83991 THE ICSID CASELOAD – STATISTICS (ISSUE 2013-2) The ICSID Caseload – Statistics (Issue 2013-2) This issue of the ICSID Caseload – Statistics updates the profile of the ICSID caseload, historically and for the Centre’s fiscal year 2013. It is based on cases registered or administered by ICSID as of June 30, 2013. As in the previous issues, this document illustrates: the number of cases registered under the ICSID Convention and Additional Facility Rules; the number of other cases administered by the ICSID Secretariat; the basis of consent to ICSID jurisdiction invoked in registered arbitration and conciliation cases; the geographic distribution of ICSID cases by the State party to the dispute, and the economic sectors involved in ICSID disputes. It also contains data on outcomes in ICSID arbitration and conciliation proceedings, including further information on disputes decided by arbitral tribunals, data on discontinued ICSID arbitration proceedings, and outcomes to date in annulment proceedings under the ICSID Convention. The nationalities and geographic origins of arbitrators, conciliators and ad hoc committee members appointed in ICSID cases are also featured. The Secretariat will continue to publish the ICSID Caseload – Statistics on a bi-annual basis, and welcomes any comments or suggestions by email at ICSIDsecretariat@worldbank.org. © 2013 by International Centre for Settlement of Investment Disputes. Page | 2 Content may be reproduced for educational use with acknowledgement. TABLE OF CONTENTS1 PART I - ALL CASES REGISTERED AND ADMINISTERED BY ICSID 1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of June 30, 2013 6 2. Cases Registered by ICSID 7 Chart 1: Total Number of ICSID Cases Registered by Calendar Year 7 Chart 2: Number of Cases Registered under the ICSID Convention and Additional Facility Rules by Calendar Year 8 Chart 3: Type of Cases Registered under the ICSID Convention and Additional Facility Rules 8 3. Non-ICSID Cases Administered by the ICSID Secretariat 9 Chart 4: Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years 2 9 4. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases 10 Chart 5: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered under the ICSID Convention and Additional Facility Rules 10 5. Geographic Distribution of All ICSID Cases by State Party Involved 11 Chart 6: Geographic Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules by State Party Involved 11 6. Distribution of All ICSID Cases by Economic Sector 12 Chart 7: Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules by Economic Sector 12 7. ICSID Arbitration and Conciliation Proceedings – Outcomes 13 Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes 13 Chart 8a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings 14 Chart 8b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis 15 Chart 9: Conciliation Proceedings under the ICSID Convention – Outcomes 16 Chart 10: Conciliation Proceedings under the ICSID Convention – Commission Reports 16 8. Annulment Proceedings under the ICSID Convention – Outcomes 17 Chart 11: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade 17 9. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases 18 Chart 12: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region 18 Chart 13: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region 19 Chart 14: State of Nationality of Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules 20 1 The data is based on ICSID statistics as of June 30, 2013. 2 The ICSID Fiscal Year covers the period July 1 to June 30. © 2013 by International Centre for Settlement of Investment Disputes. Page | 3 Content may be reproduced for educational use with acknowledgement. PART II - CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 2013 (FY2013) 1. New Cases Registered by ICSID in FY2013 22 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2013 22 2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2013 22 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2013 22 3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2013 23 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2013 under the ICSID Convention and