Build a production log for an adviser examination
Key facts
- Human involvement
- YellowClose supervision
- How AI is used
- List each request, the document, the date, the custodian named in the file, and whether the lawyer has marked it to be produced. Write no transmittal letter.
- What the lawyer must review
- Model Rule 1.6 applies before examination materials go into a tool or to a regulator. Rule 206(4)-7 requires written policies reasonably designed to prevent violations, an annual review, and a chief compliance officer. The log does not decide privilege. The lawyer decides what is produced and what is withheld.
- Written for / version
- United States versionUSCth
Who does what
| Role | What they do |
|---|---|
| Assistance | Consider narrowly defined preparation support after confirming the tool’s capability and permitted scope. |
| Lawyer | Set the scope, supervise the work closely, verify every part relied on, resolve omissions and exceptions, and approve the exact output. |
Checklist
- Confirm that the actual tool, feature and processing terms permit use of this information, including access, retention, training and disclosure conditions.
- Verify the applicable jurisdiction and the version of each relevant law, rule or instrument in force at the material time.
- Confirm the output against the client’s instructions and the complete relevant source material, including omissions or contradictions.
- Resolve exceptions and record the responsible lawyer’s approval of the exact output and intended use.