Case Details
Daniel W. Kappes and Kappes, Cassiday & Associates v. Republic of Guatemala (ICSID Case No. ARB/18/43)
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Gold and silver mining
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Oil, Gas & Mining
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CAFTA-DR (Dominican Republic-Central America Free Trade Agreement)
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ICSID Convention - Arbitration Rules
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Daniel W. Kappes (U.S.), Kappes, Cassiday & Associates (U.S.)
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Republic of Guatemala (Guatemalan)
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December 11, 2018
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July 2, 2019
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Jean Engelmayer KALICKI (U.S.) - Appointed by the Parties
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John M. TOWNSEND (U.S.) - Appointed by the Claimant(s)
Zachary DOUGLAS (Australian, Swiss) - Appointed by the Respondent(s) -
White & Case, London, U.K. and Mexico City, Mexico
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GST, Washington, D.C., U.S.A.
Ministry of Economy, Dirección de Administración del Comercio Exterior
Procuraduría General de la Nación, Guatemala City. Guatemala -
English,Spanish
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Pending
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September 11, 2023 - The Tribunal decides on production of documents.
(a) Original Proceeding
Composition of Tribunal
Party Representatives
(a) Original Proceeding
Published Decisions
Decision on the Respondent’s Preliminary Objections
Decision on the Respondent’s Preliminary Objections - Partial Dissent Opinion of Zachary Douglas
Available on the ICSID Website
Decision on the Respondent’s Preliminary Objections (March 13, 2020) English (Original); Spanish (Original)
Decision on the Respondent’s Preliminary Objections - Partial Dissent Opinion of Zachary Douglas (March 13, 2020) English (Original); Spanish (Original)
(a) Original Proceeding
Date | Development |
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December 11, 2018 | The Acting Secretary-General registers a request for the institution of arbitration proceedings. |
February 28, 2019 | Following appointment by the Claimants, John Townsend (U.S.) accepts his appointment as arbitrator. |
March 11, 2019 | Following appointment by the Respondent, Zachary Douglas (Australian) accepts his appointment as arbitrator. |
July 1, 2019 | Following appointment by agreement of the parties Jean Kalicki (U.S.) accepts her appointment as presiding arbitrator. |
July 2, 2019 | The Tribunal is constituted in accordance with Article 37(2)(a) of the ICSID Convention. Its members are: Jean Kalikci (U.S.), President, appointed by agreement of the parties; John Townsend (U.S.), appointed by the Claimants; Zachary Douglas (Australian) appointed by the Respondent. |
August 16, 2019 | The Respondent files preliminary objections pursuant to DR-CAFTA Article 10.20.5. |
August 26, 2019 | The Tribunal holds a first session by telephone conference. |
September 10, 2019 | The Tribunal issues Procedural Order No. 1 concerning procedural matters. |
September 27, 2019 | The Claimants file observations on the Respondent’s preliminary objections pursuant to CAFTA Article 10.20.5. |
October 23, 2019 | A non-disputing party files an application to file a written submission pursuant to ICSID Arbitration Rule 37(2). |
October 25, 2019 | The Respondent files a reply on preliminary objections pursuant to CAFTA Article 10.20.5. |
October 31, 2019 | Each party files observations on the non-disputing party’s application. |
November 7, 2019 | The Tribunal issues Procedural Order No. 2 concerning the non-disputing party’s application to file a written submission pursuant to ICSID Arbitration Rule 37(2). |
November 22, 2019 | The Claimants file a rejoinder on preliminary objections pursuant to CAFTA Article 10.20.5. |
November 26, 2019 | The President holds a pre-hearing organizational meeting with the parties by telephone conference. |
November 27, 2019 | The Tribunal issues Procedural Order No. 3 concerning the organization of the hearing. |
December 16, 2019 | The Tribunal holds a hearing on preliminary objections pursuant to CAFTA Article 10.20.5 in Washington, D.C. |
February 14, 2020 | Each party files a submission on costs. |
March 13, 2020 | The Tribunal issues a decision on the Respondent’s preliminary objections pursuant to DR-CAFTA Article 10.20.5; attached to the decision is a dissenting opinion by arbitrator Zachary Douglas. |
June 29, 2020 | A non-disputing party files an application to file a written submission pursuant to ICSID Arbitration Rule 37(2). |
July 21, 2020 | The Claimant files a memorial on the merits. |
September 25, 2020 | Each party files observations on the non-disputing party’s application. |
September 29, 2020 | The Tribunal issues Procedural Order No. 4 concerning procedural matters. |
December 8, 2020 | The Respondent files a memorial on jurisdiction and a counter-memorial on the merits including a counter-claim. |
February 5, 2021 | The Tribunal issues Procedural Order No. 5 concerning the non-disputing party’s application to file a written submission pursuant to ICSID Arbitration Rule 37(2). |
February 19, 2021 | The Republic of El Salvador, the United States of America, the Republic of Costa Rica and the Dominican Republic each file a written submission as a non-disputing State Party pursuant to DR-CAFTA Article 10.20.2. |
February 19, 2021 | The Republic of El Salvador, the United States of America, the Republic of Costa Rica and the Dominican Republic each file a written submission as a non-disputing State Party pursuant to DR-CAFTA Article 10.20.2. |