Additional Facility Rules 23 4. Geographic Distribution of New ICSID Cases Registered in FY2013, by State Party Involved 24 Chart 4: Geographic Distribution of New Cases Registered in FY2013 under the ICSID Convention and Additional Facility Rules, by State Party Involved 24 Chart 5: Geographic Distribution of New Cases Registered in FY2013 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details 25 5. Distribution of New ICSID Cases Registered in FY2013, by Economic Sector 26 Chart 6: Distribution of New Cases Registered in FY2013 under the ICSID Convention and Additional Facility Rules, by Economic Sector 26 6. ICSID Arbitration Proceedings Concluded in FY2013 – Outcomes 27 Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2013 – Outcomes 27 Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2013 – Findings 28 Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in FY2013 – Basis 29 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY2013 30 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2013 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 FY2013 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 FY2013 in Cases Registered under the ICSID Convention and Additional Facility Rules 32 © 2013 by International Centre for Settlement of Investment Disputes. Page | 4 Content may be reproduced for educational use with acknowledgement. PART I ALL CASES REGISTERED AND ADMINISTERED BY ICSID © 2013 by International Centre for Settlement of Investment Disputes. Page | 5 Content may be reproduced for educational use with acknowledgement. 1. Map of the ICSID Contracting States and Other Signatories to the ICSID Convention as of June 30, 2013 © 2013 by International Centre for Settlement of Investment Disputes. Page | 6 Content may be reproduced for educational use with acknowledgement. 2. Cases Registered by ICSID Chart 1: Total Number of ICSID Cases Registered by Calendar Year: 60 50 50 40 37 38 31 30 27 27 25 26 23 21 19 20 14 14 12 10 11 10 10 4 3 4 4 3 3 3 1 1 2 1 2 2 1 1 2 1 0 to June 30, 2013 1972 1973 1974 1975 1976 1977 1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 Cases Registered under the ICSID Convention and Additional Facility Rules As of June 30, 2013, ICSID had registered 433 cases under the ICSID Convention and Additional Facility Rules. © 2013 by International Centre for Settlement of Investment Disputes. Page | 7 Content may be reproduced for educational use with acknowledgement. Chart 2: Number of Cases Registered under the ICSID Convention and Additional Facility Rules by Calendar Year: 60 50 2 8 40 4 4 1 1 1 30 2 1 2 6 1 2 1 20 1 40 32 33 1 30 2 3 2 3 21 24 21 23 25 10 18 20 1 14 13 1 1 8 8 8 9 4 2 2 2 4 4 2 2 3 3 0 1 1 1 1 1 1 1 to June 30, 2013 1972 1973 1974 1975 1976 1977 1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 ICSID Convention Arbitration Cases ICSID Convention Conciliation Cases ICSID Additional Facility Arbitration Cases ICSID Additional Facility Conciliation Cases Chart 3: Type of Cases Registered under the ICSID Convention and Additional Facility Rules: ICSID Convention Conciliation Cases (7) 2% ICSID Convention ICSID Additional Facility Arbitration Cases Arbitration Cases (382) (42) 87% 10% ICSID Additional Facility Conciliation Cases (2) 1% © 2013 by International Centre for Settlement of Investment Disputes. Page | 8 Content may be reproduced for educational use with acknowledgement. 3. Non-ICSID Cases Administered by the ICSID Secretariat Chart 4: Number of Non-ICSID Cases Administered by the ICSID Secretariat over the Past Ten Fiscal Years: 14 12 1 1 10 8 3 1 6 11 1 10 10 4 2 7 6 6 5 2 4 3 3 0 FY2004 FY2005 FY2006 FY2007 FY2008 FY2009 FY2010 FY2011 FY2012 FY2013 Investor-State UNCITRAL Arbitrations Other Cases The ICSID Secretariat offers various levels of administrative and organizational support for non-ICSID dispute settlement in State-State or investor-State proceedings. Among the State-State cases administered in the past decade are the Southern Bluefin Tuna case (Australia and New Zealand v. Japan), an expert determination proceeding under the Indus Waters Treaty of 1960, and an arbitration under the Softwood Lumber Agreement of 2006 (United States v. Canada). The Centre also frequently provides administrative assistance to investor-State arbitrations under the UNCITRAL Rules or other ad hoc dispute settlement provisions. The Centre’s services in these proceedings range from support with the organization of hearings to administrative services comparable to those provided in ICSID cases. The Secretariat also acts as appointing authority, and decides proposals for disqualification of arbitrators, upon request. In addition to administering UNCITRAL arbitrations, ICSID has also assisted with the organization of hearings in arbitration proceedings conducted under the auspices of the ICC, LCIA, PCA, and other institutions. © 2013 by International Centre for Settlement of Investment Disputes. Page | 9 Content may be reproduced for educational use with acknowledgement. 4. Basis of Consent Invoked to Establish ICSID Jurisdiction in Registered ICSID Cases Chart 5: Basis of Consent Invoked to Establish ICSID Jurisdiction in Cases Registered under the ICSID Convention and Additional Facility Rules: Agreement between the United States of America and the Sultanate of ASEAN Agreement for the Oman on the Energy Charter Treaty Promotion and Protection Establishment of a Free (ECT) of Investments Trade Area 4.0% 0.5% (Oman-U.S. FTA) 0.5% North American Free Trade Agreement (NAFTA) 3.0% Investment Law of the Bilateral Investment Host-State Treaty (BIT) 7.0% 65.0% Investment Contract between the Investor and the Host-State 19.0% Dominican Republic- United States-Central America Free Trade Agreement (DR-CAFTA) 1.0% © 2013 by International Centre for Settlement of Investment Disputes. Page | 10 Content may be reproduced for educational use with acknowledgement. 5. Geographic Distribution of All ICSID Cases by State Party Involved Chart 6: Geographic Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules by State Party Involved*: North America (Canada, Mexico & U.S.) 5% Central America & Eastern Europe & the Carribean Central Asia 6% 24% Western Europe 2% South America 29% 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. © 2013 by International Centre for Settlement of Investment Disputes. Page | 11 Content may be reproduced for educational use with acknowledgement. 6. Distribution of All ICSID Cases by Economic Sector Chart 7: Distribution of All Cases Registered under the ICSID Convention and Additional Facility Rules by Economic Sector*: Agriculture, Fishing & Forestry 5% Oil, Gas & Mining Information & 25% Communication 6% Finance 7% Electric Power & Other Energy Services & 12% Trade 4% Transportation 11% Water, Sanitation & Flood Protection 6% Other Industry Construction 13% 7% Tourism 4% * This sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf. © 2013 by International Centre for Settlement of Investment Disputes. Page | 12 Content may be reproduced for educational use with acknowledgement. 7. ICSID Arbitration and Conciliation Proceedings – Outcomes Chart 8: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Outcomes: Dispute decided by Tribunal 63% (see chart 8a) Dispute settled or proceeding otherwise discontinued 37% (see chart 8b) © 2013 by International Centre for Settlement of Investment Disputes. Page | 13 Content may be reproduced for educational use with acknowledgement. Chart 8a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings: Award dismissing all claims 29% Award declining jurisdiction 23% Award deciding that the claims are manifestly without legal merit* 1% Award upholding claims in part or in full 47% * Pursuant to ICSID Arbitration Rule 41(5) and Article 45(6) of the Arbitration (Additional Facility) Rules, as adopted by the ICSID Administrative Council in 2006, a party may, at an early stage of the proceeding, file an objection that a claim is manifestly without merit. If the Tribunal decides that the claims are manifestly without legal merit, it shall render an award to that effect. © 2013 by International Centre for Settlement of Investment Disputes. Page | 14 Content may be reproduced for educational use with acknowledgement. Chart 8b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis: Proceeding discontinued Settlement agreement at the request of one embodied in an award at party1 parties' request2 27% 16% Proceeding discontinued at the Initiative of the Tribunal3 1% Proceeding discontinued for lack of payment of the required advances4 9% Proceeding discontinued for failure of parties to Proceeding discontinued act5 at the request of both 1% parties6 46% 1 ICSID Arbitration Rule 44. