Bates Numbering: A Complete Guide for Legal Exhibits
Bates numbering assigns a unique sequential identifier to every page of every document in a legal production. This guide covers the format, federal and state practice, the difference from exhibit numbering, and rules for ESI.
- Bates numbering assigns a unique sequential number to every page of every document in a legal production.
- A standard Bates number has three parts: a producing-party prefix, an optional separator, and a zero-padded number (e.g., SMITH000001).
- Bates numbering identifies pages; exhibit numbering identifies whole documents — the two are complementary, not interchangeable.
- Federal Rules of Civil Procedure 26(a)(1)(A)(ii) and 34(b)(2)(E) govern document production but do not prescribe a Bates format.
- California CCP 2031.280, New York CPLR 3122, and most state discovery rules require productions to be identifiable, which is satisfied by Bates numbering.
- For ESI productions, Bates numbers are applied to the rendered image (TIFF or PDF), not the native file.
- Confidentiality designations like CONFIDENTIAL or AEO are layered on the same page after the Bates number.
- Trial exhibit indexes typically include a Bates range column linking each exhibit back to the original production.
Bates Numbering vs Exhibit Numbering
These two conventions are often conflated but they answer different questions. Bates numbering answers which page; exhibit numbering answers which document at trial.
| Attribute | Bates Numbering | Exhibit Numbering |
|---|---|---|
| What it labels | Every page of every document | Whole documents shown at trial |
| Format | SMITH000001, ABC-PRIV-00045 | Exhibit 1, Exhibit A, PX-3 |
| Applied during | Discovery, productions, ESI | Motions, hearings, trial |
| Authority | FRCP 26, 34; state discovery rules | CRC 3.1110(c); local trial rules |
| Sequential across | Entire production (millions of pages) | One trial set per party |
| Stays with the page? | Yes, for life of the case | Re-marked between depositions and trial |
| Both required? | Often yes — trial exhibits commonly cite the original Bates range so the source page is traceable. | |
How Bates Numbers Are Formatted
A standard Bates number has three components, applied in the bottom-right corner of each page:
1. Prefix
SMITH
Identifies the producing party. 3-6 letters is typical.
2. Separator
— or _
Optional. Empty, hyphen, or underscore are all acceptable.
3. Sequence
000001
Zero-padded number. 6-8 digits accommodates large productions.
Worked examples
- SMITH000001 → SMITH's production, page 1
- ABC-PRIV-00045 → ABC's privileged set, page 45
- DEF_AEO_000123 → DEF's attorneys-eyes-only set, page 123
- JONES000145–000152 → JONES production, pages 145 through 152
When to Bates Number
Discovery production
Bates stamp every page you produce in response to document requests, subpoenas duces tecum, and Rule 34 productions. Use a prefix that identifies your party.
Depositions
Reference Bates numbers when introducing exhibits at deposition. Court reporters routinely note the Bates range alongside the new deposition exhibit number.
Privilege logs
Federal and most state privilege log requirements expect a Bates range (or document ID) for each withheld document.
Motions to compel
Cite the disputed pages by Bates number so the court can locate them in the production set.
Trial exhibit indexes
Most exhibit indexes include a Bates range column. This connects each trial exhibit back to its original production page.
Summary judgment briefing
Cite to the page-level Bates number, not just the exhibit number, when arguing material facts under FRCP 56 or state equivalents.
Bates Numbering by Jurisdiction
Federal courts
FRCP 26(a)(1)(A)(ii) and 34(b)(2)(E) require productions to be in usable form but do not prescribe Bates format. The de facto standard is a producing-party prefix plus a 6- or 7-digit zero-padded sequential number. S.D.N.Y., N.D. Cal., and E.D. Tex. local rules supplement this with ESI protocols.
California
CCP 2031.280 governs document production form. LASC Local Rule 3.3 and the CRC 3.1110(c) exhibit-marking rule expect Bates references in the exhibit index. Many California depositions use the Bates range as the de facto exhibit ID for production documents.
Texas
TRCP 196 governs document production. Practice in Harris and Dallas counties expects Bates numbering with a producing-party prefix; commercial dockets routinely require Bates ranges in summary judgment briefing.
New York
CPLR 3122 and 22 NYCRR 202.20-c govern productions. NYSCEF e-filings include Bates ranges in the exhibit index. The Commercial Division Rules Part 11-c set ESI protocols expecting Bates numbering on rendered images.
Florida
Florida Rule 1.350 governs document production. The January 2026 amendments mirror FRCP 26(a) initial disclosures and require parties to identify documents supporting claims and defenses — Bates numbers are the standard way to satisfy that identification requirement.
