
11
11
11
11
12
12
12
12
13
13
13
16
17
18
20
21
23
26
29
32
36
36
0
Page | 21
United States of America/Canada
United Kingdom/Uganda
United Kingdom/Ghana
Sudan
Sri Lanka
Slovenia
Paraguay
Pakistan/United States of America
Norway
New Zealand/United Kingdom
Luxembourg
Lebanon/Chile
Japan
Israel/Switzerland
Ireland/United States of America
Dominica
Croatia
Chile/United States of America
Central African Republic
Canada/Switzerland
Cameroon
Cabo Verde
Australia/Germany
South Africa
Portugal
Malawi
Madagascar
Lebanon
Jordan
Ghana
Gabon
France/Mauritius
Czech Republic
Benin
Togo
Serbia
Jamaica
Israel
Ireland/Germany
Honduras
Canada/Lebanon
Barbados
Argentina/United States of America
United States of America/France
Switzerland/Ireland
Iran, Islamic Rep. of
Cyprus
Australia/Ireland
Algeria
Nigeria
Guyana
Korea, Rep.of
India
Thailand
Somalia
Senegal
Peru
Germany/Austria
Ecuador
Iran, Islamic Rep. of/France
France/Switzerland
Colombia/France
Venezuela
Uruguay
Switzerland/Brazil
Slovak Republic
Guatemala
Greece
Denmark
Pakistan
Philippines
Morocco
Lebanon/France
China
Malaysia
Finland
Canada/United Kingdom
Bangladesh
Singapore
Brazil
Argentina/Spain
Canada/New Zealand
Austria
United States of America/Switzerland
United Kingdom/France
Bulgaria
France/Sweden/Bahrain
Sweden
Costa Rica
Egypt, Arab Rep. of
Colombia
Argentina
New Zealand
Netherlands
Belgium
Chile
Italy
Mexico
Germany
Australia
Spain
Switzerland
Canada
United Kingdom
United States of America
France
© 2017 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
State of Nationality of Appointee
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:
42
42
50
49
52
53
54
72
83
94
100
Number of Appointments
108
117
176
150
199
202
200
250
PART II
CASES REGISTERED AND ADMINISTERED
BY ICSID IN 2016
© 2017 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 22
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
40
42
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.
Content may be reproduced for educational use with acknowledgement.
Page | 23
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:
U.S.- Panama Trade
Promotion Agreement
(U.S.-Panama TPA)
4%
Canada - Colombia Free
Trade Agreement
(Canada-Colombia FTA)
2%
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.
Content may be reproduced for educational use with acknowledgement.
Page | 24
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%
South & East Asia &
the Pacific
8%
Middle East & North Africa
11%
* 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.
Content may be reproduced for educational use with acknowledgement.
Page | 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*:
16
Albania, 1
14
Bosnia and
Herzegovina, 1
Bulgaria, 1
12
Croatia, 2
10
Hungary, 1
Kazakhstan, 1
8
Latvia, 1
Greece, 1
Colombia, 3
Lithuania, 1
6
Moldova, 1
Italy, 2
4
Krygyz
Republic, 1
Romania, 1
Peru, 1
Serbia, 1
2
Uruguay, 1
Egypt, 3
Côte d'Ivoire, 1
Indonesia, 1
Canada, 1
Lao PDR, 1
Mexico, 1
Philippiines, 1
U.S., 1
Sri Lanka, 1
Spain, 4
Turkmenistan, 1
Lebanon, 1
Ghana, 1
Ukraine, 1
Oman, 1
Mauritius, 1
Venezuela, 3
Panama, 3
0
Western Europe Eastern Europe & Middle East &
Central Asia
North Africa
Sub-Saharan
Africa
South America
North America South & East Asia Central America
(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.
Content may be reproduced for educational use with acknowledgement.
Page | 26
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*:
Services & Trade
2%
Finance
2%
Information &
Communication
8%
Agriculture, Fishing &
Forestry
6%
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.
Content may be reproduced for educational use with acknowledgement.
Page | 27
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.
Content may be reproduced for educational use with acknowledgement.
Page | 28
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
at the request of one
party
5%
Award dismissing all
claims
27%
Settlement agreement
embodied in an award at
parties' request
5%
Award declining
jurisdiction
11%
Proceeding discontinued
for failure of parties to
act
2%
Proceeding discontinued
for lack of payment of
the required advances
2%
Dispute decided by Tribunal (68%)
Dispute settled or proceeding otherwise discontinued (32%)
© 2017 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
Page | 29
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.
Content may be reproduced for educational use with acknowledgement.
Page | 30
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
15%
Settlement agreement
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.
Content may be reproduced for educational use with acknowledgement.
Page | 31
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*:
South America
13%
Central America &
the Caribbean
2%
Middle East &
North Africa
2%
Sub-Saharan Africa
3%
South & East Asia &
the Pacific
19%
North America
(Canada, Mexico & U.S.)
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.
Content may be reproduced for educational use with acknowledgement.
Page | 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*:
60
55
50
40
30
21
20
18
17
12
10
11
7
3
1
2
2
3
1
2
1
0
0
North America
(Canada, Mexico &
U.S.)
South America
Central America &
the Caribbean
Appointments by ICSID
Middle East &
North Africa
Sub-Saharan Africa
South & East Asia
& the Pacific
Eastern Europe &
Central Asia
Western Europe
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.
Content may be reproduced for educational use with acknowledgement.
Page | 33
State of Nationality of Appointee
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
United States of America/Switzerland
United Kingdom/Uganda
Switzerland/Brazil
Switzerland
South Africa
Singapore
Pakistan
Nigeria
New Zealand/United Kingdom
Netherlands
Mexico
Egypt
Brazil
Bangladesh
Austria
Australia/Ireland
Australia/Germany
Argentina/Spain
Sweden
New Zealand
Korea, Rep.of
Finland
China
Canada/Lebanon
Bulgaria
Argentina/United States of America
United Kingdom/France
Malaysia
Italy
Ireland/Germany
France/Switzerland
Costa Rica
Canada/New Zealand
Belgium
Chile
Colombia
Spain
Germany
Argentina
Canada
United States of America
France
Australia
United Kingdom
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
2
2
2
2
2
2
2
2
3
3
3
3
3
3
3
3
4
5
6
7
7
10
13
13
14
18
0
5
10
Number of Appointments
15
© 2017 by International Centre for Settlement of Investment Disputes.
Content may be reproduced for educational use with acknowledgement.
20
Page | 34