Build an escalation matrix for a client-facing legal tool

Key facts

Human involvement
YellowClose supervision
How AI is used
Turn the firm's tool description into a draft matrix of who is told, and within what time, when the tool gives advice, takes a step, or mishandles client information.
What the lawyer must review
You set the thresholds. ABA Formal Opinion 512: the tool cannot offer legal advice, negotiate or file without your judgment. Model Rule 5.5(a) forbids assisting unauthorised practice. California's 2026 guidance: an agentic system must not make substantive legal determinations without meaningful lawyer supervision. Model Rules 5.1 and 5.3 require a real supervision policy, not a chart the tool wrote.
Written for / version
United States versionUS

Who does what

Who does what
RoleWhat they do
AssistancePotential support includes preparing preliminary structure or wording. Confirm the tool’s capability and permitted scope.
LawyerSet the scope, supervise the work closely, verify every part relied on, resolve omissions and exceptions, and approve the exact output.

Checklist

  1. Confirm the output against the client’s instructions and the complete relevant source material, including omissions or contradictions.
  2. Resolve exceptions and record the responsible lawyer’s approval of the exact output and intended use.

Forms and precedents for this task

Forms and precedents for this task
Form or precedentKindAI useSummary
Client consent to input information into a generative AI tool (United States)LetterAI use YellowA tool-specific consent for putting information relating to a representation into a named generative AI tool, with the risk particulars Formal Opinion 512 says a boilerplate engagement sentence does not supply.
No-advice notice for a client-facing tool (United States)NoticeAI use YellowA fixed notice that a client-facing tool is not a lawyer, does not give legal advice, and does not create a client-lawyer relationship.
Note escalating a client-facing tool transcript to a lawyer (United States)MemoAI use YellowAn internal note that lifts a transcript out of a client-facing tool and records why a lawyer must take the next step.

Signed-in accounts can read the full text of each one. All precedents.

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