Adam Frankel
General Counsel · Technology & AI
15+ years as General Counsel to technology, cloud & AI companies
UNCITRAL Arbitration Rules (2021), Article 21(3)–(4) — Memorial Archetype
The UNCITRAL Rules do not provide for a separately-titled "Statement of Counterclaim"; a counterclaim is raised under Article 21(3) and, by operation of Article 21(4), is subject to the same content and annexure requirements as a statement of claim (Article 20, paragraphs 2 to 4). This template is for use where the Tribunal or the Parties' procedural timetable calls for the counterclaim to be filed as its own document rather than merged into the statement of defence. A counterclaim is a claim; this template accordingly reuses the full Statement of Claim element set (facts, legal grounds, relief with quantum).
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 in this document, "Counterclaim-Respondent")
and
[Respondent's name] of
[Respondent's address]
("Respondent," and in this document, "Counterclaim-Claimant")
Submitted on behalf of the Respondent/Counterclaim-Claimant by: [Representative's title, e.g. Counsel for the Respondent] [Name of representative]
Date: [Date of this Counterclaim]
Introduction
This Counterclaim is submitted pursuant to Art. 21(3) of the UNCITRAL Arbitration Rules (2021), which entitles the Respondent to set out a counterclaim, or to rely on a claim for the purpose of set-off, provided that the Tribunal has jurisdiction over it. The Rules impose no requirement that the counterclaim arise out of the same contract as the original claim. Art. 21(4) further provides that Art. 20, paragraphs 2 to 4 (content and annexure requirements), apply to the counterclaim.
This document pleads a counterclaim proper, and not a set-off raised purely as a defence; the two are treated distinctly, including for the purpose of any counterclaim filing fees that may apply under the relevant institutional rules.
The Parties
[Identify the Parties as in the Statement of Defence. Where this Counterclaim is filed together with, or shortly after, the Statement of Defence, cross-refer to the parties' identification there rather than repeating it.]
Jurisdiction
The Tribunal's jurisdiction over the Counterclaim arises from the same arbitration agreement pleaded in the Statement of Defence. If the Respondent/Counterclaim-Claimant raises any distinct jurisdictional point specific to the Counterclaim, it must be pleaded here.
Factual Background
[Insert factual narrative supporting the counterclaim, cross-referenced to exhibits.]
Legal Grounds
[State the legal basis for the counterclaim, with authorities.]
Loss, Damage and Quantum
The Counterclaim-Claimant has suffered loss and damage in the amount of [counterclaim quantum amount], particularised as follows: [insert quantum breakdown].
Interest is claimed at [counterclaim interest rate] from [counterclaim interest start date].
Relief Sought
The Respondent/Counterclaim-Claimant requests that the Tribunal: (a) AWARD [counterclaim quantum amount] on the Counterclaim; (b) AWARD interest as pleaded above; (c) ORDER the Claimant/Counterclaim-Respondent to pay the costs associated with the Counterclaim; and (d) GRANT such further or other relief as the Tribunal considers just.
Annexure Schedule
Exhibit No. | Description | Referenced at ¶ |
[Document] | ¶ [ ] |
Respectfully submitted,
[Representative's title]
[Name of representative]
On behalf of the Respondent/Counterclaim-Claimant
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About this template
What is this template?
This document is a formal memorial for a counterclaim under the 2021 UNCITRAL Rules. It is not a Statement of Defence, though it may be filed alongside one. It contains specific sections for pleading legal grounds, quantifying loss, and requesting specific awards from an arbitral tribunal.
When should you use it?
Use this template when a procedural timetable requires a standalone counterclaim memorial rather than a merged defense and counterclaim. Use a Statement of Claim if you are the party initiating the arbitration rather than responding to it.
What's inside
| Clause | Name | What it does |
|---|---|---|
| 1 | Introduction | Invokes Art. 21(3) of the UNCITRAL Rules to establish the right to set out a counterclaim or rely on a set-off. |
| 3 | Jurisdiction | Asserts the Tribunal's authority over the counterclaim based on the arbitration agreement pleaded in the Statement of Defence. |
| 6 | Loss, Damage and Quantum | Details the specific counterclaim quantum amount and states the interest rate claimed from a specific start date. |
| 7 | Relief Sought | Requests that the Tribunal award a specific quantum, interest, and costs associated with the counterclaim. |
Who it's for
- a respondent in UNCITRAL arbitration proceedings filing a claim against the original claimant
- legal counsel preparing a memorial for a counterclaim separate from the statement of defence
- parties requiring a structured template for loss and quantum particularisation in international arbitration
How long it runs and how it's signed
How long
Used once
Signed by
Representative of the Respondent/Counterclaim-Claimant
Witness
Not required
Notarisation
Not required
Also needed
include annexure schedule of exhibits
Law it's drafted under
Governed by
UNCITRAL Arbitration Rules (2021)
Refers to
Art. 21(3)
Refers to
Art. 21(4)
Refers to
Art. 20
Jurisdiction
United Nations
General
Document info
GitLaw document. Document created on Sun Aug 9th, 2026. Last updated on Tue Aug 11th, 2026.
This document is public
Licensed under CC BY-SA 4.0 (Attribution-ShareAlike).
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