UNCITRAL Arbitration Rules (2021) — Memorial Archetype
This archetype contains full legal argument and evidence inline. For a facts-only defence that pleads a bare traverse and defers argument and evidence to a later stage, see the Pleading archetype of this template.
STATEMENT OF DEFENCE
If Section 9 (Statement of Counterclaim) below is included, the title above should read: "STATEMENT OF DEFENCE AND STATEMENT OF COUNTERCLAIM".
[Case No.: [Case number, if allocated]]
IN THE MATTER OF AN ARBITRATION UNDER THE UNCITRAL ARBITRATION RULES (2021)
BETWEEN
[Claimant's name] of
[Claimant's address]
("Claimant")
and
[Respondent's name] of
[Respondent's address]
("Respondent")
Submitted on behalf of the Respondent by: [Representative's title, e.g. Counsel for the Respondent] [Name of representative]
Date: [Date of this Statement of Defence]
Introduction
Include the following Election Notice only if the Respondent elects, pursuant to Art. 21(1) of the UNCITRAL Arbitration Rules (2021) (second sentence), to treat its Response to the Notice of Arbitration as its Statement of Defence:
"Pursuant to Art. 21(1) of the UNCITRAL Arbitration Rules (2021), the Respondent hereby elects to treat its Response to the Notice of Arbitration dated [date] as its Statement of Defence, supplemented as set out below."
This Statement of Defence is submitted pursuant to Art. 21 of the UNCITRAL Arbitration Rules (2021), in reply to the particulars of the Statement of Claim filed pursuant to Art. 20(2).
This Statement of Defence is structured as follows: (I) the Parties; (II) Jurisdiction; (III) General Traverse; (IV) Paragraph-by-Paragraph Reply; (V) Factual Background; (VI) Legal Grounds; (VII) Affirmative Defences; (VIII) Quantum Response; (IX) any Statement of Counterclaim; and (X) Relief Sought.
The Parties
Paragraphs [ ] of the Statement of Claim as to the identity of the Parties are ADMITTED, save as pleaded below.
Jurisdiction
If no jurisdictional objection is raised:
"The Respondent does not object to the Tribunal's jurisdiction."
If a jurisdictional objection is raised:
"The Respondent objects to the Tribunal's jurisdiction on the following factual and legal basis: [state factual basis] and [state legal basis]."
Pursuant to Art. 23(2), any jurisdictional objection must be raised no later than this Statement of Defence, or it is liable to be treated as time-barred, subject to the Tribunal's discretion to admit a later plea where delay is justified.]
General Traverse
Save as expressly admitted in this Statement of Defence, the Respondent denies each and every allegation made in the Statement of Claim as if set out here and traversed individually.
Paragraph-by-Paragraph Reply
For each paragraph, the Respondent's response is stated as ADMITTED, DENIED, or NOT ADMITTED. A response of NOT ADMITTED is used for allegations outside the Respondent's own knowledge, and is a distinct traverse from an affirmative denial.
SoC ¶ | Allegation (summary) | Response |
[summary] | [ADMITTED / DENIED / NOT ADMITTED] | |
[summary] | [ADMITTED / DENIED / NOT ADMITTED] | |
[summary] | [ADMITTED / DENIED / NOT ADMITTED] |
Factual Background
[Respondent's factual narrative, cross-referenced to exhibits.]
Legal Grounds
[Respondent's legal argument in answer to each cause of action pleaded.]
Affirmative Defences
Affirmative Defence 1: [e.g. limitation, waiver, estoppel, force majeure, set-off — state basis].
Affirmative Defence 2: [if applicable].
[Include the following paragraph only if the Respondent pleads set-off as a defence, pursuant to Art. 21(3):
Set-Off. The Respondent pleads set-off in the amount of [set-off amount] against any sum found due to the Claimant." Set-off pleaded here as a defence is distinct from a counterclaim pleaded under Section 10 below; institutions may assess a counterclaim filing fee that does not apply to set-off raised purely as a defence.
Quantum Response
The Respondent's position on the Claimant's pleaded quantum of [quantum amount] is: [admit / dispute in whole or part, with reasons].
Statement of Counterclaim
[Include this Section only if the Respondent raises a counterclaim within this Statement of Defence, pursuant to Art. 21(3) of the UNCITRAL Arbitration Rules (2021), which entitles the Respondent to set out a counterclaim provided the Tribunal has jurisdiction over it; the Rules impose no requirement that the counterclaim arise out of the same contract as the original claim. Because a counterclaim is itself a claim, and Art. 21(4) extends Art. 20, paragraphs 2 to 4 (content and annexure requirements), to a counterclaim, this Section reuses the full Statement of Claim element set. If the counterclaim is instead to be filed as a separate document, omit this Section and use the standalone Counterclaim template.]
Facts supporting the counterclaim. [Insert.]
Legal grounds. [Insert.]
Relief and quantum sought on the counterclaim. [counterclaim quantum amount].
Relief Sought
The Respondent respectfully requests that the Tribunal: (a) DISMISS the Statement of Claim in its entirety, alternatively in part; (b) [if Section 10 above is included:] AWARD the Respondent [counterclaim quantum amount] on the Counterclaim, or such other sum as the Tribunal considers appropriate; (c) ORDER the Claimant to pay the costs of this arbitration; and (d) GRANT such further or other relief as the Tribunal considers just.
Annexure Schedule
Pursuant to Art. 21(2) (second sentence), this Statement of Defence should, as far as possible, be accompanied by all documents and other evidence relied upon by the Respondent, or contain references to them.
Exhibit No. | Description | Referenced at ¶ |
[Document] | ¶ [ ] | |
[Document] | ¶ [ ] |
Respectfully submitted,
[Representative's title]
[Name of representative]
On behalf of the Respondent
Date: [Date of this Statement of Defence]
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