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THE ICSID CASELOAD –

STATISTICS (ISSUE 2017-1)

© 2017 by International Centre for Settlement of Investment Disputes.

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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].

mailto:[email protected]



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 Years2 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.



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



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



2. Cases Registered by ICSID

Chart 1: Total Number of ICSID Cases Registered, by Calendar Year:

As of December 31, 2016, ICSID had registered 597 cases under the ICSID Convention and Additional Facility Rules.

14

1 2 1 2 2 3 41

41 2 1

3 3 3

10 11 1012

14

19

31

27 27

23

37

21

25 26

38

50

4038

52

48

0

10

20

30

40

50

60

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



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:

1 4 1 2 1 2 1 2 4 1 4 1 2 1 2 3 38 8 8 9

1418

30

21 24 21

32

20 23 2533

40 38 35

5042

1 1 1

1

1

1 1

1

2 3 2 3

16

22

4

12

1

4

82

3

2

52

0

10

20

30

40

50

60

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

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%)



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:

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.

76

46

35

109

7 7

13

2

1

2

1

21

0

2

4

6

8

10

12

14

FY2008 FY2009 FY2010 FY2011 FY2012 FY2013 FY2014 FY2015 FY2016 July 1 -Dec. 31,

2016Investor-State UNCITRAL Arbitrations Other Cases



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:

ASEAN Agreement for the Promotion and Protection of Investments

0.1%

Bilateral Investment Treaty (BIT)

59.8%

Dominican Republic-United States-Central America Free Trade Agreement

(DR-CAFTA)0.7%

Investment Contract between the Investor and

the Host-State16.7%

Investment Law of the Host-State

9.5%

North American Free Trade Agreement

(NAFTA)3.0%

Energy Charter Treaty (ECT)9.5%

Oman-U.S. Free Trade Agreement

(Oman-U.S. FTA)0.1%

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%



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*:

* 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.

South America24%

Central America & the Caribbean

6%

North America (Canada, Mexico & U.S.)

5%

Eastern Europe & Central Asia

25%

Western Europe7%

Sub-Saharan Africa15%

Middle East & North Africa10%South & East Asia &

the Pacific8%



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*:

* This sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf.

Finance7%

Information & Communication

6%

Agriculture, Fishing & Forestry

4% Oil, Gas & Mining25%

Electric Power & Other Energy

17%

Water, Sanitation & Flood Protection

5%

Construction7%Tourism

4%

Other Industry13%

Transportation9%

Services & Trade3%



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

discontinued36%

(see charts 8a and 8c)



Chart 8a: Arbitration Proceedings under the ICSID Convention and Additional Facility Rules – Tribunal Rulings, Settlement & Discontinuances:

Award deciding that the claims are manifestly without legal merit

0.5%

Award declining jurisdiction

16.1%

Award dismissing all claims18.3%

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%

Settlement agreement embodied in an award at

parties' request5.4%

Proceeding discontinued at the Initiative of the

Tribunal0.2%

Proceeding discontinued for lack of payment of the

required advances2.9%

Proceeding discontinued for failure of parties to act

1.0%

Dispute decided by Tribunal (64%)

Dispute settled or proceeding otherwise discontinued (36%)



Cart 8b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules – Findings:

* 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.

Award deciding that the claims are manifestly without legal merit*

1%


25%

Award dismissing all claims29%


45%



Chart 8c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules – Basis:

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).

Proceeding discontinued at the

request of both parties6

48%


request of one party1

25%

Settlement agreement embodied in an award

at parties' request2

15%

Proceeding discontinued at the Initiative of the

Tribunal31%

Proceeding discontinued for lack of

payment of the required advances4

8%

Proceeding discontinued for failure

of parties to act5

3%



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:

Conciliation Commission Report issued

75%(see chart 10)

Proceeding Discontinued

25%

Report recording failure of the Parties to

reach agreement83%

Report recording agreement of the

Parties17%



8. Annulment Proceedings under the ICSID Convention – Outcomes

Chart 11: Awards Rendered and Outcomes in Annulment Proceedings under the ICSID Convention, by Decade:

49

18

96

124

0 1 0

13

25

0 3 18

40 0 1

5

17

0

20

40

60

80

100

120

140

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



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*:

* 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.


