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
Date: [Date of this Counterclaim]
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