AI Governance Phase 0 Assessment

A Structured Risk Review for Small Law Firms Using AI

Artificial intelligence is now embedded in legal research platforms, drafting tools, client communication systems, litigation analytics, and document review workflows.

For small law firms, the ethical question is no longer whether to use AI.

The question is whether AI use is defensible under the Rules of Professional Conduct.

The AI Governance Phase 0 Assessment is a structured, attorney-focused review designed specifically for solo practitioners and firms of up to five attorneys.

It is the first step in a defensible AI governance strategy.

Why This Assessment Exists

ABA Model Rules 1.1, 1.6, 5.1, 5.3, and 3.3 now directly intersect with AI usage.

ABA Formal Opinion 512 clarifies that lawyers must:

  • Understand the benefits and risks of generative AI

  • Protect client confidentiality

  • Supervise AI outputs

  • Verify accuracy before submission to a tribunal

  • Conduct vendor due diligence

Most small firms are already using AI tools — often without a documented governance framework.

That creates exposure in:

  • Malpractice claims

  • Insurance underwriting

  • Client audits

  • Judicial scrutiny

  • Bar disciplinary review

The Phase 0 Assessment identifies those exposure points before they become problems.

What the Phase 0 Assessment Covers

The Assessment evaluates your firm’s AI posture across six core domains:

1. AI Usage Inventory

  • Where AI is currently being used

  • Who is using it

  • For what purpose

  • Whether usage is supervised

2. Confidentiality & Data Flow Review

  • Client data exposure pathways

  • Vendor data residency

  • Retention policies

  • Subprocessor risks

  • Encryption standards

3. Verification & Supervision Protocols

  • AI output validation processes

  • Citation verification

  • Draft review workflows

  • Tribunal submission safeguards

4. Vendor Due Diligence

  • Contractual review standards

  • SOC 2 / security certifications

  • Training data usage policies

  • Breach notification procedures

5. Training & CLE Exposure

  • Attorney AI competence training

  • Staff education

  • Documentation practices

  • Supervisory responsibility alignment

6. Insurance & Risk Posture

  • Malpractice carrier AI questionnaires

  • Underwriting implications

  • Documentation readiness

The Governance Framework: Assess → Design → Deploy

Small firms need more than informal tech adoption.

They need infrastructure.

Assess

Identify risks. Document usage. Map exposure.

Design

Create governance policies. Establish supervision protocols. Formalize vendor standards.

Deploy

Train attorneys and staff. Implement documented workflows. Maintain audit trails.

Phase 0 is the Assess stage.

Without it, policy drafting is guesswork.

Who This Is For

  • Solo practitioners

  • 2–5 attorney firms

  • Managing partners

  • Risk partners

  • Firms currently using AI informally

  • Firms preparing for insurance renewal

  • Firms concerned about regulatory trajectory

What You Receive

  • Structured AI Governance Risk Report

  • Confidentiality & Vendor Exposure Analysis

  • Supervisory Risk Summary

  • Compliance Gap Identification

  • Governance Readiness Score

  • Written Recommendations for Phase 1 (Policy Design)

This is not legal advice.

It is structured governance risk analysis tailored to legal practice.

Why Act Now

Over the next five years:

  • AI competence CLE will expand nationally

  • Courts will increase scrutiny of AI-generated filings

  • Malpractice carriers will request governance documentation

  • Clients will expect AI transparency

Firms that wait will govern reactively.

Firms that assess early govern strategically.

Professional Responsibility Is the Standard

AI use intersects directly with:

  • Rule 1.1 – Competence

  • Rule 1.6 – Confidentiality

  • Rule 5.1 – Supervisory Responsibilities

  • Rule 5.3 – Nonlawyer Assistance

  • Rule 3.3 – Candor Toward the Tribunal

Unstructured AI adoption may implicate each of these.

Structured governance protects your firm.

Begin With Phase 0

Before scaling AI usage.
Before insurance renewal.
Before a client asks about data residency.
Before a court questions AI-generated work product.

Conduct a Phase 0 AI Governance Assessment.

Schedule a Confidential Consultation

Book a 30-minute conversation to determine whether your firm would benefit from a structured governance review:

https://calendly.com/keaneaiadvisors

AI is now part of legal infrastructure.

Governance must be as well.