Arbitration Exhibit Checklist: Four Phases from Pre-Filing to Hearing Day
Arbitration exhibit preparation has four distinct phases — pre-arbitration planning, pre-exchange preparation, pre-hearing organization, and hearing day execution. Missing a step in any phase can result in excluded exhibits, a disorganized record, or unnecessary arbitrator time billed to your client. This checklist covers every task across all four phases for AAA, JAMS, and FINRA proceedings.
- AAA Commercial Rule R-22 requires parties to exchange exhibit lists and exhibits per the scheduling order — typically 14 to 30 days before the hearing.
- JAMS Comprehensive Arbitration Rule 22(e) requires exhibit disclosure at least 10 calendar days before the hearing unless the parties agree otherwise in the scheduling order.
- FINRA arbitration Rule 12510 requires parties to produce documents requested by other parties or the arbitration panel at least 20 days before the hearing.
- Claimant exhibits are numbered with a C- prefix (C-1, C-2...) and Respondent exhibits use an R- prefix (R-1, R-2...) in all three forums.
- Rebuttal exhibits should be accommodated by reserving a block of numbers in advance (e.g., C-50 through C-75) so the main exhibit series remains uninterrupted.
- An exhibit log tracking each exhibit's introduction, admissibility ruling, and witness is part of the arbitration hearing record.
1Phase 1: Pre-Arbitration (30+ Days Before Hearing)
Planning and identification — before any deadline pressure
Confirm the arbitral forum
Determine whether the proceeding is governed by AAA, JAMS, FINRA, or a private/ad hoc agreement. Each forum has its own exhibit exchange rules and deadlines.
Locate the applicable exhibit exchange rules
AAA: Commercial Rule R-22. JAMS: Comprehensive Rule 22(e). FINRA: Arbitration Rule 12510. Ad hoc: per the arbitration agreement or scheduling order.
Identify the exhibit exchange deadline from the scheduling order
Calendar the deadline and set a 7-day advance reminder. Missing this deadline is the single most common avoidable error in arbitration exhibit preparation.
Build the master exhibit list
Spreadsheet with columns: exhibit number (C-1, C-2...), document date, document description, Bates range (if from discovery production), and witness(es) associated.
Identify witnesses and their associated exhibits
For each witness, list the documents you plan to introduce through their testimony. This is the foundation of your witness-by-witness exhibit packets.
Begin Bates-numbering any e-discovery productions used as exhibits
If documents were produced in discovery with Bates numbers, verify the Bates range before assigning an exhibit label. Both identifiers will appear on the final exhibit.
Reserve a rebuttal exhibit number range
Leave a gap after your primary exhibit series (e.g., stop at C-45, reserve C-50–C-75) for rebuttal exhibits introduced in response to the opposing party's case.
Confirm the electronic submission platform
For AAA: AAA Connect portal. For JAMS: confirm with the case manager (often Dropbox, ShareFile, or Box). For ad hoc: propose a shared cloud folder in the scheduling order.
2Phase 2: Exchange (Per Your Forum's Deadline)
Serving exhibits on opposing counsel and the arbitrator — per the scheduling order deadline
Apply exhibit labels to all designated documents
Stamp each exhibit with its C- or R- prefix label on the first page. Use ExhibitPrep's batch stamping to apply sequential labels across the entire exhibit set automatically.
Finalize the master exhibit list
Confirm every exhibit in the list is stamped and the exhibit number, description, and Bates range are accurate before exchange.
Exchange the exhibit list with opposing counsel
Serve the master exhibit list per the forum's rules (email, forum portal, or physical delivery). Note: the list is typically exchanged even if the actual documents were produced earlier in discovery.
Exchange the actual exhibits (copies)
Serve copies of all exhibits to opposing counsel via the agreed method. For electronic proceedings, upload to the agreed platform and confirm access.
File an exhibit list with the arbitrator (if required)
Some forums and arbitrators require a copy of the exhibit list to be submitted directly to the arbitrator's file. Confirm this requirement in the scheduling order.
