When it comes to client intake, compliance is non-negotiable. Attorneys must protect confidentiality, handle sensitive data responsibly, and follow state and federal laws. If your firm is exploring AI intake assistants, here's what you need to know about consent, recording, and data retention.
Consent & Call Recording
U.S. states differ in how they regulate recorded calls:
One-Party Consent States
Only one participant needs to know the call is recorded (typically 38 states).
Examples: New York, Texas, Georgia, Virginia, North Carolina
Two-Party Consent States
Everyone on the call must be informed and consent to recording.
Examples: California, Florida, Pennsylvania, Illinois, Massachusetts
Best Practice: Always Disclose
Regardless of jurisdiction, always disclose call recording. This protects your firm from disputes and builds client trust.
Example AI Script Opener:
"Thank you for calling [Firm Name]. This call may be recorded for intake and quality purposes. Do I have your consent to continue?"
Minimizing PII Collection
The less personally identifiable information (PII) your AI intake collects before conflicts are cleared, the better. This reduces exposure and simplifies compliance.
Limit Early Intake Collection
Before conflict checks are cleared, collect only essential information:
✅ Safe to Collect:
- • Caller's first name and last initial
- • Phone number and email
- • Opposing party name (for conflicts)
- • Broad matter type (family, criminal, etc.)
- • Urgency level
⚠️ Collect Later:
- • Detailed case facts
- • Financial information
- • Medical details
- • Social Security numbers
- • Specific damages or settlements
Two-Stage Intake Process
Initial Screening (AI)
Collect minimal information, perform conflict check, schedule consultation
Detailed Intake (Human)
After conflicts cleared, collect sensitive case details during consultation
Data Retention Policies
AI intake systems generate transcripts and summaries that must be handled with care. Your data retention policies should be clear and customizable.
Key Policy Questions
How Long?
- • Non-clients: 30-90 days
- • Potential clients: 1-2 years
- • Retained clients: Per engagement letter
Where Stored?
- • Location: U.S.-based servers
- • Backup: Encrypted cloud storage
- • Access: Role-based permissions
Who Has Access?
- • Attorneys: Full access
- • Staff: Need-to-know basis
- • IT/Admin: Encrypted only
Automatic Purge Schedules
Configure automatic data deletion to reduce compliance risk and storage costs.
Sample Retention Schedule:
- • Declined matters: 30 days → auto-delete
- • No-show consultations: 90 days → auto-delete
- • Active matters: Retain per case closure + statute
Redaction & Security Safeguards
Look for AI intake providers that offer robust security features to protect sensitive client information.
Automatic PII Redaction
AI should automatically detect and mask sensitive information in transcripts.
- • Social Security numbers → ***-**-1234
- • Credit card numbers → ****-****-****-1234
- • Full addresses → [REDACTED ADDRESS]
- • Account numbers → [REDACTED]
Encryption Standards
All call data should be encrypted both in transit and at rest.
- • In transit: TLS 1.3 encryption
- • At rest: AES-256 encryption
- • Key management: Secure key rotation
- • Access logs: All data access tracked
Audit Trails & Compliance Monitoring
Comprehensive logging helps ensure compliance and provides accountability.
Access Logging:
- • Who accessed what data
- • When data was viewed/downloaded
- • IP addresses and timestamps
Data Lifecycle:
- • Creation and modification dates
- • Retention schedule compliance
- • Deletion confirmations
Third-Party Certifications
Look for providers with independent security certifications as additional assurance:
- • SOC 2 Type II: Security, availability, processing integrity
- • ISO 27001: Information security management
- • HIPAA compliance: For healthcare-related legal matters
- • Annual penetration testing: Third-party security assessments
HIPAA & PHI Considerations
If your firm handles matters involving Protected Health Information (PHI) — such as medical malpractice, personal injury, or healthcare law — additional safeguards are required.
HIPAA Requirements for Law Firms
When handling PHI in legal matters, ensure your AI intake provider can meet HIPAA standards.
Required Safeguards:
- • Business Associate Agreement (BAA)
- • PHI-specific retention policies
- • Enhanced access controls
- • Breach notification procedures
Common PHI Scenarios:
- • Medical malpractice cases
- • Personal injury with medical records
- • Disability claims
- • Healthcare regulatory matters
Business Associate Agreement (BAA)
Any AI provider handling PHI must sign a BAA that outlines their responsibilities and your firm's liability protections.
BAA Must Address:
- • Permitted uses and disclosures of PHI
- • Safeguards for PHI protection
- • Breach notification requirements
- • PHI return or destruction upon termination
Compliance Checklist
When evaluating an AI intake provider, use this checklist to ensure they meet your firm's compliance requirements:
Provider Evaluation Checklist
Key Takeaway
AI Intake is Only Valuable if It's Compliant
By designing intake flows around consent, minimal PII collection, and strict retention policies, your firm can modernize intake without sacrificing confidentiality or client trust.
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Disclaimer: The information in this article is intended for general educational purposes and should not be relied upon as legal, financial, or compliance advice. Laws and regulations vary by jurisdiction and may change over time. Before implementing any AI intake solution, consult with qualified legal and compliance professionals to ensure your specific situation meets all applicable requirements and industry standards.