Conflict Check Form

NEW MATTER CONFLICT CHECK FORM

Section 1: Matter Information

Date of Conflict Check: [__/__/____]

Requesting Attorney: [________________________________]

Matter Type: [________________________________]

Practice Area: [________________________________]

Estimated Matter Value: $[________________________________]

Conflict Check Performed By: [________________________________]

Conflict Check Deadline: [__/__/____]

Section 2: Prospective Client Information

Primary Client

Client Type: ☐ Individual ☐ Corporation ☐ LLC ☐ Partnership ☐ Government Entity ☐ Non-Profit ☐ Other: [________]

Full Legal Name: [________________________________]

Also Known As (AKA)/Former Names: [________________________________]

Date of Birth (if individual): [__/__/____]

Social Security Number (last 4 digits): XXX-XX-[____]

Business Entity ID/EIN: [________________________________]

Address: [________________________________]

City, State, ZIP: [________________________________]

Phone: [________________________________]

Email: [________________________________]

Additional Parties to Check (Spouses, Business Partners, Officers, Directors, Shareholders)

Section 3: Adverse Party Information

Primary Adverse Party

Party Type: ☐ Individual ☐ Corporation ☐ LLC ☐ Partnership ☐ Government Entity ☐ Non-Profit ☐ Other: [________]

Full Legal Name: [________________________________]

Also Known As (AKA)/Former Names: [________________________________]

Date of Birth (if individual): [__/__/____]

Business Entity ID/EIN: [________________________________]

Address: [________________________________]

City, State, ZIP: [________________________________]

Known Counsel: [________________________________]

Additional Adverse Parties

Section 4: Related Parties and Entities

Other Parties to Check

Potential Witnesses

Insurance Companies/Third Party Payors

Section 5: Matter Description

Brief Description of Legal Matter:

[________________________________]
[________________________________]
[________________________________]
[________________________________]

Key Issues:

[________________________________]
[________________________________]

Subject Property (if applicable):

[________________________________]

Relevant Dates:

[________________________________]

Section 6: Conflict Search Results

Databases/Sources Searched

☐ Firm conflict database
☐ Practice management system
☐ Billing/accounting system
☐ Prior closed matter files
☐ Attorney personal recollection (all attorneys)
☐ Staff/paralegal check
☐ Lateral hire disclosure forms
☐ External databases: [________________________________]

Search Terms Used

Section 7: Conflict Analysis

Potential Conflicts Identified

☐ No conflicts identified - proceed to Section 10
☐ Potential conflict(s) identified - complete analysis below

Conflict Detail #1

Related Matter/Client: [________________________________]

Matter Number: [________________________________]

Responsible Attorney: [________________________________]

Dates of Representation: [__/__/____] to [__/__/____]

Nature of Prior/Current Representation:

[________________________________]

Type of Conflict:

☐ Current client conflict (Rule 1.7)
☐ Former client conflict (Rule 1.9)
☐ Prospective client conflict (Rule 1.18)
☐ Personal interest conflict (Rule 1.7(a)(2))
☐ Business transaction with client (Rule 1.8)
☐ Imputed conflict (Rule 1.10)

Conflict Analysis:

Is the new matter the same or substantially related to the prior/current matter?
☐ Yes ☐ No ☐ Uncertain

Are the interests materially adverse?
☐ Yes ☐ No ☐ Uncertain

Detailed Analysis:

[________________________________]
[________________________________]
[________________________________]

Conflict Detail #2 (if applicable)

Related Matter/Client: [________________________________]

Matter Number: [________________________________]

Responsible Attorney: [________________________________]

Dates of Representation: [__/__/____] to [__/__/____]

Nature of Prior/Current Representation:

[________________________________]

Type of Conflict:

☐ Current client conflict (Rule 1.7)
☐ Former client conflict (Rule 1.9)
☐ Prospective client conflict (Rule 1.18)
☐ Personal interest conflict (Rule 1.7(a)(2))
☐ Business transaction with client (Rule 1.8)
☐ Imputed conflict (Rule 1.10)

Detailed Analysis:

[________________________________]
[________________________________]

Section 8: Conflict Resolution Options

Resolution Determination

☐ No conflict exists - Representation may proceed

☐ Non-consentable conflict - Representation prohibited
- Representation of one client directly adverse to another in same proceeding
- Lawyer cannot reasonably believe competent representation is possible
- Representation prohibited by law

☐ Conflict waivable with informed consent - Complete consent process

☐ Conflict resolved by screening (former government lawyers/lateral hires only)

If Consent Required

Consent Required From:

Conflict Waiver Letter Sent: ☐ Yes ☐ No Date: [__/__/____]

Signed Waiver Received: ☐ Yes ☐ No Date: [__/__/____]

Section 9: Ethical Screens (If Applicable)

☐ Ethical screen implemented

Screened Attorney/Staff: [________________________________]

Screen Implementation Date: [__/__/____]

Screen Components:

☐ Written notice to all firm members
☐ Physical file segregation
☐ Electronic file access restricted
☐ No sharing of fees from matter
☐ Periodic compliance certifications
☐ Other: [________________________________]

Section 10: Final Determination

Conflict Check Result

☐ CLEARED - No conflict; matter may be opened

☐ CLEARED WITH CONDITIONS - Matter may be opened subject to:
[________________________________]
[________________________________]

☐ NOT CLEARED - Conflict exists; representation declined

☐ PENDING - Additional information or consent required

Reason for Determination

[________________________________]
[________________________________]
[________________________________]

Section 11: Approvals

Conflict Check Completed By

Name: [________________________________]

Title: [________________________________]

Signature: [________________________________]

Date: [__/__/____]

Supervising Attorney Review

Name: [________________________________]

Signature: [________________________________]

Date: [__/__/____]

☐ I have reviewed this conflict check and approve the determination

Ethics Committee/General Counsel Review (if required)

Name: [________________________________]

Signature: [________________________________]

Date: [__/__/____]

Section 12: Documentation Checklist

☐ Conflict check form completed
☐ All search results documented
☐ Conflict analysis memo (if applicable)
☐ Conflict waiver letters (if applicable)
☐ Signed consent forms (if applicable)
☐ Screen documentation (if applicable)
☐ Entered into conflict database
☐ Matter opening approved

Conflict Check Best Practices

Information to Always Check

1. All parties (individual and entity names)
2. All known aliases, maiden names, former names
3. Corporate affiliates, subsidiaries, parent companies
4. Officers, directors, shareholders (10%+ ownership)
5. Spouses and close family members
6. Key witnesses
7. Insurance carriers
8. Opposing counsel

When to Update Conflict Database

• New matter opened
• New parties added to existing matter
• Lateral attorney/staff hired
• Matter closed
• Party name changes

Sources and References

• ABA Model Rule 1.7 - Conflict of Interest: Current Clients
• ABA Model Rule 1.9 - Duties to Former Clients
• ABA Model Rule 1.10 - Imputation of Conflicts
• Identifying and Resolving Conflicts of Interest