Delegating Client Intake to a Legal Assistant: The Ethics and the Workflow

For many small firms, intake is where attorney time quietly disappears: returning calls, answering logistical questions, scheduling consultations, chasing engagement letters. Much of that work can be delegated to a trained legal administrative assistant — within the ethics rules. This guide covers both. It's general information, not legal advice; your jurisdiction's rules control.

The ethics framework

Model Rule 5.3: supervising nonlawyers

ABA Model Rule 5.3 requires lawyers with managerial authority to have measures in place giving reasonable assurance that nonlawyers' conduct is compatible with the lawyer's professional obligations, and requires supervising lawyers to make reasonable efforts to ensure the same. Lawyers can be responsible for a nonlawyer's conduct they order, ratify or fail to remediate (ABA Model Rule 5.3).

The comments note that this applies to nonlawyers inside and outside the firm, and that lawyers should consider the assistant's experience, the nature of the services, confidentiality arrangements and the legal environment where the services are performed (Comment to Rule 5.3).

Formal Opinion 506: intake specifically

In 2023 the ABA issued Formal Opinion 506 on nonlawyer assistance with prospective client intake. It indicates a lawyer may train and supervise a nonlawyer to assist with tasks such as obtaining initial information about a matter, performing an initial conflict check, determining whether the matter fits the lawyer's practice areas, answering general questions about the fee agreement or process, and obtaining signatures on the fee agreement — provided the prospective client is always offered an opportunity to communicate with the lawyer. Questions requiring legal judgment, fee negotiation or interpretation of the agreement must go to the lawyer (ABA news release).

Check your state's version of the rules and any local ethics opinions.

A compliant intake workflow

1. Scripted first contact

The assistant answers or returns the inquiry using an intake script: contact details, matter type, key dates, opposing parties (for conflicts), how they heard about the firm.

2. Conflict check request

The assistant submits names to your conflict-check process. A lawyer or designated staff member clears conflicts.

3. Fit screen

Using criteria the lawyer defines, the assistant identifies whether the matter is in a practice area the firm handles. Out-of-scope inquiries get a polite, scripted response and referral resources the firm approves.

4. Consultation scheduling

The assistant books the consultation and sends intake forms.

5. Engagement letter logistics

After the lawyer decides to take the matter, the assistant sends the firm's template engagement letter for e-signature and tracks completion — with a clear note that the client can speak with the lawyer about the agreement at any time.

6. Matter opening

The assistant opens the matter in your practice-management system (Clio, MyCase, PracticePanther and similar), sets up the file structure and calendars initial dates as directed.

Scripted boundaries

Train the assistant to recognize and route questions like:

• "Do I have a case?"
• "What should I do about…?"
• "Can you lower the fee?"
• "What does this clause mean?"

The response: "That's a great question for the attorney. I'll make sure they address it with you."

Confidentiality and access

• Confidentiality agreements signed before access
• Named accounts in your practice-management and document systems
• Least-privilege access; MFA everywhere
• No local copies of client files
• Same-day offboarding

Measuring intake

• Speed to first response
• Consultation booking rate from qualified inquiries
• Engagement letters signed within X days
• Attorney hours per week on intake admin

A worked example: an intake call, step by step

Here is how a compliant intake call might run at a small personal-injury or family-law firm, with the ethics principle behind each step. Firms should adapt it with their own counsel and their state's rules, since states adopt and interpret the ABA Model Rules differently.

Sample script boundaries

Write these out and keep them next to the phone:

• Never say: "You have a good case." "You should sue." "That's definitely negligence." "The other side has to pay." "You don't need a lawyer for that."
• Do say: "I'm going to gather some details so the attorney can review your situation." "I can't give legal advice, but I can get you a consultation." "If you have a court date or deadline coming up, please tell me now so I can flag it."

Non-engagement and declined matters

When the firm decides not to take a matter, the declination should come from or be approved by an attorney, in writing. It should state that the firm is not representing the person and note that time limits may apply to their claim, without giving advice on the merits. The intake assistant can send the approved template, but should not draft the reasoning.

Checklist: supervision under Rule 5.3

• [ ] A named supervising attorney for intake staff
• [ ] Written intake scripts and escalation rules, reviewed at least annually
• [ ] Confidentiality training at onboarding, with signed acknowledgment
• [ ] Named accounts in the case-management and phone systems with role-based access
• [ ] Periodic call or record review by the supervising attorney
• [ ] A clear process for marketing contacts, since live solicitation of prospective clients is restricted under Rule 7.3

The ABA's Formal Opinion 08-451 also addresses outsourcing legal and nonlegal support services. It is a useful reference when your intake team is remote or provided by an outside firm.

The bottom line

Intake can be delegated — the ABA has addressed it directly — as long as a lawyer supervises, legal judgment stays with lawyers, and the prospective client can always talk to the lawyer.

See Legal Administrative Assistants and Law Firms.

Sources

• ABA, Model Rule 5.3: Responsibilities Regarding Nonlawyer Assistance and Comment.
• ABA, Ethics guidance for lawyers' use of legal assistants (Formal Opinion 506).
• American Bar Association, Model Rule 1.18: Duties to Prospective Client.
• American Bar Association, Model Rule 1.6: Confidentiality of Information.
• American Bar Association, Model Rule 7.3: Solicitation of Clients. ---SOURCES---