21%

South America11%


2%

Middle East & North Africa

4%


South & East Asia & the Pacific

11% Eastern Europe &Central Asia

2%

Western Europe47%



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*:

* 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.

69 5828 33 23

91

14

250

353

151

2049

20

131

23

693

0

100

200

300

400

500

600

700

800

North America(Canada, Mexico &

U.S.)

South America Central America &the Caribbean

Middle East &North Africa

Sub-Saharan Africa South & East Asia &the Pacific

Eastern Europe &Central Asia

Western Europe

Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators)

Number of Appointments

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:

202199

176117

10894

8372

5453

5249

4242

3636

3229

2623

2120

1817

16131313

12121212

11111111

109999999

888

777777

66

55

444444

333333333

22222222222

11111111111111111111111

0 50 100 150 200 250

FranceUnited States of America

United KingdomCanada

SwitzerlandSpain

AustraliaGermany

MexicoItaly

ChileBelgium

NetherlandsNew Zealand

ArgentinaColombia

Egypt, Arab Rep. ofCosta Rica

SwedenFrance/Sweden/Bahrain

BulgariaUnited Kingdom/France

United States of America/SwitzerlandAustria

Canada/New ZealandArgentina/Spain

BrazilSingapore

BangladeshCanada/United Kingdom

FinlandMalaysia

ChinaLebanon/France

MoroccoPhilippines

PakistanDenmark

GreeceGuatemala

Slovak RepublicSwitzerland/Brazil

UruguayVenezuela

Colombia/FranceFrance/Switzerland

Iran, Islamic Rep. of/FranceEcuador

Germany/AustriaPeru

SenegalSomalia

ThailandIndia

Korea, Rep.ofGuyanaNigeriaAlgeria

Australia/IrelandCyprus

Iran, Islamic Rep. ofSwitzerland/Ireland

United States of America/FranceArgentina/United States of America

BarbadosCanada/Lebanon

HondurasIreland/Germany

IsraelJamaica

SerbiaTogo

BeninCzech Republic

France/MauritiusGabonGhanaJordan

LebanonMadagascar

MalawiPortugal

South AfricaAustralia/Germany

Cabo VerdeCameroon

Canada/SwitzerlandCentral African Republic

Chile/United States of AmericaCroatia

DominicaIreland/United States of America

Israel/SwitzerlandJapan

Lebanon/ChileLuxembourg

New Zealand/United KingdomNorway

Pakistan/United States of AmericaParaguaySloveniaSri Lanka

SudanUnited Kingdom/Ghana

United Kingdom/UgandaUnited States of America/Canada

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21



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:

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:

42

15

0

5

10

15

20

25

30

35

40

45

ICSID Convention Arbitration Cases

ICSID Convention Conciliation Cases

ICSID Additional Facility Arbitration Cases

8

2

0

1

2

3

4

5

6

7

8

9

Investor-State UNCITRAL Arbitrations Other Cases



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:

Bilateral Investment Treaty (BIT)57%

Investment Contract between the Investor and

the Host-State4%

Investment Law of the Host-State

9%

North American Free Trade Agreement

(NAFTA)4%

Energy Charter Treaty(ECT)18%

Colombia-Mexico Free Trade Agreement

(Colombia-Mexico FTA)2%

U.S.- Panama Trade Promotion Agreement

(U.S.-Panama TPA)4%

Canada - Colombia Free Trade Agreement

(Canada-Colombia FTA)2%



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*:


