Complete Conflict Checking Procedures
Critical Compliance Notice
Failure to properly identify and manage conflicts of interest can result in:
- • Disciplinary action by state bar authorities
- • Malpractice claims and professional liability
- • Disqualification from representation
- • Mandatory withdrawal from ongoing matters
Types of Conflicts to Identify
Direct Client Conflicts
When representing opposing parties in the same or related matters
Common Examples:
- Representing both parties in a divorce
- Defending criminal case where you represent a witness
- Business dispute where you represent multiple parties
- Real estate transaction with conflicting buyer/seller interests
Former Client Conflicts
When new matter is adverse to former client's interests
Common Examples:
- Suing former client in unrelated matter
- Representing party opposing former client's interests
- Using confidential information from former representation
- Taking position inconsistent with prior representation
Third-Party Conflicts
Conflicts involving non-clients with significant interests
Common Examples:
- Family member conflicts in business matters
- Referral source conflicts of interest
- Vendor or service provider relationships
- Investment or business relationship conflicts
Issue Conflicts
Taking inconsistent positions on legal issues
Common Examples:
- Arguing opposite sides of same legal issue
- Inconsistent positions on statutory interpretation
- Conflicting positions in similar fact patterns
- Challenging precedent you previously defended
Step-by-Step Conflict Checking Process
1
Initial Information Gathering
Collect comprehensive information about all parties and matter details
- Full legal names of all parties (individuals and entities)
- Alternative names, DBAs, and aliases
- Spouse names and family relationships
- Corporate affiliations and ownership structures
- Matter type and opposing counsel information
- Related parties and potential witnesses
- Geographic jurisdiction and court information
2
Database Search Process
Systematic search of all client and matter databases
- Search client database by all name variations
- Cross-reference matter types and practice areas
- Check opposing parties and counsel databases
- Search by address, phone, and contact information
- Review related entity and corporate connections
- Check conflict waiver and consent records
- Search archived and closed matter files
3
Analysis and Documentation
Evaluate potential conflicts and document decision process
- Analyze nature and severity of potential conflicts
- Review applicable ethical rules and precedents
- Document analysis and decision-making process
- Obtain necessary conflict waivers if proceeding
- Update conflict database with new information
- Set up ongoing conflict monitoring procedures
- Create conflict checking certificate for file
Technology Solutions for Conflict Checking
Essential Features:
- Automated name matching and alerts
- Integration with client management systems
- Comprehensive search capabilities
- Audit trails and documentation
- Conflict waiver management
Implementation Best Practices:
- Regular database maintenance and updates
- Staff training on conflict procedures
- Periodic system testing and validation
- Backup and data security protocols
- Integration with intake workflows
Key State Variations in Conflict Rules
Common Variations:
- • California: Stricter conflict rules for family law matters
- • New York: Enhanced disclosure requirements for conflicts
- • Texas: Specific rules for corporate family conflicts
- • Florida: Detailed conflict waiver requirements
Compliance Recommendations:
- • Review your state's specific conflict rules annually
- • Subscribe to bar association ethics opinions
- • Consult ethics hotlines for complex situations
- • Maintain detailed conflict checking documentation
Conflict Check Documentation Template
Matter: ________________________________
Date of Check: ________________________
Checked By: ____________________________
Parties Searched:
□ Client: ________________________________
□ Opposing Party: ________________________
□ Related Entities: ______________________
□ Other Parties: _________________________
□ Opposing Party: ________________________
□ Related Entities: ______________________
□ Other Parties: _________________________
Databases Searched:
□ Current Client Database
□ Former Client Database
□ Matter Management System
□ Opposing Counsel Database
□ Conflict Waiver Records
□ Former Client Database
□ Matter Management System
□ Opposing Counsel Database
□ Conflict Waiver Records
Results:
□ No Conflicts Identified
□ Potential Conflict Identified (See Analysis)
□ Waivable Conflict (Waiver Obtained/Declined)
□ Potential Conflict Identified (See Analysis)
□ Waivable Conflict (Waiver Obtained/Declined)
Analysis/Notes:
Signature: ________________________________