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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Kappes, Cassiday & Associates (U.S.), Daniel W. Kappes (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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Clark Hill PLC, Washington, D.C., U.S.A.
Procuraduría General de la Nación, Guatemala City. Guatemala
Ministry of Economy, Dirección de Administración del Comercio Exterior -
English,Spanish
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Concluded
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December 23, 2025 - The Tribunal renders its award.
(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 |
|---|---|
| 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. |
| September 3, 2025 | The Tribunal declares the proceeding closed in accordance with ICSID Arbitration Rule 38(1). |
| December 23, 2025 | The Tribunal renders its award. |