South America17%


6%


6%


31%

Western Europe15%


Middle East & North Africa11%South & East Asia &

the Pacific8%



Chart 5: Geographic Distribution of New Cases Registered in 2016 under the ICSID Convention and Additional Facility Rules, by State Party Involved – Further Details*:


Venezuela, 3

Uruguay, 1

Peru, 1

Colombia, 3

U.S., 1

Mexico, 1

Canada, 1

Panama, 3

Ukraine, 1

Turkmenistan, 1

Serbia, 1

Romania, 1

KrygyzRepublic, 1

Moldova, 1

Lithuania, 1

Latvia, 1

Kazakhstan, 1

Hungary, 1

Croatia, 2

Bulgaria, 1

Bosnia andHerzegovina, 1

Albania, 1

Spain, 4

Italy, 2

Greece, 1

Mauritius, 1

Ghana, 1

Côte d'Ivoire, 1

Oman, 1

Lebanon, 1

Egypt, 3

Sri Lanka, 1

Philippiines, 1

Indonesia, 1

Lao PDR, 1

0

2

4

6

8

10

12

14

16

Western Europe Eastern Europe &Central Asia


Sub-SaharanAfrica

South America North America(Canada, Mexico

& U.S.)

South & East Asia& the Pacific

Central America& the Caribbean



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*:

* The sector classification is based on the World Bank’s sector codes, available at http://siteresources.worldbank.org/PROJECTS/Resources/SectorCodesLists.pdf.

Finance2%

Information & Communication

8% Agriculture, Fishing & Forestry

6%

Oil, Gas & Mining21%

Electric Power & Other Energy

23%

Construction11%

Tourism8%

Other Industry13%

Transportation6%

Services & Trade2%



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

discontinued32%

(see charts 7a and 7c)



Chart 7a: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 2016 – Tribunal Rulings, Settlement & Discontinuances:


11%



30%

Proceeding discontinued at the request of both

parties18%

Proceeding discontinued at the request of one

party5%

Settlement agreement embodied in an award at

parties' request5%

Proceeding discontinued for lack of payment of the required advances

2%Proceeding discontinued for failure of parties to

act2%

Dispute decided by Tribunal (68%)

Dispute settled or proceeding otherwise discontinued (32%)



Chart 7b: Disputes Decided by Arbitral Tribunals under the ICSID Convention and Additional Facility Rules in 2016 – Findings:


17%



43%



Chart 7c: Disputes Settled or Proceedings Otherwise Discontinued under the ICSID Convention and Additional Facility Rules in 2016 – Basis:

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).


request of both parties5

57%


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%



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*:

* 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.


18%

South America13%


2%

Middle East & North Africa

2%Sub-Saharan Africa

3%

South & East Asia & the Pacific

19%


1%

Western Europe42%



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*:

* 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.

7

31

21

12

0

11

21

18

21

3

17

2

55

0

10

20

30

40

50

60

North America(Canada, Mexico &

U.S.)

South America Central America &the Caribbean


Sub-Saharan Africa South & East Asia& the Pacific


Western Europe

Appointments by ICSID Appointments by the Parties (or Party-appointed Arbitrators)



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:

1814

1313

1077

65

433333333

22222222

1111111111111111111

0 5 10 15 20

United KingdomAustralia

FranceUnited States of America

CanadaArgentinaGermany

SpainColombia

ChileBelgium

Canada/New ZealandCosta Rica

France/SwitzerlandIreland/Germany

ItalyMalaysia

United Kingdom/FranceArgentina/United States of America

BulgariaCanada/Lebanon

ChinaFinland

Korea, Rep.ofNew Zealand

SwedenArgentina/Spain

Australia/GermanyAustralia/Ireland

AustriaBangladesh

BrazilEgypt

MexicoNetherlands

New Zealand/United KingdomNigeria

PakistanSingapore

South AfricaSwitzerland

Switzerland/BrazilUnited Kingdom/Uganda

United States of America/SwitzerlandZambia

Number of Appointments

Stat

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Nat

iona

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