The documents referred to in a statement of a witness in a civil matter will be identified by a brief description but in order to provide certainty for the reader about exactly what document the witness was intending to refer to a copy of the document labelled with a unique exhibit mark should be in front of the witness when they are checking and signing their statement and their statement should quote the exhibit mark of each document as it is referred to.
For example a statement might say
I sent Mr Jones a letter dated 10 September 2020. I refer to this letter marked JJS23.
or
I took a photo of the wall on 19 December 1998. I refer to the photo marked JJS14.
Quoting an exhibit mark is particularly important in the case of photographs and diagrams. There might have been more than one photo of the wall taken on 19 December 1998 in the above example and the exhibit mark identifies the exact photo which the witness has in mind.
Tribunal rules do not generally mandate the format to be used for exhibit marks but the Patents Court Guide gives "Exhibit AGS3" as an example of a exhibit to an affidavit of "Anthony Graham Snooks" and a practice direction issued under the Civil Procedure Rules 1998, for example, generally applicable to most High Court and County Court cases, refers to the "Identifying initials and number of each exhibit" which suggests that exhibit marks are expected to have the initials of the witness followed by a number and this is the format typically used - a serial number prefixed with two or three initials of the witness. Witness statements are taken, and exhibits marked, independently by each party before being exchanged so some nomenclature is desirable to avoid a clash. The advantage of using three initials, rather than two, is that it reduces the likelihood that two witnesses in the same matter happen to have the same initials. Witnesses who are related may have the same surname and it is not that unusual for children to have the same first forename as a parent - but nearly always with a different second forename. Three initials are easy for the human mind to remember - four or more may be more difficult - so if the witness has a double-barrelled surname then usually the initial of the second forename is omitted so as to keep to the three letter format so, for example, exhibits for John Philip Hamilton-Smith would be labelled JHS1, JHS2, etc.
Consistently using a prefix of three capital letters also makes it easy to hyperlink exhibit marks in statements within a hearing bundle PDF as that pattern can be detected as an exhibit mark with minimal risk of inadvertently picking up some random string.
If a witness makes more than one statement, the numbering of exhibits runs consecutively so if the first statement of Patricia Mary Jones refers to exhibits PMJ1 to PMJ8, and she makes a second statement referring to two additional documents, they would have exhibit marks of PMJ9 and PMJ10. The combination of the use of witness initials and use of a serial number running consecutively (and not restarting if there are two or more statements from a particular witness) ensures that each exhibit mark used in a case is unique. The same individual witness might, of course, from time to time, be involved in more than one case so the label, as well as containing the exhibit mark should, ideally, also have the initials and surname of the witness and the date of their statement which refers to the exhibit.
Where the same document is exhibited by the statements of two different witnesses separate copies of the exhibit with different exhibit marks should be used. (Historically original paper documents were marked once with an exhibit mark relating to the statement of the first witness and the second witness would refer to the document using the same exhibit mark assigned by the first witness. But nowadays separate copies are used each with its own exhibit mark. The problem with using the same exhibit mark is that it might be decided not to use the first witness after all which would leave the second witness referring to a document which has not actually been produced by any witness.)
Many documents sent to the Land Registry are land transaction deeds (Conveyance, Transfer, Grant, Release, etc.) which are drawn up in a very specific way and executed with certain formalities. Identifying, in a statement, the type of deed, date, and the names of the parties should be enough to ensure that there is no doubt about the document referred to - e.g. Conveyance dated 14 March 1972 between John Smith and Paula Jones. However for other, less formal, documents referred to in statements such as letters, contracts, and particularly photos, it is better if they are exhibited.