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 50. 2 ICSID Arbitration Rule 43(2). No case concluded to date on the basis of Arbitration (Additional Facility) Rule 49(2). 3 In accordance with Article 44 of the ICSID Convention. 4 ICSID Administrative & Financial Regulation 14(3)(d). 5 ICSID Arbitration Rule 45. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 51. 6 ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1). © 2013 by International Centre for Settlement of Investment Disputes. Page | 15 Content may be reproduced for educational use with acknowledgement. Chart 9: Conciliation Proceedings under the ICSID Convention – Outcomes: Conciliation Commission Report issued 71% (see chart 10) Proceeding Discontinued 29% Chart 10: Conciliation Proceedings under the ICSID Convention – Commission Reports: Report recording failure of the Parties to reach agreement 80% Report recording agreement of the Parties 20% © 2013 by International Centre for Settlement of Investment Disputes. Page | 16 Content may be reproduced for educational use with acknowledgement. 8. Annulment Proceedings under the ICSID Convention – Outcomes Chart 11: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade: 120 100 96 80 60 42 40 18 20 13 9 8 8 4 5 6 1 3 1 1 1 0 0 0 0 0 0 1971-1980 1981-1990 1991-2000 2001-2010 2011 - Number of Convention awards rendered Number of decisions rejecting the application for annulment Number of decisions annulling the award in part or in full Number of annulment proceedings discontinued © 2013 by International Centre for Settlement of Investment Disputes. Page | 17 Content may be reproduced for educational use with acknowledgement. 9. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases Chart 12: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region*: South & East Asia & Sub-Saharan Africa the Pacific 2% 11% Eastern Europe & Central Asia Middle East & 2% North Africa 4% Central America & the Caribbean 2% South America 11% Western Europe 47% North America (Canada, Mexico & U.S.) 21% * The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted until June 30, 2013. © 2013 by International Centre for Settlement of Investment Disputes. Page | 18 Content may be reproduced for educational use with acknowledgement. Chart 13: Arbitrators, Conciliators and ad hoc Committee Members Appointed in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by ICSID and by the Parties (or Party-appointed Arbitrators) by Geographic Region*: 600 500 478 400 300 261 193 200 108 92 100 62 47 48 41 14 17 24 17 14 13 10 0 North America South America Central America & Middle East & Sub-Saharan Africa South & East Asia & Eastern Europe & Western Europe (Canada, Mexico & U.S.) the Caribbean North Africa the Pacific Central Asia Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators) * The geographical classification is based on the World Bank’s regions as set forth at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted until June 30, 2013. © 2013 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: Sudan 1 Sri Lanka 1 South Africa 1 Slovenia 1 Norway 1 Mauritania/France 1 Luxembourg 1 Korea, Rep.of 1 Jamaica 1 Dominica 1 Croatia 1 Central African Republic 1 Cameroon 1 Brazil/France 1 United States of America/France 2 Switzerland/Ireland 2 Serbia 2 Portugal 2 Malawi 2 Madagascar 2 Jordan 2 Guatemala 2 Ghana 2 Gabon 2 Czech Republic 2 Benin 2 Barbados 2 Togo 3 Nigeria 3 Lebanon 3 Japan 3 Israel 3 Honduras 3 Switzerland/Brazil 4 Somalia 4 Iran, Islamic Rep. of/France 4 Iran, Islamic Rep. of 4 State of Nationality of Appointee Germany/Austria 4 Cyprus 4 Algeria 4 Malaysia 5 Guyana 5 Peru 6 Pakistan 6 Morocco 6 India 6 Finland 6 China 6 Thailand 7 Slovak Republic 7 Senegal 7 Ecuador 7 Colombia/France 7 Venezuela 8 Singapore 8 Lebanon/France 8 