What client-intake tasks can a lawyer delegate to a nonlawyer assistant, and which questions from a prospective client must the lawyer answer?
ABA Formal Opinion 506: Responsibilities Regarding Nonlawyer Assistants
Short answer: The opinion concludes that a lawyer may train and supervise a nonlawyer to assist with prospective-client intake, including gathering initial information, running an initial conflict check, determining whether the matter fits the lawyer's practice, answering general questions about the fee agreement and process, and obtaining a signature, so long as the prospective client is always offered the chance to communicate with the lawyer; because Rule 5.5 bars assisting the unauthorized practice of law, whether a nonlawyer may answer a particular question depends on whether answering it would constitute the practice of law.
Disclaimer: This is an advisory ethics opinion. Advisory opinions are not binding; they interpret the American Bar Association's Model Rules of Professional Conduct and are persuasive authority. This summary is for research purposes only and is not legal advice. Verify current rules before acting on any specific guidance.
About this page: The plain-English summary and Q&A below were written by Ezel based on the official opinion. We do not reproduce the opinion text on this page; follow the linked source for the official text, which controls.
Plain-English summary
The opinion addresses a lawyer's ethical obligations when delegating prospective-client intake tasks to a nonlawyer, which tasks may be delegated, and which questions a nonlawyer may answer without engaging in the unauthorized practice of law. It begins from Rule 5.3, under which partners and managers must have firm policies assuring that nonlawyer conduct is compatible with lawyers' professional obligations, and directly supervising lawyers must make reasonable efforts to the same end. The opinion recognizes that delegating intake brings real efficiency, but cautions that "without proper policies, training, and supervision in place, this delegation could lead to ethical violations," and that the practice must be carefully managed.
The opinion identifies specific tasks a lawyer may delegate: obtaining initial information such as the names of parties, dates, and the nature of the matter; running a conflict check, though the lawyer must review close matches and make the final conflict determination; deciding whether the matter is germane to the lawyer's practice; answering general questions; and obtaining the prospective client's signature on the fee agreement. It stresses that delegation does not relinquish the lawyer's own duties under Rules 1.2, 1.4, and 1.5(b), and that once a client-lawyer relationship forms the lawyer must communicate about objectives, fees, and scope so that, as the opinion puts it, "the client must know what the client bargained for."
The dividing line on questions is the practice of law. Per the opinion, "whether a nonlawyer may answer a prospective client's specific question depends on the question presented and what would be considered to be the practice of law in the jurisdiction." A nonlawyer may give general information on how fees are charged and how payments are processed, but if the prospective client asks what legal services to obtain, wants to negotiate fees, or asks for interpretation of the engagement agreement, the lawyer must respond. The opinion directs lawyers to provide nonlawyers "with policies, training, and supervision regarding which questions the nonlawyer may answer, how to respond to those questions, and which questions should be presented to the lawyer."
In practice
Under this opinion, a lawyer who uses nonlawyer staff for intake may delegate information-gathering, an initial conflict check, a practice-fit screen, general explanations of fees and process, and obtaining a signature, provided the prospective client can always reach the lawyer, including to discuss the fee agreement and scope. The opinion holds that the lawyer remains responsible under Rules 1.2, 1.4, and 1.5(b) for the substantive client communications, and that under Rules 5.3 and 5.5(a) the lawyer must train and supervise nonlawyers so they do not cross into the unauthorized practice of law by answering questions that require applying law to facts. Where a question calls for legal judgment, the opinion says the nonlawyer should route it to the lawyer.
Common questions
Q: Can a paralegal or intake clerk run the initial conflict check?
A: Per the opinion, yes, but the lawyer must review close matches and make the final determination of whether a conflict exists and whether it is waivable.
Q: Can a nonlawyer have the client sign the fee agreement?
A: The opinion permits a trained, supervised nonlawyer to obtain the signature, as long as the prospective client is offered the opportunity to communicate with the lawyer about the fee agreement and scope of representation.
Q: Which prospective-client questions must the lawyer answer personally?
A: Per the opinion, questions about what legal services to obtain, negotiating fees or expenses, or interpreting the engagement agreement must be answered by the lawyer, because answering them is the practice of law.
Q: What must a lawyer do to supervise nonlawyer intake staff?
A: The opinion requires policies, training, and supervision covering which questions a nonlawyer may answer, how to answer them, and which to refer to the lawyer, so the nonlawyer's conduct is compatible with the lawyer's obligations under Rule 5.3.
Background and rules framework
The opinion interprets Model Rule 5.3 (responsibilities regarding nonlawyer assistance) together with Rule 5.5(a) (no assisting the unauthorized practice of law), and reads them against the lawyer's own duties under Rule 1.2 (scope and objectives), Rule 1.4 (communication, extended here to prospective clients), Rule 1.5(b) (communicating fees and scope), and Rule 1.18 (duties to prospective clients). It builds on Formal Opinion 467 (2014), which analyzes Rule 5.3 in detail, and references Formal Opinion 504 on which jurisdiction's definition of the practice of law applies.
Citations and references
Rules of Professional Conduct:
- ABA Model Rule 5.3 (nonlawyer assistance), 5.5(a) (unauthorized practice)
- ABA Model Rule 1.4 (communication), 1.5(b) (fees and scope)
- ABA Model Rule 1.2 (objectives), 1.18 (prospective clients)
Cases:
- In re Phillips, 226 Ariz. 112, 244 P.3d 549 (2010), nonlawyer intake guidelines
Other opinions cited:
- ABA Formal Op. 467 (2014): supervisory duties under Rule 5.3
- ABA Formal Op. 02-425 (2002): applying Rule 1.4(b) to retainer agreements
- ABA Formal Op. 504 (2023): which jurisdiction's definition of practice of law applies
See also
- ABA Formal Op. 501: Solicitation
- ABA Formal Op. 510: Prospective-Client Conflicts
- ABA Formal Op. 507: Office Sharing Arrangements
Source
- Landing page: ABA Formal Ethics Opinions index
- Original PDF: aba-formal-opinion-506.pdf