AI Safeguards and Best Practices

New opportunities in technology tend to bring new risks. Law firms integrating AI, in particular, can reduce risk with a governance framework and AI safeguards that prioritize fairness, transparency, accountability, privacy, and human oversight. 

This guide focuses on practical, defensible controls of AI policy, process, and technology, ensuring they can be adapted to meet your firm’s needs. 

TL;DR

• Centralize oversight with, and document decisions of, an AI governance committee
• Classify AI use by risk, restrict sensitive workflows, and plan for human-in-the-loop
• Verify all AI-generated legal content and sources prior to client use
• Demand vendor security (e.g., SOC 2/ISO 27001) and least-privilege access
• Minimize data, log provenance, and retain only what’s necessary
• Disclose AI use to clients with updated engagement letters and billing
• Train and re-train, track acknowledgements/CLE, and audit compliance
• Start small, measure the outcome, then expand
• No cowboy prompts in production, no wild west use of unauthorized AI 

Define “AI in Legal” So You Can Govern It

How will your firm integrate AI? The legal industry is leveraging AI in multiple ways to achieve greater efficiency, accuracy, and insight. Use often includes: 

• Generative – Initial case analysis, document drafting, and legal research and summarization.
  
• Predictive – Pattern-based litigation analytics, case valuation and settlement strategy, and the selection and prioritization of eDiscovery and document review.
  
• Assistive – Writing assistance, admin support, routine client communications, initial intake, document review and automation, and contract review and analytics.

In terms of risk exposure, consider a tiered model of what to allow: 

• Prohibited – Sensitive client intake and privileged strategy drafting without approvals
• Restricted – Analytics/research with dual-lawyer review and source verification
• Standard – Internal summaries/notes with mandatory attorney validation

Build the Guardrails with an AI Governance Structure

Whether you’re just starting out or already in a mature AI usage office, build toward safety and consistency through: 

• Governance – Establish an AI governance committee that includes IT and security, legal, compliance, and knowledge management. Meet regularly and document decisions.
  
• Policies – Establish acceptable use, verification, disclosure, retention, and incident response policies. Monitor, adapt, and revisit them routinely.
  
• Approval and change controls – Set up change control and approval workflows for new AI tools, models, and high-risk prompts. 

Data Security and Privacy Controls (Non-Negotiables)

Cybersecurity isn’t a luxury—it falls under the needs vs. wants list when it comes to internal and third-party practices. In 2024, 20% of U.S. law firms reported a cyberattack, nearly 10% lost data or had it exposed, and some firms even reported being targeted by foreign threats for data “related to U.S. national security and international trade.”^1,2

To ensure your firm’s security in this AI-forward future, establish these expectations:

• Required vendor certifications (e.g., SOC 2, ISO 27001, HIPAA, where applicable)
• Encryption both in transit and at rest
• Application of least-privilege and role-based access
• Data minimization and purpose limitation with retention aligned to matter lifecycle
• Provenance and audit logs for AI-assisted work products

Professional Responsibility, Disclosure, and Billing

Consider when and how to cascade your AI usage policies out to clients, ensuring clarity. Furthermore, decide  where to draw the line between AI suggestion and human decision. 

• Human-in-the-loop practices – Ensure attorney review of citations, case law, analytical conclusions, and client recommendations.
  
• Client-facing transparency – Use plain-language disclosures on when and how AI is used.
  
• Documentation – Update engagement letters and reflect efficiencies and controls in billing descriptions. 

Vendor Due Diligence and Ongoing Monitoring

You’ll also want to incorporate AI governance frameworks into vendor choices with specific demands for their practices. Reduce the risk from third-party providers with: 

• Security review checklist – Find out how vendors deal with data residency and deletion, and whether they use client data for model training.
  
• Contractual controls – Ask about breach notice, audit rights, subprocessor listings, and the return of data upon termination.
  
• Quarterly attestations – Keep an eye on vendor policies and activities to trigger re-assessment on material product changes. 

Training, Audits, and Culture

Importantly, AI best practices and safeguards need to be understood by each department and staff level to be implemented effectively. To that end, consider: 

• Role-based training by workflow
• Legal prompt engineering best practices
• Prompt data hygiene 
• “Red team” exercises to simulate real-world attacks
• Annual acknowledgements of effectiveness and best practices
• Training refreshers for all involved staff, linked to CLE for attorneys
• Spot checks and peer reviews of workflows and outputs
• Central register of approved prompts and templates, as well as prohibited patterns

Compliance Landscape and Accountability

To stay on track and avoid potential harms resulting from AI use, establish clear compliance and accountability guidelines. Your firm should: 

• Name a responsible compliance officer
• Track evolving guidance from the American Bar Association, state bars, etc.
• Map controls to privacy frameworks (e.g., HIPAA, CCPA) and eDiscovery obligations
• Schedule policy reviews
• Maintain defensible documentation for regulators and courts

For AI Safeguards You Can Count On

AI augments lawyers, but it doesn’t replace their duty. Consider “people + policy + proof” as a formula for safeguarding your firm’s AI use, and establish a carefully considered implementation plan. 

You can also operationalize safeguards with a trusted litigation support partner, like U.S. Legal Support. We offer comprehensive litigation services, including AI-enabled deposition summaries with our exclusive Deposummary Pro™ technology, as well as technologies that improve internal workflows. 

Reach out today to connect with us on your legal support needs.

Sources: 

1. Law.com. One in 5 US Law Firms Hit by Cyberattacks in the Past 12 Months, Study Finds. https://www.law.com/international-edition/2025/07/01/one-in-5-us-law-firms-hit-by-cyberattacks-in-the-past-12-months-study-finds/
2. The Record. Major US law firm says hackers broke into attorneys’ emails accounts. https://therecord.media/us-law-firm-hackers-breached-email

Julie Feller

Julie Feller is the Vice President of Marketing at U.S. Legal Support where she leads innovative marketing initiatives. With a proven track record in the legal industry, Juie previously served at Abacus Data Systems (now Caret Legal) where she played a pivotal role in providing cutting-edge technology platforms and services to legal professionals nationwide.