In the 20th century sometimes original paper documents were actually marked with an exhibit mark but nowadays invariably documents are scanned and the exhibit mark applied to the scanned copy only. Typically a PDF copy is made (by scanning a paper document or converting a non-PDF computer file to a PDF copy) with an exhibit mark label imposed in the top right hand corner of the PDF. Most ordinary PDF software - e.g. PDF X-Change Editor - has an option to apply a label to a PDF which can then be "flattened" to make it permanent. If you happen to be using Bundledocs you can use that to create a labelled copy. Ideally the exhibit mark label should be applied to each page of the exhibit PDF and should include the page number of each page in the exhibit - e.g. Exhibit JJS23 page 1 - but the exhibit mark should at least be on the first page. If you happen to be using Bundledocs you can use that to create a labelled copy, labelled on every page.
To create an exhibit PDF from a document in Bundledocs, first type the exhibit mark in the document's Custom Text. Then create a new temporary section and move the document into it. If there are several documents to be made into exhibits, move each to its own temporary section - one document per temporary section. Then Generate using the following options:
Generate as PDF-Zip
Font... Page Number... Courier... 10pt... Blue
Restart Page Numbering
Page Number Position... Bottom Centre
Show Document Description on Documents... Top Right.. Source Code... Exhibit @Customtext
Add 20 or so spaces after Customtext and then a full stop to position the text so that it does not overlap the Bates text. Also choose CJK Serif 16pt and Blue
Include Bates Page Number...Prefix JJ Smith Apr 2025 p (for example)
Bates Page Number Behaviour... Separate Bates Page Number
Separate Bates Number Position... Top Right
The Generate will produce a ZIP file and in the temporary section folder(s) will be the labelled exhibit PDF.
It is good practice for the exhibit mark label to be signed by the witness, at least on the first page, as a verification that the exhibited document is indeed the document they refer to with that exhibit mark in their statement.
In some types of application the Land Registry requires statements with exhibits to be filed in paper form. The Land Registry will then themselves scan each paper document in as a PDF. In order to ensure that the Land Registry's scanned PDF copy of each document is as good as it can be, generally it is the original paper statement with "wet ink" signature together with each paper exhibit with "wet ink" signature on the label which would be sent to the Land Registry. (Before sending, a PDF scan is taken and kept just in case there is any mishap in the Land Registry's scanning process, as the Land Registry routinely destroy documents after scanning.)
Often, however, the Land Registry will allow and encourage statements and exhibits to be emailed to the office in PDF form. In this case it is generally a PDF scan of the signed statement, together with exhibits in PDF form with an unsigned exhibit mark label, which are sent . Exhibit PDFs are usually sent with unsigned labels because in order to send a PDF copy of an exhibit with signed label an extra scan would be needed which would reduce image quality which is undesirable particularly in the case of photos. So the original paper exhibit with "wet ink" signature on the label would not be rescanned but simply kept safe so that, in any case of doubt, it could be produced. Only the PDF copy with unsigned label is sent (together with a PDF copy of the signed statement).
If, however, a witness prints out a copy of a photo or plan and makes a mark on the paper copy such as an arrow pointing to some feature that they are going to refer to in their statement, or if they draw a diagram on paper from scratch to be used with their statement, they would incorporate an exhibit label, and sign it, in the course of preparing it, so that the label is already signed when the document is first scanned as a PDF. So in that case the exhibit PDF which is sent would be signed. The original paper exhibit with "wet ink" signature on the label would be kept safe.
Note: the above refers to exhibits accompanying an ordinary statement (Statement of Truth). If there is a statutory declaration or affidavit the procedure is different.
For most tribunals exhibits are created in exactly the same way as for Land Registry applications - i.e. a exhibit label is applied electronically to a PDF copy of a document.
