AI ComplianceSolo PracticeEthicsPractice Management

AI Compliance Checklist for Solo and Small Law Firms

Big firms have compliance departments. You have yourself. Here's the 12-item checklist that keeps a solo or small firm on the right side of the ethics rules when using AI — without a six-figure consulting engagement.

Editorially ReviewedUpdated May 2, 2026
AT
Alex Tarlescu
12 min readPublished May 2, 2026

Why Solo Firms Are More Exposed, Not Less

[HITL: Explain why smaller firms face proportionally greater AI compliance risk — no compliance team, no IT department, attorneys wearing multiple hats. Cite the 2025 ABA TechReport stat on solo AI adoption. The duty of competence doesn't scale down with firm size.]

[HITL: Contrast with large firms that have formal AI committees, approved tool lists, and training programs. A solo practitioner needs the same safeguards but has to build them alone — which is why a checklist matters more, not less.]

The One Thing to Do First

[HITL: What is the single highest-leverage first step? Likely: audit every tool you currently use on client matters and categorize them as compliant/non-compliant/unknown. Can't fix what you haven't inventoried.]

The Compliance Standard Is Uniform — Firm Size Doesn't Matter

[HITL: ABA Model Rules apply equally regardless of firm size. Rule 1.1 Comment 8 doesn't say 'unless you're a solo.' Walk through what this means practically — a solo practitioner in Ohio has the same duty as a partner at Jones Day.]

[HITL: Discuss state bar guidance — which state bars have issued AI-specific ethics opinions? FL Bar Opinion 24-1, CA Practical Guidance, TX Ethics Opinion 700. Are any of these more relevant to solos?]

The 12-Item AI Compliance Checklist

Copy this checklist into your firm's AI policy. Each item maps to a specific ethics rule or best practice. If you can check all 12, you're ahead of most firms regardless of size.

Court Filing Certifications After Mata v. Avianca

[HITL: Walk through the Mata v. Avianca case — what happened, what the sanctions were ($5K per attorney), and what the judge actually said. Then: how should an attorney handle court filings when AI was involved in drafting? Best practice: verify every citation, every quote, every case holding. Never submit AI output as your own work without independent verification.]

[HITL: Address the growing number of courts requiring AI disclosure — Standing Order No. 1:23-mc-00025 (Judge Brantley Starr, N.D. Tex.), and similar orders in at least 18 other federal courts as of 2026. What does an attorney need to include in the certification?]

Your AI Policy Starts Today — Not Next Quarter

[HITL: Closing takeaway — the checklist above IS the firm AI policy. Print it, sign it, date it, put it in your procedures manual. Don't wait for a 'perfect' policy — a checklist you follow today is better than a 20-page document you write next year.]

Disclaimer: This article is for general educational purposes only and does not constitute legal advice. Made For Law is not a law firm, and our team are not attorneys. We are not affiliated with any federal, state, county, or local government agency or court system. Content may be researched or drafted with AI assistance and is reviewed by our editorial team before publication. Laws change frequently — always verify information with official sources and consult a licensed attorney for advice specific to your situation. Full disclaimer

AT
Alex Tarlescu

Alex Tarlescu is the founder of Made For Law, where he builds legal technology tools that help families navigate probate and estate planning. Before MFL, he spent over a decade in digital marketing and SaaS product development.

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