Bangladesh 8 Uruguay 9 United Kingdom/France 9 Greece 9 Denmark 9 New Zealand/Canada 10 Austria 10 Philippines 11 Bulgaria 11 Brazil 12 France/Sweden/Bahrain 17 Sweden 19 Costa Rica 21 Colombia 22 Egypt, Arab Rep. of 31 Argentina 31 New Zealand 32 Netherlands 33 Belgium 35 Italy 39 Chile 43 Germany 44 Mexico 48 Australia 50 Spain 69 Switzerland 90 Canada 97 United Kingdom 128 France 139 United States of America 162 0 20 40 60 80 100 120 140 160 180 Number of Appointments © 2013 by International Centre for Settlement of Investment Disputes. Page | 20 Content may be reproduced for educational use with acknowledgement. PART II CASES REGISTERED AND ADMINISTERED BY ICSID IN FISCAL YEAR 2013 (FY2013) © 2013 by International Centre for Settlement of Investment Disputes. Page | 21 Content may be reproduced for educational use with acknowledgement. 1. New Cases Registered by ICSID in FY2013 Chart 1: Number of New Cases Registered under the ICSID Convention and Additional Facility Rules in FY2013: 40 38 35 30 25 20 15 10 5 5 0 ICSID Convention Arbitration Cases ICSID Additional Facility Arbitration Cases 2. Non-ICSID Cases Administered by the ICSID Secretariat in FY2013 Chart 2: Number of Non-ICSID Cases Administered by the ICSID Secretariat in FY2013: 6 5 5 4 3 2 1 1 0 Investor-State UNCITRAL Arbitrations Other Cases © 2013 by International Centre for Settlement of Investment Disputes. Page | 22 Content may be reproduced for educational use with acknowledgement. 3. Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2013 Chart 3: Basis of Consent Invoked to Establish ICSID Jurisdiction in New Cases Registered in FY2013 under the ICSID Convention and Additional Facility Rules: Energy Charter Treaty (ECT) 2% Investment Law of the Host-State 16% Bilateral Investment Treaty (BIT) 74% Investment Contract between the Investor and the Host-State 8% © 2013 by International Centre for Settlement of Investment Disputes. Page | 23 Content may be reproduced for educational use with acknowledgement. 4. Geographic Distribution of New ICSID Cases Registered in FY2013, by State Party Involved Chart 4: Geographic Distribution of New Cases Registered in FY2013 under the ICSID Convention and Additional Facility Rules, by State Party Involved*: Eastern Europe & Central Asia 33% Central America & the Carribean 2% Western Europe 7% South America 26% Sub-Saharan Africa 9% Middle East & North Africa South & East Asia & 14% the Pacific 9% * The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. © 2013 by International Centre for Settlement of Investment Disputes. Page | 24 Content may be reproduced for educational use with acknowledgement. Chart 5: Geographic Distribution of New Cases Registered in FY2013 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details*: Bulgaria, 1 Croatia, 2 Georgia, 1 Argentina, 1 3 Kazakhstan, 1 Peru, 1 Kyrgyz Republic, 1 Latvia, 1 Macedonia, 1 Montenegro, 1 Algeria, 2 Romania, 1 Venezuela, 9 Slovenia, 1 Burundi, 1 Indonesia, 1 Guinea, 1 Egypt, 3 Korea, 1 Belgium, 1 Uzbekistan, 3 South Sudan, 1 Lao PDR, 1 Greece, 1 Uganda, 1 Tunisia, 1 Pakistan, 1 Costa Rica, 1 Spain, 1 South & East North America Eastern Europe & Sub-Saharan Middle East & Central America Western South America Asia & the (Canada, Central Asia Africa North Africa & the Caribbean Europe Pacific Mexico, U.S.) * The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. 3 Case involves a state agency. © 2013 by International Centre for Settlement of Investment Disputes. Page | 25 Content may be reproduced for educational use with acknowledgement. 5. Distribution of New ICSID Cases Registered in FY2013, by Economic Sector Chart 6: Distribution of New Cases Registered in FY2013 under the ICSID Convention and Additional Facility Rules, by Economic Sector*: Finance Information & 14% Communication Services & Trade 5% 2% Agriculture, Fishing & Forestry Transportation 5% 9% Other Industry 18% Oil, Gas & Mining 25% Tourism Electric Power & Other 5% Energy Construction Water, Sanitation & 5% 7% Flood Protection 5% * The sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf. © 2013 by International Centre for Settlement of Investment Disputes. Page | 26 Content may be reproduced for educational use with acknowledgement. 