Index a regulator's notice and hold the response for the lawyer
Key facts
- Human involvement
- RedLawyer-led
- How AI is used
- List each request in the notice, the date printed on it, and the categories of documents the notice names. Do not draft the response that is sent and do not calculate a deadline that is not printed on the notice.
- What the lawyer must review
- What may be disclosed in a response is the lawyer's decision. ABA Model Rule 1.6(a) provides that a lawyer shall not reveal information relating to the representation of a client unless the client gives informed consent, the disclosure is impliedly authorized in order to carry out the representation, or paragraph (b) permits it. ABA Formal Opinion 512 (29 July 2024) requires the lawyer to supervise a generative tool and to remain responsible for its output. A notice from a regulator is not, by itself, a subpoena under Federal Rule of Civil Procedure 45. If the paper is a Rule 45 subpoena, that rule governs the objection and the motion to quash, and the lawyer writes anything that is served or filed. The tool does not identify the agency's statute and does not decide whether a privilege applies.
- Written for / version
- United States versionUSCth
Who does what
| Role | What they do |
|---|---|
| Assistance | Supporting preparation only. Potential support includes assembling provisional schedules. Confirm the tool’s capability and permitted scope. The tool writes nothing into the document. Substantive advice, judgement and any restricted content remain with the responsible human. |
| Lawyer | Perform the substantive analysis and decisions. Independently check any permitted supporting work and approve the exact output for its intended use. |
Checklist
- Check the current court or regulator requirements, prescribed form and attachments for the intended document and filing.
- 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.