ADR ADR Evidence & Documentation in Proceedings 2 — Questions and Answers
Question 1: What is 'chain of custody' relevant to in ADR evidence handling?
- Tracking the succession of arbitrators assigned to a case
- Documenting who possessed and transferred physical evidence to ensure its integrity (Correct answer)
- Establishing the order of witness testimony
- Verifying the authenticity of the neutral's credentials
Correct answer: Documenting who possessed and transferred physical evidence to ensure its integrity
Chain of custody documentation ensures that physical evidence has not been tampered with by recording every person who handled it from collection to presentation.
Question 2: In arbitration, what is a 'protective order'?
- An order requiring a party to attend future sessions
- A directive shielding confidential business information from unnecessary disclosure during discovery (Correct answer)
- A court order enforcing an arbitration award
- A ruling on the admissibility of expert testimony
Correct answer: A directive shielding confidential business information from unnecessary disclosure during discovery
A protective order in arbitration restricts how sensitive information produced during discovery may be used or shared, protecting trade secrets and confidential data.
Question 3: Which document formally closes an ADR process and records what was agreed?
- The statement of claim
- The opening brief
- The settlement agreement or consent award (Correct answer)
- The arbitrator's preliminary ruling
Correct answer: The settlement agreement or consent award
A settlement agreement (or consent award in arbitration) is the binding written document memorializing the terms the parties have agreed upon to resolve the dispute.
Question 4: What is 'spoliation of evidence' and why is it significant in ADR?
- Introducing irrelevant evidence to confuse the neutral
- The intentional destruction or alteration of evidence relevant to a dispute (Correct answer)
- Refusing to pay arbitration fees
- Failing to appear at a scheduled session
Correct answer: The intentional destruction or alteration of evidence relevant to a dispute
Spoliation occurs when a party destroys or alters relevant evidence, which can lead to adverse inference instructions or sanctions even in arbitration.
Question 5: In a multi-party arbitration, how are exhibits typically managed?
- Each party keeps their own separate exhibit list with no unified numbering
- Exhibits are jointly numbered and listed in a master exhibit list shared among all parties (Correct answer)
- Only the claimant may introduce exhibits
- Exhibits are submitted anonymously to preserve neutrality
Correct answer: Exhibits are jointly numbered and listed in a master exhibit list shared among all parties
A joint master exhibit list with unified numbering prevents confusion and ensures all parties and the arbitrator reference the same documents by consistent identifiers.
Question 6: What does 'authentication' of a document mean in ADR proceedings?
- Translating the document into the language of the proceeding
- Proving the document is what it purports to be through testimony or other evidence (Correct answer)
- Certifying the document has been notarized
- Verifying the neutral has reviewed the document
Correct answer: Proving the document is what it purports to be through testimony or other evidence
Authentication establishes that a document is genuine—for example, that a contract is actually the signed original and not a forgery—before it can be admitted as evidence.
ADR ADR Evidence & Documentation in Proceedings 2
What is 'chain of custody' relevant to in ADR evidence handling?