February 22, 2021 | Following exchanges between the parties, each party files a request for the Tribunal to decide on production of documents. |
March 1, 2021 | The Respondent files observations on the Claimants’ request for the Tribunal to decide on production of documents. |
March 3, 2021 | The Claimants file observations on the Respondent’s request for the Tribunal to decide on production of documents. |
March 15, 2021 | The Tribunal issues Procedural Order No. 6 concerning production of documents. |
May 14, 2021 | The Respondent files a request for the Tribunal to decide on confidentiality matters. |
May 26, 2021 | The Claimants file observations on the Respondent’s request of May 14, 2021. |
June 7, 2021 | The Respondent files a response to the Claimants’ observations of May 26, 2021. |
June 12, 2021 | The Claimants file a counter-memorial on jurisdiction and counter-claim and a reply on the merits. |
June 18, 2021 | The Claimants file further observations on the Respondent’s request of May 14, 2021. |
June 21, 2021 | The Tribunal issues Procedural Order No. 7 concerning confidentiality matters. |
August 16, 2021 | The Respondent files a request for the Tribunal to decide on the disclosure of third-party financing. |
August 23, 2021 | The Claimants file observations on the Respondent’s request for disclosure of third-party financing. |
August 31, 2021 | The Respondent files a response to the Claimants’ observations of August 23, 2021. |
September 7, 2021 | The Claimants file further observations on the Respondent’s response of August 31, 2021. |
September 28, 2021 | The Tribunal issues Procedural Order No. 8 on the disclosure of third-party financing. |
October 16, 2021 | The Respondent files a reply on jurisdiction and counter-claim and a rejoinder on the merits. |
December 21, 2021 | The Claimants file a rejoinder on jurisdiction and counter-claim. |
January 11, 2022 | The Respondent files a request for the exclusion of evidence. |
January 12, 2022 | The Tribunal issues Procedural Order No. 9 concerning the hearing. |
January 18, 2022 | The Claimants file observations on the Respondent’s request of January 11, 2022. |
January 21, 2022 | The Tribunal holds a pre-hearing organizational meeting with the parties by video conference. |
January 25, 2022 | The Tribunal issues Procedural Order No. 10 concerning the organization of the hearing. |
February 23, 2022 | The Respondent files a request for the Tribunal to decide on the admissibility of new evidence. |
February 24, 2022 | The Tribunal decides on the admissibility of new evidence. |
February 24, 2022 | The Claimants file observations on the Respondent’s request of February 23, 2022. |
February 28, 2022 - March 11, 2022 | The Tribunal holds a hearing on jurisdiction, merits and counter-claim by video conference. |
March 1, 2022 | The Claimants file a request for the exclusion of evidence. |
March 2, 2022 | The Respondent files a request to safeguard the integrity of the proceeding. |
March 2, 2022 | The Claimants file observations on the Respondent’s request of March 2, 2022. |
March 2, 2022 | The Respondent files observations on the Claimants’ request of March 1, 2022. |
March 3, 2022 | The Tribunal issues Procedural Order No. 11 concerning Respondent’s request of March 2, 2022. |
March 16, 2022 | The Claimants file a response to the Respondent’s observations of March 2, 2022. |
March 21, 2022 | The Respondent files a response to the Claimants’ response of March 16, 2022. |
March 28, 2022 | The Tribunal issues Procedural Order No. 12 concerning the exclusion of evidence. |
April 5, 2022 | The Tribunal issues Procedural Order No. 13 concerning post-hearing matters. |
May 23, 2022 | Each party files a post-hearing brief. |
June 13, 2022 | The Tribunal issues Procedural Order No. 14 concerning the organization of the hearing. |
June 16, 2022 | The Respondent files a request for the Tribunal to decide on the admissibility of new evidence. |
June 20, 2022 | The Claimants file observations on the Respondent’s request of June 16, 2022. |
June 20, 2022 | The Respondent files a response to the Claimants’ observations of June 20, 2022. |
June 27, 2022 | The Claimants file further observations on the Respondent’s response of June 20, 2022. |
July 20, 2022 | The Tribunal issues Procedural Order No. 15 concerning the admissibility of new evidence. |
July 26, 2022 | The Claimants file a request for the exclusion of evidence. |
July 27, 2022 | The Respondent file observations on the Claimants’ request of July 26, 2022. |
July 29, 2022 | The Tribunal decides on the Claimants’ request of July 26, 2022. |
July 29, 2022 | Each party files a request for the Tribunal to decide on the admissibility of new evidence. |
August 3, 2022 | Each party files observations on the other party’s request of July 29, 2022. |
August 8, 2022 | The Tribunal decides on parties’ requests of July 29, 2022. |
August 20, 2022 | The Respondent files a request for the exclusion of evidence. |
August 23, 2022 | The Claimants file observations on the Respondent’s request of August 20, 2022. |
August 24, 2022 | The Tribunal decides on the Respondent’s request of August 20, 2022. |
August 29, 2022 - August 30, 2022 | The Tribunal holds a hearing on closing arguments with regard to jurisdiction, merits and counter-claim by video conference. |
September 23, 2022 | Each party files a submission on costs. |
September 30, 2022 | Each party files observations on the other party’s submission on costs. |
August 31, 2023 | The Respondent files a request for the Tribunal to decide on the admissibility of new evidence. |
September 5, 2023 | The Claimants file observations on the Respondent’s request of August 31, 2023. |
September 11, 2023 | The Tribunal decides on production of documents. |