Review opposing counsel's exhibit list
Review every exhibit on the opposing party's list. Prepare objections to authenticity, relevance, or privilege for any exhibits you plan to challenge.
File any exhibit objections per the forum's deadline
AAA and JAMS procedural orders typically require objections to be filed within a set number of days after exchange. Missing this deadline waives many objections.
Batch-stamp your exhibit set before the exchange deadline
Upload all your designated exhibits, apply C-1, C-2... or R-1, R-2... labels automatically, and download a combined binder — ready for exchange in minutes.
3Phase 3: Pre-Hearing (7 Days Before)
Final organization and hearing logistics
Organize exhibits in witness-by-witness packets
For each witness, create a separate packet containing only the exhibits you plan to introduce through that witness's testimony, in examination order.
Create the complete exhibit binder (combined PDF)
Combine all exhibits into a single binder PDF with table of contents and bookmarks. This is the arbitrator's primary reference during the hearing.
Create tabbed physical binders (if required or preferred)
Prepare physical binder sets: one for the arbitrator (or panel), one for opposing counsel, and one for your own use at counsel table. Tab dividers should match exhibit numbers.
Finalize the pre-hearing brief with exhibit citations
Cite each exhibit by its C- or R- number with a short parenthetical description: "the Master Services Agreement (C-14)." Do not cite by Bates number alone.
Confirm electronic exhibit access
Log in to the agreed platform (AAA Connect, JAMS platform, or shared cloud folder) and verify that all uploaded files are accessible, correctly named, and not corrupted.
Prepare a blank exhibit log for hearing day
Set up a spreadsheet or form to track: exhibit number, witness introduced through, whether admitted or objected to, and arbitrator ruling. Assign this task to a team member.
Confirm arbitrator preferences for exhibit handling
Some arbitrators prefer to pre-admit all stipulated exhibits before the hearing begins. Others prefer formal introduction through each witness. Confirm in advance if possible.
4Phase 4: Hearing Day
Execution, admission, and record maintenance
Bring physical binder sets or confirm electronic access on arrival
Verify that arbitrator and opposing counsel have their binder sets or can access electronic exhibits before the hearing begins. Do not assume this was handled in advance.
Distribute witness-by-witness packets at the start of each witness
Provide the arbitrator and opposing counsel with the witness packet for each witness at the start of that witness's examination, not all packets at once.
Maintain the exhibit log throughout the hearing
Record every exhibit introduction: exhibit number, witness, whether admitted, any objections, and the arbitrator's ruling. The exhibit log is part of the record.
Number new rebuttal exhibits from your reserved range
When introducing a rebuttal exhibit not on your pre-hearing list, use the next number in your reserved rebuttal range (C-50, C-51...). Announce "Claimant's Exhibit C-50, a rebuttal exhibit."
Provide copies of new rebuttal exhibits immediately
If you introduce a rebuttal exhibit that was not in the original exchange, immediately provide a copy to opposing counsel and the arbitrator.
Request an exhibit receipt at the close of the hearing
At the end of the hearing, confirm with the arbitrator's clerk or case manager that all admitted exhibits are accounted for in the record. Obtain a copy of the final admitted exhibit list if available.
Forum-Specific Exchange Deadlines to Know
AAA Commercial Rule R-22: Exhibits must be exchanged per the scheduling order — typically 14 to 30 days before the hearing. Untimely exhibits may be excluded at the arbitrator's discretion.
JAMS Comprehensive Rule 22(e): Exhibits must be disclosed at least 10 calendar days before the hearing unless the parties agree to a different deadline in the scheduling order.
FINRA Arbitration Rule 12510: Documents requested by parties or the panel must be produced at least 20 calendar days before the hearing session at which they will be used.
Ad hoc arbitrations: The exhibit exchange deadline is set by the scheduling order or the arbitration agreement. If no deadline is specified, propose one early in the proceeding to avoid disputes.
