Preparing for Arbitration: Evidence and Documentation
Published: Feb 26, 2026 · Updated: Feb 26, 2026 · 10 min read.
Published: Feb 26, 2026
Updated: Feb 26, 2026
10 min read.
Published: Feb 26, 2026 · Updated: Feb 26, 2026 · 10 min read.
Published: Feb 26, 2026
Updated: Feb 26, 2026
10 min read.
Strong arbitration outcomes start long before the hearing. If you need to prepare for arbitration, the work you do in the weeks and months ahead — gathering evidence, organizing documents, and building a clear narrative — shapes the arbitrator's view of your case more than anything said at the hearing table. Yet many parties treat arbitration preparation as an afterthought, scrambling to assemble materials at the last minute.
This guide walks you through the practical steps of arbitration preparation, from the initial document collection to hearing-day readiness. Whether this is your first dispute or your tenth, a structured approach to evidence and arbitration documents gives you a measurable advantage.
In litigation, the discovery process forces both sides to produce relevant documents through formal requests, depositions, and court orders. Arbitration works differently. Discovery is narrower, timelines are compressed, and the arbitrator has broad discretion over what evidence is heard. Under most institutional rules, pre-hearing discovery is limited to document exchanges and may not include depositions at all.
This means you cannot rely on the other side to hand over the evidence you need. You must build your case proactively, using the documents and records already in your possession or obtainable through targeted requests. The arbitrator will decide your case based on what is presented — and what is not presented can hurt you just as much.
As the U.S. Supreme Court noted in Hall Street Associates, LLC v. Mattel, Inc., 552 U.S. 576 (2008), arbitration awards face very limited judicial review. The grounds for vacatur under 9 U.S.C. section 10 are narrow — fraud, arbitrator misconduct, or exceeding authority. A weak evidentiary record is not grounds for overturning an award. What you bring to the hearing is, in most cases, what you get.
Start by gathering every document related to the dispute. The goal at this stage is to be comprehensive — you can organize and prioritize later.
The arbitration clause itself is your starting point. Pull the full contract, including all amendments, addenda, and any documents referenced within the agreement. Pay attention to:
Collect all emails, text messages, letters, and internal memos related to the dispute. Organize them chronologically. Communications often reveal the intent behind contract terms and the timeline of events — both critical to an arbitrator's analysis.
If the dispute involves damages, you need documentation to support your numbers. Invoices, payment records, bank statements, profit-and-loss statements, and tax returns may all be relevant. An arbitrator will not accept a damages figure without supporting evidence.
Identify documents held by third parties that may support your case. While arbitrators have limited power to compel non-parties to produce documents (under 9 U.S.C. section 7 of the Federal Arbitration Act), you can request voluntary production or use state court subpoena processes where available.
Note: Circuit courts are divided on whether arbitrators can issue pre-hearing subpoenas to non-parties for document production. The Fourth Circuit permits it (COMSAT Corp. v. National Science Foundation, 190 F.3d 269 (4th Cir. 1999)), while the Third Circuit does not (Hay Group, Inc. v. E.B.S. Acquisition Corp., 360 F.3d 404 (3d Cir. 2004)). Check the law in your jurisdiction before relying on arbitrator subpoena power.
Raw document collection is only the first step. Effective arbitration preparation requires organizing materials so the arbitrator can follow your story.
Create a detailed timeline of key events, linking each entry to supporting documents. Arbitrators appreciate clarity, and a well-structured timeline helps them understand the sequence of events without having to piece it together themselves.
Number each document and create a master exhibit list with:
Most institutional rules require parties to exchange exhibit lists before the hearing. Having yours ready early signals preparation and professionalism.
Not every document carries the same weight. Identify the 10 to 15 most important exhibits that directly prove your key points. These are the documents you will refer to during opening statements and witness examinations. Supporting materials — background context, secondary correspondence, reference documents — should be available but do not need the same level of emphasis.
Witnesses can strengthen your case significantly, but only if they are prepared. In arbitration, witness testimony is typically presented through direct examination and cross-examination, similar to court — but the process moves faster and the arbitrator may ask questions directly.
Identify individuals with firsthand knowledge of the events in dispute. Prepare each witness by reviewing the relevant documents, walking through the expected questions, and explaining the format of the arbitration hearing. Witnesses who are surprised by the process tend to perform poorly.
For disputes involving technical, financial, or industry-specific questions, expert witnesses can provide the analysis an arbitrator needs. Expert reports are usually submitted in writing before the hearing, with the expert available for cross-examination.
