Answer and Statement of Defence (HEAP Track, Memorial) (ICC Rules) by OLL

This template numbers every paragraph, including optional ones, as though included. Delete any paragraph or clause that does not apply to this filing and renumber sequentially before submission.

Preliminary Notes

"HEAP" is ICC's own shorthand for the Highly Expedited Arbitration Provisions (Appendix VI), also referred to as "Highly Expedited Arbitration" in Article 33 of the main Rules. Under HEAP, the Tribunal is a sole arbitrator, the award is due within 3 months of the initial CMC, document production may be refused entirely, and the case may be decided on documents alone.

Merged Filing. This single document constitutes both the Answer to the Request for Arbitration and the Statement of Defence — and, if any, the Statement of Counterclaim — filed together pursuant to Appendix VI, Article 2(5): "the respondent shall submit its Answer, which shall contain the following information, as well as its statement of defence ('Answer and Statement of Defence') and statement of counterclaim, if any ('Statement of Counterclaim')." Because Appendix VI requires the full legal and factual basis — and, to the extent possible, the evidence relied on — to be filed with the Answer, this document is necessarily drafted in full-argument form; there is no abbreviated facts-only variant under HEAP.

Counterclaims. Appendix VI, Article 2(5)-(8) gives HEAP its own counterclaim mechanism, distinct from but parallel to the Standard track's Article 6(4)-(5) — see Section 10 below.

Jurisdiction. Article 7 ("Effect of the Arbitration Agreement") gives the Tribunal authority to decide jurisdiction questions but fixes no filing deadline for raising the plea. This applies equally under HEAP; nothing in Appendix VI overrides Article 7 on this point.

Confirm the Parties have opted into Highly Expedited Arbitration pursuant to Appendix VI/Article 33 before using this template — HEAP is never the default track.

Where the Respondent objects to jurisdiction, substitute the following for paragraph 5: The Respondent objects to the Tribunal's jurisdiction on the following factual and legal basis: [state basis].

Use "Not Admitted" for allegations outside the Respondent's own knowledge, rather than a positive denial.

Include the following paragraph only if the Respondent pleads set-off:

Set-Off. Pleaded in the amount of [amount]. The ICC Rules have no distinct "set-off" concept under either track — plead as, or with, a counterclaim (Appendix VI, Article 2(5)-(6), see Section 10 below). Where India-seated, Section 23(2A) gives an express statutory basis.

Include the following section only if the Respondent pleads a counterclaim:

Statement of Counterclaim. Pursuant to Appendix VI, Article 2(5)-(6), the Respondent's Answer includes, together with its Statement of Defence, the following Statement of Counterclaim: (a) the nature and circumstances of the dispute giving rise to the counterclaim and the basis on which it is made; (b) the facts supporting the counterclaim; (c) the legal grounds supporting the counterclaim; and (d) the relief sought, including the amount of [amount] and, to the extent possible, an estimate of the monetary value of any unquantified counterclaim.

To the extent possible, this Statement of Counterclaim is accompanied by the evidence relied upon (Article 2(6)). Pursuant to Article 2(7)-(8), the Claimant must submit a Reply to Counterclaim within 20 days of receipt of this Statement of Counterclaim from the Secretariat (or such other time as the arbitral tribunal determines if already confirmed or appointed), including the facts and legal grounds supporting its defence to the counterclaim and the relief it seeks, to the extent possible accompanied by evidence. Per Article 2(9), no extension of this or the other Article 2 time limits may be granted unless the parties agree.