Most tribunals nowadays allow statements and exhibits to be emailed to the tribunal office (or uploaded using the tribunal's website) so that it is not necessary to send them in paper form. The original paper documents which were originally scanned to create the paper exhibits in the first place, together with each original paper exhibit with "wet ink" signature on the label, and the original "wet ink" signed paper statements, are kept safe so as to be available to be produced if necessary. The rules may require all these to be brought to the tribunal hearing though they would only need to be referred to in the unlikely event of some query about the copies in the Bundle used at the hearing. It is usual for statements within the Hearing Bundle to be annotated in the right hand margin, opposite each exhibit mark referred to, with the bundle page number of that exhibit - so that someone reading through the statement within the bundle can easily refer to each exhibit mentioned wherever it is within the bundle (it will usually be in a section further on in the bundle together with other evidential documents in chronological sequence). The annotated reference will be hyperlinked in the eBundle. In addition the index and bookmarks should identify the exhibit marks of each document in the bundle. A hardcopy, of course, has no hyperlinks or bookmarks, so when using a hardcopy of the Hearing Bundle it is necessary to rely on the index and/or page number annotation to find an exhibit. If there were to be any doubt about the accuracy of a particular page number annotation, it could normally be cleared up by referring to the labelled copy of the exhibit which accompanied the witness statement when that was first sent to the other party (at the same time as it was sent to the tribunal office) so that it would only be in a rare case that the original paper exhibit with "wet ink" signature on the label would need to be checked.
In the civil courts - High Court and County Court - there is some additional information required on the exhibit label which is not required for other tribunals. The requirements vary to a degree depending on whether the exhibit is referred to in an affidavit or in an ordinary witness statement.
The practice direction introduced with the Civil Procedure Rules 1998, follows the scheme of the previous 1983/1984 practice directions by requiring that as well as the exhibit mark, the initials and surname of the witness and the date of their statement, there should also be written at the top right on at least the first page of the exhibit (a) the status of the party on whose behalf the statement referring to the exhibit is filed, and (b) whether the exhibit was served with the first, second, third etc, statement - for example 2nd Resp: E. W. Jones: 3rd: 24.7.2024. This applies irrespective of whether the exhibit is used with an affidavit or with a witness statement
An affidavit is sworn by the witness, when it is made (before a commissioner for oaths). A witness statement, on the other hand, is not sworn at the time: it is simply signed and the witness swears as to its truth at the later hearing. The 1998 practice direction requires, for exhibits used with affidavits, that the declaration of the person before whom the affidavit was sworn should be headed with the "title of the proceedings" which means (1) the identifying number given to the proceedings, (2) the court or Division in which they are proceeding, (3) the full name of each party, and (4) each party’s status in the proceedings (i.e. claimant/defendant) so in practice this means that a frontsheet will be required to provide sufficient space. The requirement for a declaration headed with the title of proceedings does not apply to exhibits used with witness statements (which are not sworn) but before computerisation of court systems all exhibits traditionally had a frontsheet (and backsheet) with the title of the proceedings in any event as a precaution against misfiling the paper exhibit and the tradition of having a frontsheet for all exhibits, both those used with affidavits and those used with witness statements alike, has persisted after computerisation even though the practice direction does not require it for exhibits used with witness statements which now are by far the most common form of statement.
Creating a frontsheet and backsheet for each exhibit can be a laborious task if there are a large number of exhibits, and litigants in the High Court and County Court sometimes continue to use frontsheets but employ various strategies to save time. Although these strategies may be within the rules unfortunately some can be counter-productive because they cause extra work later on in the litigation process:
Where there is "electronic filing" each document must be provided as a separate PDF with a concise descriptive filename. This is necessary because although the final hearing is in public the court allows only some of the documents filed before then to be examined by non-parties and must be able to provide particular documents without other documents being in the same PDF. But for those County Courts which are still paper-based, the rules do not actually require each exhibit to consist of a single document so in those courts it is possible to have a single frontsheet for a composite exhibit containing many documents (albeit they must be fastened in some way other than stapling). However this makes it impossible to automatically hyperlink exhibit references later on when the paper exhibits are scanned and included in the Final Hearing Bundle PDF because each reference in the statement has to include both the composite exhibit mark and the page number of the document within the composite exhibit and this is unlikely to be in a consistent format suitable for automatic hyperlinking. So more work is created in the end as hyperlinking has to be done manually.
