Legal Client Intake

Legal Client Intake

First contact with a prospective client opens attorney-client privilege, creates conflict obligations, and triggers AML/KYC duties — simultaneously. All three regimes attach before substantive representation begins. This skill codifies the doctrine that turns an intake call into a legally sound engagement: structured conflict query, verified authority, written scope, compliant fee terms, and privilege-anchored communication channels.

Cardinal Rule

No substantive legal advice is provided, no consultation is scheduled, and no fee is collected until the conflict database query returns CLEARED. A single missed conflict can trigger disqualification, malpractice liability, and disciplinary proceedings under OAB Cód. Ética Art. 15 or ABA Model Rule 1.7. The conflict check is not a courtesy — it is a structural gate that all other intake steps depend on.

Fail-Fast Rule

Halt intake and escalate to the supervising attorney immediately if ANY of the following conditions are true:

1. Prospective client cannot produce government-issued photo ID within the required verification window.
2. PEP screening or sanctions check returns a positive match against OFAC SDN, UN Consolidated List, or applicable national list.
3. Conflict database query returns CONFLICT or POTENTIAL-CONFLICT without a written waiver signed by all affected current clients.
4. Signatory presents without verified authority (unsigned board resolution, expired POA, contested estate administrator appointment).
5. Matter description triggers a mandatory SAR filing threshold under applicable AML rules before the engagement can lawfully proceed.

In each case, document the halt reason in the intake record and do not generate an engagement letter.

When to Apply

Apply this skill at the intake threshold — the first structured contact at which a prospective client discloses matter facts. Scope includes:

• Initial consultation qualification calls and web-form intakes
• Conflict database queries triggered by a new matter or new adverse party
• Engagement letter drafting and fee agreement authoring
• KYC/AML risk-rating and PEP/sanctions screening for new matters
• Capacity and authority verification for individual and entity clients
• Re-engagement of former clients on a new matter (new conflict query required even if the client previously cleared)

Do not apply for internal administrative tasks that carry no client PII and no conflict exposure.

PII Handling

Client intake collects the highest-density PII in the legal engagement lifecycle. All intake operations must observe the following controls:

Collected categories and minimization rule:

• Full legal name, aliases, government-issued ID number, date of birth (identity verification; collect only what the jurisdiction's KYC regime requires — do not collect passport and national ID simultaneously unless the matter risk-rating requires dual-document verification)
• Contact address, phone, email (communication channel discipline — see Attorney-Client Privilege Establishment)
• Financial information: source-of-funds declaration, beneficial-ownership chain for entities, trust deposit details (collect only for matters where fee structure or AML rules require it)
• Matter facts: incident dates, transaction amounts, adverse party identities, prior legal action records (collect only what is necessary to complete the conflict query and draft the engagement scope)
• Adverse party information: names, entity identifiers, counsel if known (required for conflict query; do not collect financial or personal data about adverse parties beyond what the conflict query demands)

Transmission: intake forms must use encrypted channels (TLS 1.2+); verbal intake via phone must be recorded only with explicit consent per applicable wiretap law; email intake must warn the prospective client that unencrypted email is not a privileged channel until an engagement letter is signed.

Retention: matter file is retained per the firm's retention schedule anchored to the applicable limitation period for the practice area plus a minimum seven-year floor. For declined or referred matters, retain only the conflict record (party names, matter type, declination date) and destroy substantive intake notes per the destruction schedule. Document the destruction.

Deletion on declination: when the firm declines representation, purge all PII beyond the conflict record within 30 days of the declination letter. Log the purge in the intake audit trail.

Cross-border note: if the prospective client is located in Brazil or the matter involves Brazilian data subjects, core/compliance-lgpd governs PII processing on top of this skill. Document the LGPD legal basis for intake data collection (typically Art. 7, VI — legitimate interest in assessing the professional relationship) in the data processing registry before the first intake session.

