3.1 Numbers, Dates & Capitalization Rules in Formal Filings

3.1 Numbers, Dates & Capitalization Rules in Formal Filings

[!NOTE] NALS Examination Focus: Number Usage and Capitalization are two of the eight headings NALS lists under Part 1, Advanced Communications & Legal Terminology, and each carries its own set of basic and special rules. Mastery of number formatting, date structures, and judicial capitalization is heavily tested because errors in these areas undermine legal precision, introduce contractual ambiguities, and violate local court rules.

Formal legal drafting demands a level of typographical precision and grammatical consistency far beyond ordinary business writing. Court pleadings, discovery requests, appellate briefs, and transactional instruments are interpreted under strict canons of construction. A misplaced capital letter can create ambiguity regarding whether a rule applies to a specific litigant or to litigants generally, while an incorrectly formatted number can introduce multi-thousand-dollar discrepancies into a settlement decree.

---

The Cardinal Rule for Expressing Numbers

In standard legal prose—including pleadings, motions, judicial memoranda, and correspondence—the prevailing rule aligns with The Bluebook: A Uniform System of Citation (Rule 6.2) and The Gregg Reference Manual:

1. Spell out numbers zero through nine in words (e.g., zero, one, five, eight, nine).
2. Use Arabic numerals for numbers 10 and above (e.g., 10, 25, 150, 1,250).

INCORRECT: The defendant failed to respond to 4 separate discovery demands.
CORRECT:   The defendant failed to respond to four separate discovery demands.

INCORRECT: The deposition lasted for nine hours and forty-five minutes across two days.
CORRECT:   The deposition lasted for 9 hours and 45 minutes across two days.

The Sentence-Beginning Rule and Sentence Recasting

Under no circumstances may an Arabic numeral begin a sentence in formal legal writing. If a number opens a sentence, it must be written out completely, regardless of how large it is. However, spelling out large, cumbersome numbers creates awkward, visually cluttered prose. The preferred professional paralegal technique is to recast the sentence so that the number appears later in the clause.

• Flawed (Arabic Numeral at Start): 42 witnesses testified during the three-week liability trial.
• Acceptable but Clunky (Spelled Out): Forty-two witnesses testified during the three-week liability trial.
• Preferred (Recast Sentence): During the three-week liability trial, 42 witnesses testified.

Numerical Consistency Within a Series

When a sentence or single clause contains a series of numbers referring to the same category of items, and at least one number is 10 or greater, use Arabic numerals for all numbers in that series to maintain visual and mathematical consistency.

• Inconsistent: The attorney interviewed four paralegals, 12 associates, and two senior partners.
• Consistent (Preferred): The attorney interviewed 4 paralegals, 12 associates, and 2 senior partners.

---

Specialized Exceptions to the Baseline Number Rule

Legal drafting recognizes critical categorical exceptions where Arabic numerals are required even for quantities under 10:

1. Chronological Ages

In legal instruments where chronological age determines legal status, minority, majority, or statutory eligibility, always use Arabic numerals:

• "The victim was 8 years old at the time of the incident."
• "The claimant attained the age of 65 before filing for benefits."
• "A minor child, aged 3, was placed in protective custody."

2. Percentages and Proportions

In formal legal narrative, write percentages using Arabic numerals followed by the spelled-out word 'percent'. The percent symbol (%) is reserved exclusively for statistical appendices, financial schedules, and tabular exhibits:

• "The court awarded prejudgment interest at the statutory rate of 8 percent per annum."
• "Plaintiff established a 7 percent reduction in earning capacity."

3. Monetary Sums and Dual-Notation Conventions

For general references to currency in legal text, use the dollar sign ($) coupled with Arabic numerals:

• "The filing fee was $350."
• "Plaintiff seeks $8,500 in property restitution."

In contracts, promissory notes, real estate conveyances, settlement releases, and formal releases of liability, legal drafters employ dual notation—expressing the monetary sum in spelled-out words followed immediately by the numeric figure enclosed in parentheses:

$\text{"The Buyer agrees to pay the sum of Ten Thousand Five Hundred Dollars (\$10,500.00)."}$

[!IMPORTANT] The Rule of Discrepancy (Words Control Over Figures): Under Uniform Commercial Code (UCC) § 3-114 and general contract law, if an inadvertent discrepancy arises between the spelled-out words and the parenthetical figures (e.g., "Ten Thousand Dollars ($100,000.00)"), the words unequivocally control over the figures. Drafters must verify both expressions with extreme care during proofreading.