Bates Numbering for ESI
For electronically stored information, Bates numbers are applied to the rendered image (TIFF or PDF), not to the native file. Each page of an email, attachment, or rendered document gets one number. Native files are produced alongside images with corresponding Bates ranges in the load file.
- →Email families (parent + attachments) typically share consecutive Bates numbers.
- →Embedded documents and spreadsheets get their own Bates ranges as separate logical documents.
- →Confidentiality stamps (CONFIDENTIAL, AEO, HIGHLY CONFIDENTIAL) are layered on the same page after the Bates number.
- →Concordance, Relativity, and DAT load files include BegBates / EndBates fields linking the image, native, and metadata.
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Frequently Asked Questions
What is Bates numbering?
Bates numbering is a method of assigning a unique sequential identifier to every page of every document in a legal production (e.g., ABC000001, ABC000002, ABC000003). It originated with the Bates Automatic Numbering Machine in the late 1800s and is now applied digitally. Each Bates number stays with that page for the life of the litigation, creating an unalterable reference for discovery, depositions, and trial.
What is the difference between Bates numbering and exhibit numbering?
Bates numbering identifies individual pages with a unique sequential number across an entire production (e.g., SMITH000001 through SMITH004500). Exhibit numbering identifies whole documents at trial (Exhibit 1, Exhibit A, PX-3). A single trial exhibit can contain hundreds of Bates-numbered pages. Bates numbers are applied during discovery; exhibit numbers are applied for motions, hearings, and trial. Federal practice and most state courts require both at different stages.
What is the standard format for Bates numbers?
Standard Bates format has three parts: (1) a prefix identifying the producing party (e.g., "SMITH", "DEF", "ABC"), (2) a separator (none, hyphen, or underscore), and (3) a zero-padded sequential number, typically 6-8 digits (000001). Example: SMITH000001, SMITH000002, SMITH-PRIV-000045. The prefix prevents confusion when multiple parties produce documents in the same case.
When is Bates numbering required?
Bates numbering is required (or expected as best practice) for any document production in federal civil litigation under FRCP 26 and 34, in most state court discovery, in deposition exhibit references, and when filing discovery disputes. It is also required when responding to subpoenas duces tecum and for ESI productions under Sedona Conference protocols. Trial exhibits do not technically require Bates numbers, but courts often expect them when documents originated in discovery.
In an exhibits index, where is the Bates number?
The Bates number range typically appears in a dedicated column on the exhibits index, immediately after the exhibit description. Example column order: Exhibit No. | Description | Bates Range | Date | Witness. The Bates range covers the first and last pages of the document (e.g., "JONES000145-000152"). This lets all parties locate the source production document while identifying it as a trial exhibit.
Can I reference Bates numbers in exhibit labels?
Yes, and many courts encourage it. For documents previously Bates-stamped during discovery, include the Bates range in the exhibit description (e.g., "Plaintiff's Exhibit 5 — Email Chain — JONES000145–000152"). This makes the exhibit traceable back to the production set, simplifies cross-references during deposition impeachment, and reduces objections at trial.
How does Bates numbering work in federal courts?
Federal Rules of Civil Procedure 26(a)(1)(A)(ii) and 34(b)(2)(E) govern document production but do not prescribe a Bates format. Most federal practitioners follow the convention of a producing-party prefix plus 6- or 7-digit zero-padded sequential numbers (e.g., DEF0000001). Magistrate judges in commercial cases routinely require Bates ranges in privilege logs and in motion-to-compel papers. Local rules in some districts (e.g., S.D.N.Y., N.D. Cal.) include further specifications.
How does Bates numbering work in California state court?
California Code of Civil Procedure 2031.280 governs document production and requires productions to be in the form requested or as ordinarily maintained, with each document identifiable. Bates numbering is the standard tool for compliance. Los Angeles Superior Court Local Rule 3.3(c) and the Court Reporter Board's deposition protocols expect Bates references in deposition exhibits. CRC 3.1110(c) governs exhibit marking at trial; Bates references appear in the exhibit index.
Should I Bates stamp my own exhibits or only opponent productions?
Bates stamp every document you produce, even if pulled from your own client files. The Bates prefix should identify your party (e.g., "PLTF" or your client's initials). This is required by FRCP 26 and most state discovery rules. Documents you receive from opposing counsel keep their original Bates numbers — you never re-number an opponent's production.
What about Bates numbering for ESI (electronically stored information)?
For ESI productions, Bates numbering is applied to the rendered TIFF or PDF image, not the native file. Each page of an email, attachment, or document image gets one Bates number. Native files are typically produced alongside images with corresponding Bates ranges in the load file (Concordance, Relativity, or DAT format). Confidentiality designations like "CONFIDENTIAL" or "AEO" are layered on the same page after the Bates number.
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