Conflict Screening

Conflict screening must run against the firm's conflict database BEFORE any consultation is scheduled and BEFORE any substantive matter facts are disclosed to an attorney.

Query inputs (collect before running query):

• Prospective client: full legal name + all known aliases + entity name and jurisdiction if corporate
• Matter type and opposing party: full legal name of every adverse party identified so far (the query runs again if new adverse parties emerge mid-representation)
• Prior relationship: whether the prospective client or any disclosed adverse party has previously retained the firm in any capacity

Conflict categories:

OAB Cód. Ética anchor (Brazil): Arts. 15, 16, and 18 govern conflict obligations. Art. 15 prohibits representing parties with opposing interests in the same proceeding. Art. 18 restricts former-client matters using confidential information. Advance waivers are permitted only where both parties give informed, written consent after full disclosure.

ABA Model Rules anchor (US): Rules 1.7 (concurrent), 1.9 (former-client), and 1.10 (imputation within a firm). Consult applicable state court's professional conduct rules for jurisdiction-specific deviations.

Running the query: submit query to conflict database with all party names before any consultation is booked. Document: query timestamp, parties queried, result (CLEARED / CONFLICT / POTENTIAL-CONFLICT / PENDING), and reviewer sign-off. Never move to the next intake step until CLEARED appears in the record.

Capacity Assessment

Verified capacity and authority to retain counsel is a prerequisite for a binding engagement agreement.

Individual clients:

• Decisional capacity: the prospective client must understand the nature of legal representation, the scope of the matter, and the fee obligation. If capacity is in doubt (cognitive impairment, acute crisis, intoxication), pause intake and schedule a follow-up; do not proceed on a telephone intake alone.
• Minor representation: a minor cannot execute an engagement letter. Identify the legal guardian, verify guardianship documentation, and confirm the guardian's authority extends to legal proceedings on the minor's behalf.
• Guardianship / conservatorship: verify the court order appointing the guardian and confirm it has not been superseded or challenged.

Entity clients:

• Corporate authority: obtain board resolution or written authorization from the corporate secretary confirming the signatory has authority to bind the entity to legal representation and fee obligations.
• Partnership authority: verify the partnership agreement grants the signing partner authority to retain outside counsel.
• Trust: obtain the trust instrument and verify trustee authority to engage counsel on trust matters; confirm the trust is not under active court supervision that limits trustee authority.
• Insolvency and restructuring: if the entity is in bankruptcy, receivership, or under an administrator's control, verify that the trustee, receiver, or administrator (not former management) is the authorized principal. Former management has no authority to retain counsel on behalf of the estate without court approval.

Document the authority verification in the intake record with copies of the authorizing instrument retained in the matter file.

Scope of Engagement

The engagement scope is the written boundary of the attorney-client relationship. Scope ambiguity is the primary driver of fee disputes and malpractice claims.

Scope decision matrix:

Scope document requirements:

1. Identify the specific legal matter (proceeding, transaction, or advisory question) with enough specificity that a future court or disciplinary tribunal can determine what was and was not covered.
2. Carve out explicitly any related or adjacent matters the firm is NOT handling (e.g., "This engagement covers the commercial lease dispute at [address] only; related employment claims are outside scope").
3. State the geographic and jurisdictional limits of the representation.
4. State the temporal scope: does the engagement terminate on a specific event (e.g., execution of settlement agreement), or does it require a written termination notice?
5. For limited-scope representations, include an explicit unbundled- services disclosure per applicable jurisdiction ethics rules.

Scope expansion: any expansion of scope beyond the original engagement letter requires a written amendment signed by the client before the additional work begins. Verbal scope expansion is not binding and exposes the firm to unpaid fee disputes.

Fee Agreement

Fee agreements are required to be in writing in most jurisdictions before work commences. Oral fee agreements are an anti-pattern (see Anti-Patterns table).