Expert witnesses are expensive — fees typically range from $250 to $1,500 per hour depending on the specialty. Before hiring an expert, assess whether the case genuinely requires one. In straightforward contract disputes, the documents usually speak for themselves. For guidance on managing this expense, see our article on hidden costs in arbitration.
Every arbitration operates under a specific set of procedural rules. These may be institutional rules (AAA, ICC, FINRA), ad hoc rules agreed upon by the parties, or a combination. Before the hearing, make sure you understand:
If the arbitration is conducted under IBA Rules on the Taking of Evidence in International Arbitration, the procedures for document production and witness testimony follow a different framework than domestic U.S. arbitration. Know which rules apply to your case.
Even though arbitration discovery is narrower than court discovery, the document exchange phase is a critical opportunity. Use it wisely.
Focus your document requests on materials that fill gaps in your evidence. Do not cast a wide net — overly broad requests waste time and may be denied by the arbitrator. Target specific categories of documents that you know exist and that directly support your claims or undermine the other side's position.
Produce documents responsively and completely. Failing to produce relevant documents that are later discovered can damage your credibility with the arbitrator. Under Federal Rule of Civil Procedure 37(e), courts have imposed sanctions for failure to preserve electronically stored information, and arbitrators take similar dim views of parties who appear to withhold evidence.
Submit documents in searchable PDF format with clear file naming conventions. Arbitrators increasingly work with digital case files, and well-organized electronic submissions save time and create a better impression. If your arbitration is conducted on a platform like Arbitration.net, all evidence exchange happens through a secure digital interface with built-in organization tools. Reach us at (888) 885-5060 to learn more about our evidence management features.
The hearing itself is where preparation pays off. Your opening statement should:
Your closing argument (or post-hearing brief, if the arbitrator requests one) should connect the evidence to the legal standards and explain why the facts support your requested outcome.
Arbitrators value conciseness. A focused, well-organized presentation is more persuasive than an exhaustive review of every document in the record.
Use this checklist to make sure nothing falls through the cracks:
Preparing for arbitration is easier when the platform works with you, not against you. At Arbitration.net, our fully digital system handles document exchange, evidence submission, and case organization through a secure online interface. You can upload exhibits, share files with the other party, and communicate with the arbitrator — all in one place.
Our platform is designed to reduce the logistical burden of arbitration preparation so you can focus on building the strongest case possible. Whether this is your first arbitration or you are a seasoned practitioner, we provide the tools and support to keep your case on track.
Visit arbitration.net or connect with us at (888) 885-5060 to see how our platform simplifies the preparation process.
Start as soon as you know arbitration is likely. Ideally, begin document collection and organization at least 60 to 90 days before the scheduled hearing. For complex disputes involving multiple witnesses or expert reports, allow four to six months. Early preparation prevents last-minute scrambling and gives your attorney time to build a thorough case strategy.
At minimum, you need the underlying contract (including the arbitration clause), all relevant communications, financial records supporting your damages, and any third-party documents that bear on the dispute. Beyond these basics, gather anything that tells the story of what happened and why — internal memos, meeting notes, project files, and inspection reports can all be relevant.
Yes, but with limits. Most arbitration rules allow parties to request document production from each other. The arbitrator decides disputes over scope and relevance. However, compelling third parties (non-parties) to produce documents is more complicated. Under 9 U.S.C. section 7 of the Federal Arbitration Act, arbitrators can summon non-party witnesses to appear at hearings, but circuit courts disagree on whether pre-hearing document subpoenas to non-parties are permitted.
It depends on the complexity of the issues. Straightforward contract disputes, unpaid invoices, and clear-cut warranty claims usually do not require expert testimony. Disputes involving technical standards, financial valuation, construction defects, or industry-specific practices often benefit from expert analysis. Weigh the cost (typically $250 to $1,500 per hour) against the value the expert adds to your case.
Arbitration is generally more flexible than court regarding evidence. Formal rules of evidence (like the Federal Rules of Evidence) do not strictly apply in most arbitrations. Arbitrators have discretion to admit and weigh evidence as they see fit, including hearsay and other materials that might be excluded in court. This flexibility cuts both ways — it allows you to present more types of evidence, but the other side can too. For answers to other procedural questions, give us a ring at (888) 885-5060 or visit Arbitration.net.
This article is for educational purposes and does not constitute legal advice. Consult a qualified attorney for guidance specific to your situation.