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Arbitration Exhibit Checklist FAQ
How far in advance should I start preparing arbitration exhibits?
Begin exhibit preparation at least 30 to 60 days before the hearing. Most arbitration rules — including AAA Commercial Rule R-22 and JAMS Comprehensive Arbitration Rule 22(e) — require exhibits to be exchanged between 7 and 30 days before the hearing, depending on the forum and any scheduling order. Starting 30 to 60 days out gives you time to curate documents from discovery, build your master exhibit list, apply exhibit labels, prepare witness packets, and handle any objections before the exchange deadline. Waiting until the week before the hearing almost always results in mislabeled or incomplete exhibit sets.
Are physical binders required for arbitration, or is electronic submission enough?
Electronic submission is accepted and increasingly preferred in most commercial arbitration forums, including AAA and JAMS. However, many arbitrators — especially in larger cases — still prefer to have printed binder sets at the hearing because they can annotate pages and quickly flip between exhibits without navigating a PDF. Check with the arbitrator's assistant or the arbitration case manager to confirm the arbitrator's preference. When in doubt, prepare both: electronic exhibits uploaded to the agreed platform, plus printed tabbed binders for the arbitrator and one for your own use at counsel table.
How do I handle rebuttal exhibits that I didn't know about before the hearing?
Rebuttal exhibits — documents introduced to respond to evidence presented by the other side — are addressed by reserving a number range in your exhibit series. If your main exhibit set runs C-1 through C-45, reserve C-50 through C-75 for potential rebuttal exhibits. When a rebuttal exhibit becomes necessary at the hearing, number it sequentially from your reserved range (C-50, C-51, etc.). Alert the arbitrator and opposing counsel that you are introducing a rebuttal exhibit, and provide them with a copy. Most arbitrators will allow reasonable rebuttal exhibits even if they were not on the pre-exchange list.
What happens if I miss the exhibit exchange deadline?
Late exhibit exchange can result in exclusion of the untimely exhibits from the hearing. Under AAA Commercial Rule R-22, the arbitrator has discretion to exclude exhibits not timely exchanged. Under JAMS Rule 22(e), exhibits not identified in the exhibit list may be excluded unless the arbitrator finds good cause for the late designation. Even where exclusion is not ordered, late exhibits damage your credibility with the arbitrator and give opposing counsel grounds for an extension or continuance request. Always confirm the exchange deadline in the scheduling order and calendar it with a 7-day advance reminder.
What is the difference between trial exhibits and arbitration exhibits?
The core purpose is the same — both are documents introduced into the evidentiary record to support a party's case — but the procedural requirements differ. Court trial exhibits follow specific local rules and courtroom procedures, including mandatory evidentiary foundations and formal admission rulings by the judge. Arbitration exhibits are governed by the forum's rules and any arbitrator orders, which are typically more flexible. Arbitrators may admit exhibits by agreement of the parties without formal foundation testimony, and objections to exhibit authenticity are less common in arbitration than in court. The labeling convention also differs: arbitration uses C-/R- prefixes rather than the plaintiff-numbers/defendant-letters court convention.
Do I need to include an exhibit log at the arbitration hearing?
Yes. An exhibit log — sometimes called an exhibit receipt or admission log — tracks which exhibits were formally introduced and admitted during the hearing. For each exhibit, note the exhibit number, the witness through whom it was introduced, whether it was admitted or objected to, and the arbitrator's ruling on any objection. The exhibit log is part of the hearing record and is important if the matter is appealed or if a party needs to reference the record in a post-hearing brief. Bring a blank exhibit log template to every arbitration hearing and assign a paralegal or associate the specific task of maintaining it during the proceeding.
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ExhibitPrep is a document preparation tool. This checklist is for informational purposes only and does not constitute legal advice. Forum rules change — always verify current requirements at adr.org, jamsadr.com, and finra.org before your hearing.