4. Statutory Sections, Procedural Rules, and Court Documents

References to legislative statutes, administrative codes, constitutional articles, and procedural rules always utilize Arabic numerals, accompanied by proper legal symbols:

• Section symbol: 42 U.S.C. § 1983
• Multiple sections: 28 U.S.C. §§ 1331–1332
• Procedural rules: Fed. R. Civ. P. 12(b)(6), Fed. R. Evid. 403
• Paragraph symbol: Affidavit of John Doe at ¶ 14

5. Dates and Clock Time

In formal pleadings and legal correspondence, write dates in standard American format without ordinal suffixes (-st, -nd, -rd, -th) when the year is stated:

• Correct: September 8, 2026 (Notice the comma separating day and year, and after the year if the sentence continues: "On September 8, 2026, the deposition convened.")
• Incorrect: September 8th, 2026
• Ordinal Use Allowed Only When Year Is Omitted: "The hearing is scheduled for the 8th of September."

For clock time, use Arabic numerals with lowercase, punctuated meridiem indicators (a.m. / p.m.):

• "The court recessed at 4:30 p.m. and reconvened at 9:00 a.m. the following morning."
• Avoid redundancies such as "9:00 a.m. in the morning" or "12:00 noon p.m."

---

Number Formatting Rules in Legal Documents

---

Capitalization Standards in Formal Court Filings

Capitalization in legal documents does not follow informal journalistic conventions. It is strictly controlled by legal style manuals to communicate precise procedural meaning.

1. Capitalizing "Court"

Paralegals must adhere to three rigid rules when deciding whether to capitalize the word "Court":

1. Supreme Court of the United States: Always capitalize "Court" when referring to the U.S. Supreme Court, even when the full name is not used ("The Court held in Miranda v. Arizona...").
2. The Addressed Court: Always capitalize "Court" when referring to the specific judge or judicial body receiving the motion, brief, or pleading being drafted ("Defendant respectfully requests that this Court grant summary judgment.").
3. Full Formal Title: Capitalize when naming any tribunal by its complete official statutory designation ("the United States District Court for the Northern District of Illinois", "the Ohio Supreme Court").
4. Generic Reference (Lowercase): Use lowercase "court" when speaking generally of trial courts, appellate courts, or foreign tribunals ("Federal district courts have limited jurisdiction; a state court may hear general claims.").

2. Capitalizing Party Designations

The designations "Plaintiff," "Defendant," "Petitioner," "Respondent," "Appellant," and "Appellee" are capitalized only under strict jurisdictional parameters:

• Capitalize Without Articles for Current Action: Capitalize the party designation when referring directly to the actual parties in the instant litigation, functioning as proper nouns without articles ("Plaintiff asserts that Defendant breached Section 4 of the Employment Agreement.").
• Lowercase With Articles or Generic Reference: When preceded by an article ("the plaintiff", "a defendant") or when referring to parties in cited precedents, use lowercase ("In Celotex, the plaintiff failed to establish a genuine issue of material fact.", "A defendant must serve an answer within 21 days.").

3. Judicial and Official Titles

• Preceding a Name: Capitalize judicial, governmental, and executive titles when they immediately precede an individual's proper surname: "Judge Sandra Day O'Connor", "Chief Justice Roberts", "Magistrate Judge Martinez", "Attorney General Garland".
• Standing Alone (Generic): Lowercase titles when used generically without the individual's surname: "The judge delivered jury instructions prior to closing arguments.", "The attorney general filed an amicus brief."

4. Constitutional Provisions, Acts, and Document Subdivisions

• Constitutions: Capitalize "Constitution" when referring specifically to the Constitution of the United States or a specific state constitution ("the United States Constitution", "the Texas Constitution"). Lowercase the derivative adjective "constitutional" ("a constitutional violation").
• Statutes and Enactments: Capitalize the formal names of legislative acts ("the Civil Rights Act of 1964", "the Freedom of Information Act"). Lowercase generic statutory descriptors ("antitrust laws", "environmental statutes").
• Internal Document Designations: Capitalize formal subdivisions of court pleadings and exhibits when accompanied by a specific identifier: "Exhibit A", "Count III", "Affidavit of Service", "Article IV", "Paragraph 12". Lowercase general descriptions: "the attached exhibit", "the third count of the complaint".