CONFLICT TRACKING DATABASE SYSTEM

System Overview

This template provides a comprehensive framework for maintaining a law firm conflict database in compliance with ABA Model Rules requiring "adequate conflict-checking systems."

Part 1: Master Client Register

Client Information Record

Part 2: Related Party Records

For Each Client, Track All Related Parties

Related Party Entry Form

Part 3: Matter Register

Matter Information Record

Part 4: Adverse Party Register

Adverse Party Information Record

Part 5: Conflict Waiver Register

Waiver Documentation Record

Part 6: Attorney/Staff Register

For Lateral Hire Conflict Checking

Lateral Hire Prior Matter Record

Part 7: Ethical Screen Register

Screen Documentation Record

☐ Written memo to all personnel
☐ Physical file segregation
☐ Electronic access restriction
☐ Fee exclusion
☐ Periodic certifications required
☐ Other: [________________________________]

| Compliance Certifications | |

Part 8: Search Log

Conflict Search History

Part 9: Database Maintenance Schedule

Regular Maintenance Tasks

Part 10: Required Data Entry Triggers

When to Add/Update Database

☐ New client intake - Add client and all related parties
☐ New matter opened - Add matter and all adverse parties
☐ New adverse party identified - Add to adverse party register
☐ New party added to existing matter - Update matter record
☐ Client name change - Update client record, retain old names as AKA
☐ Matter closed - Update status and closing date
☐ Lateral attorney/staff hired - Add person and all prior matters
☐ Attorney/staff departure - Update status
☐ Conflict waiver obtained - Add to waiver register
☐ Ethical screen implemented - Add to screen register
☐ Corporate reorganization - Update all affected entity records

Part 11: Search Protocol

Standard Search Procedure

Step 1: Gather Information
☐ Full legal names of all parties
☐ All known aliases, AKAs, former names
☐ Dates of birth (individuals)
☐ Entity identification numbers
☐ Corporate affiliates and related entities
☐ Key individuals (officers, directors, shareholders >10%)
☐ Spouses and family members (where relevant)

Step 2: Execute Searches
☐ Exact name match
☐ Phonetic/similar name match
☐ Partial name match
☐ Reverse search (by matter type/practice area)
☐ Date-based search (matters during specific period)

Step 3: Analyze Results
☐ Review all matches
☐ Determine if same party or different party with same name
☐ Check all related party records
☐ Check all adverse party records
☐ Review closed matters for former client conflicts

Step 4: Document Results
☐ Log search in Search Log
☐ Complete Conflict Check Form
☐ Escalate potential conflicts for attorney review

Part 12: Data Fields Quick Reference

Minimum Required Fields for Compliance

For Every Client:
- Full legal name
- All known aliases/former names
- Date of birth or entity ID
- Client type
- Status (active/former/prospective)
- Date first/last represented

For Every Matter:
- Client link
- Matter description
- Practice area
- Open/close dates
- Responsible attorney
- Conflict check documentation

For Every Adverse Party:
- Full legal name
- All known aliases
- Date of birth or entity ID
- Linked matter

Part 13: System Administration

Database Access Controls

Audit Trail Requirements

☐ All additions logged with user and timestamp
☐ All edits logged with user, timestamp, and prior value
☐ All deletions logged with user, timestamp, and deleted record
☐ All searches logged with user, timestamp, and search terms
☐ Audit logs retained for [____] years

Sources and References

• ABA Model Rule 1.7 Comment
• ABA Model Rule 1.10 - Imputation
• Identifying and Resolving Conflicts of Interest