Fee structures:

Trust deposit (IOLTA / client account):

• State the deposit amount required before work commences.
• Confirm the deposit is held in a jurisdiction-compliant client trust account (IOLTA in the US; OAB trust account rules in Brazil).
• State the draw-down frequency and the obligation to provide a contemporaneous billing statement on each draw.
• Replenishment threshold: state the balance below which the client must replenish the deposit to avoid suspension of representation.

Jurisdictional compliance:

• Brazil: OAB Tabela de Honorários provides minimum fee guidance per practice area and procedural act; below-table fees must be justified and documented.
• US: ABA Model Rule 1.5 governs reasonableness; check state rules for mandatory fee agreement writing requirements (California, Texas, and others impose statutory requirements for written agreements in specific matter types).

Identity and AML/KYC

Identity verification and AML/KYC screening apply at the engagement opening, regardless of matter type, in regulated legal-services jurisdictions. Even in non-regulated jurisdictions, AML risk awareness is professional-responsibility best practice for matters involving significant asset transfers.

Identity verification steps:

1. Collect government-issued photo ID (passport, national identity card, or equivalent); for entities, collect certificate of incorporation, current registered-office confirmation, and beneficial-ownership declaration.
2. Verify the ID is current and not expired.
3. For remote intake, use a compliant video-ID or e-KYC service that produces an audit trail; do not accept unwitnessed self-certified scans as sole verification on high-risk matters.

PEP screening: query the prospective client and all disclosed beneficial owners against:

• OFAC SDN List (US nexus matters)
• UN Security Council Consolidated List (universal)
• EU Consolidated Financial Sanctions List (EU nexus)
• Brazilian COAF / Receita Federal watchlists (Brazil nexus)

A PEP match does not automatically block engagement but triggers enhanced due diligence: document source of funds, beneficial-ownership chain to the natural person level, and obtain partner-level sign-off before accepting the engagement.

FATF risk-rating: assign a risk rating (Low / Medium / High) per the FATF risk-based approach:

SAR triggers: file a Suspicious Activity Report (FinCEN in the US / COAF in Brazil) if the matter facts, after engagement, reveal reasonable grounds to suspect money laundering or terrorist financing. Legal privilege does not shield the attorney from SAR filing obligations where applicable law requires disclosure. Document the tipping-off prohibition: the client must not be notified that a SAR has been filed.

Attorney-Client Privilege Establishment

The engagement letter is the privilege anchor. Privilege attaches to communications made in confidence for the purpose of seeking legal advice. The intake process must establish the channel discipline before the first privileged communication occurs.

Engagement letter as privilege anchor:

• Sign and date the engagement letter before discussing substantive matter strategy or legal analysis.
• The letter must identify the attorney-client relationship, confirm confidentiality, and state the scope of representation.
• For prospective clients who are not yet retained, intake communications are protected as prospective-client communications under ABA MR 1.18 / OAB Art. 7, §2; document this status explicitly in the intake record.

Communication channel discipline:

• Designate a specific channel for privileged communications (firm email domain, secure client portal, or encrypted messaging service).
• Warn the client in the engagement letter that communications via personal, unencrypted email or social media may not be protected.
• Document the agreed channel in the intake record; flag any future communications received outside the agreed channel for client notification.

Privileged vs. non-privileged classification:

Work-product doctrine: distinguish attorney-client privilege (protects confidential client communications) from work-product doctrine (protects attorney mental impressions and litigation preparation). Both protections must be invoked separately and logged when privilege is asserted in discovery.

Anti-Patterns

Cross-References

• core/compliance-lgpd — LGPD legal basis for intake PII processing, data subject rights obligations, and breach notification if intake records are exposed
• domains/legal/skills/document-review — privilege log preparation and document-by-document privilege classification during discovery
• domains/legal/skills/legal-billing — billing statement format, trust account draw-down procedures, and IOLTA reconciliation

ADR Anchors

• ADR-058 — two-pass adversarial review doctrine: all intake deliverables (engagement letters, fee agreements, conflict reports) undergo a second-pass review by a supervising attorney before execution; intake specialist output is a draft, not a final instrument