Where documents have some property which can easily be used for identification (such as emails which can be identified by the sender and the date and exact time of sending) and where witnesses have ready access to the documents (such as where the emails are sent within, from and to a corporate party and the witnesses remain employees of the corporate party with access to those emails) it may be considered, in view of the huge number, that the documents should not be exhibited but should instead be identified by that property in witness statements which should also quote the number assigned to the document in the disclosure list produced at the earlier Disclosure of Documents stage. In this case quoting the disclosure list reference is more to help those later assembling the final hearing bundle - rather than being necessary for identification of a document to the witness. However unless some consistent unique reference system (as consistent as and unique like a three capital letter and number exhibit mark) is used to refer to documents by disclosure reference automatic hyperlinking will still not be possible. And of course this approach will anyway not always be suitable for third-party witnesses (i.e. witnesses who can give relevant evidence but are not themselves parties to the litigation nor employed by a corporate litigant with their own ready access to documents) and they may need to exhibit labelled documents in the normal way. So arguably in the average civil court case it still better to create individual exhibits - one for each document - particularly given that a simple exhibit label - containing the exhibit mark together with e.g. 2nd Resp: E. W. Jones: 3rd: 24.7.2024 - can be applied electronically to a PDF copy of a document, with no frontsheet (or backsheet) being needed if the exhibit is referred to in an ordinary witness statement.
Technically any object which contains information is a "document" but if the object itself needs to be exhibited (whether or not it counts as a "document") then the usual procedure is that very small objects should be placed in a marked container and larger objects should have the exhibit mark securely attached to the object itself. Object exhibits are generally less convenient to handle and in many (though not all) cases it is possible for photos of the object to be exhibited rather than the object itself.
The copies of the documents accompanying a statement of case (rather than a witness statement) could be labelled with an exhibit mark but often the copies sent out with the statement of case (e.g. by email or loaded a tribunal website) will be unlabelled being instead identified with a reference number in their filenames. This may be acceptable because the author of the statement of case is the person sending out the statement of case and accompanying documents so that they are in a position to ensure that the accompanying documents have the correct filenames which cross-reference with the document references in the statement of case. (It is otherwise with the statements of individual witnesses because those statements are given initially to the party calling the witness rather than being sent out direct to the tribunal by the witness.)
The conventions for references in statements of case are less well established than for witness statements. Sometimes (if a party is an individual) initials followed by a number (e.g. JJS12) are used. Sometimes the format is e.g. R12 (for document 12 listed in the Respondents' statement of case) or perhaps just an unprefixed number - e.g. 12. You can't always automatically hyperlink just unprefixed numbers in a statement of case so an alphabetic prefix such as R12 should preferably be used.
If a witness refers to a video or audio recording then to reduce the risk of mistake over which file is intended, the length of the recording should be stated - e.g. I took a video of the leak on 15 July 2023. The video is 5 minutes 23 seconds long.
Disclaimer
This information page is designed to be used by clients of John Antell who have entered into a written agreement for the provision of legal services.
Any explanation about naming conventions or other matters in the context of legal procedure is only an overview and in order to be reasonably concise I have had to leave some details out - details which are likely to affect what the procedural law would say about your own situation. Also, even as an overview, the information will not be applicable to every case as procedures vary between different courts and other tribunals and any tribunal may give alternative procedural directions in an individual case. So please do not rely on the above but contact me for advice.
Any information about specific computer techniques is provided for information purposes only and you should satisfy yourself, before using any techniques, software or services mentioned, that the techniques are appropriate for your purposes and that the software or service is reliable.
Every reasonable effort has been made to ensure that the information in this page is accurate and up to date at the time it was written but no responsibility for its accuracy, or for any consequences of relying on it, is assumed by me.
This page was lasted updated in April 2025. Disclaimer