6. ICSID Arbitration Proceedings Concluded in FY2013 – Outcomes Chart 7: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules concluded in FY2013 – Outcomes: Dispute decided by Tribunal 70% (see chart 7a) Dispute settled or proceeding otherwise discontinued 30% (see chart 7b) © 2013 by International Centre for Settlement of Investment Disputes. Page | 27 Content may be reproduced for educational use with acknowledgement. Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in FY2013 – Findings: Award declining jurisdiction 31% Award dismissing all claims 32% Award upholding claims in part or in full 37% © 2013 by International Centre for Settlement of Investment Disputes. Page | 28 Content may be reproduced for educational use with acknowledgement. Chart 7b: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in FY2013 – Basis: Settlement agreement embodied in an award at parties' request2 25% Proceeding discontinued for lack of payment of the required advances3 12% Proceeding discontinued Proceeding discontinued at the request of one for failure of parties to party1 act4 25% 13% Proceeding discontinued at the request of both parties5 25% 1 ICSID Arbitration Rule 44. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 50. 2 ICSID Arbitration Rule 43(2). No case concluded to date on the basis of Arbitration (Additional Facility) Rule 49(2). 3 ICSID Administrative & Financial Regulation 14(3)(d). 4 ICSID Arbitration Rule 45. No case concluded to date on the basis of Arbitration (Additional Facility) Rule 51. 5 ICSID Arbitration Rule 43(1) and Arbitration (Additional Facility) Rule 49(1). © 2013 by International Centre for Settlement of Investment Disputes. Page | 29 Content may be reproduced for educational use with acknowledgement. 7. Arbitrators, Conciliators and ad hoc Committee Members Appointed in ICSID Cases in FY2013 Chart 8: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2013 in Cases Registered under the ICSID Convention and Additional Facility Rules – Distribution of Appointments by Geographic Region*: Central America & Middle East & the Caribbean North Africa 4% 1% South America Sub-Saharan Africa 15% 1% South & East Asia & the Pacific 17% Eastern Europe & Central Asia 1% North America (Canada, Mexico & U.S.) 13% Western Europe 48% * 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 FY2013. © 2013 by International Centre for Settlement of Investment Disputes. Page | 30 Content may be reproduced for educational use with acknowledgement. Chart 9: Arbitrators, Conciliators and ad hoc Committee Members Appointed in FY2013 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 51 50 40 30 19 20 17 14 14 11 10 7 2 2 3 2 2 1 0 North America South America Central America & Middle East & Sub-Saharan Africa South & East Asia & Eastern Europe & Western Europe (Canada, Mexico & the Caribbean North Africa the Pacific Central Asia U.S.) Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators) * The classification of the geographic regions above is based on the World Bank’s regional system, available at http://web.worldbank.org/WBSITE/EXTERNAL/COUNTRIES/0,,pagePK:180619~theSitePK:136917,00.html, and also includes World Bank donor countries. The chart reflects appointments made to Tribunals and ad hoc Committees constituted in FY2013. © 2013 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 FY2013 in Cases Registered under the ICSID Convention and Additional Facility Rules: Uruguay 1 Morocco 1 Malaysia 1 Korea, Rep.of 1 Japan 1 Guatemala 1 Germany/Austria 1 Finland 1 United Kingdom/France 1 Brazil 1 Somalia 2 Singapore 2 Philippines 2 Pakistan 2 France/Sweden/Bahrain 2 Staet of Nationality of Appointee China 2 Canada/New Zealand 2 Bulgaria 2 Sweden 3 Italy 3 Austria 3 Germany 4 Netherlands 4 Colombia 4 Belgium 4 New Zealand 5 Mexico 5 Costa Rica 5 Argentina 6 Switzerland 7 Canada 7 Australia 7 United States of America 8 Spain 8 Chile 8 United Kingdom 12 France 16 0 5 10 15 20 Number of Appointments © 2013 by International Centre for Settlement of Investment Disputes. Page | 32 Content may be reproduced for educational use with acknowledgement.